8–21–03 Thursday Vol. 68 No. 162 Aug. 21, 2003

Pages 50457–50680

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1 II Federal Register / Vol. 68, No. 162 / Thursday, August 21, 2003

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2 III

Contents Federal Register Vol. 68, No. 162

Thursday, August 21, 2003

Agriculture Department Drug Enforcement Administration See Animal and Plant Health Inspection Service NOTICES See Farm Service Agency Agency information collection activities; proposals, See Forest Service submissions, and approvals, 50555–50556 See Rural Business-Cooperative Service See Rural Housing Service Employment and Training Administration See Rural Utilities Service NOTICES Meetings: Apprenticeship Advisory Committee, 50557 Air Force Department NOTICES Energy Department Meetings: See Federal Energy Regulatory Commission Scientific Advisory Board, 50518 RULES Financial assistance rules: Animal and Plant Health Inspection Service Grants and cooperative agreements with for-profit NOTICES organizations; administrative requirements, 50645– Meetings: 50670 Plant pest risks associated with living modified organisms; international plant protection convention Environmental Protection Agency standard, 50511–50512 NOTICES Air programs: Stratospheric ozone protection— Commerce Department Significant New Alternatives Policy Program; See Industry and Security Bureau acceptable substitutes for ozone-depleting See International Trade Administration substances; list, 50533–50540 See National Oceanic and Atmospheric Administration Water supply: Public water supply supervision program— Copyright Office, Library of Congress Arkansas, 50540 PROPOSED RULES Copyright Arbitration Royalty Panel rules and procedures: Farm Service Agency Digital performance of sound recordings— PROPOSED RULES Sound recordings and ephemeral recordings; digital Program regulations: performance right, 50493–50495 Direct farm loan programs; appraisals, 50479–50481

Federal Aviation Administration Customs and Border Protection Bureau RULES NOTICES Airworthiness directives: Commercial gauger: McCauley Propeller Systems, Inc., 50462–50464 Approval— Rolls-Royce plc; correction, 50461–50462 BSI Inspectorate America Corp., 50544 Class E airspace, 50464–50468 Commercial laboratory accreditations: PROPOSED RULES BSI Inspectorate America Corp., 50544 Airworthiness directives: McDonnell Douglas, 50491–50493 Defense Department NOTICES See Air Force Department Air traffic operating and flight rules, etc.: RULES High density airports; takeoff and landing slots, slot Acquisition regulations: exemption lottery, and slot allocation procedures— Caribbean Basin country; definition— Ronald Reagan Washington National Airport, VA; Dominican Republic, 50477 lottery allocation procedures, 50584–50587 Competitiveness demonstration codes update, 50476 Multiyear contracting authority revisions, 50474–50475 Federal Deposit Insurance Corporation Security-guard functions; contractor performance, 50476– RULES 50477 Practice and procedure: Vessel repair and alteration contracts; liability for loss, Filing procedures, corporate powers, international 50477–50478 banking, and management official interlocks; PROPOSED RULES technical corrections and modifications, 50457– Acquisition regulations: 50461 Production surveillance and reporting, 50495–50496 NOTICES Federal Election Commission Meetings: PROPOSED RULES Nuclear Weapons Surety Joint Advisory Committee, Allocations of candidate and committee activities: 50518 Travel expenditures; allocation, 50481–50488

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Contributions and expenditure limitations and prohibitions: Forest Service Multicandidate committees and biennial contribution NOTICES limits, 50488–50491 Agency information collection activities; proposals, NOTICES submissions, and approvals, 50512 Meetings; Sunshine Act, 50540–50541 Meetings: California Coast Provincial Advisory Committee, 50512– Federal Energy Regulatory Commission 50513 NOTICES Environmental statements; availability, etc.: Geological Survey Cameron LNG, LLC, 50523–50524 NOTICES Kinder Morgan Interstate Gas Transmission, LLC, 50524– Agency information collection activities; proposals, 50525 submissions, and approvals, 50547–50548 Hydroelectric applications, 50526–50528 Meetings: Health and Human Services Department Open access transmission service and standard electricity See Food and Drug Administration market design; remedying undue discrimination; See Health Resources and Services Administration technical conference, 50529–50530 See Substance Abuse and Mental Health Services Primary function test for gathering on Outer Continental Administration Shelf, 50530–50533 Applications, hearings, determinations, etc.: Health Resources and Services Administration American Electric Power Service Corp. et al., 50529 NOTICES Blue Lake Gas Storage Co., 50518–50519 Agency information collection activities; proposals, Dominion Cove Point LNG, LP, 50519–50520 submissions, and approvals, 50542–50543 Dominion Transmission, Inc., 50520 Meetings: Northern Border Pipeline Co., 50520 Interdisciplinary, Community-Based Linkages Advisory Panhandle Eastern Pipe Line Co., LLC, 50521 Committee; correction, 50543 Sea Robin Pipeline Co. Ryan White Comprehensive AIDS Resources Emergency Southwest Gas Storage Co., 50521 (CARE) Act Reauthorization Workgroup, 50543 Tennessee Gas Pipeline Co., 50522–50523 Trunkline Gas Co., LLC, 50523 Homeland Security Department Trunkline LNG Co., LLC, 50523 See Customs and Border Protection Bureau

Federal Railroad Administration Housing and Urban Development Department NOTICES NOTICES Traffic control systems; discontinuance or modification: Grants and cooperative agreements; availability, etc.: New Jersey Transit, 50587–50588 Indian Tribes and Alaska Native Villages Community Development Program; correction, 50544–50546 Federal Reserve System NOTICES Indian Affairs Bureau Banks and bank holding companies: NOTICES Change in bank control, 50541 Tribal-State Compacts approval; Class III (casino) gambling: Formations, acquisitions, and mergers, 50541 Yavapai-Prescott Indian Tribe, AZ, 50548–50549

Financial Management Service Industry and Security Bureau See Fiscal Service RULES Export administration regulations: Export clearance; foreign trade statistics regulations Fiscal Service conformance, 50470–50474 PROPOSED RULES Financial Management Service: Interior Department Automated Clearing House; Federal agency participation, See Fish and Wildlife Service 50671–50679 See Geological Survey See Indian Affairs Bureau Fish and Wildlife Service See Minerals Management Service PROPOSED RULES See National Park Service Migratory bird hunting: Resident Canada goose populations; management, 50496– International Trade Administration 50509 NOTICES NOTICES Antidumping: Environmental statements; availability, etc.: Brake rotors from— Resident Canada goose management, 50546–50547 China, 50515–50516 Antidumping and countervailing duties: Food and Drug Administration Carbon and alloy steel wire rod from— NOTICES Various countries, 50513–50515 Food additive petitions: Meetings: Unilever United States, Inc., 50541–50542 U.S. Automotive Parts Advisory Committee, 50516–50517

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International Trade Commission Nuclear Regulatory Commission NOTICES NOTICES Import investigations: Applications, hearings, determinations, etc.: Economic effects of significant U.S. import restraints, Fansteel, Inc., 50558–50559 50552 Postal Rate Commission Justice Department NOTICES See Drug Enforcement Administration Meetings; Sunshine Act, 50559 See Justice Programs Office NOTICES Public Debt Bureau Pollution control; consent judgments: See Fiscal Service E.I. DuPont de Nemours & Co., 50552–50554 Earthgrains Baking Companies, Inc., et al., 50554 Railroad Retirement Board Glencore AG, 50554–50555 NOTICES Weed, Robert Dwight, Jr., 50555 Agency information collection activities; proposals, submissions, and approvals, 50559–50561 Justice Programs Office NOTICES Rural Business-Cooperative Service Meetings: PROPOSED RULES Global Justice Information-Sharing Initiative Federal Program regulations: Advisory Committee, 50556–50557 Direct farm loan programs; appraisals, 50479–50481

Labor Department Rural Housing Service See Employment and Training Administration PROPOSED RULES NOTICES Program regulations: Grants and cooperative agreements; availability, etc.: Direct farm loan programs; appraisals, 50479–50481 Ending chronic homelessness through employment and housing— Rural Utilities Service Working for freedom, opportunity, and real choice PROPOSED RULES through community employment (WorkFORCE); Program regulations: correction, 50557 Direct farm loan programs; appraisals, 50479–50481

Library of Congress Securities and Exchange Commission See Copyright Office, Library of Congress NOTICES Investment Company Act of 1940: Minerals Management Service Exemption applications— NOTICES Barclays Global Fund Advisors et al., 50561–50562 Outer Continental Shelf operations: Public Utility Holding Company Act of 1935 filings, 50562– Alaska Region— 50563 Oil and gas lease sales, 50549–50552 Self-regulatory organizations; proposed rule changes: National Association of Securities Dealers, Inc., 50563– National Aeronautics and Space Administration 50570 RULES Applications, hearings, determinations, etc.: Grant and Cooperative Agreement Handbook: Hydro-Quebec et al., 50561 Financial reporting, 50468–50470 State Department National Archives and Records Administration NOTICES NOTICES Art objects; importation for exhibition: Agency information collection activities; proposals, Cultural artifacts from Iraq, 50570 submissions, and approvals, 50557–50558 Commercial export licenses; notifications to Congress, 50570–50575 National Oceanic and Atmospheric Administration Grants and cooperative agreements; availability, etc.: PROPOSED RULES Educational Partnerships Program, 50575–50580 Fishery conservation and management: Fulbright American Studies Institute; foreign university Bering Sea and Aleutian Islands and Gulf of Alaska faculty and secondary educators, 50580–50583 groundfish; public hearings, 50509–50510 Meetings: NOTICES Shipping Coordinating Committee, 50583–50584 Meetings: Gulf of Mexico Fishery Management Council, 50517– Substance Abuse and Mental Health Services 50518 Administration New England Fishery Management Council, 50518 NOTICES Grants and cooperative agreements; availability, etc.: National Park Service Discretionary grant programs— NOTICES Announcement changes, 50591–50593 Native American human remains, funerary objects; Best practices planning and implementation grants, inventory, repatriation, etc.: 50615–50630 Phoebe A. Hearst Museum of Anthropology, University of Infrastructure grants, 50605–50616 California, CA, 50552 Sample services grant announcement, 50640–50643

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Services grants, 50592–50606 Separate Parts In This Issue Service-to-science grants, 50629–50641 Part II Surface Transportation Board Health and Human Services Department, Substance Abuse NOTICES and Mental Health Services Administration, 50591– Railroad operation, acquisition, construction, etc.: 50643 Union Pacific Railroad Co., 50588 Part III Transportation Department Energy Department, 50645–50670 See Federal Aviation Administration See Federal Railroad Administration Part IV See Surface Transportation Board Treasury Department, Fiscal Service, 50671–50679

Treasury Department See Fiscal Service Reader Aids NOTICES Consult the Reader Aids section at the end of this issue for Agency information collection activities; proposals, phone numbers, online resources, finding aids, reminders, submissions, and approvals, 50588–50589 and notice of recently enacted public laws. To subscribe to the Federal Register Table of Contents United States Institute of Peace LISTSERV electronic mailing list, go to http:// NOTICES listserv.access.gpo.gov and select Online mailing list Meetings; Sunshine Act, 50589 archives, FEDREGTOC-L, Join or leave the list (or change 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.

7 CFR Proposed Rules: 1910...... 50479 1941...... 50479 1965...... 50479 10 CFR 600...... 50646 11 CFR Proposed Rules: 100...... 50481 102...... 50488 106...... 50481 110...... 50488 114...... 50481 9004...... 50481 9034...... 50481 12 CFR 303...... 50457 333...... 50457 347...... 50457 348...... 50457 359...... 50457 14 CFR 39 (2 documents) ...... 50461, 50462 71 (5 documents) ...... 50464, 50465, 50466, 50468 1260...... 50468 Proposed Rules: 39...... 50491 15 CFR 732...... 50470 740...... 50470 744...... 50470 750...... 50470 752...... 50470 754...... 50470 758...... 50470 770...... 50470 772...... 50470 31 CFR Proposed Rules: 210...... 50672 37 CFR Proposed Rules: 263...... 50493 48 CFR 217...... 50474 219...... 50476 237...... 50476 252 (2 documents) ...... 50477 Proposed Rules: 242...... 50495 50 CFR Proposed Rules: 20...... 50496 21...... 50496 679...... 50509

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Rules and Regulations Federal Register Vol. 68, No. 162

Thursday, August 21, 2003

This section of the FEDERAL REGISTER FDIC and to remove the delegations of statutorily required provision for good contains regulatory documents having general authority from the regulation. See: 67 cause. New § 303.12 provides that the applicability and legal effect, most of which FR 79246. On the same date, the FDIC Board may, for good cause and to the are keyed to and codified in the Code of issued the Notice of proposed extent permitted by statute, waive the Federal Regulations, which is published under rulemaking (‘‘the notice of proposed 50 titles pursuant to 44 U.S.C. 1510. applicability of any provision of chapter rulemaking’’) for revisions to parts 303, III. The provisions could be waived, in The Code of Federal Regulations is sold by 347, 348, and 359 and technical whole or in part, at any time by the the Superintendent of Documents. Prices of corrections to other regulations in Board when good cause is shown, new books are listed in the first FEDERAL chapter III. See: 67 FR 79271. subject to the provisions of the REGISTER issue of each week. II. Final Rule Part 303 Administrative Procedure Act and the The FDIC is amending § 303.2 to provisions of chapter III. Any provision FEDERAL DEPOSIT INSURANCE clarify how the statutory definitions in of the rules may be waived by the Board CORPORATION the FDI Act apply to part 303. Several on its own motion or on petition if good provisions in part 303 utilize terms, cause is shown. 12 CFR Parts 303, 333, 347, 348, and such as ‘‘bank,’’ ‘‘company,’’ and The FDIC is revising § 303.22(a)(1) in 359 ‘‘depository institution holding order to clarify the rating required for a RIN 3064–AC55 company,’’ that are defined in the FDI bank or thrift holding company to be Act. The FDIC is clarifying that unless eligible for expedited processing for a Filing Procedures, Corporate Powers, such terms are expressly defined proposed institution seeking deposit International Banking, Management differently in part 303, those terms will insurance. The existing § 303.22(a)(1) Official Interlocks, Golden Parachute have the meanings given them in the rating for a thrift holding company of a and Indemnification Payments FDI Act. Therefore, § 303.2 specifies that ‘‘2’’ is inappropriate since the Office of AGENCY: Federal Deposit Insurance wherever a term that is defined in the Thrift Supervision has ratings of ‘‘A’’, Corporation (FDIC). FDI Act is used in part 303, it will have ‘‘S’’, and ‘‘U’’. Revised § 303.22(a)(1) ACTION: Final rule. the meaning given the term in the FDI would provide that an eligible holding Act except to the extent part 303 company would be defined as a bank or SUMMARY: The FDIC has adopted a final expressly defines that term differently. thrift holding company that has rule amending its procedures relating to The FDIC is amending § 303.4— consolidated assets of at least $150 filings, mutual to stock conversions, Computation of time, to clarify when international banking, management the general rule regarding the million or more; a BOPEC rating of at official interlocks and golden parachute commencement of the various time least ‘‘2’’ for bank holding companies or payments. The changes are mostly periods in part 303 applies. Several an above average or ‘‘A’’ rating for thrift technical in nature or clarify previous subparts of part 303 include a provision holding companies; and at least 75 FDIC positions; however, the final rule that specifies when a particular time percent of its consolidated depository includes a waiver provision to its period commences. See, for example, institution assets comprised of eligible regulations. The waiver provision grants subpart E—Change in Bank Control. It is depository institutions. discretionary power to the FDIC Board the FDIC’s intention that in those The FDIC is amending several of Directors to waive regulatory instances where a specific provision sections in subpart E to clarify that the provisions that are not based on exists, the specific provision prevails acquisition of control of a parent statutory requirements. over the general rule set forth in § 303.4. company of a state nonmember bank DATES: September 22, 2003. The FDIC is modifying the first sentence generally requires a change in control FOR FURTHER INFORMATION CONTACT: of § 303.4 to clarify that the general rule notice. Section 7(j)(18) of the FDI Act Division of Supervision and Consumer only applies to the extent there is no (12 U.S.C. 1817(g)(18)) indicates that the Protection: Steven D. Fritts, Associate specific provision regarding when a Change in Bank Control Act applies to Director, (202) 898–3723, Mindy West, particular time period commences. acquisitions of control of companies The FDIC is revising § 303.11(g) to Examination Specialist, (202) 898–7221; that control insured depository provide a time within which the FDIC Legal Division: Supervision and institutions. It has long been the FDIC’s has to respond to an institution or Legislation Branch, Robert C. Fick, interpretation that a change in control Counsel, (202) 898–8962, Susan van den institution-affiliated party that files a response to a notice of intent or notice is required whenever any person Toorn, Counsel, (202) 898–8707. acquires control of a company that SUPPLEMENTARY INFORMATION: temporary order issued pursuant to this section. The FDIC believes that 30 days controls, directly or indirectly, a state I. Background is a reasonable time in which to review nonmember bank. Such control could be Part 303 of the FDIC’s regulations any response submitted by an indirect in that the company exerts (part 303) generally describes the institution or institution-affiliated party. control of the bank through one or more procedures to be followed by both the Additionally, the FDIC is placing the intermediate companies of a multi- FDIC and applicants with respect to last sentence of current § 303.11(g)(3)(ii) tiered organization. The amendments applications and notices required to be into a separate paragraph to clarify that merely clarify the regulations in this filed by statute or regulation. On it applies to § 303.11(g)(3) in its entirety, regard. Specifically, the FDIC is adding December 27, 2002, the FDIC issued in and not only to § 303.11(g)(3)(ii). a definition of ‘‘parent company’’ to the final form a revised part 303 to reflect The FDIC is adding a provision setting definitions listed in § 303.81; adding a a recent internal reorganization at the forth its authority to waive any non- reference to parent company in the

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provisions requiring a change in control insured depository institutions, rescinded to minimize any significant notice for a state nonmember bank in depository institution holding economic impact it may have on a § 303.82; adding to § 303.83(a) companies or institution-affiliated substantial number of small insured exemptions for acquisitions of the parties making requests for such institutions (i.e., those with assets of voting shares of bank holding payments often overlook the $150 million or less) consistent with our companies, and for acquisitions of the requirement that a party submitting obligation pursuant to Section 610 of voting shares of savings and loan such an application demonstrate that it the Regulatory Flexibility Act (5 U.S.C. holding companies, and adding does not possess and is not aware of any 601 et seq.). The FDIC received no technical conforming changes to various information, evidence, documents or comments in response to this EGRPRA sections in 12 CFR 303.80 through other materials which would indicate request. While no comments were 303.83. that there is a reasonable basis to received specifically with regard to the It has also been the FDIC’s practice believe, at the time such payment is EGRPRA request, the FDIC notes that not to require a change in control notice made, that the institution-affiliated the federal financial regulatory agencies in those cases where either the Board of party who is to benefit from a golden are soliciting comments on their plan to Governors of the Federal Reserve parachute or severance plan engaged in identify and eliminate outdated, System or the Office of Thrift any breach of fiduciary duty or other unnecessary or unduly burdensome Supervision reviews a change in control misconduct that would have a material regulations imposed on insured notice for the proposed transaction. For adverse effect on the bank; is depository institutions. See: 68 FR example, where a person proposes to substantially responsible for the bank’s 35589 (June 16, 2003). The request for acquire control of a bank holding insolvency; violated any law which comment includes application company that controls a state would have a material effect on the regulations such as 12 CFR part 303. nonmember bank, and the Board of bank; or violated certain federal Written comments must be received no Governors of the Federal Reserve criminal and currency-reporting laws. In later than September 15, 2003. System reviews a change in control addition, with regard to part 359 of this V. Overview of Comments Received notice for the same transaction, the chapter, the FDIC is revising the FDIC considers it an unnecessary reference in § 359.1(f)(1)(ii)(C) to part As noted above, FDIC published a duplication for the acquirer to also file 303 to read, ‘‘303.101(c).’’ notice of proposed rulemaking in the a change in control notice with the Federal Register on December 27, 2002, FDIC. The changes codify the FDIC’s III. Other Regulatory Changes and requested comments on the practice in that regard. Technical corrections are made to part proposed amendments. The FDIC The FDIC is also clarifying when an 333.4—Conversions from mutual to received 3 comment letters from acquisition subject to the Change in stock, form to correct references to part organizations. All of the comment Bank Control Act may be consummated. 303 of this chapter. The old citations in letters were opposed to the waiver Section 7(j) of the FDI Act, 12 U.S.C. § 333.4(a) and (c) is replaced with: provision in the proposed regulation. 1817(j), generally provides that any ‘‘subpart I of part 303 of this chapter.’’ The organizations filing comments were person acquiring control of an insured A technical correction is made to part two national trade organizations and depository institution must give the 347—International Banking § 347.108(f) one state-based nonprofit organization. appropriate federal banking agency sixty to reference the correct citation with The commenters stated they believed days prior written notice of such regard to procedures for applications that if the FDIC waived regulations not proposed transaction. Previous § 303.85 and notices for obtaining FDIC approval required by statute, it is likely that the could be interpreted to permit to invest in foreign organizations. agency will waive public comment, consummation of the proposed Procedures are set out in subpart J of public notice requirements, and other transaction prior to the expiration of part 303 of this chapter, not subpart D vital parts of the merger application that 60-day period. In order to eliminate of part 347 as provided for in the prior process. Consequently, they argue, the the potential for misunderstandings regulation. public’s input into mergers that affect regarding the time period available to A technical correction is also being access to credit and capital for minority the FDIC for considering a proposed made to part 348—Management Official and low- and moderate-income change in bank control transaction, the Interlocks, § 348.2 regarding the communities will be cut-off. Comments FDIC is amending 12 CFR 303.85 (a) and definition of Management official to further stated that in order for a (b) to make clear that the 60-day notice correct the cross-reference to part 303 of regulatory process to be fair to all period commences on the day after the this chapter. The correct citation should parties, the agency cannot waive a date that the appropriate regional be to 12 CFR 303.101(b). process for some banks and not others. director accepts the notice as They argue that waivers on a case-by- IV. Request for Public Comment as Part substantially complete. case basis are arbitrary and result in In § 303.86 the FDIC is providing a EGRPRA and Regulatory Flexibility Act uneven regulatory enforcement. In the more descriptive heading for paragraph Regulatory Review. notice of proposed rulemaking, the (c) by including the phrase, ‘‘waiving Consistent with our obligation waiver provision would be limited to publication, acting before close of pursuant to Section 2222 of the non-statutorily required provisions and public comment period’’ and amending Economic Growth and Regulatory for good cause. As such, the provision paragraph (c) by substituting Paperwork Reduction Act of 1996 would not permit the FDIC to waive the ‘‘paragraphs (a) and (d)’’ for ‘‘this (EGRPRA, 12 U.S.C. 3311), the FDIC public comment, public notice paragraph.’’ requested public comment to identify requirements of the merger application The FDIC adopted a technical any areas of part 303, not merely those process since those procedures are correction to § 303.244 creating a cross- sections for which changes were being required by statute. See: 12 U.S.C. reference to § 359.4(a)(4) of this chapter proposed, that are outdated, 1828(c)(3). It is the FDIC’s intention to regarding golden parachutes and unnecessary, or unduly burdensome. utilize the waiver provision only in severance plan payments to make clear The FDIC also requested public extraordinary circumstances. For the responsibilities of an applicant comment on whether part 303 should be example, the FDIC had seen the need for seeking approval of filings. Specifically, continued without change, amended or such a waiver provision from time to

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time when an institution has failed to investments, Insured branches, ■ 5. Section 303.12 is added to read as meet the record keeping requirements of Investments, Reporting and follows: the deposit insurance regulations and recordkeeping requirements, United without a waiver of such requirements, States investments abroad. § 303.12 Waivers. (a) The Board of Directors, of the FDIC accountholders in a failed bank 12 CFR Part 348 situation would suffer substantial (Board) may, for good cause and to the penalties because of the bank’s failure to Antitrust, Banks, banking, Holding extent permitted by statute, waiver the keep adequate records. Consequently, companies, Reporting and applicability of any provision of this the FDIC is adopting the waiver recordkeeping requirements. chapter. provision as proposed. 12 CFR Part 359 (b) The provisions of this chapter may be suspended, revoked, amended or VI. Regulatory Flexibility Act Analysis Bank deposit insurance, Banks, waived for good cause shown, in whole Pursuant to 5 U.S.C. 605(b) of the banking, Golden parachute payments, or in part, at any time by the Board, Regulatory Flexibility Act, 5 U.S.C. 601 Indemnity payments. subject to the provisions of the et seq., the FDIC hereby certifies that the ■ For the reasons set out in the preamble, Administrative Procedure Act and the amendments set forth in this final rule the FDIC hereby amends 12 CFR parts provisions of this chapter. Any will not have a significant economic 303, 333, 347, 348 and 359. provision of the rules may be waived by impact on a substantial number of small the Board on its own motion or on PART 303—FILING PROCEDURES entities. The final rule makes primarily petition if good cause thereof is shown. technical changes to the existing rule. ■ 1. The authority citation for part 303 ■ 6. In § 303.22, paragraph (a)(1) is VII. Paperwork Reduction Act continues to read as follows: amended by revising the second sentence to read as follows: This final rule does not create or Authority: 12 U.S.C. 378, 1813, 1815, 1816, 1817, 1818, 1819, (Seventh and Tenth), 1820, modify any collection of information 1823, 1828, 1828a, 1831a, 1831e, 1831o, § 303.22 Processing. pursuant to the Paperwork Reduction 1831p–1, 1831w, 1835a, 3104, 3105, 3108, (a) * * * Act (44 U.S.C. 3501 et seq.). 3207, 15 U.S.C. 1601–1607, 6716. (1) * * * An eligible holding Consequently, no information has been § 303.2 [Amended] company is defined as a bank or thrift submitted to the Office of Management holding company that has consolidated and Budget for review. ■ 2. In § 303.2 remove the phrase, ‘‘For assets of at least $150 million or more; purposes of this part,’’ and add in its VIII. Plain Language Requirement a BOPEC rating of at least ‘‘2’’ for bank place the phrase, ‘‘Except as modified or holding companies or an above average Section 722 of the Gramm-Leach- otherwise defined in this part, terms or ‘‘A’’ rating for thrift holding Bliley Act of 1999 (GLBA) requires the used in this part that are defined in the companies; and at least 75 percent of its federal banking agencies to use ‘‘plain Federal Deposit Insurance Act (12 U.S.C. consolidated depository institution language’’ in all proposed and final 1811 et seq.) have the meanings provided assets comprised of eligible depository rules published after January 1, 2000. in the Federal Deposit Insurance Act. institutions. The proposed rule requested comments Additional definitions of terms used in * * * * * on how the rule might be changed to this part are as follows:’’. reflect the requirements of GLBA. No ■ 7. Section 303.80 is revised to read as comments were received. § 303.4 [Amended] follows: ■ 3. In § 303.4 after the phrase, ‘‘For IX. Assessment of Impact of Federal § 303.80 Scope. purposes of this part,’’ add the words, Regulation on Families ‘‘and except as otherwise specifically This subpart sets forth the procedures The FDIC has determined that the provided,’’. for submitting a notice to acquire final rule will not affect family well- ■ 4. In § 303.11, paragraph (9)(3)(ii) is control of an insured state nonmember being within the meaning the section revised to read as follows: bank or a parent company of an insured 654 of the Treasury and General state nonmember bank pursuant to the Government Appropriations Act, 1999, § 303.11 Decisions. Change in Bank Control Act of 1978, enacted as part of the Omnibus * * * * * section 7(j) of the FDI Act (12 U.S.C. Consolidated and Emergency (g) * * * 1817(j)). Supplemental Appropriations Act, 1999 (3) * * * ■ 8. Section 303.81 is revised to read as (Pub. L. 105–277, 112 Stat. 2681). (ii)(A) Any other relevant information, follows: mitigation circumstance, List of Subjects documentation, or other evidence in § 303.81 Definitions. 12 CFR Part 203 support of the applicant’s position. An For purposes of this subpart: applicant may also request a hearing Administrative practice and (a) Acquisition includes a purchase, under § 303.10. procedure, Banks, banking, Bank assignment, transfer, pledge or other (B) Failure by an applicant to file a merger, Branching, Foreign investments, disposition of voting shares, or an written response with the FDIC to a Golden parachute payments, Insured increase in percentage ownership notice of intent or a temporary order branches, Interstate branching, resulting from a redemption of voting within the specified time period, shall Reporting and recordkeeping shares of an insured state nonmember constitute a waiver of the opportunity to requirements, Savings associations. bank or a parent company. respond and shall constitute consent to (b) Acting in concert means knowing 12 CFR Part 333 a final order under this paragraph (g). participation in a joint activity or Banks, banking, Corporate powers. The FDIC shall consider any such parallel action towards a common goal response, if filed in a timely manner, of acquiring control of an insured state 12 CFR Part 347 within 30 days of receiving the nonmember bank or a parent company, Banks deposit insurance, Banks, response. whether or not pursuant to an express Credit, Foreign banking, Foreign * * * * * agreement.

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(c) Control means the power, directly bank or a parent company to be an company that either the Board of or indirectly, to direct the management acquisition of the underlying shares for Governors of the Federal Reserve or policies of an insured bank or a purposes of this section. System or the Office of Thrift parent company or to vote 25 percent or (d) Other transactions. Acquisitions Supervision reviews pursuant to the more of any class of voting shares of an other than those set forth in paragraph Change in Bank Control Act (12 U.S.C. insured bank or a parent company. (b)(2) of this section resulting in a 1817(j)). (d) Parent Company means any person’s control of less than 25 percent (b) Prior notice exemption. (1) The company that controls, directly or of a class of voting shares of an insured following acquisitions of voting shares indirectly, an insured state nonmember state nonmember bank or a parent of an insured state nonmember bank or bank. company are not deemed by the FDIC to a parent company, which otherwise (e) Person means an individual, constitute control for purposes of the would require prior notice under this corporation, partnership, trust, Change in Bank Control Act. subpart, are not subject to the prior association, joint venture, pool, * * * * * notice requirements if the acquiring syndicate, sole proprietorship, ■ 10. Section 303.83 is amended by person notifies the appropriate FDIC unincorporated organization, and any revising paragraphs (a)(1) through (a)(2), office within 90 calendar days after the other form of entity; and a voting trust, (a)(6) and (a)(7), (b)(1) and (b)(2), and by acquisition and provides any relevant voting agreement, and any group of adding a new paragraph (a)(8), to read as information requested by the FDIC: persons acting in concert. follows: (i) The acquisition of voting shares ■ 9. Section 303.82 is amended by through inheritance; revising paragraphs (a), (b), (c) and (d) to § 303.83 Transactions not requiring prior (ii) The acquisition of voting shares as notice. read as follows: a bona fide gift; or (a) * * * (iii) The acquisition of voting shares § 303.82 Transactions requiring prior (1) The acquisiiton of additional notice. in satisfaction of a debt previously voting shares of an insured state contracted in good faith, except that the (a) Prior notice requirement. Any nonmember bank or a parent company acquirer of a defaulted loan secured by person acting directly or indirectly, or by a person who: a controlling amount of a state (i) Held the power to vote 25 percent through or in concert with one or more nonmember bank’s voting securities or a or more of any class of voting shares of persons, shall give the FDIC 60 days parent company’s voting securities shall the institution continuously since the prior written notice, as specified in file a notice before the loan is acquired. § 303.84, before acquiring control of an later of March 9, 1979, or the date that the institution commenced business as (2) The following acquisitions of insured state nonmember bank or any voting shares of an insured state parent company, unless the acquisition an insured state nonmember bank or a parent company; or nonmember bank or a parent company, is exempt under § 303.83. which otherwise would require prior (b) Acquisition requiring prior (ii) Is presumed, under § 303.82(b)(2), notice under this subpart, are not notice—(1) Acquisition of control. The to have controlled the institution subject to the prior notice requirements acquisition of control, unless exempted, continuously since March 9, 1979, if the if the acquiring person notifies the requires prior notice to the FDIC. aggregate amount of voting shares held (2) Rebuttable presumption of control. does not exceed 25 percent or more of appropriate FDIC office within 90 The FDIC presumes that an acquisition any class of voting shares of the calendar days after receiving notice of of voting shares of an insured state institution or, in other cases, where the the acquisition and provides any nonmember bank or a parent company FDIC determines that the person has relevant information requested by the constitutes the acquisition of the power controlled the institution continuously FDIC. to direct the management or policies of since March 9, 1979; (i) A percentage increase in an insured bank or a parent company (2) The acquisition of additional ownership of voting shares resulting requiring prior notice to the FDIC, if, shares of a class of voting shares of an from a redemption of voting shares by immediately after the transaction, the insured state nonmember bank or a the issuing bank or a parent company; acquiring person (or persons acting in parent company by any person (or or concert) will own, control, or hold with persons acting in concert) who has (ii) The sale of shares by any power to vote 10 percent or more of any lawfully acquired and maintained shareholder that is not within the class of voting shares of the institution, control of the institution (for purposes control of a person resulting in that and if: of § 303.82) after complying with the person becoming the largest (i) The institution has registered procedures of the Change in Bank shareholder. shares under section 12 of the Securities Control Act to acquire voting shares of * * * * * Exchange Act of 1934 (15 U.S.C. 78l); or the institution under this subpart; ■ 11. Section 303.85 is amended by (ii) No other person will own, control * * * * * revising paragraphs (a) and (b) to read as or hold the power to vote a greater (6) The receipt of voting shares of an follows: percentage of that class of voting shares insured state nonmember bank or a immediately after the transaction. If two parent company through a pro rata stock § 303.85 Processing. or more persons, not acting in concert, dividend; (a) Acceptance of notice, additional each propose to acquire simultaneously (7) The acquisition of voting shares in information. The FDIC shall notify the equal percentages of 10 percent or more a foreign bank, which has a insured person or persons submitting a notice of a class of voting shares of an insured branch or branches in the United States. under this subpart in writing of the date state nonmember bank or a parent (This exemption does not extend to the the notice is accepted as substantially company, each such person shall file reports and information required under complete. The FDIC may request prior notice with the FDIC. paragraphs 9, 10, and 12 of the Change additional information at any time. (c) Acquisition of loans in default. in Bank Control Act of 1978 (12 U.S.C. (b) Commencement of the 60-day The FDIC presumes an acquisition of a 1817(j)(9), (10), and (12)) and; notice period: consummation of loan in default that is secured by voting (8) The acquisition of voting shares of acquisition. (1) The 60-day notice shares of an insured state nonmember a depository institution holding period specified in § 303.82 shall

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commerce on the day after the date of PART 347—INTERNATIONAL DEPARTMENT OF TRANSPORTATION acceptance of a substantially complete BANKING notice by the appropriate regional Federal Aviation Administration director. The notificant(s) may ■ 16. The authority citation for part 347 consummate the proposed acquisition continues to read as follows: 14 CFR Part 39 after the expiration of the 60-day notice period, unless the FDIC disapproves the Authority: 12 U.S.C. 1813, 1815, 1817, 1819, 1820, 1828, 3103, 3104, 3105, 3108: [Docket No. 2000–NE–13–AD; Amendment proposed acquisition or extends the 39–13200; AD 2003–12–15] notice period. Title IX, Pub. L. 98–181, 97 Stat. 1153. * * * * * ■ 17. Section 347.108 is amended by RIN 2120–AA64 ■ 12. Section 303.86 is amended by revising paragraph (f) to read as follows: revising paragraph (c) to read as follows: Airworthiness Directives; Rolls-Royce § 347.108 Obtaining FDIC approval to RB211 Series Turbofan Engines; § 303.86 Public Notice requirements. invest in foreign organizations. Correction * * * * * * * * * * (c) Shortening or waiving public (f) Procedures. Procedures for AGENCY: Federal Aviation comment period, waiving publications; applications and notices under this Administration, DOT. acting before close of public comment section are set out in subpart J of part period. The FDIC may shorten the ACTION: Final rule; correction. 303 of this chapter. public comment period to a period of SUMMARY: This document makes a not less than 10 days, or waive the PART 348—MANAGEMENT OFFICIAL correction to Airworthiness Directive public comment or newspaper INTERLOCKS publication requirements of paragraph (AD) 2003–12–15 that applies to Rolls- (a) of this section, or act on a notice Royce (RR) plc RB211–535E4–37, ■ before the expiration of a public 18. The authority citation for part 348 RB211–535E4–B–37, and RB211– comment period, if it determines in continues to read as follows: 535E4–B–75 series turbofan engines that writing either that an emergency exists Authority: 12 U.S.C. 1823(k), 3207. was published in the Federal Register or that disclosure of the notice, on June 25, 2003. A service bulletin was ■ 19. In § 348.2, paragraph (j)(1)(iii) is solicitation of public comment, or delay incorrectly identified by revision revised to read as follows: until expiration of the public comment number and revision date in the period would seriously threaten the § 348.2 Definitions. Compliance section, paragraph (a) and safety and soundness of the bank to be * * * * * the Optional Terminating Action acquired. section, paragraph (f). This document * * * * * (j) * * * corrects these items. In all other ■ 13. In section 303.244, paragraphs (iii) A senior executive officer as that respects, the original document remains (c)(4) and (c)(5) are revised and new term is defined in 12 CFR 303.101(b). the same. paragraph (c)(6) is added to read as * * * * * EFFECTIVE DATE: Effective June 25, 2003. follows: PART 359—GOLDEN PARACHUTE FOR FURTHER INFORMATION CONTACT: § 303.244 Golden parachute and AND INDEMNIFICATION PAYMENTS James Lawrence, Aerospace Engineer, severance plan payments. Engine Certification Office, FAA, Engine * * * * * ■ 20. The authority citation for part 359 and Propeller Directorate, 12 New (c) * * * continues to read as follows: England Executive Park, Burlington, MA (4) The cost of the proposed payment 01803–5299; telephone (781) 238–7176; Authority: 12 U.S.C. 1828(k). and its impact on the institution’s fax (781) 238–7199. capital and earnings; § 359.1 [Amended] (5) The reasons why the consent to SUPPLEMENTARY INFORMATION: A final the payment should be granted; and ■ 21. In § 359.1(f)(1)(ii)(C) remove the rule AD, FR Doc 03–15449, that applies (6) Certification and documentation as reference to ‘‘§ 303.14(a)(4)’’ and add in to Rolls-Royce (RR) plc RB211–535E4– to each of the points cited in its place, ‘‘§ 303.101(c)’’. 37, RB211–535E4–B–37, and RB211– § 359.4(a)(4). 535E4–B–75 series turbofan engines, Dated at Washington, DC, this 4th day of * * * * * was published in the Federal Register August, 2003. on June 25, 2003 (68 FR 37735). The PART 333—EXTENSION OF By order of the Board of Directors. following corrections are needed: CORPORATE POWERS Federal Deposit Insurance Corporation. § 39.13 [Corrected] Valerie J. Best, ■ 14. The authority citation for part 333 ■ continues to read as follows: Assistant Executive Secretary. On page 37736, in the third column, in [FR Doc. 03–20451 Filed 8–20–03; 8:45 am] the Compliance section, paragraph (a), in Authority: 12 U.S.C. 1816, 1818, 1819 BILLING CODE 6714–01–P the third line, ‘‘dated August 6, 2002,’’ is (‘‘Seventh’’, ‘‘Eighth’’ and ‘‘Tenth’’), 1828, corrected to read ‘‘Revision 2, dated 1828(m), 1831p–1(c). September 26, 2002,’’. § 333.4 [Amended] ■ On page 37738, in the first column, in ■ 15. In § 333.4, paragraphs (a) and (c) the Optional Terminating Action are amended by removing the words section, paragraph (f) in the third line, ‘‘§ 303.15 of this chapter’’ and adding in ‘‘Revision 1, dated August 6, 2002,’’ is their place the words ‘‘subpart I of part corrected to read ‘‘Revision 2, dated 303 of this chapter.’’ September 26, 2002,’’.

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Issued in Burlington, MA, on August 14, • By fax: (781) 238–7055. blades. We have also reviewed and 2003. • By e-mail: 9-ane- approved the technical contents of Marc J. Bouthillier, [email protected]. McCauley ASB245A, Revision 1, dated Acting Manager, Engine and Propeller You can get the service information August 13, 2003, that describes Directorate, Aircraft Certification Service. referenced in this AD from McCauley procedures for a one-time eddy current [FR Doc. 03–21412 Filed 8–20–03; 8:45 am] Propeller Systems, 3535 McCauley inspection of propeller hubs. BILLING CODE 4910–13–P Drive, Vandalia, OH 45377. You may examine the AD docket by Differences Between This AD and the appointment, at the FAA, New England Service Information DEPARTMENT OF TRANSPORTATION Region, Office of the Regional Counsel, McCauley ASB246C, Revision 3, 12 New England Executive Park, dated August 12, 2003, requires the Federal Aviation Administration Burlington, MA. You may examine the operator to perform a blade shake check service information at the FAA, New at 72-hour internals. This AD does not 14 CFR Part 39 England Region, Office of the Regional require the blade shake check. Counsel, 12 New England Executive [Docket No. 2003–NE–32–AD; Amendment McCauley ASB245 A, Revision 1, dated 39–13285; AD 2003–17–10] Park, Burlington, MA; or at the Office of August 13, 2003, requires initial and the Federal Register, 800 North Capitol RIN 2120–AA64 Street, NW., suite 700, Washington, DC. repetitive hub inspections. This AD does not require repetitive hub Airworthiness Directives; McCauley FOR FURTHER INFORMATION CONTACT: inspections, but does require a different Propeller Systems, Inc. Propeller Hub Timothy Smyth, Aerospace Engineer, compliance internal. Models B5JFR36C1101, Chicago Aircraft Certification Office, C5JFR36C1102, B5JFR36C1103, and FAA, Small Airplane Directorate, 2300 FAA’s Determination and Requirements C5JFR36C1104 East Devon Avenue, Room 107, Des of This AD Plaines, IL 60018; telephone: (847) 294– AGENCY: Federal Aviation 7132; fax: (847) 294–7834. The unsafe condition described Administration (FAA), DOT. previously is likely to exist or develop SUPPLEMENTARY INFORMATION: On July ACTION: Final rule; request for 14, 2003, the FAA issued AD 2003–15– on other McCauley Systems, Inc. comments. 01, Amendment 39–13243 (68 FR propeller hub Models B5JFR36C1101, 42244, July 17, 2003). That AD applies C5JFR36C1102, B5JFR36C1103, and SUMMARY: The FAA is superseding an to the following McCauley Systems, Inc. C5JFR36C1104, of the same type design. existing airworthiness directive (AD) for We are issuing this AD to prevent McCauley Systems, Inc. propellers that propeller assemblies that are installed on, but not limited to, BAE Systems propeller blade failure or hub failure are installed on, but not limited to, BAE due to cracking, which could result in Systems (Operations) Limited Jetstream (Operations) Limited Jetstream Model 4101 airplanes: failure of the propeller and loss of Model 4101 airplanes. That AD • control of the airplane. You must use currently requires a one-time Hub Model B5JFR36C1101, with Model 114GC series propeller blades. the service information described fluorescent penetrant inspection (FPI) of • previously to perform these actions. propeller blade retention areas for Hub Model C5JFR36C1102, with Model L114GC series propeller blades. FAA’s Determination of the Effective cracks. This AD requires initial and • repetitive FPI or Ultrasonic Inspection Hub Model B5JFR36C1103, with Date Model 114HC series propeller blades. (UT) of propeller blade retention areas • for cracks, replacement of high time Hub Model C5JFR36C1104, with Since an unsafe condition exists that propeller blades, and a one-time Model L114HC series propeller blades. requires the immediate adoption of this inspection of propeller hubs. This AD is That AD requires a one-time FPI of AD, we have found that notice and prompted by four reports of significant propeller blade retention areas for opportunity for public comment before cracks found in propeller blade shanks cracks. That AD was prompted by a issuing this AD are impracticable, and since the issuance of AD 2003–15–01. report of a significant crack in a that good cause exists for making this We are issuing this AD to prevent propeller blade shank and two reports of amendment effective in less than 30 propeller blade failure or hub failure cracks in the hubs of the same propeller days. due to cracking, which could result in model. That condition, if not corrected, could result in a failure of the propeller Changes to 14 CFR Part 39—Effect on failure of the propeller and loss of the AD control of the airplane. blade or hub and loss of control of the airplane. DATES: Effective August 21, 2003. The On July 10, 2002, we issued a new Director of the Federal Register Actions Since AD 2003–15–01 Was version of 14 CFR part 39 (67 FR 47997, approved the incorporation by reference Issued July 22, 2002), which governs our AD system. This regulation now includes of certain publications listed in the Since that AD was issued, four material that relates to special flight regulations as of August 21, 2003. additional propeller blade cracks have permits, alternative methods of We must receive any comments on been reported. Based on examination of compliance, and altered products. This this AD by October 20, 2003. these cracked propeller blades, a material previously was included in ADDRESSES: Use one of the following repetitive inspection interval has been addresses to submit comments on this established. each individual AD. Since this material AD: is included in 14 CFR part 39, we will • By mail: Federal Aviation Relevant Service Information not include it in future AD actions. Administration (FAA), New England We have reviewed and approved the Interim Action Region, Office of the Regional Counsel, technical contents of McCauley Alert Attention: Rules Docket No. 2003–NE– Service Bulletin (ASB) 246C, Revision 3, These actions are interim actions and 32–AD, 12 New England Executive Park, dated August 12, 2003, that describes we may take further rulemaking actions Burlington, MA 01803–5299. procedures for FPI or UT of propeller in the future.

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Comments Invited not have substantial direct effect on the Effective Date This AD is a final rule that involves States, on the relationship between the (a) This airworthiness directive (AD) requirements affecting flight safety and national Government and the States, or becomes effective August 21, 2003. on the distribution of power and was not preceded by notice and an Affected ADs opportunity for public comment; responsibilities among the various (b) This AD supersedes AD 2003–15–01, however, we invite you to submit any levels of government. Amendment 39–13243. written relevant data, views, arguments For the reasons discussed above, I regarding this AD. Send your comments certify that the regulation: Applicability 1. Is not a ‘‘significant regulatory to an address listed under ADDRESSES. (c) This AD applies to McCauley Propeller Include ‘‘AD Docket No. 2003–NE–32– action’’ under Executive Order 12866; 2. Is not a ‘‘significant rule’’ under the Systems, Inc. propeller hub models that are AD’’ in the subject line of your listed in Table 1 of this AD, and are installed DOT Regulatory Policies and Procedures comments. If you want us to on, but not limited to, BAE Systems acknowledge receipt of your mailed (44 FR 11034, February 26, 1979); and (Operations) Limited Jetstream Model 4101 comments, send us a self-addressed, 3. Will not have significant economic airplanes. Table 1 follows: stamped postcard with the docket impact, positive or negative, on a number written on it; we will date- substantial number of small entities TABLE 1.—PROPELLER MODELS BY under the criteria of the Regulatory stamp your postcard and mail it back to HUB MODEL AND BLADE MODEL you. We specifically invite comments Flexibility Act. on the overall regulatory, economic, We prepared a summary of the costs Propeller hub model With propeller blade environmental, and energy aspects of to comply with this AD and placed it in model installed the rule that might suggest a need to the AD Docket. You may get a copy of modify it. If a person contacts us this summary by sending a request to us B5JFR36C1101 ...... 114GC series. verbally, and that contact relates to a at the address listed under ADDRESSES. C5JFR36C1102 ...... L114GC series. substantive part of this AD, we will Include ‘‘AD Docket No. 2003–NE–32– B5JFR36C1103 ...... 114HC series. summarize the contact and place the AD’’ in your request. C5JFR36C1104 ...... L114HC series. summary on the docket. We will List of Subjects in 14 CFR Part 39 consider all comments received by the Unsafe Condition closing date and may amend the AD in Air transportation, Aircraft, Aviation (d) This AD is prompted by four reports of light of those comments. safety, Incorporation by reference, significant cracks found in propeller blade We are reviewing the writing style we Safety. shanks since the issuance of AD 2003–15–01. currently use in regulatory documents. Adoption of the Amendment We are issuing this AD to prevent propeller We are interested in your comments on blade failure or hub failure due to cracking, whether the style of this document is ■ Accordingly, under the authority which could result in failure of the propeller clear, and your suggestions to improve delegated to me by the Administrator, and loss of control of the airplane. the Federal Aviation Administration the clarity of our communications with Compliance you. You may get more information amends part 39 of the Federal Aviation (e) You are responsible for having the about plain language at http:// Regulations (14 CFR part 39) as follows: actions required by this AD performed within www.faa.gov/language and http:// the compliance times specified unless the www.plainlanguage.gov. PART 39—AIRWORTHINESS DIRECTIVES actions have already been done. Examining the AD Docket ■ 1. The authority citation for part 39 Initial Inspection of Propeller Blades You may examine the AD Docket continues to read as follows: (f) Inspect propeller blades for cracks in the (including any comments and service retention area using either the fluorescent Authority: 49 U.S.C. 106(g), 40113, 44701. information), by appointment, between penetrant inspection (FPI) procedure 8 a.m. and 4:30 p.m., Monday through § 39.13 [Amended] specified in paragraphs 5.A. through 5.L. of Friday, except Federal holidays. See McCauley Alert Service Bulletin (ASB) 246C, ■ ADDRESSES for the location. 2. The FAA amends § 39.13 by adding Revision 3, dated August 12, 2003, or using the following new airworthiness the ultrasonic inspection (UT) procedure Regulatory Findings directive: specified in paragraphs 6.A. through 6.F. of We have determined that this AD will 2003–17–10 McCauley Propeller Systems, McCauley ASB246C, Revision 3, dated not have federalism implications under Inc.: Amendment 39–13285. Docket No. August 12, 2003. Use the compliance times Executive Order 13132. This AD will 2003–NE–32–AD. specified in the following Table 2:

TABLE 2.—COMPLIANCE TIMES FOR THE INITIAL FPI OR UT OF PROPELLER BLADES

If the propeller blade time-since- new (TSN) is: Or if: Then inspect:

(1) 10,000 hours TSN or more ...... The blade was overhauled at least Within 10 hours time-in-service (TIS) after the effective date of this twice. AD. (2) 6,000 hours TSN or more ...... The blade was overhauled at least Within 200 hours TIS after the effective date of this AD or at 10,010 once. hours TIS whichever is later. (3) Fewer than 6,000 hours TSN .... The blade has not been over- At the next overhaul. hauled.

Credit for Previous Inspection constitute compliance with the initial Repetitive Inspection of Propeller Blades (g) The one-time inspections done using inspection requirements of this AD. (h) For blades that have 10,000 hours or AD 2003–15–01, published July 17, 2003, more TSN or that have been overhauled at

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least twice, inspect propeller blades for Eddy Current Inspection (ECI) of Propeller Alternative Methods of Compliance cracks in the retention area using either the Hubs (AMOCs) FPI procedure specified in paragraphs 5.A. (k) For propeller hubs that have been (n) You must request AMOCs as specified through 5.L. of McCauley ASB246C, Revision overhauled one or more times, perform a one- 3, dated August 12, 2003, or using the UT in 14 CFR 39.19. All AMOCs must be time ECI of the propeller hub, within 300 procedure specified in paragraphs 6.A. approved by the manager, Chicago Aircraft hours TIS after the effective date of this AD. through 6.F. of McCauley ASB ASB246C, Certification Office, FAA, 2300 East Devon Use the procedures specified in the Revision 3, dated August 12, 2003, at the Avenue, Room 1007, Des Plaines, IL 60018. following intervals: Accomplishment Instructions of McCauley (1) Inspect within 100 hours TIS after the ASB245A, Revision 1, dated August 13, 2003. Material Incorporated by Reference (l) Remove hubs with crack indications initial inspection, or within 10 hours TIS (o) You must use the service information from service. after the effective date of this AD, whichever specified in Table 3 to perform the is later. Reporting Requirements inspections required by this AD. The Director (2) Thereafter, repetitively inspect within of the Federal Register approved the every 100 hours TIS, for a maximum of five (m) Report findings of the FPI or UT using repetitive inspections. the procedures specified in paragraph 7. of incorporation by reference of the documents (i) The repetitive inspection of paragraph McCauley ASB246C, Revision 3, dated listed in Table 3 of this AD in accordance (h) of this AD applies when the blade reaches August 12, 2003. Report the finding of the with 5 U.S.C. 552(a) and 1 CFR part 51. You 10,000 hours TIS. hub inspection using the procedures can get a copy from McCauley Propeller specified in paragraph 5.H.(5) of ASB245A, Systems, 3535 McCauley Drive, Vandalia, OH Blade Replacement Revision 1, dated August 13, 2003. The 45377. You may review copies at the FAA, Office of Management and Budget (OMB) has (j) Replace propeller blades as follows: New England Region, Office of the Regional approved the reporting requirements (1) Remove from service blades with Counsel, 12 New England Executive Park, cracks. specified in paragraph 7. of McCauley (2) For blades that pass all of the repetitive ASB246C, Revision 3, dated August 12, 2003, Burlington, MA; or at the Office of the inspections in paragraph (h)(2) of this AD, and reporting requirements specified in Federal Register, 800 North Capitol Street, replace with blades that have never been paragraph 5.H.(5) of ASB245A, Revision 1, NW., suite 700, Washington, DC. Table 3 overhauled, within 100 hours TIS after the dated August 13, 2003, 2003, and assigned follows: fifth repetitive inspection. OMB control number 2120–0056.

TABLE 2.—INCORPORATION BY REFERENCE

Service Bulletin No. Page Revision Date

McCauley, ASB245A ...... ALL ...... 1 August 13, 2003. Total Pages: 12. McCauley, ASB246C ...... ALL ...... 3 August 12, 2003. Total Pages: 27.

Related Information Above Ground Level (AGL) airspace FOR FURTHER INFORMATION CONTACT: (p) None. required for diverse departures as Kathy Randolph, Air Traffic Division, Issued in Burlington, Massachusetts, on specified in FAA Order 7400.2E. A Airspace Branch, ACE–520C, DOT August 18, 2003. discrepancy in the airspace extension Municipal Headquarters Building, Francis A. Favara, was also detected. The area is modified Federal Aviation Administration, 901 and enlarged to conform to the criteria Locust, Kansas City, MO 64106; Acting Manager, Engine and Propeller Directorate, Aircraft Certification Service. in FAA Order 7400.2E. telephone (816) 329–2525. [FR Doc. 03–21519 Filed 8–19–03; 2:45 pm] DATES: This direct final rule is effective SUPPLEMENTARY INFORMATION: This on 0901 UTC, December 25, 2003. BILLING CODE 4910–13–P amendment to 14 CFR 71 modifies the Comments for inclusion in the Rules Class E airspace area extending upward Docket must be received on or before from 700 feet above the surface of the DEPARTMENT OF TRANSPORTATION October 7, 2003. earth at Corning, IA. An examination of ADDRESSES: Send comments on this rule controlled airspace for Corning Federal Aviation Administration to the Docket Management System, U.S. Municipal Airport reveals it does not Department of Transportation, Room meet the criteria for 700 AGL airspace 14 CFR Part 71 Plaza 401, 400 Seventh Street, SW., required for diverse departures as Washington, DC 20590–0001. You must specified in FAA Order 7400.2E, [Docket No. FAA–2003–15727; Airspace identify the docket number FAA–2003– Procedures for Handling Airspace Docket No. 03–ACE–69] 15727/Airspace Docket No. 03–ACE–69, Matters. The criteria in FAA Order Modification of Class E Airspace; at the beginning of your comments. You 7400.2E for an aircraft to reach 1200 feet Corning, IA may also submit comments on the AGL is based on a standard climb Internet at http://dms.dot.gov. You may gradient of 200 feet per mile plus the AGENCY: Federal Aviation review the public docket containing the distance from the Airport Reference Administration (FAA), DOT. rule, any comments received, and any Point (ARP) to the end of the outermost ACTION: Direct final rule; request for final disposition in person in the runway. Any fractional part of a mile is comments. Dockets Office between 9 a.m. and 5 converted to the next higher tenth of a p.m., Monday through Friday, except mile. This amendment also modifies the SUMMARY: This action modifies the Class Federal holidays. The Docket Office extension to the Corning, IA Class E E airspace area at Corning, IA. A review (telephone 1–800–647–5527) is on the airspace by defining it with the 009° of controlled airspace for Corning plaza level of the Department of bearing from the Corning nondirectional Municipal Airport indicates it does not Transportation NASSIF Building at the radio beacon (NDB) versus the current comply with the criteria for 700 feet above address. 010° bearing. This amendment brings

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the legal description of the Corning, IA Docket No. FAA–2003–15727/Airspace ACE IA E5 Corning IA Class E airspace area into compliance Docket No. 03–ACE–69.’’ The postcard Corning Municipal Airport, IA with FAA Order 7400.2E. This area will will be date/time stamped and returned (Lat. 40°59′39″N, long. 94°45′18″ W) be depicted on appropriate aeronautical to the commenter. Corning NDB charts. Class E airspace areas extending (Lat. 40°59′47″N, long. 94°45′25″ W) Agency Findings upward from 700 feet or more above the That airspace extending upward from 700 surface of the earth are published in The regulations adopted herein will feet above the surface within a 6.3-mile radius of Corning Municipal Airport and paragraph 6005 of FAA Order 7400.9K, not have a substantial direct effect on ° dated August 30, 2002, and effective within 2.6 miles each side of the 009 bearing the States, on the relationship between from the Corning NDB extending from the September 16, 2002, which is the national government and the States, 6.3-mile radius to 7 miles north of the incorporated by reference in 14 CFR or on the distribution of power and airport. 71.1. The Class E airspace designation responsibilities among the various * * * * * listed in this document will be levels of government. Therefore, it is published subsequently in the Order. determined that this final rule does not Issued in Kansas City, MO, on August 11, 2003. The Direct Final Rule Procedure have federalism implications under Executive Order 13132. Herman J. Lyons, Jr. The FAA anticiipates that this The FAA has determined that this Manager, Air Traffic Division, Central Region. regulation will not result in adverse or regulation is noncontroversial and [FR Doc. 03–21461 Filed 8–20–03; 8:45 am] negative comment and, therefore, is unlikely to result in adverse or negative BILLING CODE 4910–13–M issuing it as a direct final rule. Previous comments. For the reasons discussed in actions of this nature have not been the preamble, I certify that this controversial and have not resulted in DEPARTMENT OF TRANSPORTATION adverse comments or objections. Unless regualtion (1) is not a ‘‘significant a written adverse or negative comment, regulatory action’’ under Executive Federal Aviation Administration or a written notice of intent to submit Order 12866; (2) is not a ‘‘significant an adverse or negative comment is rule’’ under Department of 14 CFR Part 71 received within the comment period, Transportation (DOT) Regulatory Policies and Procedures (44 FR 11034, [Docket No. FAA–2003–15726; Airspace the regulation will become effective on Docket No. 03–ACE–68] the date specified above. After the close February 26, 1979); and (3) if of the comment period, the FAA will promulgated, will not have a significant Modification of Class E Airspace; publish a document in the Federal economic impact, positive or negative, Clarion, IA Register indicating that no adverse or on a substantial number of small entities negative comments were received and under the criteria of the Regulatory AGENCY: Federal Aviation confirming the date on which the final Flexibility Act. Administration (FAA), DOT. rule will become effective. If the FAA List of Subjects in 14 CFR Part 71 ACTION: Direct final rule; request for does receive, within the comment comments. period, an adverse or negative comment, Airspace, Incorporation by reference, SUMMARY: This action modifies the Class or written notice of intent to submit Navigation (air). E airspace area at Clarion, IA. A review such a comment, a document Adoption of the Amendment of controlled airspace for Clarion withdrawing the direct final rule will be Municipal Airport indicates it does not published in the Federal Register and a ■ Accordingly, the Federal Aviation comply with the criteria for 700 feet notice of proposed rulemaking may be Administration amends 14 CFR part 71 Above Ground Level (AGL) airspace published with a new comment period. as follows: required for diverse departures as Comments Invited PART 71—DESIGNATION OF CLASS A, specified in FAA Order 7400.2E. A Interested parties are invited to CLASS B, CLASS C, CLASS D, AND discrepancy in the airspace extension participate in this rulemaking by CLASS E AIRSPACE AREAS; was also detected. The area is modified submitting such written data, views, or AIRWAYS; ROUTES; AND REPORTING and enlarged to conform to the criteria arguments, as they may desire. POINTS in FAA Order 7400.2E. Comments that provide the factual basis DATES: This direct final rule is effective supporting the views and suggestions ■ 1. The authority citation for part 71 on 0901 UTC, December 25, 2003. presented are particularly helpful in continues to read as follows: Comments for inclusion in the Rules developing reasoned regulatory Authority: 49 U.S.C. 106(g), 40103, 40113, Docket must be received on or before decisions on the proposal. Comments 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– October 6, 2003. are specifically invited on the overall 1963 Comp., p. 389 ADDRESSES: Send comments on this rule regulatory decisions on the proposal. to the Docket Management System, U.S. § 71.1 [Amended] Comments are specifically invited on Department of Transportation, Room the overall regulatory, aeronautical, ■ 2. The incorporation by reference in 14 Plaza 401, 400 Seventh Street, SW., economic, environmental, and energy- CFR 71.1 of Federal Aviation Washington, DC 20590–0001. You must related aspects of the proposal. Administration Order 7400.9K, dated identify the docket number FAA–2003– Communications should identify both August 30, 2002, and effective 15726/Airspace Docket No. 03–ACE–68, docket numbers and be submitted in September 16, 2002, is amended as at the beginning of your comments. You triplicate to the address listed above. follows: may also submit comments on the Commenters wishing the FAA to Internet at http://dms.dot.gov. You may acknowledge receipt of their comments * * * * * review the public docket containing the on this notice must submit with those Paragraph 6005 Class E airspace areas rule, any comments received, and any comments a self-addressed, stamped extending upward from 700 feet or more final disposition in person in the postcard on which the following above the surface of the earth. Dockets Office between 9 a.m. and 5 statement is made: ‘‘Comments to * * * * * p.m., Monday through Friday, except

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Federal holidays. The Docket Office Register indicating that no adverse or List of Subjects in 14 CFR Part 71 (telephone 1–800–647–5527) is on the negative comments were received and Airspace, Incorporation by reference, plaza level of the Department of confirming the date on which the final Navigation (air). Transportation NASSIF Building at the rule will become effective. If the FAA above address. does receive, within the comment Adoption of the Amendment FOR FURTHER INFORMATION CONTACT: period, an adverse or negative comment, ■ Accordingly, the Federal Aviation Kathy Randolph, Air Traffic Division, or written notice of intent to submit Administration amends 14 CFR part 71 Airspace Branch, ACE–520C, DOT such a comment, a document as follows: Municipal Headquarters Building, withdrawing the direct final rule will be Federal Aviation Administration, 901 published in the Federal Register, and PART 71—DESIGNATION OF CLASS A, Locust, Kansas City, MO 64106; a notice of proposed rulemaking may be CLASS B, CLASS C, CLASS D, AND telephone: (816) 329–2525. published with a new comment period. CLASS E AIRSPACE AREAS; SUPPLEMENTARY INFORMATION: This Comments Invited AIRWAYS; ROUTES; AND REPORTING POINTS amendment to 14 CFR 71 modifies the Interested parties are invited to Class E airspace area extending upward participate in this rulemaking by ■ 1. The authority citation for part 71 from 700 feet above the surface of the submitting such written data, views, or continues to read as follows: earth at Clarion, IA. An examination of arguments, as they may desire. controlled airspace required for Clarion Authority: 49 U.S.C. 106(g), 40103, 40113, Comments that provide the factual basis 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– Municipal Airport reveals it does not supporting the views and suggestions 1963 Comp., p. 389 meet the criteria for 700 AGL airspace presented are particularly helpful in required for diverse departures as developing reasoned regulatory § 71.1 [Amended] specified in FAA Order 7400.2E, decisions on the proposal. Comments ■ 2. The incorporation by reference in 14 Procedures for Handling Airspace are specifically invited on the overall CFR 71.1 of Federal Aviation Matters. The criteria in FAA Order regulatory, aeronautical, economic, Administration Order 7400.9K, dated 7400.2E for an airspace to reach 1200 environmental, and energy-related August 30, 2002, and effective feet AGL is based on a standard climb aspects of the proposal. September 16, 2002, is amended as gradient of 200 feet per mile plus the Communications should identify both follows: distance from the Airport Reference docket numbers and be submitted in Point (ARP) to the end of the outermost Paragraph 6005 Class E airspace areas triplicate to the address listed above. extending upward from 700 feet or more runway. Any fractional part of a mile is Commenters wishing the FAA to above the surface of the earth. converted to the next higher tenth of a acknowledge receipt of their comments * * * * * mile. This amendment also modifies the on this notice must submit with those extension to the Clarion, IA Class E comments a self-addressed, stamped ACE IA E5 Clarion, IA airspace area by defining it with the postcard on which the following Clarion Municipal Airport, IA 308° bearing from the Clarion statement is made: ‘‘Comments to (Lat. 42°44′31″ N., long. 93°45′32″ W.) nondirectional radio beacon (NDB) Docket No. FAA–2003–15726/Airspace Clarion NDB ° ′ ″ ° ′ ″ versus the current 310° bearing. This Docket No. 03–ACE–68.’’ The postcard (Lat. 42 44 45 N., long. 93 45 32 W.) amendment brings the legal description will be date/time stamped and returned That airspace extending upward from 700 of the Clarion, IA Class E airspace area to the commenter. feet above the surface within a 6.3-mile radius of Clarion Municipal Airport and into compliance with FAA Order ° 7400.2E. This area will be depicted on Agency Findings within 2.6 miles each side of the 308 bearing from the Clarion NDB extending from the 6.3- appropriate aeronautical charts. Class E The regulations adopted will not have mile radius to 7.4 miles northwest of the airspace areas extending upward from a substantial direct effect on the States, airport. on the relationship between the national 700 feet or more above the surface of the * * * * * earth are published in paragraph 6005 of Government and the States, or on the FAA Order 7400.9K, dated August 30, distribution of power and Issued in Kansas City, MO, on August 11, 2002, and effective September 16, 2002, responsibilities among the various 2003. which is incorporated by reference in 14 levels of government. Therefore, it is Herman J. Lyons, Jr. CFR 71.1. The Class E airspace determined that this final rule does not Manager, Air Traffic Division, Central Region. designation listed in this document will have federalism implications under [FR Doc. 03–21460 Filed 8–20–03; 8:45 am] be published subsequently in the Order. Executive Order 13132. BILLING CODE 4910–13–M The FAA has determined that this The Direct Final Rule Procedure regulation is noncontroversial and The FAA anticipates that this unlikely to result in adverse or negative DEPARTMENT OF TRANSPORTATION regulation will not result in adverse or comments. For the reasons discussed in negative comment and, therefore, is the preamble, I certify that this Federal Aviation Administration issuing it as a direct final rule. Previous regulation (1) is not a ‘‘significant actions of this nature have not been regulatory action’’ under Executive 14 CFR Part 71 controversial and have not resulted in Order 12866; (2) is not a ‘‘significant [Docket No. FAA–2003–15725; Airspace adverse comments or objections. Unless rule’’ under Department of Docket No. 03–ACE–67] a written adverse or negative comment, Transportation (DOT) Regulatory or a written notice of intent to submit Policies and Procedures (44 FR 11034, Modification of Class E Airspace; an adverse or negative comment is February 26, 1979); and (3) if Chariton, IA received within the comment period, promulgated, will not have a significant AGENCY: Federal Aviation the regulation will become effective on economic impact, positive or negative, Administration (FAA), DOT. the date specified above. After the close on a substantial number of small entities ACTION: Direct final rule; request for of the comment period, the FAA will under the criteria of the Regulatory comments. publish a document in the Federal Flexibility Act.

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SUMMARY: This action modifies the Class versus the current 350° bearing. This Docket No. 03–ACE–67.’’ The postcard E airspace area at Chariton, IA. A review amendment brings the legal description will be date/time stamped and returned of controlled airspace for Chariton of the Chariton, IA Class E airspace area to the commented. Municipal Airport indicates it does not into compliance with FAA Order Agency Findings comply with the criteria for 700 feet 7400.2E. This area will be depicted on Above Ground Level (AGL) airspace appropriate aeronautical charts. Class E The regulations adopted herein will required for diverse departures as airspace areas extending upward from not have a substantial direct effect on specified in FAA Order 7400.2E. A 700 feet or more above the surface of the the States, on the relationship between discrepancy in the airspace extension earth are published in paragraph 6005 of the national government and the States, was also detected. The area is modified FAA Order 7400.9K, dated August 30, or on the distribution of power and and enlarged to conform to the criteria 2002, and effective September 16, 2002, responsibilities among the various in FAA Order 7400.2E. which is incorporated by reference in 14 levels of government. Therefore, it is DATES: This direct final rule is effective CFR 71.1. The Class E airspace determined that this final rule does not on 0901 UTC, December 25, 2003. designation listed in this document will have federalism implications under Comments for inclusion in the Rules be published subsequently in the Order. Executive Order 13132. The FAA has determined that this Docket must be received on or before The Direct Final Rule Procedure October 5, 2003. regulation is noncontroversial and The FAA anticipates that this unlikely to result in adverse or negative ADDRESSES: Send comments on this rule to the Docket Management System, U.S. regulation will not result in adverse or comments. For the reasons discussed in Department of Transportation, Room negative comment and, therefore, is the preamble, I certify that this Plaza 401, 400 Seventh Street, SW., issuing it as a direct final rule. Previous regulation (1) is not a ‘‘significant Washington, DC 20590–0001. You must actions of this nature have not been regulatory action’’ under Executive identify the docket number FAA–2003– controversial and have not resulted in Order 12866; (2) is not a ‘‘significant 15725/Airspace Docket No. 03–ACE–67, adverse comments or objections. Unless rule’’ under Department of at the beginning of your comments. You a written adverse or negative comment, Transportation (DOT) Regulatory may also submit comments on the or a written notice of intent to submit Policies and Procedures (44 FR 11034, Internet at http://dms.dot.gov. You may an adverse or negative comment is February 26, 1979); and (3) if review the public docket containing the received within the comment period, promulgated, will not have a significant rule, any comments received, and any the regulation will become effective on economic impact, positive or negative, final disposition in person in the the date specified above. After the close on a substantial number of small entities Dockets Office between 9 a.m. and 5 of the comment period, the FAA will under the criteria of the Regulatory p.m., Monday through Friday, except publish a document in the Federal Flexibility Act. Register indicating that no adverse or Federal holidays. The Docket Office negative comments were received and List of Subjects in 14 CFR Part 71 (telephone 1–800–647–5527) is on the confirming the date on which the final Airspace, Incorporation by reference, plaza level of the Department of rule will become effective. If the FAA Navigation (air). Transportation NASSIF Building at the does receive, within the comment above address. Adoption of the Amendment period, an adverse or negative comment, FOR FURTHER INFORMATION CONTACT: or written notice of intent to submit ■ Accordingly, the Federal Aviation Kathy Randolph, Air Traffic Division, such a comment, a document Administration amends 14 CFR part 71 Airspace Branch, ACE–520C, DOT withdrawing the direct final rule will be as follows: Municipal Headquarters Building, published in Federal Register and a Federal Aviation Administration, 901 notice of proposed remaking may be PART 71—DESIGNATION OF CLASS A, Locust, Kansas City, MO 64106; published with a new comment period. CLASS B, CLASS C, CLASS D, AND telephone: (816) 329–2525. CLASS E AIRSPACE AREAS; SUPPLEMENTARY INFORMATION: This Comments Invited AIRWAYS; ROUTES; AND REPORTING amendment to 14 CFR 71 modifies the Interested parties are invited to POINTS Class E airspace area extending upward participate in this remaking by ■ from 700 feet above the surface of the submitting such written data, views, or 1. The authority citation for part 71 earth at Chariton, IA. An examination of arguments, as they may desire. continues to read as follows: controlled airspace for Chariton Comments that provide the factual basis Authority: 49 U.S.C. 106(g), 40103, 40113, Municipal Airport reveals it does not supporting the views and suggestions 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– meet the criteria for 700 AGL airspace presented are particularly helpful in 1963 Comp., p. 389. required for diverse departures as developing reasoned regulatory § 71.1 [Amended] specified in FAA Order 7400.2E, decisions on the proposal. Comments ■ 2. The incorporation by reference in 14 Procedures for Handling Airspace are specifically invited on the overall CFR 71.1 of Federal Aviation Matters. The criteria in FAA Order regulatory, aeronautical, economic, Administration Order 7400.9K, dated 7400.2E for an aircraft to reach 1200 feet environmental, and energy-related August 30, 2002, and effective AGL is based on a standard climb aspects of the proposal. September 16, 2002, is amended as gradient of 200 feet per mile plus the Communications should identify both follows: distance from the Airport Reference docket numbers and be submitted in Point (ARP) to the end of the outermost triplicate to the address listed above. * * * * * runway. Any fractional part of a mile is Comments wishing the FAA to Paragraph 6005 Class E airspace areas converted to the next higher tenth of a acknowledge receipt of their comments extending upward from 700 feet or more mile. This amendment also modifies the on this notice must submit with those above the surface of the earth. extension to the Chariton, IA Class E comments a self-addressed, stamped * * * * * airspace area by defining it with the postcard on which the following 348° bearing from the Chariton statement is made: ‘‘Comments to ACE IA E5 Chariton, IA nondirectional radio beacon (NDB) Docket No. FAA–2003–15725/Airspace Chariton Municipal Airport, IA

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(Lat. 41°01′ 11″ N, long. 93°21′35″ W) McConnell AFB airport reference point. be no adverse public comment. This Chariton NDB On August 4, 2003, a revised McConnell direct final rule advised the public that ° ′ ″ ° ′ ″ (Lat 41 01 00 N, long. 93 21 43 W) AFB airport reference point was no adverse comments were anticipated, That airspace extending upward from 700 published. This correction incorporates and that unless a written adverse feet above the surface within a 6.5-mile the revised McConnell AFB airport comment, or a written notice of intent radius of Chariton Municipal Airport and reference point into the Wichita Mid- to submit such an adverse comment, within 2.6-miles east and 4.4 miles west of the 348° bearing from the Chariton NDB, Continent Airport, KS Class E airspace were received within the comment extending from the 6.5-mile radius to 7 miles area and its legal description. period, the regulation would become north of the airport. ■ Accordingly, pursuant to the authority effective on September 4, 2003. No delegated to me, the Wichita Mid- adverse comments were received, and * * * * * Continent Airport, KS Class E airspace, thus this action confirms that the direct Issued in Kansas City, MO, on August 11, as published in the Federal Register on final rule will be effective on that date. 2003. Tuesday, July 15, 2003, (68 FR 41691), Issued in Los Angeles, California. Herman J. Lyons, Jr., [FR Doc. 03–17766] is corrected as John Clancy, Manager, Air Traffic Division, Central Region. follows: Manager, Air Traffic Division, Western-Pacific [FR Doc. 03–21459 Filed 8–21–03; 8:45 am] § 71.1 [Corrected] Region. BILLING CODE 4910–13–M ■ On page 41692, Column 2, paragraph [FR Doc. 03–21457] Filed 8–20–03; 8:45 am] headed ‘‘ACE KS E5 Wichita Mid- BILLING CODE 4910–13–M DEPARTMENT OF TRANSPORTATION Continent Airport, KS,’’ sixth and seventh lines, change: Federal Aviation Administration ‘‘Wichita McConnell Air Force Base, KS NATIONAL AERONAUTICS AND (Lat. 37°37′33″ N., long. 97°16′03″ W.)’’ SPACE ADMINISTRATION 14 CFR Part 71 to read ‘‘miles south of the airport.’’ 14 CFR Part 1260 [Docket No. FAA–2003–15454; Airspace ‘‘Wichita McConnell Air Force Base, KS Docket No. 03–ACE–52] (Lat. 37°37′23″ N., long. 97°16′24″ W.)’’ RIN 2700–AC77 Issued in Kansas City, MO, on August 11, Modification of Class E Airspace; NASA Grant and Cooperative Wichita Mid-Continent Airport, KS 2003. Herman J. Lyons, Jr. Agreement Handbook—Financial AGENCY: Federal Aviation Manager, Air Traffic Division, Central Region. Reporting Administration (FAA), DOT. [FR Doc. 03–21458 Filed 8–20–03; 8:45 am] AGENCY: National Aeronautics and ACTION: Direct final rule; request for BILLING CODE 4910–13–M Space Administration comments; correction. ACTION: Final rule. SUMMARY: This action corrects a direct final rule; request for comments that DEPARTMENT OF TRANSPORTATION SUMMARY: This final rule amends the was published in the Federal Register NASA Grant and Cooperative on Tuesday, July 15, 2003, (68 FR Federal Aviation Administration Agreement Handbook by updating the 41691) [FR Doc. 03–17766]. It corrects requirement for submission of quarterly an error in the McConnell Air Force 14 CFR Part 71 Federal Cash Transactions Reports Base (AFB) airport reference point. [Docket No. FAA–2003–15299; Airspace (Standard Form (SF) 272s) to reflect the DATES: This direct final rule is effective Docket No. 03–AWP–9] existing practice of submitting these on 0901 UTC, October 30, 2003. reports electronically, and clarifying the Modification of Class E Airspace; FOR FURTHER INFORMATION CONTACT: circumstances under which NASA may Window Rock, AZ Kathy Randolph, Air Traffic Division, suspend or terminate grantee advance Airspace Branch, ACE–520C, DOT AGENCY: Federal Aviation payments. The intended effect of this Regional Headquarters Building, Federal Administration (FAA), DOT. change is to formalize a process change (electronic submission of quarterly Aviation Administration, 901 Locust, ACTION: Direct final rule; confirmation of Kansas City, MO 64106; telephone: effective date. financial reports) and to ensure that (816) 329–2525. NASA takes corrective action in a SUMMARY: This confirms the effective timely and coordinated fashion when SUPPLEMENTARY INFORMATION: date of the direct final rule that modifies grantee financial reports are late. History Class E airspace at Window Rock, AZ. EFFECTIVE DATE: August 21, 2003. Federal Register Document 03–17766, EFFECTIVE DATE: 0901 UTC, September 4, FOR FURTHER INFORMATION CONTACT: Rita published on Tuesday, July 15, 2003, 2003. Svarcas, NASA Headquarters, Code HK, (68 FR 41691) modified Class E airspace FOR FURTHER INFORMATION CONTACT: Jeri Washington DC, (202) 358–0464, e-mail: at Wichita Mid-Continent Airport, KS. Carson, Air Traffic Division, Airspace [email protected]. The modification was to provide the Branch, AWP–520, Federal Aviation SUPPLEMENTARY INFORMATION: appropriate Class E airspace to protect Administration, 15000 Aviation aircraft executing newly developed Boulevard, Lawndale, California 90261, A. Background instrument approach procedures at telephone (310) 725–6611. This change amends the NASA Grant Cessna Aircraft Field, Wichita, KS, to SUPPLEMENTARY INFORMATION: The FAA and Cooperative Agreement Handbook correct discrepancies in the Wichita published a direct final rule with to reflect NASA’s implementation of the Mid-Continent Airport, KS Class E request for comments (FR Document Department of Health and Human airspace area and to bring the legal 03–15526) in the Federal Register on Services’ Payment Management System description into compliance with FAA June 19, 2003 (68 FR 36743). The FAA (DHHS/PMS), including electronic Order 7400.2E, Procedures for Handling uses the direct final rulemaking submission of grantees’ quarterly Airspace Matters. This Class E airspace procedure for a non-controversial rule Federal Cash Transactions Reports (SF area is defined, in part, by the where the FAA believes that there will 272s). The changes also clarify NASA’s

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policies and internal practices with § 1260.26 Financial management. § 1260.56 Withholding. regard to suspension or termination of Financial Management Withholding advance payments. This change delegates responsibility for suspension August 2003 August 2003 and termination of advance payments to If a Recipient fails to comply with the (a) Advance payments through a the NASA Financial Management Office project objectives, the terms and Letter of Credit will be made by the in certain cases involving financial conditions of this award, or reporting Financial Management Office of the reporting. In all other cases, the Grant requirements under this or previous NASA Center assigned financial Officer retains responsibility for NASA awards, NASA may withhold cognizance of the grant, using the suspension and termination of advance advance payments under this award Department of Health and Human payments. Additionally, this change including its augmentations, and may Services’ Payment Management System amends the withholding provision. The also withhold advance payments under (DHHS/PMS), in accordance with change removes a phrase in that future awards to the Recipient, pending procedures provided to the Recipient. provision addressing withholding of correction of the deficiency by the The Recipient shall submit a Federal future awards, as the phrase duplicates Recipient. Upon determination that the Cash Transactions Report (SF 272), and, another provision and is not directly deficiency has been corrected, the when applicable, a Continuation Sheet cognizant NASA Financial Management relevant to withholding of advance (SF 272A) electronically to DHHS/PMS Office shall resume advance payments payments. The withholding provision is within 15 working days following the and release of previously withheld also amended to more specifically state end of each Federal Fiscal quarter (i.e., amounts after coordination with the the conditions under which NASA may December 31, March 31, June 30, and Grant Officer. withhold advance payments consistent September 30). One Federal Cash ■ 4. Section 1260.75 is amended by with existing guidance and procedures Transactions Report shall be submitted revising paragraphs (b)(1) and (c)(2) to contained in the Grant and Cooperative for all grants financed under a letter of read as follows: Agreement Handbook. credit arrangement with each NASA § 1260.75 Summary of report B. Regulatory Flexibility Act Center. requirements. NASA certifies that this final rule will (b) In addition, the Recipient shall * * * * * not have a significant economic impact submit a final SF 272 in paper form to (b) * * * on a substantial number of small entities NASA within 90 calendar days after the (1) The Federal Cash Transactions within the meaning of the Regulatory expiration date of the grant. The final SF Report (SF 272) shall be submitted by Flexibility Act, 5 U.S.C. 601 et seq., 272 shall pertain only to the completed the recipient, in accordance with § 1260.26, as a condition of receiving because the change updates and clarifies grant and shall include total advance payments. Instructions and existing operational practices. disbursements from inception through completion. The report shall be marked answers to payment questions will be C. Paperwork Reduction Act ‘‘Final’’. The final SF 272 shall be provided by the NASA Financial submitted to the Financial Management Management Office of the Center that The Paperwork Reduction Act does Office, with a copy sent to the NASA has been assigned financial cognizance not apply because this final rule does Grant Officer. of the grant. (See § 1260.152.) not impose any new recordkeeping or (c) Unless otherwise directed by the * * * * * information collection requirements, or (c) * * * Grant Officer, any unexpended balance collection of information from offerors, (2) A Final Federal Cash Transactions contractors, or members of the public of funds which remains at the end of Report, SF 272, is required from the that require the approval of the Office of any funding period, except the final recipient for each grant, in accordance Management and Budget under 44 funding period of the grant, shall be with §§ 1260.26 and 1260.152. The U.S.C. 3501, et seq. carried over to the next funding period, report is due within 90 calendar days and may be used to defray costs of any after the expiration date of the grant or List of Subjects in CFR Part 1260 funding period of the grant. This cooperative agreement. includes allowing the carry over of Grant Programs—Science and * * * * * funds to the second and subsequent Technology. ■ 5. Section 1260.76 is amended by years of a multiple year grant. This revising paragraphs (d) and (e) and Tom Luedtke, provision also applies to subcontractors adding new paragraphs (f), (g), and (h) to Assistant Administrator for Procurement. performing substantive work under the read as follows: grant. For grant renewals, the estimated ■ Accordingly, 14 CFR Part 1260 is amount of unexpended funds shall be § 1260.76 Termination and enforcement. amended as follows: identified in the grant budget section of * * * * * ■ 1. The authority citation for 14 CFR the Recipient’s renewal proposal. NASA (d) Failure of the recipient to provide 1260 continues to read as follows: reserves the right to remove a required report can result in the unexpended balances from grants when Agency and the public being denied Authority: 42 U.S.C. 2473(c)(1) and Pub. L. insufficient efforts have been made by information about grant activities, 97–258, 96 Stat. 1003 (31 U.S.C. 6301, et seq.) the grantee to liquidate funding NASA officials having less information for making decisions, grant closeout PART 1260—GRANTS AND balances in a timely fashion. being delayed, and confidence being COOPERATIVE AGREEMENT [End of provision] undermined as to whether the recipient will meet the requirements under other ■ 2. Section 1260.26 is revised to read as ■ 3. Section 1260.56 is revised to read as grants. Because NASA grants provide follows: follows: for advance payments, a recipient could be fully paid before final reports are

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due. At this point, it is too late to coordinate any release of withheld [email protected] or (202) 482–6109. withhold payment on the existing grant. payments with the grant officer. For other information concerning this Consistent with §§ 1260.122(h) and ■ 6. Section 1260.152 is amended by rule, contact Thomas W. Andrukonis, 1260.162(a), NASA may suspend or revising paragraph (b) and adding Director, Office of Enforcement terminate advance payments from paragraph (c) to read as follows: Analysis, [email protected] or (202) recipients that fail to comply with 482–4255. reporting requirements. § 1260.152 Financial reporting. SUPPLEMENTARY INFORMATION: (e) To remedy failure to furnish timely * * * * * Background reports, special condition at § 1260.56, (b) Recipients are required to submit Withholding, should be used when the report electronically to the The Foreign Trade Statistics awarding a new grant or modifying an Department of Health and Human Regulations (FTSR) (15 CFR part 30) existing grant with non-responsive Services’ Payment Management System require submission to the government of organizations. Special condition at (DHHS/PMS) within 15 working days certain information regarding exports § 1260.56 allows NASA to suspend or following the end of each Federal fiscal either through a Shipper’s Export terminate advance payments under an quarter. Reports are required for each Declaration (SED) or the Automated institution’s letter of credit pending quarter whether or not advances have Export System (AES). On July 17, 2003 receipt of the satisfactorily completed been made during that quarter. (68 FR 42534), the Census Bureau reports required in § 1260.75. (c) Additionally, recipients shall amended these regulations to require, (f) The NASA Financial Management submit a final SF 272 in paper form to inter alia, filing via AES rather than an Office, notifying the Grant Officer, shall the NASA Financial Management SED for all exports of items listed on the take action to either suspend or Office, and shall furnish a copy of the Commerce Control List when a filing terminate a recipient’s advance final SF 272 to the appropriate grant under the FTSR is required. The EAR payments when— officer. (15 CFR Subchapter C) also provide (1) A recipient organization is rules that complement the FTSR for unwilling or unable to establish a [FR Doc. 03–21437 Filed 8–20–03; 8:45 am] transactions that are subject to the EAR. financial management system that meets BILLING CODE 7510–01–P This rule amends the EAR by revising the requirements of advance payments two sections in part 758 to conform as evidenced by an audit report or more closely to the Foreign Trade failure to comply with the NASA DEPARTMENT OF COMMERCE Statistics Regulations (FTSR) and by requirements; revising one such to conform to (2) A recipient organization is Bureau of Industry and Security terminology used elsewhere in the EAR. unwilling or unable to report, on an This rule also amends parts 732, 740, accurate and timely basis, cash 15 CFR Parts 732, 740, 744, 750, 752, 744, 752, 754, 758, 770, and 772 to add disbursements or cash balances as 754, 758, 770, and 772 references to AES in places where required by NASA. Advance payments [Docket No. 030728186–3186–01] references to SEDs appear. These shall be temporarily suspended when amendments are needed because, two (2) successive quarterly reports are RIN 0694–AC81 without them, the EAR would appear to late or when two (2) reports are late in require that an SED be filed even when a fiscal year; or Export Clearance—Conformance of Export Administration Regulations the FTSR requires that the filing take (3) A recipient organization has place via AES. Additionally, in parts With Foreign Trade Statistics demonstrated an unwillingness or 740 and 744 this rule replaces Regulations inability to establish procedures that statements that an SED must be filed will minimize time elapsing between AGENCY: Bureau of Industry and with the carrier with statements that the drawdowns and related disbursements. Security, Commerce. SED or AES must be filed in accordance (g) In addition to the situations ACTION: Final rule. with the requirements of the FTSR. This delineated in paragraph (f) of this rule replaces the phrase ‘‘U.S. Customs section, the NASA Grant Officer may SUMMARY: This rule amends the Export Service’’ with ‘‘Bureau of Customs and direct the NASA Financial Management Administration Regulations (EAR) to Border Protection’’ and, in one instance, Office to either suspend or terminate a add references to the Automated Export with ‘‘Bureau of Customs and Border recipient’s advance payments under System (AES) and to conform the EAR Protection or Bureau of Immigration and circumstances where a recipient has to certain provisions of the Foreign Customs Enforcement’’ to reflect the otherwise failed to comply with the Trade Statistics Regulations (FTSR) names of the agencies that currently project objectives, the terms and including provisions related to AES perform the functions formerly conditions of the award, or NASA promulgated on July 17, 2003. It also performed by the U.S. Customs Service. reporting requirements. conforms some terminology in part 758 The specific changes made by this rule (h) The Financial Management Office to that found elsewhere in the EAR and are described below. (for the cases set forth in paragraph (f) updates references to another This rule amends section 732.5 and of this section) or the Grant Officer (for government agency to reflect a name paragraph 740.1(d) by adding references all other cases) may resume advance change. to AES to their headings. This rule payments and may release any amends paragraph 732.3(n)(1) to add a previously withheld amounts when the DATES: This rule is effective September reference to AES immediately following recipient has taken corrective action 22, 2003. the reference to SEDs and to replace the that makes suspension or withholding FOR FURTHER INFORMATION CONTACT: For phrase ‘‘U.S. Customs Service’’ with no longer necessary. To release for information on the relationship of this ‘‘Bureau of Customs and Border payment amounts they have previously rule to the export of crude oil or Protection.’’ withheld, grant officers shall send a unprocessed Western Red Cedar (15 This rule amends paragraph 740.1(d) memorandum to the Financial CFR part 754), contact Eugene Lewis, to remove a reference to paragraph 758.2 Management Office. The Financial Acting Director, Deemed Exports and because paragraph 758.1 describes the Management Office shall likewise Short Supply Division, requirements of AES. This rule amends

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footnote number 1 to paragraph 758.1(b)(1) and (b)(3). This rule amends definitions of terms found elsewhere in 740.13(d)(1) to add a reference to AES paragraph 758.1(e) to add the the EAR. immediately following the reference to parenthetical ‘‘U.S. principal party in Although the Export Administration SEDs. Paragraphs 740.15(c)(1)(iv), interest’’ immediately following the Act expired on August 20, 2001, 740.15(c)(2)(iv), 744.7(b)(1)(iv), and word ‘‘exporter.’’ This change clarifies Executive Order 13222 of August 17, 744.7(b)(2)(iv) are amended to add the latter term and conforms the EAR to 2001 (3 CFR 2001 Comp., p. 783 (2002)), references to AES immediately the FTSR (15 CFR 30.4). as extended by the Notice of August 7, following the references to the SED and This rule amends the introductory 2003 (68 FR 47833, August 11, 2003), to amend the statement that the SED paragraph to section 758.2 to remove all continues the Regulations in effect must be filed with the carrier to a references to AES ‘‘Option 3’’; to replace under the International Emergency statement that the SED or AES must be the word ‘‘four’’ with the word ‘‘three’’ Economic Powers Act. filed in accordance with the FTSR. and the word ‘‘three’’ with the word Rulemaking Requirements Paragraph 740.13(d)(1) deals with ‘‘two’’ when referring to filing options certain ‘‘mass market’’ software that is because the Census July 17, 2003 rule 1. This final rule has been determined eligible for License Exception TSU. removed Option 3, leaving a total of to be not significant for purposes of E.O. Paragraph 740.15(c) is a provision of three options, numbered 1, 2, and 4, two 12866. 2. Notwithstanding any other License Exception AVS dealing with of which are electronic. This rule also provision of law, no person is required shipments to U.S. or Canadian vessels, amends some citations to the FTSR as to respond to, nor shall a person be planes, and airline installations or needed to reflect changes made by the agents. Paragraph 744.7(b) provides an subject to a penalty for failure to comply Census July 17, 2003 rule and replaces with, a collection of information subject exception for U.S. and Canadians the phrase ‘‘U.S. Customs Service’’ with carriers to restrictions on certain exports to the requirements of the Paperwork ‘‘Bureau of Customs and Border Reduction Act (PRA), unless that to and for the use of certain foreign Protection.’’ vessels or aircraft. collection of information displays a This rule amends the fourth sentence current, valid OMB control number. In This rule amends paragraphs 750.7(b), of paragraph 758.2(a) to make clear that 752.7(b) and 752.15(a) to add references accordance with the PRA, 44 U.S.C. the agency 30 day time limit for Chapter 35, OMB approved on April 26, to AES in places where references to reviewing Option 4 Letters of Intent SEDs appear. Additionally, paragraph 2002, with control number 0607–0512, runs from the date of referral of the the collection of all information 752.15(a) is amended to state that SEDs Letter of Intent to the agency by the or AES records must be submitted in associated with the AES and SED. The Census Bureau and that any agency accordance with the requirements of the Census Bureau has estimated that each objections must be received by the FTSR as well as section 758.1 of the electronic SED will take approximately Census Bureau within the 30 days or the EAR (previously this paragraph did not 3 minutes to complete and that each agency will be deemed not to object. mention the FTSR) and to eliminate paper SED will take approximately 11 These changes conform EAR paragraph references to the now non-existent minutes to complete. This rule does not 758.2(a) to the corresponding Bureau of Census Monthly Reporting change the number of transactions for requirements of the FTSR (15 CFR System. which such filing is necessary nor does This rule amends paragraphs 30.62(b)(1)). it change the amount of information that 754.2(h)(2), 754.2(i)(3), 754.2(j)(2), This rule amends paragraph will have to be filed for any transaction. 754.4(d)(3)(ii), and 754.4(c)(4) to add 758.2(c)(3) to replace the listing of the This rule also involves a collection of references to AES to the previously countries that have been designated as information by BIS that bears OMB existing references to SEDs and amends terrorist supporting by the Secretary of control number 0694–0027. The burden paragraph 754.2(j)(2) to correct the State with the phrase ‘‘Country Group hour estimated associated with the mailing address listed therein. Section E:1.’’ This change conforms this collection that this rule involves 754.2 deals with exports of crude oil. paragraph with the usage elsewhere in (submitting a copy of the Shipper’s Paragraphs (h)(2) and (i)(3) provide the EAR. Export Declaration or Automated Export language that must be on the SED or This rule amends paragraphs System record to BIS when exporting AES record when certain license 758.7(b)(1)(i), 758.7(b)(6), section 758.9, certain crude oil), is nine annual burden exceptions are used. Paragraph (j)(2) paragraphs 770.2(e)(2)(ii), 770.2(f), and hours. BIS believes that this rule will provides that the exporter must submit section 772.1(definition of NLR) to add not change the number of burden hours. a copy of the SED or AES record directly references to AES wherever references 3. This rule does not contain policies to BIS. This requirement is in addition to SED appear. This rule also amends with Federalism implications as this to the requirements of the FTSR. Section section 758.9 to replace the phrase ‘‘U.S. term is defined in Executive Order 754.4 deals with exports of unprocessed Customs Service’’ with ‘‘Bureau of 13132. Western Red Cedar. Paragraph (c)(4) Customs and Border Protection or 4. We find good cause to waive the describes language that must be on the Bureau of Immigration and Customs provisions of the Administrative SED or AES record when license Enforcement’’. Paragraphs 758.7(b)(1)(i) Procedure Act requiring prior notice exception WRC is used. Paragraph and (b)(6) deal with authority to inspect and the opportunity for public comment (d)(3)(i) requires exporters to retain a items about to be exported and with (5 USC 553(b)(B)) because they are copy of the SED or AES record. detention and seizure of shipments, unnecessary as the changes made by This rule amends paragraph respectively. Section 758.9 makes clear this rule simply make certain provisions 758.1(b)(2) to require an SED or AES that part 758 of the EAR does not relieve of the Export Administration submission for exports requiring a anyone from compliance with other Regulations conform to other rules that license under the EAR, not just those laws. Paragraphs 770.2(e)(ii) and have been lawfully promulgated. No authorized by such a license. This 770.2(f) address documentation other law requires that a notice of final change conforms the EAR requirement requirements when shipping numerical rulemaking and an opportunity for to that of the FTSR found at 15 CFR control systems and parts, accessories; public comment be given for this rule. 30.55(h)(2)(ii). This rule also makes and equipment exported as scrap, Because a notice of final rulemaking and conforming changes to paragraphs respectively. Section 772.1 contains an opportunity for public comment are

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not required to be given for this rule PART 740—[AMENDED] abroad for use in their aircraft under the Administrative Procedure Act operations. or by any other law, the analytical ■ 4. The authority citation for part 740 is * * * * * requirements of the Regulatory revised to read as follows: Flexibility Act (5 USC 601 et seq.) are Authority: 50 U.S.C. app. 2401 et seq.; 50 PART 744—[AMENDED] not applicable. U.S.C. 1701 et seq.; Sec. 901–911, Pub. L. ■ 106–387; E.O. 13026, 61 FR 58767, 3 CFR, 8. The authority citation for part 744 is List of Subjects 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, revised to read as follows: 15 CFR Parts 732, 740, 750, 752, and 3 CFR, 2001 Comp., p. 783; Notice of August Authority: 50 U.S.C. app. 2401 et seq.; 50 758 7, 2003, 66 FR 47833, August 11, 2003. U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; Sec. 901–911, Pub. L. 106– ■ Administrative practice and 5. Section 740.1 is amended by 387; Sec. 221, Pub. L. 107–56; E.O. 12058, 43 procedure, Exports, Foreign trade, revising the heading and the third FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. Reporting and recordkeeping sentence of paragraph (d) to read as 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. requirements. follows: 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 12947, 60 FR 5079, 3 15 CFR Part 744 § 740.1 Introduction. CFR, 1995 Comp., p. 356; E.O. 13026, 61 FR * * * * * 58767, 3 CFR, 1996 Comp., p. 228; E.O. Exports, Foreign trade, Reporting and 13099, 63 FR 45167, 3 CFR, 1998 Comp., p. Recordkeeping requirements. (d) Shippers Export Declaration or Automated Export System Record. 208; E.O. 13222, 66 FR 44025, 3 CFR 2001 15 CFR Part 754 Comp., p. 783; E.O. 13224, 66 FR 49079, 3 *** See § 758.1 of the EAR for CFR, 2001 Comp., p. 786; Notice of Exports, Foreign trade, Forests and Shipper’s Export Declaration or November 9, 2001, 66 FR 56965, 3 CFR, 2001 forest products, Petroleum, Reporting Automated Export System (AES) Comp., p. 917; Notice of August 7, 2003, 66 and recordkeeping requirements. requirements. FR 47833, August 11, 2003. * * * * * 15 CFR Parts 770 and 772 ■ 9. Section 744.7 is amended by ■ 6. Section 740.13 is amended by revising paragraphs (b)(1)(iv) and Exports, foreign trade. revising footnote number one to (b)(2)(iv) to read as follows: ■ Accordingly, parts 732, 740, 744, 750, paragraph (d)(1) to read as follows: 752, 754, 758, 770, and 772 of the Export § 744.7 Restrictions on certain exports to § 740.13 Technology and software— and for the use of certain foreign vessels Administration Regulations (15 CFR unrestricted (TSU). or aircraft. parts 730–799) are amended as follows: * * * * * * * * * * PART 732—[AMENDED] (d) * * * (b) * * * 1 ‘‘Mass market’’ software may fall (1) * * * ■ 1. The authority citation for part 732 is under the classification of ‘‘general use’’ (iv) Shipped as cargo for which a revised to read as follows: software for export clearance purposes. Shipper’s Export Declaration (SED) or Authority: 50 USC app. 2401 et seq.; 50 Exporters should consult the Census Automated Export System (AES) record USC 1701 et seq.; E.O. 13026, 61 FR 58767, Bureau FTSR for possible SED or AES is filed in accordance with the 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 requirements. requirements of the Foreign Trade Statistics Regulations (15 CFR part 30), FR 44025, 3 CFR, 2001 Comp., p. 783; Notice ■ 7. Section 740.15 is amended by of August 7, 2003, 66 FR 47833, August 11, except that an SED or AES record is not revising paragraphs (c)(1)(iv) and 2003. required when any of the commodities, (c)(2)(iv) to read as follows: other than fuel, is exported by U.S. ■ 2. Section 732.3 is amended by § 740.15 Aircraft and vessels (AVS). airlines to their own aircraft abroad for revising the second sentence of their own use. paragraph (n)(1) to read as follows: * * * * * (c) * * * (2) * * * § 732.3 Steps regarding the ten general (1) * * * (iv) Shipped as cargo for which a prohibitions. (iv) Shipped as cargo for which a Shipper’s Export Declaration (SED) or * * * * * Shipper’s Export Declaration (SED) or Automated Export System (AES) record (n) * * * Automated Export System (AES) record is filed in accordance with the requirements of the Foreign Trade (1) * * * You should skip the Steps is filed in accordance with the Statistics Regulations (15 CFR part 30), in § 732.4 of this part regarding License requirements of the Foreign Trade except that an SED or AES record is not Exceptions and proceed directly to the Statistics Regulations (15 CFR part 30), required when any of these Steps in § 732.5 of this part regarding except that an SED or AES record is not commodities is exported by U.S. airlines recordkeeping, clearing the Bureau of required when any of the commodities, to their own installations and agents Customs and Border Protection with the other than fuel, is exported by U.S. abroad for use in their aircraft appropriate Shipper’s Export airlines to their own aircraft abroad for operations. Declaration or Automated Export their own use. System record, and using the required (2) * * * * * * * * (iv) Shipped as cargo for which a Destination Control Statement. PART 750—[AMENDED] * * * * * Shipper’s Export Declaration (SED) or Automated Export System (AES) record ■ 3. Section 732.5 is amended by ■ 10. The authority citation for part 750 is filed in accordance with the revising the heading to read as follows: is revised to read as follows: requirements of the Foreign Trade Statistics Regulations (15 CFR part 30), Authority: 50 U.S.C. app. 2401 et seq.; 50 § 732.5 Steps regarding Shipper’s Export U.S.C. 1701 et seq.; E.O. 13026, 61 FR 58767, Declaration or Automated Export System except that an SED or AES record is not 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 record, Destination Control Statements, and required when any of these FR 44025, 3 CFR, 2001 Comp., p. 783; Notice recordkeeping. commodities is exported by U.S. airlines of August 7, 2003, 66 FR 47833, August 11, * * * * * to their own installations and agents 2003.

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■ 11. Section 750.7 is amended by (3) SCL number. The SED or AES (4) A person exporting any item revising the fourth sentence of paragraph record must include the SCL number pursuant to this License Exception must (b) to read as follows: followed by a blank space, and then the enter on any required Shipper’s Export consignee number identifying the SCL’s Declaration (SED) or Automated Export § 750.7 Issuance of licenses. approved consignee to whom the System (AES) record the letter code * * * * * shipment is authorized. ‘‘SS–WRC’’. (b) * * * Exporters must use the * * * * * (d) * * * complete license number when (3) * * * preparing a Shipper’s Export PART 754—[AMENDED] (ii) A copy of the Shipper’s Export Declaration (SED) or Automated Export Declaration of Automated Export System (AES) record and any other ■ 15. The authority citation for part 754 System record. export control documents, and in is revised to read as follows: * * * * * communicating with the Department of Authority: 50 U.S.C. app. 2401 et. seq.; 50 Commerce concerning the license. U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. PART 758—[AMENDED] * * * * * 7430(e); 30 U.S.C. 185(s), 185(u); 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; ■ 18. The authority citation for part 758 PART 752—[AMENDED] E.O. 11912, 41 FR 15825, 3 CFR, 1976 Comp., is revised to read as follows: p. 114; E.O. 13222, 66 FR 44025, 3 CFR, 2001 ■ 12. The authority citation for part 752 Comp., p. 783; Notice of August 7, 2003, 66 Authority: 50 U.S.C. app. 2401 et seq.; 50 is revised to read as follows: FR 47833, August 11, 2003. U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, ■ 16. Section 754.2 is amended by 3 CFR, 2001 Comp., p. 783; Notice of August Authority: 50 U.S.C. app. 2401 et seq.; 50 7, 2003, 66 FR 47833, August 11, 2003. U.S.C. 1701 et seq.; E.O. 13020, 61 FR 54079, revising paragraphs (h)(2), (i)(3), and 3 CFR, 1996 Comp. p. 219; E.O. 13222, 66 FR (j)(2) to read as follows: ■ 19. Section 758.1 is amended by 44025, 3 CFR, 2001 Comp., p. 783; Notice of revising paragraphs (b)(1), (2), and (3) August 7, 2003, 66 FR 47833, August 11, § 754.2 Crude oil. and the third sentence of paragraph (e) 2003. * * * * * to read as follows: ■ 13. Section 752.7 is amended by (h) * * * (2) A person exporting crude oil § 758.1 The Shipper’s Export Declaration revising the first sentence of paragraph (SED) or Automated Export System (AES) (b)(1) to read as follows: pursuant to this License Exception must enter on any required Shipper’s Export record. § 752.7 Direct shipment to customers. Declaration (SED) or Automated Export * * * * * * * * * * System (AES) record the letter code (b) * * * (b)*** ‘‘SS–SPR’’ or the equivalent code as set (1) For all exports of items subject to (1) Exports by an SCL holder. The SCL forth in Appendix C to 15 CFR part 30. the EAR that are destined to Cuba, Iran, holder may make a direct shipment by (i) * * * Iraq, Libya, North Korea, Sudan, or entering on the Shipper’s Export (3) A person exporting crude oil Syria, regardless of value (see 15 CFR Declaration or Automated Export pursuant to this License Exception must 30.55); System record the name and address of enter on any required Shipper’s Export (2) For all exports subject to the EAR the customer as ultimate consignee and Declaration (SED) or Automated Export that require a license regardless of adding the notation ‘‘by order of (name System (AES) record the letter code value, or destination; and address of consignee requesting the ‘‘SS–SAMPLE’’ or the equivalent code (3) For all exports of commodities and direct shipment).’’ as set forth in Appendix C to 15 CFR mass market software subject to the EAR * * * * * part 30. when the value of the commodities or ■ (j) * * * mass market software classified under a 14. Section 752.15 is amended by (2) Shipper’s Export Declaration or revising paragraph (a) to read as follows: single Schedule B Number (or Automated Export System. In addition Harmonized Tariff Schedule number) is § 752.15 Export clearance. to the requirements of paragraph (j)(1) of over $2,500, except as exempted by the (a) Shipper’s Export Declaration (SED) this section, for each export under Foreign Trade Statistics Regulations or Automated Export System (AES) License Exceptions TAPS, the exporter (FTSR) in 15 CFR part 30 and referenced record. The SED or AES record covering must file with BIS a Shipper’s Export in paragraph (c) of this section; or Declaration (SED) or Automated Export an export made under an SCL must be * * * * * prepared in accordance with System (AES) record covering the export not later than 21 days after the export (e) Signing the Shipper’s Export requirements of the Foreign Trade Declaration or transmitting data via Statistics Regulations (15 CFR part 30) has occurred. The SED or AES record shall be sent to the following address: AES. and § 758.1 of the EAR. * * * The person who signs the SED (1) Item descriptions. Item Director, Deemed Exports and Short or transmits data via AES, whether descriptions on the SED or AES record Supply Division, Office of Strategic exporter (U.S. principal party in must indicate specifically the ECCN and Trade and Foreign Policy Controls, interest) or agent, is responsible for the item description conforming to the Bureau of Industry and Security, PO truth, accuracy, and completeness of the applicable CCL description and Box 273, U.S. Department of Commerce, SED or AES record, except insofar as incorporating any additional Washington, DC 20044. that person can demonstrate that he or information where required by Schedule * * * * * she reasonably relied on information B (e.g., type, size, name of specific item, ■ 17. Section 754.4 is amended by furnished by others. etc.). revising paragraphs (c)(4) and (d)(3)(ii) to * * * * * (2) Value of shipments. There is no read as follows: value limitation on shipments under the ■ 20. Section 758.2 is amended by SCL; however, you must indicate the § 754.4 Unprocessed western red cedar. revising the introductory paragraph, the value of each shipment on the * * * * * fourth sentence of paragraph (a) and respective SED or AES record. (c) * * * paragraph (c)(3) to read as follows:

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§ 758.2 Automated Export System (AES). items, both Customs officials and ■ 26. Section 772.1 is amended by The Census Bureau’s Foreign Trade officials to the Office of Export revising the definition of NLR to read as Statistics Regulations (FTSR) (15 CFR Enforcement are authorized to detain follows: Part 30) contain provisions for filing any shipment held for review of the SED Shipper’s Export Declarations (SEDs) or AES record, or if there is no SED or § 772.1 Definitions of terms as used in the Export Administration Regulations (EAR). electronically using the Automated AES record, the bill of lading or other Export System (AES). In order to use loading document covering the items * * * * * AES, you must apply directly to the about to be exported, or for physical NLR. NLR (‘‘no license required’’) is a Census Bureau for certification and inspection of the items, whenever such symbol entred on the Shipper’s Export approval through a Letter of Intent (see action is deemed to be necessary to Declaration or an Automated Export 15 CFR 30.60(b) and Appendix A to part assure compliance with the EAR. System record certifying that no license 30 of the FTSR). Three AES filing * * * * * is required. options are available for transmitting ■ 22. Section 758.9 is revised to read as * * * * * shipper’s export data. Option 1 is the follows: standard paper filing of the SED, while Dated: August 15, 2003. the other two options are electronic. § 758.9 Other applicable laws and Matthew S. Borman, Option 2 requires the electronic filing of regulations. Acting Assistant Secretary for Export all information required for export prior The provisions of this part 758 apply Administration. to export (15 CFR 30.61(a) and 30.63); only to exports regulated by BIS. [FR Doc. 03–21471 Filed 8–20–03; 8:45 am] Option 4 is available only for approved Nothing contained in this part 758 shall BILLING CODE 3510–33–P filers (approval by Census Bureau, relieve any person from complying with Bureau of Customs and Border any other law of the United States or Protection, BIS and other agencies) and rules and regulations issued thereunder, DEPARTMENT OF DEFENSE requires no information to be including those governing SEDs, AES transmitted prior to export, with records, and manifests, or any 48 CFR Part 217 complete information transmitted applicable rules and regulations of the within 10 working days of exportation Bureau of Customs and Border [DFARS Case 2002–D041] (15 CFR 30.61(b) and 30.62). Protection or Bureau of Immigration and (a) Census’ Option 4 Application Customs Enforcement. Defense Federal Acquisition Process. Regulation Supplement; Multiyear * * * If the Census Bureau receives PART 770—[AMENDED] Contracting Authority Revisions neither notification of denial, nor a request for an extension from the agency ■ 23. The authority citation for part 770 AGENCY: Department of Defense (DoD). within 30 days of the date of referral of is revised to read as follows: the letter of intent to the agency, the Authority: 50 U.S.C. app. 2401 et seq.; 50 ACTION: Interim rule with request for applicant is deemed to be approved by U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, comments. that agency. * * * 3 CFR, 2001 Comp., p. 783; Notice of August * * * * * 7, 2003, 66 FR 47833, August 11, 2003. SUMMARY: DoD has issued an interim (c) BIS Option 4 evaluation criteria. ■ 24. Section 770.2 is amended by rule amending the Defense Federal * * * * * revising the first sentences in paragraphs Acquisition Regulation Supplement (3) Exports are destined to a country (e)(2)(ii) and (f) to read as follows: (DFARS) to implement Section 820 of in Country Group E:1 (Supplement No.1 the National Defense Authorization Act to part 740 of the EAR). § 770.2 Item interpretations. for Fiscal Year 2003. Section 820 * * * * * * * * * * restricts the use of multiyear contracts ■ 21. Section 758.7 is amended by (e) * * * for supplies to only those for complete revising the first sentence of paragraph (2) * * * and usable end items, and restricts the (ii) When preparing the Shipper’s (b)(1)(i) and the third sentence of use of advance procurement to only Export Declaration (SED) or Automated paragraph (b)(6) to read as follows: those long-lead items necessary in order Export System (AES) record, a system to meet a planned delivery schedule for § 758.7 Authority of the Office of Export being shipped complete (i.e, machine complete major end items. Enforcement, the Bureau of Industry and and control unit), should be reported Security, Customs Offices and postmasters under the Schedule B number for each DATES: Effective date: August 21, 2003. in clearing shipments. machine. * * * Comment date: Comments on the * * * * * (f) Interpretation 6: Parts, accessories, interim rule should be submitted to the (b) * * * and equipment exported as scrap. Parts, address shown below on or before (1) * * * accessories, or equipment that are being October 20, 2003, to be considered in (i) Purpose of inspection. All items shipped as scrap should be described on the formation of the final rule. declared for export are subject to the SED or AES record in sufficient inspection for the purpose of verifying ADDRESSES: Respondents may submit detail to be identified under the proper comments directly on the World Wide the items specified in the SED or AES ECCN. * * * record, or if there is no SED or AES Web at http://emissary.acq.osd.mil/dar/ record, the bill of lading or other * * * * * dfars.nsf/pubcomm. As an alternative, respondents may e-mail comments to: loading document covering the items PART 772—[AMENDED] about to be exported, and the value and [email protected]. Please cite DFARS Case quantity thereof, and to assure ■ 25. The authority citation for part 772 2002–D041 in the subject line of e- observance of the other provisions of the is revised to read as follows: mailed comments. Export Administration Regulations. Authority: 50 U.S.C. app. 2401 et seq.; 50 Respondents that cannot submit * * * * * U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, comments using either of the above (6) * * * In addition to the authority 3 CFR, 2001 Comp., p. 783; Notice of August methods may submit comments to: of Customs officers to seize and detain 7, 2003, 66 FR 47833, August 11, 2003. Defense Acquisition Regulations

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Council, Attn: Ms. Teresa Brooks, D. Determination to Issue an Interim ■ c. By adding new paragraphs (b)(5) and OUSD(AT&L)DPAP(DAR), IMD 3C132, Rule (b)(6). The revised and added text reads 3062 Defense Pentagon, Washington, DC A determination has been made under as follows: 20301–3062; facsimile (703) 602–0350. the authority of the Secretary of Defense 217.173 Multiyear contracts for weapon Please cite DFARS Case 2002–D041. that urgent and compelling reasons exist At the end of the comment period, systems and other multiyear acquisitions to publish an interim rule prior to specifically authorized by law. interested parties may view public affording the public an opportunity to comments on the World Wide Web at comment. This interim rule implements * * * * * http://emissary.acq.osd.mil/dar/ Section 820 of the National Defense (b) The head of the agency must dfars.nsf. Authorization Act for Fiscal Year 2003 ensure that the following conditions are FOR FURTHER INFORMATION CONTACT: Ms. (Public Law 107–314), which restricts satisfied before awarding a multiyear Teresa Brooks, (703) 602–0326. the use of multiyear contracts for contract under the authority described SUPPLEMENTARY INFORMATION: supplies to only those for complete and in paragraph (a) of this section or for A. Background usable end items, and restricts the use other multiyear acquisitions specifically of advance procurement to only those authorized by law: This interim rule amends DFARS long-lead items necessary in order to * * * * * Subpart 217.1 to implement Section 820 meet a planned delivery schedule for of the National Defense Authorization complete major end items. Section 820 (5) The contract is for the Act for Fiscal Year 2003 (Public Law became effective upon enactment on procurement of a complete and usable 107–314). Section 820 amends the December 2, 2002. Comments received end item (10 U.S.C. 2306b(i)(4)(A)). multiyear contracting authority at 10 in response to this interim rule will be (6) Funds appropriated for any fiscal U.S.C. 2306b(i) to specify that DoD may considered in the formation of the final year for advance procurement are obligate funds for procurement of an rule. end item under a multiyear contract obligated only for the procurement of only if the item is a complete and usable List of Subjects in 48 CFR Part 217 those long-lead items that are necessary in order to meet a planned delivery end item; and that DoD may obligate Government procurement. funds for advance procurement of schedule for complete major end items property only for those long-lead items Michele P. Peterson, that are programmed under the contract necessary to meet a planned delivery Executive Editor, Defense Acquisition to be acquired with funds appropriated schedule for complete major end items Regulations Council. for a subsequent fiscal year (including that are programmed under the contract ■ Therefore, 48 CFR Part 217 is amended an economic order quantity of such to be acquired with funds appropriated as follows: long-lead items when authorized by law for a subsequent fiscal year (including ■ 1. The authority citation for 48 CFR (10 U.S.C. 2306b(i)(4)(B)). an economic order quantity of such Part 217 continues to read as follows: * * * * * long-lead items when authorized by Authority: 41 U.S.C. 421 and 48 CFR ■ law). Chapter 1. 4. Section 217.174 is amended by This rule was not subject to Office of revising paragraphs (a)(1) and (a)(2) and Management and Budget review under PART 217—MULTIYEAR by adding paragraph (c) to read as Executive Order 12866, dated CONTRACTING follows: September 30, 1993. ■ 2. Section 217.172 is amended as 217.174 Multiyear contracts that employ B. Regulatory Flexibility Act follows: economic order quantity procurement. ■ a. By revising paragraph (a); DoD does not expect this rule to have (a) * * * a significant economic impact on a ■ b. In paragraph (b) by adding, before substantial number of small entities the period, the parenthetical ‘‘(10 U.S.C. (1) A multiyear contract providing for within the meaning of the Regulatory 2306b(a)(6))’’; and economic order quantity procurement in Flexibility Act, 5 U.S.C. 601, et seq., ■ c. In paragraph (d)(1), in the excess of $20 million in any one year because the rule primarily pertains to parenthetical, by removing ‘‘10 U.S.C. (10 U.S.C. 2306b(l)(1)(B)(i)(I)); or 2306b(l)(1)’’ and adding in its place ‘‘10 DoD planning and budget (2) A contract for advance U.S.C. 2306b(l)(1)(B)(i)(II)’’. The revised considerations with regard to multiyear procurement leading to a multiyear text reads as follows: contracts. Therefore, DoD has not contract that employs economic order performed an initial regulatory 217.172 Multiyear contracts for supplies. quantity procurement in excess of $20 flexibility analysis. DoD invites million in any one year (10 U.S.C. comments from small businesses and (a) This section applies to all 2306b(l)(1)(B)(ii); Section 8008(a) of other interested parties. DoD also will multiyear contracts for supplies, consider comments from small entities including weapon systems and other Public Law 105–56 and similar sections concerning the affected DFARS subpart multiyear acquisitions specifically in subsequent DoD appropriations acts). in accordance with 5 U.S.C. 610. Such authorized by law. For additional * * * * * comments should be submitted policies that apply only to multiyear contracts for weapon systems and other (c) See 217.173(b)(6) for additional separately and should cite DFARS Case provisions regarding procurement of 2002–D041. multiyear acquisitions specifically authorized by law, see 217.173. economic order quantities of long-lead items. C. Paperwork Reduction Act * * * * * The Paperwork Reduction Act does ■ 3. Section 217.173 is amended as [FR Doc. 03–21309 Filed 8–20–03; 8:45 am] not apply because the rule does not follows: BILLING CODE 5001–08–P impose any information collection ■ a. By revising the heading and requirements that require the approval paragraph (b) introductory text; of the Office of Management and Budget ■ b. By redesignating paragraph (b)(5) as under 44 U.S.C. 3501, et seq. paragraph (b)(7); and

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DEPARTMENT OF DEFENSE of the objectives of the Program is to concerning the affected DFARS subpart expand small business participation in in accordance with 5 U.S.C. 610. Such 48 CFR Part 219 certain targeted industry categories. comments should cite DFARS Case [DFARS Case 2003–D003] Each Federal agency participating in the 2003–D003. Program designates its own targeted C. Paperwork Reduction Act Defense Federal Acquisition categories in consultation with the Regulation Supplement; Small Business Administration. DoD’s The Paperwork Reduction Act does Competitiveness Demonstration Codes targeted categories are in DFARS not apply because the rule does not Update 219.1005(b). impose any information collection This final rule updates the North requirements that require the approval AGENCY: Department of Defense (DoD). American Industry Classification of the Office of Management and Budget ACTION: Final rule. System (NAICS) codes shown for the under 44 U.S.C. 3501, et seq. targeted industry categories at SUMMARY: DoD has issued a final rule List of Subjects in 48 CFR Part 219 219.1005(b)(10), for consistency with amending the Defense Federal the 2002 NAICS listing published by the Government procurement. Acquisition Regulation Supplement U.S. Census Bureau. In addition, to (DFARS) to update the list of industry Michele P. Peterson, simplify the descriptions of targeted categories designated by DoD for categories, the entries for research and Executive Editor, Defense Acquisition enhanced small business participation Regulations Council. development have been combined with under the Small Business the entries for manufacturing at ■ Competitiveness Demonstration Therefore, 48 CFR Part 219 is amended 219.1005(b)(5), (6), and (7). These Program. as follows: changes are administrative only and ■ 1. The authority citation for 48 CFR EFFECTIVE DATE: August 21, 2003. have no impact on the Program. Part 219 continues to read as follows: FOR FURTHER INFORMATION CONTACT: Mr. This rule was not subject to Office of Euclides Barrera, Defense Acquisition Authority: 41 U.S.C. 421 and 48 CFR Management and Budget review under Chapter 1. Regulations Council, Executive Order 12866, dated OUSD(AT&L)DPAP(DAR), IMD 3C132, September 30, 1993. PART 219—SMALL BUSINESS 3062 Defense Pentagon, Washington, DC PROGRAMS 20301–3062. Telephone (703) 602–0296; B. Regulatory Flexibility Act facsimile (703) 602–0350. Please cite This rule will not have a significant ■ 2. Section 219.1005 is amended in DFARS Case 2003–D003. cost or administrative impact on paragraph (b), in the table, by revising SUPPLEMENTARY INFORMATION: contractors or offerors, or a significant paragraphs (5), (6), (7), and (10) to read effect beyond the internal operating as follows: A. Background procedures of DoD. Therefore, Policy for the Small Business publication for public comment is not 219.1005 Applicability. Competitiveness Demonstration required. However, DoD will consider * * * * * Program is in FAR subpart 19.10. One comments from small entities (b) * * *

NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM (NAICS)

Description NAICS code

******* (5) Aircraft Engine and Engine Parts Manufacturing (including Research and Development) ...... 336412 (6) Guided Missile and Space Vehicle Manufacturing (including Research and Development) ...... 336414 (7) Other Guided Missile and Space Vehicle Parts and Auxiliary Equipment Manufacturing (including Research and Development) 336419

******* (10) (i) Cellular and Other Wireless Telecommunications ...... 517212 (ii) Satellite Telecommunications ...... 517410 (iii) Other Telecommunications ...... 517910

[FR Doc. 03–21314 Filed 8–20–03; 8:45 am] ACTION: Final rule. EFFECTIVE DATE: August 21, 2003. BILLING CODE 5001–08–P FOR FURTHER INFORMATION CONTACT: Ms. SUMMARY: DoD has adopted as final, Teresa Brooks, Defense Acquisition without change, an interim rule Regulations Council, DEPARTMENT OF DEFENSE amending the Defense Federal OUSD(AT&L)DPAP(DAR), IMD 3C132, Acquisition Regulation Supplement 3062 Defense Pentagon, Washington, DC 48 CFR Part 237 (DFARS) to implement Section 332 of 20301–3062. Telephone (703) 602–0326; the National Defense Authorization Act facsimile (703) 602–0350. Please cite [DFARS Case 2002–D042] for Fiscal Year 2003. Section 332 DFARS Case 2002–D042. provides temporary authority for Defense Federal Acquisition SUPPLEMENTARY INFORMATION: contractor performance of security- Regulation Supplement; Contractor A. Background Performance of Security-Guard guard functions at military installations Functions or facilities to meet the increased need DoD published an interim rule at 68 for such functions since September 11, FR 7443 on February 14, 2003, to AGENCY: Department of Defense (DoD). 2001. implement Section 332 of the National

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Defense Authorization Act for Fiscal published at 68 FR 7443 on February 14, C. Paperwork Reduction Act Year 2003 (Public Law 107–314). 2003, is adopted as a final rule without The Paperwork Reduction Act does Section 332 authorizes DoD to waive the change. not apply because the rule does not prohibition at 10 U.S.C. 2465(a), to [FR Doc. 03–21310 Filed 8–20–03; 8:45 am] impose any information collection permit contractor performance of BILLING CODE 5001–08–P requirements that require the approval security-guard functions at military of the Office of Management and Budget installations or facilities to meet the under 44 U.S.C. 3501, et seq. increased need for such functions since DEPARTMENT OF DEFENSE September 11, 2001. List of Subjects in 48 CFR Part 252 Three respondents submitted 48 CFR Part 252 Government procurement. comments on the interim rule. Two of the respondents expressed their support [DFARS Case 2003–D007] Michele P. Peterson, for the rule. A third respondent stated Defense Federal Acquisition Executive Editor, Defense Acquisition Regulations Council. that a contracting officer’s Regulation Supplement; Caribbean representative (COR) may be appointed Basin Country—Dominican Republic ■ Therefore, 48 CFR Part 252 is amended to an installation’s Provost Marshal or as follows: Security Office and questioned whether AGENCY: Department of Defense (DoD). ■ 1. The authority citation for 48 CFR the rule should specify that contracting ACTION: Final rule. Part 252 continues to read as follows: offices must ensure that CORs are duly trained. DoD believes that training of SUMMARY: DoD has issued a final rule Authority: 41 U.S.C. 421 and 48 CFR CORs is already adequately addressed in amending the Defense Federal Chapter 1. Acquisition Regulation Supplement DFARS 201.602–2(2), which states that PART 252—SOLICITATION a COR must be ‘‘qualified by training (DFARS) to add the Dominican Republic to the list of Caribbean Basin countries PROVISIONS AND CONTRACT and experience commensurate with the CLAUSES responsibilities to be delegated in whose products DoD may acquire under accordance with department/agency the Trade Agreements Act, in 252.225–7021 [Amended] accordance with a determination of the guidelines.’’ Therefore, DoD believes ■ United States Trade Representative. 2. Section 252.225–7021 is amended as that no change to the rule is needed, and follows: EFFECTIVE DATE: August 21, 2003. has adopted the interim rule as a final ■ a. By revising the clause date to read rule. FOR FURTHER INFORMATION CONTACT: Ms. ‘‘(AUG 2003)’’; and This rule was not subject to Office of Amy Williams, Defense Acquisition ■ b. In paragraph (a)(1) by adding, in Management and Budget review under Regulations Council, alphabetical order, ‘‘Dominican Executive Order 12866, dated OUSD(AT&L)DPAP(DAR), IMD 3C132, Republic’’ to the list of countries. September 30, 1993. 3062 Defense Pentagon, Washington, DC [FR Doc. 03–21313 Filed 8–20–03; 8:45 am] B. Regulatory Flexibility Act 20301–3062. Telephone (703) 602–0328; facsimile (703) 602–0350. Please cite BILLING CODE 5001–08–P DoD certifies that this final rule will DFARS Case 2003–D007. not have a significant economic impact SUPPLEMENTARY INFORMATION: on a substantial number of small entities DEPARTMENT OF DEFENSE within the meaning of the Regulatory A. Background 48 CFR Part 252 Flexibility Act, 5 U.S.C. 601, et seq., This final rule amends the clause at because the rule applies only to DFARS 252.225–7021, Trade [DFARS Case 2002–D016] security-guard functions in excess of Agreements, to add the Dominican those being performed on military Republic to the definition of ‘‘Caribbean Defense Federal Acquisition installations or facilities as of September Basin country.’’ The rule implements Regulation Supplement; Liability for 10, 2001. While the rule is expected to the direction of the United States Trade Loss Under Vessel Repair and result in additional opportunities for Representative to treat the products of Alteration Contracts small business concerns to perform the Dominican Republic as eligible AGENCY: Department of Defense (DoD). security-guard functions, the overall products in acquisitions subject to the ACTION: impact is not expected to be substantial. Trade Agreements Act (68 FR 27883, Final rule. C. Paperwork Reduction Act May 21, 2003). SUMMARY: DoD has issued a final rule This rule was not subject to Office of amending the Defense Federal The Paperwork Reduction Act does Management and Budget review under not apply because the rule does not Acquisition Regulation Supplement Executive Order 12866, dated (DFARS) to increase a contractor’s impose any information collection September 30, 1993. requirements that require the approval liability for loss or damage under vessel of the Office of Management and Budget B. Regulatory Flexibility Act repair and alteration contracts, from $5,000 to $50,000 per incident. The under 44 U.S.C. 3501, et seq. This rule will not have a significant increased dollar ceiling is based on cost or administrative impact on List of Subjects in 48 CFR Part 237 adjustments for inflation, the need to contractors or offerors, or a significant provide a financial incentive for Government procurement. effect beyond the internal operating contractors to minimize loss and procedures of DoD. Therefore, Michele P. Peterson, damage, and common insurance publication for public comment is not Executive Editor, Defense Acquisition practices. Regulations Council. required. However, DoD will consider comments from small entities EFFECTIVE DATE: August 21, 2003. Interim Rule Adopted as Final Without concerning the affected DFARS subpart FOR FURTHER INFORMATION CONTACT: Mr. Change in accordance with 5 U.S.C. 610. Such Euclides Barrera, Defense Acquisition Accordingly, the interim rule comments should cite DFARS Case Regulations Council, amending 48 CFR part 237, which was 2003–D007. OUSD(AT&L)DPAP(DAR), IMD 3C132,

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3062 Defense Pentagon, Washington, DC essentially limited to loss or damage less than $50,000, but believes the 20301–3062. Telephone (703) 602–0296; resulting from accidents. To require $50,000 ceiling to be appropriate facsimile (703) 602–0350. Please cite contractors to assume more of the costs because— DFARS Case 2002–D016. associated with accidental damage to 1. This ceiling should capture a SUPPLEMENTARY INFORMATION: vessels will not necessarily result in a majority of claims, since a NAVSEA reduced number of occurrences, but will study has shown that 70 percent of A. Background force contractors to price the costs of incidents of contractor-incurred DoD uses the clause at DFARS assumption of additional risks (due to damages during a recent 3-year period 252.217–7012, Liability and Insurance, higher ceilings) into their cost proposals were for amounts less than $50,000; in master agreements for repair and for Navy ship repair work. 2. The increase should provide an alteration of vessels. The clause holds a DoD Response: Do not concur. incentive for contractors to reduce the contractor liable for loss or damage Increasing the ceiling is consistent with number of such occurrences, thereby resulting from defective contractor the commercial insurance practice of reducing vessel ‘‘down-time’’ for workmanship and materials, and setting a deductible that lowers claim maintenance and repair and making contains a liability ceiling for any other frequency, eliminates insubstantial more efficient use of scarce maintenance contractor-incurred loss or damage. This claims, and provides an incentive for dollars; and rule increases the contractor’s liability the insured to avoid losses. Any 3. The increase is consistent with the ceiling from $5,000 to $50,000 per increased contract costs that might commercial insurance practice of setting incident. result from the higher ceiling should be a deductible that lowers claim DoD published a proposed rule at 68 offset by the reduced number of claims frequency, eliminates insubstantial FR 7491 on February 14, 2003. One submitted to the Government. claims, and provides an incentive for respondent submitted comments on the This rule was not subject to Office of the insured to avoid losses. proposed rule. A summary of DoD’s Management and Budget review under analysis of the comments is provided Executive Order 12866, dated C. Paperwork Reduction Act below: September 30, 1993. The Paperwork Reduction Act does Comment: The respondent took issue B. Regulatory Flexibility Act not apply because the rule does not with the increase in the contractor’s impose any information collection liability ceiling from $5,000 to $50,000, This rule may have a significant requirements that require the approval and instead recommended a ceiling of economic impact on a substantial of the Office of Management and Budget $7,465 based on actual inflation number of small entities within the under 44 U.S.C. 3501, et seq. experienced by the shipbuilding meaning of the Regulatory Flexibility industry since 1982 when the $5,000 Act, 5 U.S.C. 601, et seq. DoD has List of Subjects in 48 CFR Part 252 ceiling was established. prepared a final regulatory flexibility Government procurement. DoD Response: Do not concur. The analysis, which is summarized as increase was not based solely on follows: Michele P. Peterson, inflation factors. The increase from This rule increases a contractor’s Executive Editor, Defense Acquisition $5,000 to $50,000 was determined to be liability for loss or damage to a Regulations Council. appropriate as a result of a Navy study Government vessel, materials, or ■ Therefore, 48 CFR Part 252 is amended of incidents of contractor-incurred equipment, from $5,000 to $50,000 per as follows: damages under vessel repair and incident. The rule will apply to small ■ 1. The authority citation for 48 CFR alteration contracts during a recent 3- entities that have a master agreement Part 252 continues to read as follows: year period, which indicated that 70 with DoD for repair and alteration of Authority: 41 U.S.C. 421 and 48 CFR percent of the incidents were for vessels. There is no available estimate of Chapter 1. amounts below $50,000, whereas only the total number of small entities that 30 percent of the incidents were for will be subject to the rule. However, the PART 252—SOLICITATION amounts of $5,000 or less. The objective Naval Sea Systems Command PROVISIONS AND CONTRACT of the increase is to provide a financial (NAVSEA), which is responsible for the CLAUSES incentive for contractors to minimize maintenance and repair of the majority loss and damage. of vessels, has collected data indicating 252.217–7012 [Amended] Comment: The respondent does not that, during the period from May 1997 ■ 2. Section 252.217–7012 is amended as agree with DoD’s position that the to October 2002, there were 61 follows: increased dollar ceiling is necessary to occurrences of contractor-caused ■ a. By revising the clause date to read provide a financial incentive for damages. Of those, 13 occurrences (21 ‘‘(AUG 2003)’’; and contractors to minimize loss or damage. percent) were attributed to small ■ b. In paragraph (b)(6), by removing The clause at DFARS 252.217–7012 entities. Entities with master agreements ‘‘$5,000’’ and adding in its place already provides a strong financial for repair and alteration of vessels will ‘‘$50,000’’. incentive for contractors to minimize need to increase their insurance loss or damage. Under the clause, the coverage from $5,000 to $50,000. DoD [FR Doc. 03–21311 Filed 8–20–03; 8:45 am] Government’s assumption of risk is considered using a liability ceiling of BILLING CODE 5001–08–P

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Proposed Rules Federal Register Vol. 68, No. 162

Thursday, August 21, 2003

This section of the FEDERAL REGISTER this rule will be available for public on the borrowers. In fact, the reduced contains notices to the public of the proposed inspection 8:15 a.m.–4:45 p.m., Eastern need for appraisals should benefit issuance of rules and regulations. The Standard Time, except holidays, at 1250 borrowers with increased timeliness of purpose of these notices is to give interested Maryland Avenue, SW., Suite 500, loan decisions by the Agency. persons an opportunity to participate in the Washington, DC 20024–0523. rule making prior to the adoption of the final Therefore, the costs of compliance from rules. FOR FURTHER INFORMATION CONTACT: this rule are deemed not significant. Michael Cumpton, Senior Loan Officer, Accordingly, pursuant to section 605(b) Farm Service Agency; telephone: 202– of the Regulatory Flexibility Act, 5 DEPARTMENT OF AGRICULTURE 690–4014; Facsimile: 202–690–0949; E- U.S.C. 605(b), the Agency certifies that mail: [email protected]. this rule will not have a significant Farm Service Agency SUPPLEMENTARY INFORMATION: economic impact on a substantial number of small entities. Rural Housing Service Executive Order 12866 This rule has been determined to be Environmental Impact Statement Rural Business-Cooperative Service not significant and has not been The environmental impacts of this reviewed by the Office of Management rule have been considered in Rural Utilities Service and Budget under Executive Order accordance with the provisions of the 12866. 7 CFR Parts 1910, 1941 and 1965 National Environmental Policy Act of Regulatory Flexibility Act 1969 (NEPA), 42 U.S.C. 4321 et seq., the RIN 0560–AH01 In accordance with the Regulatory regulations of the Council on Environmental Quality (40 CFR parts Revisions to Direct Farm Loan Flexibility Act, 5 U.S.C. 601, the Agency Programs Appraisal Regulations has determined that there will not be a 1500–1508), and the FSA regulations for significant economic impact on a compliance with NEPA, 7 CFR part 799, AGENCY: Farm Service Agency, USDA. substantial number of small entities. All and part 1940, subpart G. FSA has ACTION: Proposed rule. Farm Service Agency direct loan completed an environmental evaluation borrowers and all entities affected by and concluded that the rule requires no SUMMARY: This rule proposes to amend this rule are small businesses according further environmental review. No the Farm Service Agency’s (FSA) to the North American Industry extraordinary circumstances or other regulations governing real estate and Classification System, and the United unforeseeable factors exist which would chattel appraisals. In the loan making States Small Business Administration. require preparation of an environmental process, the rule proposes to allow FSA There is no diversity in size of the assessment or environmental impact to obtain appraisals after loan funds entities affected by this rule and the statement. A copy of the environmental become available and the applicant is costs to comply with it are the same for evaluation is available for inspection determined eligible. Also, the rule all entities. and review upon request. proposes to increase the dollar In this rule, FSA is proposing Executive Order 12988 threshold that determines when a real revisions to both loan making and loan estate appraisal is required. In loan servicing regulations. In loan making, servicing, the rule proposes to raise the This rule has been reviewed in the Agency will not require a real estate accordance with E.O. 12988, Civil dollar threshold for real estate appraisal completed by a certified appraisals in partial release situations, Justice Reform. In accordance with this general appraiser when real estate is executive order: (1) All State and local and allow the Agency to release real used to secure an operating loan (OL) of estate security without appraising the laws and regulations that are in conflict less than $50,000. This action will affect with this rule will be preempted; (2) no retained real estate in some cases. All less than 5 percent of the OL’s these changes will reduce FSA’s retroactive effect will be given to this processed per year, or approximately rule; and (3) administrative proceedings appraisal costs and enhance the 720 applicants. This would result in an timeliness of program delivery of certain in accordance with 7 CFR part 11 must annual savings to the Agency of be exhausted before bringing suit in loan making and servicing actions. approximately $540,000 ($750/ court challenging action taken under DATES: Comments on this rule must be appraisal). In loan servicing, the Agency this rule unless those regulations received on or before October 20, 2003 will increase the dollar threshold for specifically allow bringing suit at an to be given full consideration. requiring a certified real estate appraisal earlier time. ADDRESSES: Written comments may be from $10,000 to $25,000 when mailed to the Farm Service Agency, U.S. considering partial releases, Executive Order 12372 Department of Agriculture, Farm Loan subordinations, exchanges, or other real Programs, Loan Servicing and Property estate servicing actions. The Agency For reasons set forth in the Notice to Management Division, Attention: estimates that this will eliminate the 7 CFR part 3015, subpart V (48 FR Director, 1400 Independence Avenue, need for approximately 150 certified 29115, June 24, 1983), the programs and SW., STOP 0523, Washington, DC real estate appraisals, for a savings to activities within this rule are excluded 20250–0523, or comments will be the Agency annually of approximately from the scope of Executive Order accepted when submitted at http:// $112,500. 12372, which requires www.regulations.gov. All written The Agency does not expect these intergovernmental consultation with comments received in connection with changes to impose any additional cost State and local officials.

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Unfunded Mandates taken as security, FSA usually obtains risk than larger loans due to the Title II of the Unfunded Mandates the appraisal by contracting with a relatively small dollar amount involved. Reform Act of 1995 (UMRA), Public qualified appraiser, prior to approval of In addition, operations with credit Law 104–4, requires Federal agencies to a loan. Chattel appraisals are completed needs in this range are normally not assess the effects of their regulatory by FSA employees who have been complex. Loan officials will no longer actions on State, local, and tribal adequately trained and delegated chattel have to wait for an appraisal in such governments or the private sector. appraisal authority. The proposed rule cases before conducting a loan analysis Agencies generally must prepare a will allow FSA to approve loans with and making a credit decision. Therefore, written statement, including a cost the condition that an acceptable applicants will receive loan funds on a benefit analysis, for proposed and final appraisal, which reflects at least more timely basis. This revision adds rules with ‘‘Federal mandates’’ that may adequate collateral for the loan, will be consistency with the existing Low result in expenditures of $100 million or obtained before the loan is closed. Documentation policy for operating more in any 1 year for State, local, or Therefore, FSA will not be required to loans of $50,000 or less, reduces the tribal governments, in the aggregate, or wait on a real estate appraisal and may number of real estate appraisals to the private sector. UMRA generally conditionally approve the loan. required, and reduces FSA’s real estate requires agencies to consider The primary benefit to FSA is one of appraisal expenses. cost savings. As previously discussed, alternatives and adopt the more cost Real Estate Security Servicing effective or least burdensome alternative existing procedures require that an that achieves the objectives of the rule. appraisal be obtained prior to loan FSA proposes to increase the This proposed rule contains no Federal approval. Because availability of loan transaction amount triggering the need mandates, as defined under title II of the funds is subject to Congressional for a real estate appraisal referenced in UMRA, for State, local, and tribal appropriations, all FSA farm loans are 7 CFR 1965.13(d), from $10,000 to approved subject to the availability of governments or the private sector. Thus, $25,000. This will reduce the number of funds. When appropriation levels are this proposed rule is not subject to the appraisals required by the Agency when inadequate to meet loan demand, requirements of sections 202 and 205 of borrowers wish to sell some portion of approved applications are held until UMRA. their real estate. Also, FSA is currently funding becomes available. Sometimes, required to appraise the real property Executive Order 13132 a year or more may pass before loan retained when processing a partial funds become available for an applicant, The policies contained in this rule do release. This measure ensures that the particularly in the farm ownership (FO) not have any substantial direct effect on property retained by the borrower, after loan program. In such cases, the real States, the relationship between the the sale, is not adversely affected by the estate appraisal purchased prior to loan national government and the States, or loss of the tract sold (such as when the approval is outdated when funding the distribution of power and sale removes access to a paved road). becomes available, and FSA must responsibilities among the various The proposed rule would eliminate this purchase a new appraisal. Thus, FSA levels of government. Nor does this requirement in most cases as this pays for two real estate appraisals for proposed rule impose substantial direct determination can usually be made compliance costs on State and local one loan. Under this proposed rule, FSA will not purchase an appraisal until without an appraisal. FSA may still governments. Therefore, consultation obtain an appraisal on the property to be with the States is not required. funds are available for the loan, thus, eliminating the need for second sold or retained when necessary to Paperwork Reduction Act appraisals and the costs associated with protect the government’s financial interests. The amendments to 7 CFR Chapter them. While delays in funding can XVIII contain no new information occur, the appraisal requirement will List of Subjects not cause any additional delay in most collections that require approval under Part 1910 the Paperwork Burden Reduction Act of loan closings as loan funds are usually 1995 for OMB control numbers 0560– available without delay. On the Agriculture, Credit, Loan programs— 0158, 0560–0162, and 0560–0178. Agency’s, ‘‘Request for Obligations of housing and community development, Funds,’’ applicants will agree that the Low and moderate income housing, Sex Federal Assistance Programs 15-working day loan closing discrimination. These changes affect the following requirement may be exceeded to obtain FSA programs as listed in the Catalog of the necessary appraisals. FSA will Part 1941 Federal Domestic Assistance: endeavor to minimize any delays. This Crops, Livestock, Loan programs— change does not affect FSA’s 10.404—Emergency Loans agriculture, Rural areas, Youth. 10.406—Farm Operating Loans responsibility for ordering and funding 10.407—Farm Ownership Loans the cost of real estate and chattel Part 1965 appraisals for loan making purposes. Discussion of the Proposed Rule Foreclosure, Credit, Loan programs— Operating Loan Real Estate Appraisal This rule proposes to amend the agriculture, Loan programs—housing Limits regulations that govern the requirement and community development, Rural for appraisals for FSA Farm Loan FSA proposes to amend 7 CFR areas. Programs (FLP) direct loans. 1941.25 to require that a real estate Accordingly, 7 CFR chapter XVIII is appraisal be obtained when real estate is proposed to be amended as follows: Application Processing taken as primary security for an FSA proposes to remove the operating loan (OL) and the amount of PART 1910—GENERAL requirement for obtaining a real estate or the loan to be secured by the real estate chattel appraisal as part of the exceeds $50,000. The section currently 1. The authority citation for part 1910 application process in 7 CFR provides no threshold dollar amount. continues to read as follows: 1910.4(b)(21). Under existing FSA has determined that OL loans of Authority: 5 U.S.C. 301; 7 U.S.C. 1989; 42 regulations, when real estate is to be $50,000 or less generally constitute less U.S.C. 1480.

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Subpart A—Receiving and Processing involves more than $25,000. A new 9:30 a.m. Commenters wishing to testify Applications appraisal report for the security to be at the hearing must so indicate in their retained will be obtained in accordance written or electronic comments. 2. In § 1910.4 revise paragraph (b) by with that section as necessary to protect removing paragraph 21 and the financial interests of the ADDRESSES: All comments should be redesignating paragraph 22 as paragraph Government. Appraisal reports under addressed to Ms. Mai T. Dinh, Acting 21. this section may show the present Assistant General Counsel, and must be 3. In § 1910.4 revise paragraph (j)(1)(i) market value of the property being submitted in either electronic or written to read as follows: transferred or released and the property form. Electronic mail comments should be sent to [email protected] and must § 1910.4 Processing applications. being retained on a single appraisal report or on separate appraisal reports. include the full name, electronic mail * * * * * The value of rights to mining products, address and postal service address of (j) * * * gravel, oil, gas, coal or other minerals the commenter. Electronic mail (1) * * * will be specifically included as a part of comments that do not contain the full (i) Receipt by the applicant of a signed the appraised value of the real estate copy of the Agency’s request for name, electronic mail address and security. obligation of funds on the appropriate postal service address of the commenter Agency form is written notice of loan * * * * * will not be considered. If the electronic approval and any conditions that must Signed in Washington, DC, on August 14, mail comments include an attachment, be met prior to loan closing. Loan 2003. the attachment must be in the Adobe approval conditions may include, but J.B. Penn, Acrobat (.pdf) or Microsoft Word (.doc) are not limited to, obtaining required Under Secretary for Farm and Foreign format. Faxed comments should be sent real estate and chattel appraisals. Agricultural Services. to (202) 219–3923, with printed copy * * * * * [FR Doc. 03–21422 Filed 8–20–03; 8:45 am] follow-up to ensure legibility. Written BILLING CODE 3410–05–P comments and printed copies of faxed PART 1941—OPERATING LOANS comments should be sent to the Federal Election Commission, 999 E Street, 4. The authority citation for part 1941 NW., Washington, DC 20463. continues to read as follows: FEDERAL ELECTION COMMISSION Commenters are strongly encouraged to Authority: 5 U.S.C. 301 and 7 U.S.C. 1989. 11 CFR Parts 100, 106, 114, 9004, and submit comments electronically to 9034 ensure timely receipt and consideration. Subpart A—Operating Loan Policies, The Commission will make every effort Procedures, and Authorizations [Notice 2003–14] to post public comments on its Web site 5. Revise § 1941.25 paragraph (a)(4) to Candidate Travel within ten business days of the close of read as follows: the comment period. The hearing will AGENCY: Federal Election Commission. be held in the Commission’s ninth floor § 1941.25 Appraisals. ACTION: Notice of proposed rulemaking. meeting room, 999 E Street NW., (a) * * * SUMMARY: Washington, DC. (4) A real estate appraisal is required The Federal Election when real estate is taken as primary Commission requests comments on FOR FURTHER INFORMATION CONTACT: Ms. security, as defined in § 1941.4, and the proposed changes to its rules covering Mai T. Dinh, Acting Assistant General amount of the loan to be secured by the the proper rates and timing for payment Counsel, or Mr. Richard T. Ewell, real estate exceeds $50,000. of candidate travel on private means of Attorney, 999 E Street NW., transportation that are not offered for Washington, DC 20463, (202) 694–1650 * * * * * commercial use, including government or (800) 424–9530. PART 1965—REAL ESTATE conveyances. The proposed rule would provide more comprehensive guidance SUPPLEMENTARY INFORMATION: The 6. The authority citation for part 1965 than the current regulations by Commission is proposing several continues to read as follows: establishing a single, uniform valuation changes to its rules to establish a Authority: 5 U.S.C. 301, 7 U.S.C. 1989 and scheme for campaign travel that does simple, uniform payment scheme 42 U.S.C. 1480. not depend on whether the service covering all candidate travel on either provider is a corporation, labor government or private aircraft and other Subpart A—Servicing of Real Estate organization, individual, partnership, conveyances. The current regulation at Security for Farm Loan Programs limited liability company or other 11 CFR 114.9(e) establishes the timing Loans and Certain Note-Only Cases entity, or on whether the destination for reimbursement and the amount that city is served by regularly scheduled 7. In § 1965.13 revise introductory a candidate must reimburse a commercial service. The proposed rules corporation or labor organization for the paragraph (d) to read as follows: would apply to all Federal candidates use of a private airplane or other means including publicly funded presidential § 1965.13 Consent by partial release or of transportation, but does not address otherwise to sale, exchange or other candidates. No final decisions have means of travel furnished by disposition of a portion of or interest in been made by the Commission on any security, except leases. of the proposed revisions in this Notice. individuals, partnerships, and other entities. The current rules in section * * * * * Further information is provided in the (d) Appraisals. A new appraisal report supplementary information that follows. 114.9(e) are also not fully consistent for the security to be transferred or DATES: Comments must be received on with the Commission’s treatment of released will be obtained in accordance or before September 19, 2003. If the similar travel by presidential and vice- with § 761.7 of this title as necessary to Commission receives sufficient requests presidential candidates using protect the financial interests of the to testify, it will hold a hearing on these government-provided transportation Government or when the transaction proposed rules on October 1, 2003, at under 11 CFR 9004.7 and 9034.7.

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I. Proposed 11 CFR 100.93 Payment for licensed to offer commercial service for CFR part 298, which exempts them from Travel by Airplane and Other Means of travel in connection with a Federal certain requirements that would be Transportation election.’’ One district court found this otherwise required under 14 CFR part wording to be ambiguous. In this case, 135. Certain other aircraft are also A. Proposed Replacement of 11 CFR a presidential candidate claimed that permitted to serve as common carriers 114.9(e) With Proposed 11 CFR 100.93 the regulation applied to all travel on and offer passenger service for The Commission proposes several airplanes except airplanes owned or compensation under 14 CFR parts 121 changes to the candidate travel rules leased by a corporation or labor and 129. Each of the FAA certifications currently set forth at 11 CFR 114.9(e). organization possessing a license for focuses mainly on the technical While 11 CFR part 114 focuses on travel in connection with a Federal specifications and safety requirements corporate and labor organization election. See Federal Election of the aircraft and crew. activity, and current 11 CFR 114.9(e)(2) Commission v. Arlen Specter ’96, 150 F. Aircraft operating under 14 CFR part focuses on means of travel owned or Supp. 2d 797, 804 and 808 (E.D. Pa. 91 certification are not usually leased by corporations or labor 2001). The Court noted that no such permitted to accept any form of organizations, the Commission seeks to license existed and ultimately deferred payment or reimbursement from broaden the rules to include airplanes to the Commission’s longstanding passengers, but a special FAA exception and other means of travel owned by determination that 11 CFR 114.9(e) permits Federal candidates to reimburse persons other than corporations and applies to airplanes owned by the owners of such aircraft for the use labor organizations. The Commission corporations or labor organizations not of planes pursuant to the Commission’s recognizes that in most cases the means engaged in the business of providing regulations. See 14 CFR 91.321.2 The of travel used for campaign trips is commercial air service generally, Commission therefore intends its likely to be owned or leased by a without regard to any connection with regulations in proposed 11 CFR 100.93 corporation or labor organization, but a Federal election. Id. at 812. to apply only to airplanes not notes that the current section heading In order to remove this perceived authorized to conduct operations in air for 11 CFR 114.9, ‘‘Use of corporate and ambiguity, the Commission proposes transportation as a common carrier (e.g., labor organization facilities and means further clarification of the class of 14 CFR parts 91 or 125), while the of transportation,’’ would not accurately airplanes affected. As noted above, current regulations at 11 CFR 100.52 convey the scope of the proposed travel proposed 11 CFR 100.93 would apply to would apply to all airplanes operated rules encompassing airplanes and other service providers depending on whether pursuant to other certifications that do means of transportation owned by the airplane is or is not ‘‘normally permit carriage of passengers for individuals, partnerships, or other operated for commercial passenger compensation. Proposed 11 CFR 100.93, entities. Therefore, the Commission service,’’ rather than whether the owner however, would focus on the normal proposes deleting the reference to of the airplane is ‘‘licensed to offer use of the airplane, rather than the ‘‘means of transportation’’ from the title commercial service for travel in operating certificate possessed by its of 11 CFR 114.9, removing and reserving connection with a Federal election.’’ owner, to avoid the need for title and paragraph (e) of 114.9, and relocating The Commission notes that certification checks. The Commission the substance of the travel commercial and non-commercial air seeks comment on whether the type of reimbursement rules to a new section. travel is subject to the authority of the certification with the FAA, or some To accommodate the broadened scope Department of Transportation (DOT) other method, should be used to of the travel reimbursement rules, the and various certifications of the Federal determine whether an airplane is Commission proposes adding new Aviation Administration (FAA). Aircraft normally operated for commercial section 100.93 to the enumerated are permitted to operate pursuant to passenger service such that a normal exceptions to the definition of various FAA safety certifications based and usual rate for that passenger service ‘‘contribution’’ in 11 CFR part 100, generally on passenger capacity, route could be readily and accurately subpart C. This new section would frequency, and type of service offered. ascertained. describe circumstances in which the use Private aircraft not offering commercial As noted above, the current rule of a private means of transportation not passenger service operations normally distinguishes between the use of owned or leased by candidates or their operate under certification provided airplanes owned or leased by a authorized committees would not be pursuant to either 14 CFR parts 91 or corporation or labor organization 1 licensed to offer commercial services for contributions, much like current 125. Some airlines receive certificates travel, and airplanes that are owned by § 100.52 (also in subpart C), which of public necessity and convenience to other corporations or labor describes when the use of commercial operate commercial passenger service as organizations not normally engaged in transportation is or is not a contribution. common carriers within specified commercial air passenger service. This Proposed § 100.93 would be based on domestic locations pursuant to 14 CFR distinction requires an examination of the current 11 CFR 114.9(e), with the part 135. Other common carriers, such the plane’s ownership or lease structure organizational and substantive changes as commercial air taxi service and on- to determine the proper reimbursement described below. demand charter service, are permitted to operate under special certification in 14 timing and amount. The Commission is B. Proposed 11 CFR 100.93(a) Scope concerned that the ownership and Definitions 1 Aircraft operating pursuant to certification determination may add unnecessary under 14 CFR parts 91 or 125 are not permitted to confusion to the payment process and is 1. Proposed Paragraph (a)(1) Scope operate as common carriers, meaning that they proposing to shift the focus of the rule cannot hold themselves out to the public as Proposed paragraph (a)(1) would providing passenger service for compensation. See away from whether the airplane’s owner define the scope of the rules and clarify 14 CFR 119.1(a) (establishing additional base is a corporation or labor organization any perceived ambiguity regarding the requirements in excess of the 14 CFR part 91 scope of the current 11 CFR 114.9(e)(1). requirements for all air carriers and commercial 2 Aircraft operating under 14 CFR part 125 The current rule focuses on the use of operators that serve as common carriers) and 14 certification are similarly prohibited from operating CFR 125.1(a) (applies to aircraft with a seating as common carriers, but there is no similar general airplanes owned by corporations or capacity of 20 or more persons, but only where prohibition on the acceptance of payment from labor organizations that ‘‘are not common carriage is not involved). passengers to warrant an identical exception.

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and onto the normal use of the airplane. a candidate or other campaign traveler generally require that the candidate’s The proposed rules would therefore receives an in-kind contribution when authorized committee, rather than the apply not only to airplanes owned by he or she is provided commercial campaign traveler, pay the service corporations or labor organizations, but transportation without charge or at a provider to avoid receiving or accepting also to airplanes owned by any charge that is less than the usual and a contribution. The campaign traveler ‘‘person,’’ as defined at 11 CFR 100.10, normal charge for that transportation. could pay the service provider directly as well as airplanes owned by the Proposed § 100.93(a) would include a for his or her own travel rather than Federal government or a State or local cross-reference to 11 CFR 100.52(a) and having the campaign committee do so. government. (d) to affirm the continued application Such payment would constitute an in- An alternative approach, which is not of these rules to providers of kind contribution by the campaign incorporated into the proposed rules, commercial transportation. traveler to the candidate, unless it would be to focus the distinction on qualifies for the transportation expense 2. Proposed Paragraph (a)(2) Definitions whether the service provider is a exception set forth in 11 CFR 100.79. ‘‘commercial vendor,’’ as defined in 11 Proposed paragraph (a)(2) would In light of the fact that the current CFR 116.1(c), with respect to the define several terms used in new rules at 11 CFR 114.9(e) are limited to transportation services. This approach § 100.93. The term ‘‘campaign traveler’’ airplanes owned by corporations or would continue to require an would be defined to provide a succinct labor organizations, payment is required examination of the ownership structure term covering the candidate, candidate’s because the unpaid use of the airplanes of service provider. Relying on the term agent, or other individual traveling on would constitute a contribution in ‘‘commercial vendor’’ could also lead to behalf of a candidate or a candidate’s violation of 2 U.S.C. 441b. In contrast, a different result in certain authorized committee. ‘‘Service individuals, partnerships, and certain circumstances. For example, provider’’ would describe the person or other persons are permitted to make in- Commercial Airline A owns a specially entity providing the transportation to kind contributions to candidates up to configured jet that is reserved for its the campaign traveler. Given the the amounts set forth in 2 U.S.C. 441a. corporate executives and offers the use complex ownership and leasing Thus, a campaign traveler may use an of that jet to Candidate B. Under the arrangements often associated with airplane provided by someone ‘‘commercial vendor’’ alternative, airplanes and other means of permitted to make an in-kind Commercial Airline A would likely transportation, a ‘‘service provider’’ may contribution, and this use would be an qualify as a ‘‘commercial vendor’’ of be either the owner of the conveyance in-kind contribution. Proposed transportation services, meaning that 11 or a different person who is leasing the 100.93(b)(2) would recognize this CFR 100.52(d), rather than 11 CFR conveyance from the owner and making possibility by describing when a service 100.93, would govern the it available for the campaign traveler’s provider would be making an in-kind reimbursement requirements for use. contribution. For an in-kind Candidate B’s travel on the jet. This Under proposed paragraph (a)(2), the contribution to be permissible, however, result would require Candidate B to term ‘‘unreimbursed value’’ would be the candidate’s authorized committee calculate the ‘‘usual and normal rate’’ defined as the portion of the value must comply with the payment for the use of the jet under 11 CFR provided to the campaign traveler, conditions in proposed 11 CFR 100.93. 100.52(d)(2), which could be difficult to calculated according to the rules in this If these conditions are not met, then the ascertain because passengers on the jet section, that is not reimbursed by the provision of the airplane would be are not normally charged any fee. candidate’s authorized committee. A prohibited if the service provider is a However, under the proposed ‘‘not late payment would not qualify as a corporation or labor organization, or if normally operated for commercial reimbursement under this section, the value of the service would, when passenger service’’ approach, Candidate which means that the value of the added to other contributions to the same B’s use of the jet would be governed by service provided would be an in-kind candidate by the service provider, proposed § 100.93, not § 100.52, and the contribution to the candidate. By exceed that service provider’s proper reimbursement could be contrast, a service provider would not contribution limit. See proposed 11 CFR calculated by referring to first-class or make an in-kind contribution if the 100.93(b)(2). The value of the in-kind charter rates to that destination. candidate’s authorized committee contribution would be determined in The Commission seeks comments on provides payment within the time the same manner as the amount of the broadening the coverage of these travel specified in this proposed section. The reimbursement would normally be rules from corporations and labor Commission seeks comments on each of determined under proposed paragraphs organizations to any ‘‘person’’ or these definitions. (c), (d) or (e) of new section 100.93. government, as well as the proposed The Commission recognizes that this C. 11 CFR 100.93(b) General Rule shift in focus from the ownership of the approach could, in some cases, require airplane to the normal use of the Proposed § 100.93(b) would set forth the same type of ownership analysis airplane. the general rule for when travel by that otherwise would be avoided by the The scope of proposed § 100.93, private means of transportation would proposed rules. This analysis, however, however, would be limited to non- not constitute a contribution to a would no longer be a necessary step in commercial means of transportation. A candidate or authorized committee, as every circumstance because it would be campaign traveler using a commercial well as when and to what extent such employed only where the airplane’s airline or other means of commercial travel is an in-kind contribution. Under provider elects not to seek full or partial transportation would continue to be proposed paragraph (b)(1), a candidate’s reimbursement from the candidate’s subject to the more general definition in authorized committee would not receive authorized committee, or when the 11 CFR 100.52, which categorizes ‘‘the or accept a contribution if the committee fails to reimburse the service provision of any goods or services authorized committee pays the service provider. The Commission seeks without charge or at a charge that is less provider the full value of the comments on whether reimbursement than the usual and normal charge for transportation within the specified time, should always be required, regardless of such goods or services’ as an ‘‘in-kind as determined in this proposed section. the ownership of the airplane, or contribution.’’ 11 CFR 100.52(d). Thus, This proposed paragraph would whether the possibility of an in-kind

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contribution from a permissible source that airplane returns empty to Nevada, service but not regularly scheduled first- should be addressed in some other should that candidate’s authorized class airline service. This distinction for fashion. committee be required to pay the coach service would accommodate expenses associated with the Nevada-to- industry trends and is based on the D. Proposed 11 CFR 100.93(c) Travel by California and Virginia-to-Nevada current rules governing presidential Airplane flights? If so, should each of these candidates’ payments for the use of When a candidate or other campaign positioning or ‘‘deadhead’’ flights be government aircraft. See 11 CFR passenger uses an airplane owned by a determined in the same manner as 9004.7(b)(5)(i)(B) and 9034.7(b)(5)(i)(B). person who is not in the business of described in the three alternative Please note, however, that if the actual providing commercial air travel, the payment schemes below, or by using destination is an airport that is not current rules set the rate of some other method? served by any regularly scheduled reimbursement at either the first-class commercial air service, and the closest airfare or the normal charter rate, 1. Alternative A: Payment Based on airport is served by regularly scheduled depending on whether a destination city First-Class Airfare coach airline service but not regularly is served by regularly scheduled Alternative A would set the payment scheduled first-class airline service, the commercial air service. 11 CFR rate, for each individual traveling for proposed reimbursement amount would 114.9(e)(1). The charter rate, which is campaign purposes, at the amount of the still be the lowest non-discounted first- normally higher than first-class airfare lowest non-discounted first-class airfare class airfare for the closest airport that to an airport in the same area, represents to the closest airport that has such is served by regularly scheduled first- the actual cost that a campaign would service, regardless of whether the actual class airline service and not the coach incur, but for the use of the corporate or destination airport is served by regularly fare for the closest airport. labor airplane, to reach a particular scheduled commercial air service. The In addition, Alternative A would destination by air when that destination proposed rule would focus on the eliminate the advance payment is not served by commercial air service. closest destination airport, rather than requirement in 11 CFR 114.9(e)(1). Nevertheless, the Commission the destination city, to avoid further Currently, because payment must be recognizes that candidates who confusion in light of the various made prior to travel, the campaign must campaign in major metropolitan areas geographic considerations discussed in provide a check in advance to the that have regularly scheduled airline Advisory Opinion (‘‘AO’’) 1999–13.3 corporation to cover a certain number of service will generally be able to use a Because airfares may vary based on the passengers. If last minute passengers are private plane and reimburse only the date of travel, the rate used in not paid for prior to boarding the equivalent of a first-class airfare, calculating the payment amount would airplane, the campaign has failed to whereas the candidates who campaign have to correspond to the date of actual comply with the requirements of current in more rural areas that have little, if travel. The Commission seeks comments 11 CFR 114.9(e)(1), regardless of how any, commercial air service would be on how precisely the base rate should promptly the campaign subsequently required to reimburse the equivalent correspond to the actual date of travel. makes an after-the-fact reimbursement. charter rate. The Commission is For example, some airlines or charter However, where candidates use other concerned that the current companies may set a base rate for tickets means of transportation addressed in 11 reimbursement scheme might be purchased over a month in advance of CFR 109.2(e)(2), last minute passengers unnecessarily complex and negatively the travel date that is different than the do not cause the same complications affects campaigning in rural areas. price of the same ticket when purchased because the reimbursement may be To address these concerns, the on the date of travel. Should a campaign made ‘‘within a commercially Commission seeks comments on three reasonable time,’’ rather than in alternative reimbursement rules in be permitted to use the normal advance ticket price when calculating the advance, so that the number of proposed 11 CFR 100.93(c), as well as passengers is settled at the time the any other appropriate payment schemes. comparable base rate as required in proposed § 100.93, or should a reimbursement is made. The Commission also seeks comments Alternative A would address this campaign be required to calculate the on whether and how it should further disparate treatment by allowing a fixed comparable rate based on purchase on a simplify the rules and address other period of seven calendar days for fixed date or period, such as the actual inequities, if any, arising from the payment after travel has begun. This date of travel or the lowest price within current application of 11 CFR 114.9(e) seven-day period would be shorter than seven days of the travel date? or the changes proposed for § 100.93. the thirty-or-sixty day period used for In addition, the Commission notes Alternative A would also allow an other forms of transportation, see below, that many charter services charge a authorized committee to reimburse the because under Alternative A the traveler for ‘‘deadhead miles,’’ those provider of a private airplane at the campaign would have complete control miles the airplane travels empty while coach rate to the destination airport over the timing of the reimbursement as returning to its home base after a one- where the same airport is served by all the necessary passenger information way flight. In some cases, charter regularly scheduled coach airline and costs would be fixed at the time the services also require compensation for airplane departs. Thus, it should be 3 In AO 1999–13, the Commission recognized that positioning costs for airplanes based particular destination cities might be serviced by possible for the candidate’s authorized many miles from the pickup and drop- several airports in the surrounding region. In that committee to calculate the proper off points. The Commission therefore advisory opinion, the Commission determined that reimbursement rate without a billing or seeks comments on how, if at all, the an airport need not be within the corporate limits invoice process to cause delay. of a city in order for that city to be considered three alternative payment schemes ‘‘served by regularly scheduled commercial air The Commission recognizes that the should account for these expenses service.’’ The Commission further agreed that it was removal of the advance payment rule associated with the positioning of the reasonable for the requestor to determine whether could be perceived as a departure from airplane or ‘‘deadhead miles.’’ For a city is served by a particular airport through the previous approach under which reference to published sources such as a FAA example, when a candidate travels one- directory or a corporate directory regarded at the corporations are prohibited from way from California to Virginia on a time as the charter industry’s standard reference for extending credit outside the ordinary private airplane based in Nevada and airports. course of their business. See 11 CFR

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part 116. While the creation of a fixed charter rate for a similar airplane. The invoice will be rendered to the post-travel time period for valuation of travel to airports not served campaign promptly. Any extensions of reimbursement in these circumstances by regularly scheduled commercial credit resulting from payments not is technically an extension of credit, the airline service would therefore differ being made within the sixty-day period Commission nevertheless seeks from the valuation in proposed would be considered in-kind comments on the potential paragraph (c)(3) of Alternative A, which contributions to the candidate and consequences of the proposed rule with would value such travel at the amount would therefore result in a violation of respect to the use of an airplane owned of the first-class rate to the nearest the Act and Commission regulations by a corporation or labor organization airport. For the same reasons discussed where such contributions are prohibited where reimbursement does not occur in above for Alternative A, the candidate’s or excessive. The payment rate would advance. The Commission also seeks authorized committee would be be set at the usual and normal fare or comments on whether the advance required to make the proper payment rental readily available to the general payment requirement should be within seven calendar days of the public at the time of travel. retained and what, if any, other departure date. F. Proposed 11 CFR 100.93(e) reimbursement timetables would be 3. Alternative C: Payment Based on Government Conveyances appropriate. Charter Rate Paragraph (e) of proposed 11 CFR 2. Alternative B: Payment Based on a Alternative C would establish a 100.93 would clarify the appropriate Combination of First-Class Airfare and uniform rule by requiring the payment payment for travel using any means of Charter Rate amount to be the normal and usual cost transportation, including an airplane, Alternative B would provide for two of chartering a plane of sufficient size to that is owned or leased by the Federal different payment rates, following accommodate all campaign travelers government or any State or local closely the travel valuation rules set plus the news media and security government. For government airplanes, forth in the ethics rules for the House of personnel where applicable. This one of the three alternatives described Representatives and the United States payment rate would depend on the rate above would be used. For other means Senate. See Select Committee on Ethics, for chartering the entire plane, rather of travel, a campaign traveler using a U.S. Senate, Senate Ethics Manual, S. than a per-passenger cost, and would government conveyance would have to Pub. No. 108–1 (2003), ‘‘Private Air not vary based on whether the reimburse the government entity within Travel’’ at p. 60; Committee on destination airport is served by regularly thirty calendar days of the receipt of an Standards of Official Conduct, U.S. scheduled commercial air service of any invoice, but no later than sixty calendar House of Representatives, Rules of the particular class. Alternative C could days following the date on which travel U.S House of Representatives on Gifts provide a more accurate reflection of the commenced. The required payment rate and Travel (2001), ‘‘Use of Private true value of the use of a private or would be the amount of the usual fare Aircraft for Travel’’ available at . The first the entire plane and the addition of last G. Proposed 11 CFR 100.93(f) Reporting rate, in proposed paragraph (c)(1) of minute travelers would not increase the Proposed paragraph (f)(1) of 11 CFR Alternative B, would apply to cost, the payment amount would be 100.93 would refer candidates and their previously scheduled flights, as known prior to the time of departure. authorized committees to the existing opposed to flights specifically Thus, the Commission would continue reporting requirements for the receipt of scheduled for a campaign traveler, to require advance payment for the use an in-kind contribution. Under 11 CFR between cities with regularly scheduled of all airplanes not normally used for 104.13, a candidate must report the air service. The payment rate for these commercial passenger service. To the amount of unreimbursed value for travel trips would be the normal cost of first- extent that Alternative C would increase services as both the receipt of a class airfare between the cities. Thus, the cost of candidate travel when contribution from the service provider travel between airports served by private airplanes are used, should the and an expenditure by the candidate regularly scheduled air service would be Commission consider such a factor committee. treated similarly under both Alternative when it evaluates appropriate In addition, a candidate’s authorized A and Alternative B, except that reimbursement rates? committee would be required to record Alternative B would not permit the first- the travel dates along with the report of E. Proposed 11 CFR 100.93(d) Other class airfare amount where the airplane the disbursement for repayment of the Means of Transportation is chartered specifically for the travel service. Under proposed campaign traveler’s use. Both The Commission proposes a set paragraph (f)(2) of §100.93, the Alternative A and Alternative B would period of time for payment of travel by Commission would require the permit payment at the coach rate where means other than by airplane: thirty authorized committee to report the coach service is regularly scheduled on calendar days from the receipt of the actual date of travel in the ‘‘purpose of the same route, but would not permit invoice, but no more than sixty calendar disbursement’’ field corresponding to campaigns to pay the lower amount for days following the date the travel the disbursement. discounted fares such as ‘‘supersavers,’’ commenced. See proposed 11 CFR ‘‘e-savers,’’ or a government rate. 100.93(d). This fixed deadline would H. Proposed 11 CFR 100.93(g) Under proposed paragraph (c)(2) of add more clarity and certainty than the Recordkeeping Alternative B, the Commission would current rule’s reference to a Presidential and vice-presidential require the amount of payment for other ‘‘commercially reasonable’’ period, but candidates are currently required to air travel, including flights specifically would retain the flexibility necessary to maintain records documenting the rates scheduled for a campaign traveler or account for costs that cannot be used in calculating their travel flights where the origin or destination calculated until the completion of travel reimbursements. 11 CFR 9004.7(b)(5)(v) city is not served by regularly scheduled or shortly thereafter. The sixty-day and 9034.7(b)(5)(v). Under proposed 11 air service, to be no less than the normal cutoff would help to ensure that the CFR 100.93(g), these recordkeeping

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requirements would apply to other presidential and vice-presidential 11 CFR Part 106 candidates. candidates aboard government Campaign funds, political committees conveyances. Minor changes would be II. Proposed Revisions to 11 CFR and parties, political candidates. made to the wording in paragraphs 106.3(e) Reportable Expenditure for a (b)(5)(i) through (iv) in sections 9004.7 11 CFR Part 114 Candidate Who Uses Government and 9034.7 to clarify that the required Conveyance for Campaign Related Business and industry, elections, reimbursement rate is a floor, not a Travel labor. ceiling on how much the candidate may Candidates who use government reimburse, in order to permit a 11 CFR Part 9004 conveyance or accommodations for candidate to pay at a higher rate when Campaign funds. campaign-related travel are currently required by other government agencies 11 CFR Part 9034 required to report an expenditure in the or branches. The Commission seeks amount equivalent to the ‘‘rate for comment on this approach and the Campaign funds, reporting and comparable commercial conveyance or proposed revisions to 11 CFR 9004.7 recordkeeping requirements. accommodation.’’ 11 CFR 106.3(e). To and 9034.7. For the reasons set out in the eliminate disparities between campaign- preamble, the Federal Election related travel on private planes and V. Other Travel Issues Commission proposes to amend travel on government planes, the While the various approaches in the subchapters A, E, and F of chapter 1 of Commission proposes revising 11 CFR proposed rules may at times overstate or title 11 of the Code of Federal 106.3 by replacing the reference to the understate the actual cost or value of the Regulations as follows: ‘‘rate of comparable commercial air transportation service provided, the conveyance’’ with a reference to the Commission anticipates that over time PART 100—SCOPE AND DEFINITIONS applicable rates for travel the costs will even out so that the actual (2 U.S.C. 431) reimbursement set forth in proposed 11 disparity, if any, will be minor. The 1. The authority citation for part 100 CFR 100.93(c) and (d). Both the proposed rules are premised on the would continue to read as follows: reimbursement rates and the payment belief that an across-the-board approach due dates in proposed 11 CFR 100.93 to determining air travel costs is Authority: 2 U.S.C. 431, 434, and would be applicable to travel by advisable, both for ease of compliance 438(a)(8). 2. Section 100.93 would be added to airplane and other means of travel, and for ease of administration. subpart C of part 100 to read as follows: whether owned by an individual, Nevertheless, the Commission corporation, labor organization, recognizes that situations may arise that § 100.93 Travel by airplane or other means partnership, the Federal government, a would not be readily addressed by the of travel. State government, or any other person. proposed rules. The Commission is (a) Scope and definitions. The Commission seeks comment on this therefore seeking comments describing (1) This section applies to all approach and the proposed revisions to how, if at all, some of these situations campaign travelers who use an airplane, 11 CFR 106.3(e). should be addressed in the rules. or other means of transportation that is III. Proposed Revisions to 11 CFR Certification of No Effect Pursuant to 5 not normally operated for commercial 9004.7(b) and 9034.7(b) Payment for U.S.C. 605(b) passenger service. See 11 CFR 100.52(a) Travel on Government Conveyances by and (d) for treatment of transportation Publicly Funded Presidential [Regulatory Flexibility Act] services that are normally operated for Candidates The attached proposed rules, if commercial passenger service. promulgated, would not have a (2) For the purposes of this section, The current regulations at 11 CFR the following terms are defined as 9004.7(b) and 9034.7(b) govern travel on significant economic impact on a substantial number of small entities. follows: government conveyance by primary and Campaign traveler means a candidate, general election presidential and vice- The basis for this certification is that few, if any, small entities would be candidate’s agent, or other individual presidential candidates receiving federal traveling on behalf of a candidate or funding. The two rules are virtually affected by these proposals, which apply only to Federal candidates and candidate’s authorized committee. identical and require the presidential or Service provider means the owner of their campaign committees. Federal vice-presidential candidate to pay the an airplane or other conveyance, or a candidates and their campaign appropriate government entity at one of person who leases an airplane or other committees are not small entities. To the several specified rates. These rates are conveyance from the owner, and uses extent that operators of air-taxi services established in largely the same manner the airplane or other conveyance to or on-demand air charter services are as the reimbursement rates set forth in provide transportation to a campaign affected, the effect would result from the current 11 CFR 114.9(e). The traveler. Commission proposes revising 11 CFR candidate travel choices rather than Unreimbursed value means the 9004.7(b)(5)(i) and (8) and Commission requirements. These rules difference between the actual value of 9034.7(b)(5)(i) and (8) to replace the propose no sweeping changes, and are the service provided, as set forth in this parallel rate determinations in those largely intended to simplify the process section, and the amount of payment for rules with a reference to the of determining payment and allocation that service by the campaign traveler to reimbursement rates that would be set ratios and reimbursement rates. The the service provider within the time forth in proposed 11 CFR 100.93. As proposed rules would not increase the limits set forth in this section. A with the valuation of travel on cost of compliance by small entities so payment that is not made within the government conveyances by non- as to cause a significant economic time limits set forth in this section is not presidential or vice-presidential impact. a reimbursement for the purposes of this candidates in 11 CFR 106.3(e), the List of Subjects section. reimbursement rates in proposed 11 (b) General rule. CFR 100.93 would serve as the 11 CFR Part 100 (1) No contribution results from travel applicable valuation of travel by Elections. by airplane, or other means of

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transportation, by a campaign traveler, if no discount fares, such as ‘‘supersaver’’ of travel for which the disbursement is the candidate’s authorized committee fares, will be used for valuation made in the ‘‘purpose of disbursement’’ reimburses the service provider, within purposes. field. the required time, for the full value of (2) In the case of a flight scheduled (g) Recordkeeping. the transportation as provided in this specifically for the use of a campaign (1) For travel by airplane, the section. traveler, or when the route does not candidate’s authorized committee shall (2) Except as provided in 11 CFR have regularly scheduled commercial maintain documentation of the lowest 100.79, the unreimbursed value of the air service, the cost of chartering the unrestricted nondiscounted air fare for transportation provided to a campaign same or a similar airplane for that flight. the time traveled, including the airline, traveler, as determined in paragraphs (c) If campaign travelers for more than one flight number and travel service or (d) of this section, is an in-kind candidate are traveling together between providing that fare or the charter rate, as contribution from the service provider cities with no regularly scheduled appropriate. to the candidate. service, then each candidate’s (2) For travel by other conveyances, authorized committee must pay its the candidate’s authorized committee [Alternative A] proportionate share of the cost of the shall maintain documentation of the (c) Travel by airplane. If a campaign charter. commercial fare or rental charge for a traveler uses an airplane that is not conveyance of sufficient size, including normally operated for commercial [Alternative C] the service provider and the size, model passenger service, the candidate’s (c) Travel by airplane. If a campaign and make of the conveyance. authorized committee must pay the traveler uses an airplane that is not service provider, no later than seven (7) normally operated for commercial PART 106—ALLOCATIONS OF calendar days after the date the flight passenger service, the candidate’s CANDIDATE AND COMMITTEE began, the following amount: authorized committee must pay the ACTIVITIES (1) In the case of travel to an airport service provider, in advance, the usual 3. The authority citation for part 106 served by regularly scheduled first-class commercial charter rate for an airplane would continue to read as follows: commercial airline service, the lowest sufficient in size to accommodate the unrestricted and non-discounted first- campaign-related travelers, including Authority: 2 U.S.C. 438(a)(8), 441a(b), class air fare available for time traveled; the candidate, news media, and security 441a(g). or personnel. 4. Section 106.3 would be amended (2) In the case of an airport served by (d) Other means of transportation. If by revising paragraph (e) to read as regularly scheduled coach airline a campaign traveler who uses any other follows: service, but not regularly scheduled means of transportation, including an first-class commercial airline service, automobile, train, or helicopter, the § 106.3 Allocation of expenses between campaign and non-campaign related travel. the lowest unrestricted and non- candidate’s authorized committee must discounted coach commercial air fare reimburse the service provider within * * * * * for the time traveled; or thirty (30) calendar days after the date (e) Notwithstanding paragraphs (b) (3) In the case of travel to an airport of receipt of the invoice for such travel, and (c) of this section, the reportable not served by regularly scheduled but not later than sixty (60) calendar expenditure for a candidate who uses commercial airline service, the lowest days after the date the travel began, at government conveyance for travel that is unrestricted first-class airfare, for the the normal and usual fare or rental campaign-related is the applicable rate time traveled, to the airport: charge readily available to the general set forth in 11 CFR 100.93(c) or (d). The (i) With regularly scheduled first-class public for time traveled. reportable expenditure for a candidate commercial service; and (e) Government conveyances. who uses government accommodations (ii) That is closest to the airport (1) If a campaign traveler uses an for travel that is campaign-related is the actually used. airplane that is provided by the Federal rate for comparable commercial accommodation. In the case of a [Alternative B] government, or by a State or local government, the candidate’s authorized candidate authorized by law or required (c) Travel by airplane. If a campaign committee must pay the governmental by national security to be accompanied traveler uses an airplane that is not entity in accordance with paragraph (c) by staff and equipment, the allocable normally operated for commercial of this section. expenditures are the costs of facilities passenger service, the candidate’s (2) If a campaign traveler uses a sufficient to accommodate the party, authorized committee must pay the conveyance, other than an airplane, that less authorized or required personnel service provider, no later than seven (7) is provided by the Federal government, and equipment. If such a trip includes calendar days after the date the flight or by a State or local government, the both campaign and noncampaign stops, began, the following amount: candidate’s authorized committee must equivalent costs are calculated in (1) In the case of travel via a reimburse the government entity in accordance with paragraphs (b) and (c) previously or regularly scheduled flight accordance with paragraph (d) of this of this section. by the owner or operator of the airplane, section. where the cities between which the (f) Reporting. PART 114—CORPORATE AND LABOR campaign traveler is flying have (1) In accordance with 11 CFR 104.13, ORGANIZATION ACTIVITY regularly scheduled commercial air a candidate’s authorized committee 5. The authority citation for part 114 service (regardless of whether such must report the receipt of an in-kind would continue to read as follows: service is direct), the cost of a first-class contribution and the making of an ticket from the point of departure to the expenditure under paragraph (b)(2) of Authority: 2 U.S.C. 431(8)(B), 431(9)(B), destination. If only coach service is this section. 432, 434, 437d(a)(8), 438(a)(8), and 441b. available between those points, the (2) When reporting a disbursement for 6. Section 114.9 would be amended amount is the coach rate. If more than travel services in accordance with this by revising the section title and one first-class or coach rate is available, section, a candidate’s authorized removing and reserving paragraph (e) to the amount is the lowest fare. However, committee must report the actual dates read as follows:

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§ 114.9 Use of corporate or labor charter rate, as appropriate. For travel (v) For travel by airplane, the organization facilities. by other conveyances, the committee committee shall maintain * * * * * shall maintain documentation of the documentation of the lowest (e) [Removed and reserved] commercial rental rate for a conveyance unrestricted nondiscounted air fare of sufficient size, including the provider available for the time traveled, PART 9004—ENTITLEMENT OF of the conveyance and the size, model including the airline, flight number and ELIGIBLE CANDIDATES TO and make of the conveyance. travel service providing that fare or the PAYMENTS; USE OF PAYMENTS * * * * * charter rate, as appropriate. For travel 7. The authority citation for Part 9004 (8) Travel on private airplanes and by other conveyances, the committee would continue to read as follows: other conveyances not normally shall maintain documentation of the operated for commercial passenger commercial rental rate for a conveyance Authority: 26 U.S.C. 9004 and 9009(b). service is governed by 11 CFR 100.93. of sufficient size, including the provider 8. Section 9004.7 would be amended * * * * * of the conveyance and the size, model by revising paragraphs (b)(5) and (b)(8) and make of the conveyance. to read as follows: PART 9034—ENTITLEMENTS * * * * * § 9004.7 Allocation of travel expenditures. 9. The authority citation for part 9034 (8) Travel on private airplanes and would continue to read as follows: other conveyances not normally * * * * * operated for commercial passenger (b) * * * Authority: 26 U.S.C. 9034 and 9039(b). service is governed by 11 CFR 100.93. (5) Payment for use of government 10. Section 9034.7 would be amended conveyances and accommodations. Dated: August 18, 2003. (i) If any individual, including a by revising paragraphs (b)(5) and (b)(8) Michael E. Toner, to read as follows: candidate, uses a government airplane Commissioner, Federal Election Commission. for campaign-related travel, the § 9034.7 Allocation of travel expenditures. [FR Doc. 03–21463 Filed 8–20–03; 8:45 am] candidate’s authorized committee shall * * * * * BILLING CODE 6715–01–P pay the appropriate government entity (b) * * * an amount not less than the applicable (5) Payment for use of government rate set forth in 11 CFR 100.93(c). conveyances and accommodations. FEDERAL ELECTION COMMISSION (ii) If a government airplane is flown (i) If any individual, including a to a campaign-related stop where it will candidate, uses a government airplane 11 CFR Parts 102 and 110 pick up passengers, or from a campaign- for campaign-related travel, the [Notice 2003–13] related stop where it left off passengers, candidate’s authorized committee shall the candidate’s authorized committee pay the appropriate government entity Multicandidate Committees and shall pay the appropriate government an amount not less than the applicable Biennial Contribution Limits entity an amount not less than the rate set forth in 11 CFR 100.93(c). greater of the amount billed or the (ii) If a government airplane is flown AGENCY: Federal Election Commission. amount required under 11 CFR to a campaign-related stop where it will ACTION: Notice of proposed rulemaking. 100.93(c) for one passenger. pick up passengers, or from a campaign- SUMMARY: The Federal Election (iii) If any individual, including a related stop where it left off passengers, Commission requests comments on candidate, uses a government the candidate’s authorized committee proposed changes to its rules covering conveyance, other than an airplane, for shall pay the appropriate government three areas: (1) Multicandidate political campaign-related travel, the candidate’s entity an amount not less than the committee status, (2) annual authorized committee shall pay the greater of the amount billed or the contributions by persons other than appropriate government entity an amount required under 11 CFR multicandidate committees to national amount not less than the commercial 100.93(c) for one passenger. party committees, and (3) biennial rental rate for a conveyance sufficient in (iii) If any individual, including a contribution limits for individuals. The size to accommodate the campaign- candidate, uses a government proposed changes would clarify the related travelers, including the conveyance, other than an airplane, for qualifications for multicandidate candidate, plus the news media and the campaign-related travel, the candidate’s political committee status and require a Secret Service. authorized committee shall pay the (iv) If any individual, including a appropriate government entity an political committee to notify the candidate, uses accommodations, amount not less than the commercial Commission when it has qualified as a including lodging and meeting rooms, rental rate for a conveyance sufficient in multicandidate committee. The during campaign-related travel, and the size to accommodate the campaign- proposed changes would also update accommodations are paid for by a related travelers, including the the limit on contributions from persons government entity, the candidate’s candidate, plus the news media and the other than multicandidate committees authorized committee shall pay the Secret Service. to national party committees. In appropriate government entity an (iv) If any individual, including a addition, the proposed changes would amount not less than the usual and candidate, uses accommodations, adjust the attribution of contributions to normal charge for the accommodations, including lodging and meeting rooms, candidates from individuals under the and shall maintain documentation during campaign-related travel, and the biennial limits. No final decisions have supporting the amount paid. accommodations are paid for by a been made by the Commission on any (v) For travel by airplane, the government entity, the candidate’s of the proposed revisions in this Notice. committee shall maintain authorized committee shall pay the Further information is provided in the documentation of the lowest appropriate government entity an SUPPLEMENTARY INFORMATION that unrestricted nondiscounted air fare amount not less than the usual and follows. available for the time traveled, normal charge for the accommodations, DATES: Comments must be received on including the airline, flight number and and shall maintain documentation or before September 19, 2003. If the travel service providing that fare or the supporting the amount paid. Commission receives sufficient requests

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to testify, it will hold a hearing on these amended (‘‘FECA’’ or the ‘‘Act’’), 2 Commission preliminarily concludes proposed rules on October 1, 2003, at U.S.C. 431 et seq. that the definition of ‘‘multicandidate 9:30 a.m. Commenters wishing to testify committee’’ in 2 U.S.C. 441a(a)(4) means I. Proposed Changes to 11 CFR 102.2, at the hearing must so indicate in their that a political committee becomes a 110.2 Multicandidate Committee written or electronic comments. multicandidate committee by operation Status of law, not committee choice. ADDRESSES: All comments should be Consequently the Commission proposes addressed to Ms. Mai T. Dinh, Acting A. Proposed 11 CFR 110.2— the addition of a sentence to 11 CFR Assistant General Counsel, and must be Contributions by Multicandidate 110.2(a) to state that a political submitted in either electronic or written Political Committees committee automatically becomes a form. Electronic mail comments should Section 110.2 sets forth contribution multicandidate committee at the time it be sent to [email protected] and limits for multicandidate political satisfies the six-month waiting period, must include the full name, electronic committees in accordance with the receives contributions from fifty or more mail address and postal service address limits established by 2 U.S.C. 441a(a)(2). contributors, and makes contributions to of the commenter. Electronic mail Section 441a(a)(4) of the FECA provides five or more candidates. comments that do not contain the full that, ‘‘the term ‘multicandidate In the alternative, the Commission name, electronic mail address and committee’ means a political committee seeks comments on whether postal service address of the commenter which has been registered with [the multicandidate political committee will not be considered. If the electronic Commission or Secretary of the Senate] status may be considered optional. mail comments include an attachment, for a period of not less than six months, Commenters addressing this alternative the attachment must be in the Adobe which has received contributions from are requested to provide the legal basis Acrobat (.pdf) or Microsoft Word (.doc) more than 50 persons, and except for that would support this interpretation of format. Faxed comments should be sent any State political party organization, 2 U.S.C. 441a(a)(4). Please note that the to (202) 219–3923, with printed copy has made contributions to 5 or more wording of the proposed rule in 11 CFR follow-up to ensure legibility. Written candidates for Federal office.’’ 2 U.S.C. 110.2(a) does not implement this comments and printed copies of faxed 441a(a)(4). On the basis of this statutory alternative. comments should be sent to the Federal provision, the Commission’s rules at 11 Election Commission, 999 E Street, CFR 1005.(e)(3) define a B. Proposed 11 CFR 102.2(a)(3)— NW., Washington, DC 20463. ‘‘multicandidate committee’’ as a Certification of Multicandidate Status Commenters are strongly encouraged to political committee meeting these three To monitor compliance with the submit comments electronically to requirements. contribution limits, the Commission has ensure timely receipt and consideration. FECA, prior to BCRA, provided required multicandidate political The Commission will make every effort significantly higher limits on committees to file FEC Form 1M with to post public comments on its Web site contributions to candidates for political the Commission to certify that they within ten business days of the close of committees with multicandidate status satisfied the criteria described above for the comment period. The hearing will than for those without that status becoming multicandidate political be held in the Commission’s ninth floor ($5,000 per election versus $1,000). committees. Specifically, current 11 meeting room, 999 E Street, NW., BCRA raised and indexed for inflation CFR 102.2(a)(3) requires that this Washington, DC. the contribution limit for non- certification be filed before a political multicandidate committees (to $2,000 committee may avail itself of the FOR FURTHER INFORMATION CONTACT: Ms. per election), and due to the inflation Mai T. Dinh, Acting Assistant General multicandidate committee contribution adjustment such limit may eventually limits. Counsel, or Mr. Richard T. Ewell, become higher than the limit imposed The Commission proposes to amend Attorney, 999 E Street NW., on multicandidate committees. See 2 11 CFR 102.2(a)(3) to eliminate the Washington, DC 20463, (202) 694–1650 U.S.C. 441a(c). Thus, this contribution requirements that a political committee or (800) 424–9530. limit itself one day may create a file Form 1M with the Commission SUPPLEMENTARY INFORMATION: The substantial disincentive for attaining before making any contributions under Commission is considering changes to multicandidate political committee the increased contribution limits with several separate rules to address three status. respect to candidates in 11 CFR different issues. First, the Commission In addition, the limit on contributions 110.2(b). Instead, § 102.2(a)(3) would proposes changes to its rules regarding to national party committees from specify that a political committee must the certification requirements and multicandidate committees is $15,000 certify its status as a multicandidate contribution limits of a political per year (as it was prior to BCRA), yet committee within ten days of satisfying committee that qualifies as a BCRA increased the limit on the requirements of 11 CFR 1005.(e)(3). multicandidate committee. Second, the contributions to the same national party This certification provides clear notice Commission proposes updating the committees from non-multicandidate of the political committee’s status to the annual limit on contributions from committees to $25,000 per year. 2 U.S.C. Commission and to recipients of person other than multicandidate 441a(a)(2)(B) and (1)(B). Furthermore, contributions from the committee. The committees to national party the contribution limit for ten-day period corresponds to the usual committees in order to conform to the multicandidate committees is not time allotted for a political committee to change made by Congress in the indexed for inflation, which means that report any changes to its Statement of Bipartisan Campaign Reform Act of over time the current $10,000 difference Organization. See 11 CFR 102.2(a)(2). 2002 (‘‘BCRA’’). Finally, the in the contribution limit to national Thus, failure to file the form within the Commission proposes corrections to its party committees will increase. 2 U.S.C. requisite time period would be a rules on the annual limit on aggregate 441a(c). violation of the reporting requirements individual contributions in light of These statutory changes have raised of 2 U.S.C. The Commission seeks BCRA. These proposed rules would the issue of whether political comments on how it should address a implement the provisions of the Federal committees may opt out of failure to file the certification of Election Campaign Act of 1971, as multicandidate committee status. The multicandidate status. Specifically, how

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should the Commission address a specifically addressed contributions For the reasons set out in the situation where a political committee made in a non-election year. The preamble, the Federal Election qualifies for multicandidate status, does proposed rules would amend § 110.5(c) Commission proposes to amend not certify its status within ten days, but to delete the current language and to subchapter A of chapter 1 of title 11 of makes a contribution over $2,000 to a replace it with language affirmatively the Code of Federal Regulations as candidate for Federal office? The stating that for the purposes of the follows: Commission also seeks comments on biennial contribution limits in 11 CFR what certification process, if any, 110.5 (which are set forth in paragraph PART 102—REGISTRATION, should be used if the Commission (b)), a contribution to a candidate will ORGANIZATION, AND adopts an alternative approach and be attributed to the two-year period in RECORDKEEPING BY POLITICAL allows multicandidate status to be which the contribution is actually made, COMMITTEES (2 U.S.C. 433) optional at the choice of the committee. regardless of when the election will be 1. The authority citation for part 102 II. 11 CFR 110.1 Conforming Change held. For example, for the purposes of would continue to read as follows: the biennial limit, a contribution made to Contributions by Persons Other Than Authority: 2 U.S.C. 432, 433, 434(a)(11), Multicandidate Political Committees in 2004 to a candidate in a 2006 Senate race would be attributed to the 438(a)(8), 441d. In section 307(a)(2) of BCRA, individual’s limit for the 2003–2004 2. Section 102.2 would be amended Congress raised the annual aggregate period. Similarly, a contribution made by revising paragraph (a)(3) to read as limit on contributions by persons other in 2005 to a candidate in the 2008 follows: than multicandidate committees to presidential race would be attributed to § 102.2 Statement of organization: Forms national political party committees from the individual’s limit for the 2005–2006 $20,000 to $25,000. 2 U.S.C. and committee identification number (2 period. In addition, a contribution made U.S.C. 433(b), (c)). 441a(a)(1)(B). The Commission proposes during 2007 to retire debt from a 2006 to revise the corresponding regulation in (a) * * * House election would be attributed to (3) A committee shall certify to the 11 CFR 110.1 to reflect this statutory the individual’s two-year limit for the change. Commission that it has satisfied the 2007–2008 period, not for the 2005– criteria for becoming a multicandidate III. 11 CFR 110.5 Aggregate Biennial 2006 period. committee set forth at 11 CFR Contribution Limitation for Individuals The Commission seeks comments on 100.5(e)(3) by filing FEC Form 1M no BCRA amended the provisions in the whether the proposed revisions are later than ten (10) calendar days after Act that limit the total amount of consistent with BCRA. If the qualifying for multicandidate committee contributions that may be made by Commission revises its regulations in status. individuals. Section 441a(a)(3) of the this manner, the Commission seeks * * * * * FECA previously permitted individuals comment on when such revisions to make no more than $25,000 in should become effective. PART 110—CONTRIBUTION AND aggregate contributions per calendar Certification of No Effect Pursuant to 5 EXPENDITURE LIMITATIONS AND year. This provision was revised by U.S.C. 605(b) PROHIBITIONS BCRA to establish new biennial aggregate limits that permit individuals [Regulatory Flexibility Act] 3. The authority citation for part 110 would continue to read as follows: to make up to $95,000 in contributions, The attached proposed rules, if including up to $37,500 in contributions promulgated, would not have a Authority: 2 U.S.C. 431(8), 431(9), 432(c)(2), 437d, 438(a)(8), 441a, 441b, 441d, to candidates and their authorized significant economic impact on a committees, and up to $57,500 in 441, 441f, 441g, 441h, and 441k. substantial number of small entities. 4. Section 110.1 would be amended contributions to any other political The basis for this certification is that committees. 2 U.S.C. 441a(a)(3)(A) and by revising paragraph (c)(3) to read as few, if any, small entities would be follows: (B). The $57,500 aggregate contribution affected by these proposals. These rules limit contains a further restriction in propose no sweeping changes, and are § 110.1 Contributions by persons other that no more than $37,500 of this largely intended to simplify the process than multicandidate political committees (2 amount may be given to committees that of determining the status of political U.S.C. 441a(a)(1)). are not the political committees of committees and the aggregate biennial * * * * * national political parties. 2 U.S.C. amounts that individuals may (c)*** 441a(a)(3)(B). Regulations implementing contribute to candidates for Federal (3) Each recipient committee referred these changes were issued as part of the office. Several of the proposed changes to in 11 CFR 110.1(c)(2) may receive up rulemaking entitled ‘‘Contribution are purely technical, and those few to the $25,000 limitation from a Limitations and Prohibitions.’’ See proposals that might increase the cost of contributor, but the limits of 11 CFR Contribution Limitations and compliance by small entities would not 110.5 shall also apply to contributions Prohibitions; Final Rules, 67 FR 69928 do so in such an amount as to cause a made by an individual. (November 19, 2002). Previously, 2 significant economic impact. * * * * * U.S.C. 441a(a)(3) also provided that, for 5. Section 110.2 would be amended the purposes of the annual limitation, List of Subjects by revising paragraph (a)(1) to read as any contribution made to a candidate 11 CFR Part 102 follows: ‘‘in a year other than the calendar year in which the election is held with Political committees and parties, § 110.2 Contributions by multicandidate respect to which such contribution is reporting and recordkeeping political committees (2 U.S.C. 441a(a)(2)). made, is considered to be made during requirements. (a)(1) Scope. This section applies to the calendar year in which such election all contributions made by any 11 CFR Part 110 is held.’’ BCRA deleted this language multicandidate political committee as from the Act. However, the Commission Campaign funds, political committees defined in 11 CFR 100.5(e)(3). See 11 retained 11 CFR 110.5(c), which and parties. CFR 102.2(a)(3) for multicandidate

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political committee certification specified by that AD are intended to Office, 3960 Paramount Boulevard, requirements. A political committee ensure that the lanyards on the pressure Lakewood, California 90712–4137; becomes a multicandidate committee relief door have adequate strength. telephone (562) 627–5244; fax (562) whether or not the political committee Lanyards of inadequate strength could 627–5210. has certified its status as a allow the pressure relief door to detach SUPPLEMENTARY INFORMATION: multicandidate committee with the from the thrust reverser in the event that Commission in accordance with 11 CFR an engine bleed air duct bursts, which Comments Invited 102.2(a)(3) could result in the detached door Interested persons are invited to * * * * * striking and damaging the horizontal participate in the making of the 6. Section 110.5 would be amended stabilizer, and consequent reduced proposed rule by submitting such by revising paragraph (c) to read as controllability of the airplane. This written data, views, or arguments as follows: proposed AD is prompted by the fact they may desire. Communications shall that a certain paragraph of the existing identify the Rules Docket number and § 110.5 Aggregate bi-annual contribution AD prohibits installation of certain part be submitted in triplicate to the address limitation for individuals (2 U.S.C. numbers of lanyards; the numbers listed specified above. All communications 441a(a)(3)). in that paragraph correspond to new, received on or before the closing date * * * * * improved lanyards that are acceptable for comments, specified above, will be (c) Contributions made in a for installation. This action would considered before taking action on the nonelection year. For purposes of the correct these part numbers to prohibit proposed rule. The proposals contained biennial limitation on contributions, installation of suspect lanyards while in this action may be changed in light any contribution to a candidate or his or allowing installation of the new, of the comments received. her authorized committee with respect improved lanyards. This action is Submit comments using the following to a particular election shall be intended to address the identified format: considered to be made during the two- unsafe condition. • Organize comments issue-by-issue. year period described in paragraph DATES: Comments must be received by For example, discuss a request to (b)(1) of this section in which the October 6, 2003. change the compliance time and a contribution is actually made, regardless ADDRESSES: Submit comments in request to change the service bulletin of the year in which the particular reference as two separate issues. triplicate to the Federal Aviation • election is held. See 11 CFR 110.1(b)(6). Administration (FAA), Transport For each issue, state what specific This paragraph (c) also applies to Airplane Directorate, ANM–114, change to the proposed AD is being earmarked contributions and Attention: Rules Docket No. 2003–NM– requested. • Include justification (e.g., reasons or contributions to a single candidate 169–AD, 1601 Lind Avenue, SW., committee that has supported or data) for each request. Renton, Washington 98055–4056. Comments are specifically invited on anticipates supporting the candidate. Comments may be inspected at this * * * * * the overall regulatory, economic, location between 9 a.m. and 3 p.m., environmental, and energy aspects of Dated: August 18, 2003. Monday through Friday, except Federal the proposed rule. All comments Michael E. Toner, holidays. Comments may be submitted submitted will be available, both before Commissioner, Federal Election Commission. via fax to (425) 227–1232. Comments and after the closing date for comments, may also be sent via the Internet using [FR Doc. 03–21462 Filed 8–20–03; 8:45 am] in the Rules Docket for examination by the following address: 9-anm- BILLING CODE 6715–01–U interested persons. A report [email protected]. Comments sent summarizing each FAA-public contact via fax or the Internet must contain concerned with the substance of this ‘‘Docket No. 2003–NM–169–AD’’ in the DEPARTMENT OF TRANSPORTATION proposal will be filed in the Rules subject line and need not be submitted Docket. in triplicate. Comments sent via the Federal Aviation Administration Commenters wishing the FAA to Internet as attached electronic files must acknowledge receipt of their comments be formatted in Microsoft Word 97 or 14 CFR Part 39 submitted in response to this action 2000 or ASCII text. must submit a self-addressed, stamped The service information referenced in [Docket No. 2003–NM–169–AD] postcard on which the following the proposed rule may be obtained from statement is made: ‘‘Comments to RIN 2120–AA64 Boeing Commercial Aircraft Group, Docket Number 2003–NM–169–AD.’’ Long Beach Division, 3855 Lakewood Airworthiness Directives; McDonnell The postcard will be date stamped and Boulevard, Long Beach, California Douglas Model MD–90–30 Airplanes returned to the commenter. 90846, Attention: Data and Service AGENCY: Federal Aviation Management, Dept. C1–L5A (D800– Availability of NPRMs Administration, DOT. 0024); and Rohr, Inc., 850 Lagoon Drive, Any person may obtain a copy of this ACTION: Notice of proposed rulemaking Chula Vista, California 91910–2098. NPRM by submitting a request to the (NPRM). This information may be examined at FAA, Transport Airplane Directorate, the FAA, Transport Airplane ANM–114, Attention: Rules Docket No. SUMMARY: This document proposes to Directorate, 1601 Lind Avenue, SW., 2003–NM–169–AD, 1601 Lind Avenue, revise an existing airworthiness Renton, Washington; or at the FAA, Los SW., Renton, Washington 98055–4056. directive (AD), applicable to all Angeles Aircraft Certification Office, McDonnell Douglas Model MD–90–30 3960 Paramount Boulevard, Lakewood, Discussion airplanes, that currently requires California. On May 27, 2003, the FAA issued AD replacing the lanyards on the pressure FOR FURTHER INFORMATION CONTACT: 2003–11–15, amendment 39–13174 (68 relief door for the thrust reverser with Stephen Kolb, Aerospace Engineer, FR 33355, June 4, 2003), applicable to new, improved lanyards, and doing Propulsion Branch, ANM–140L, FAA, all McDonnell Douglas Model MD–90– associated modifications. The actions Los Angeles Aircraft Certification 30 airplanes. That AD requires replacing

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the lanyards on the pressure relief door The regulation now includes material power and responsibilities among the for the thrust reverser with new, that relates to altered products, special various levels of government. Therefore, improved lanyards, and doing flight permits, and alternative methods it is determined that this proposal associated modifications. That action of compliance (AMOCs). Because we would not have federalism implications was prompted by a report indicating have now included this material in part under Executive Order 13132. that the lanyards on the pressure relief 39, only the office authorized to approve For the reasons discussed above, I door for the thrust reversers on the AMOCs is identified in each individual certify that this proposed regulation (1) subject airplanes do not meet the AD. However, for clarity and is not a ‘‘significant regulatory action’’ certification requirements for strength. consistency in this proposed AD, we under Executive Order 12866; (2) is not The requirements of that AD are have retained the language of the a ‘‘significant rule’’ under the DOT intended to ensure that the lanyards on existing AD regarding that material. Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and (3) if the pressure relief door for the thrust Change to Labor Rate Estimate reverser have adequate strength so that promulgated, will not have a significant the door will not detach from the thrust We have reviewed the figures we have economic impact, positive or negative, reverser in the event that an engine used over the past several years to on a substantial number of small entities bleed air duct bursts, which could result calculate AD costs to operators. To under the criteria of the Regulatory in the door striking and damaging the account for various inflationary costs in Flexibility Act. A copy of the draft horizontal stabilizer. This condition the airline industry, we find it necessary regulatory evaluation prepared for this could result in reduced controllability to increase the labor rate used in these action is contained in the Rules Docket. of the airplane. calculations from $60 per work hour to A copy of it may be obtained by $65 per work hour. The cost impact contacting the Rules Docket at the Actions Since Issuance of Previous Rule information, below, reflects this location provided under the caption Paragraph (b) of AD 2003–11–15 increase in the specified hourly labor ADDRESSES. prohibits installation of pressure relief rate. List of Subjects in 14 CFR Part 39 door lanyards having certain part Cost Impact numbers. Since the issuance of that AD, Air transportation, Aircraft, Aviation the FAA has determined that the part There are approximately 110 safety, Safety. airplanes of the affected design in the numbers listed in that paragraph are The Proposed Amendment incorrect. The numbers in that worldwide fleet. The FAA estimates that paragraph are Illustrated Parts Catalog 21 airplanes of U.S. registry would be Accordingly, pursuant to the numbers that correspond to new, affected by this proposed AD. The authority delegated to me by the improved lanyard assemblies that are proposed changes in this action add no Administrator, the Federal Aviation acceptable for installation per the additional economic burden. The Administration proposes to amend part requirements of the existing AD. current costs for this proposed AD are 39 of the Federal Aviation Regulations Paragraph (b) should have referred to repeated for the convenience of affected (14 CFR part 39) as follows: the part numbers of the pressure relief operators, as follows: PART 39—AIRWORTHINESS door lanyards that paragraph (a) of AD It takes approximately 8 work hours DIRECTIVES 2003–11–15 requires to be replaced. per airplane to accomplish the actions currently required by AD 2003–11–15, 1. The authority citation for part 39 Explanation of Requirements of at an average labor rate of $65 per work continues to read as follows: Proposed Rule hour. Required parts are provided at no Authority: 49 U.S.C. 106(g), 40113, 44701. Since an unsafe condition has been cost to the operator. Based on these identified that is likely to exist or figures, the cost impact of the actions § 39.13 [Amended] develop on other products of this same currently required by AD 2003–11–15 is 2. Section 39.13 is amended by type design, the proposed AD would estimated to be $10,920, or $520 per removing amendment 39–13174 (68 FR revise AD 2003–11–15 to continue to airplane. 33355, June 4, 2003), and by adding a require replacing the lanyards on the The cost impact figure discussed new airworthiness directive (AD), to pressure relief door for the thrust above is based on assumptions that no read as follows: reverser with new, improved lanyards, operator has yet accomplished any of McDonnell Douglas: Docket 2003–NM–169– and doing associated modifications. The the proposed requirements of this AD action, and that no operator would AD. Revises AD 2003–11–15, proposed AD would also prohibit Amendment 39–13174. installation of certain pressure relief accomplish those actions in the future if this AD were not adopted. The cost Applicability: All Model MD–90–30 door lanyards. airplanes, certificated in any category. impact figures discussed in AD Explanation of Additional Change to rulemaking actions represent only the Note 1: This AD applies to each airplane Existing Requirements identified in the preceding applicability time necessary to perform the specific provision, regardless of whether it has been We have revised the heading that actions actually required by the AD. modified, altered, or repaired in the area precedes paragraph (b) of this AD from These figures typically do not include subject to the requirements of this AD. For ‘‘Spares’’ to ‘‘Parts Installation.’’ We incidental costs, such as the time airplanes that have been modified, altered, or find the heading ‘‘Parts Installation’’ required to gain access and close up, repaired so that the performance of the more accurately describes the contents planning time, or time necessitated by requirements of this AD is affected, the of that paragraph. other administrative actions. owner/operator must request approval for an alternative method of compliance in Changes to 14 CFR Part 39/Effect on the Regulatory Impact accordance with paragraph (c) of this AD. AD The regulations proposed herein The request should include an assessment of the effect of the modification, alteration, or On July 10, 2002, the FAA issued a would not have a substantial direct repair on the unsafe condition addressed by new version of 14 CFR part 39 (67 FR effect on the States, on the relationship this AD; and, if the unsafe condition has not 47997, July 22, 2002), which governs the between the national Government and been eliminated, the request should include FAA’s airworthiness directives system. the States, or on the distribution of specific proposed actions to address it.

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Compliance: Required as indicated, unless Issued in Renton, Washington, on August 304, to cover additional digital audio accomplished previously. 15, 2003. transmissions, including services To ensure that the lanyards on the pressure Kyle L. Olsen, making eligible nonsubscription relief door for the thrust reverser have Acting Manager, Transport Airplane transmissions. The DMCA also created a adequate strength so that the door will not Directorate, Aircraft Certification Service. new statutory license to provide for the detach from the thrust reverser in the event [FR Doc. 03–21414 Filed 8–20–03; 8:45 am] making of certain ephemeral that an engine bleed air duct bursts, which BILLING CODE 4910–13–P phonerecords that facilitate the making could result in the door striking and of digital audio transmissions pursuant damaging the horizontal stabilizer, to the section 114 license. See 17 U.S.C. accomplish the following: LIBRARY OF CONGRESS 112(e). Replacement of Lanyards on the Thrust Rates and terms for use of sound Reverser Pressure Relief Door Copyright Office recordings pursuant to these licenses by eligible nonsubscription services and by (a) Within 18 months after the effective 37 CFR Part 263 business-to-business establishment date of the AD, replace the lanyards on the services were published in the Federal pressure relief door for the thrust reverser [Docket No. 2002–1 CARP DTRA3] Register on July 8, 2002, after a full with new, improved lanyards, and hearing before a Copyright Arbitration accomplish associated modifications, per the Digital Performance Right in Sound Recordings and Ephemeral Royalty Panel (‘‘CARP’’), but these rates Accomplishment Instructions of Boeing only applied to those transmissions Service Bulletin MD90–78–048, dated Recordings made through December 31, 2002. See February 15, 2001. The associated AGENCY: Copyright Office, Library of 67 FR 45239 (July 8, 2002). modifications include removing the pressure Congress. In accordance with section relief door, modifying the pressure relief door ACTION: Notice of proposed rulemaking. 114(f)(2)(C)(i)(II), the Copyright Office (including replacing existing brackets with initiated a new rate proceeding in new brackets and re-identifying the door SUMMARY: The Copyright Office of the January 2002 to set rates and terms for with a new part number), modifying the Library of Congress is requesting the current license period, January 1, lower track beam (including removing comment on proposed regulations that 2003 through December 31, 2004. The terminals, replacing the aft quick-release pin set rates and terms for the use of sound first step in the rate adjustment process with a new pin, and re-identifying the beam recordings in eligible nonsubscription is the announcement of a voluntary six- with a new part number), modifying the heat transmissions made by noncommercial month negotiation period See 67 FR shield on the lanyard assembly attach lugs, 4472 (January 30, 2002). Although no and re-installing the pressure relief door. licensees, and for the making of related ephemeral recordings. The rates and agreements were reached during the Note 2: Boeing Service Bulletin MD90–78– terms are for the 2003 and 2004 early stages of this proceeding, 048, dated February 15, 2001, refers to statutory licensing period. copyright owners and performers did International Aero Engines Service Bulletin DATES: Comments are due no later than ultimately reach an agreement with V2500–NAC–78–0184, dated February 16, certain licensees and the proposed 2001, for instructions on replacing the September 22, 2003. ADDRESSES: An original and five copies settlement was published in the Federal lanyards on the pressure relief door for the Register on May 20, 2003. 68 FR 27506 thrust reverser. of any comment shall be delivered by hand to: Office of the General Counsel, (May 20, 2003). This agreement, Parts Installation James Madison Memorial Building, however, did not make any special Room LM–403, First and Independence provisions for noncommercial entities (b) After the effective date of this AD, no who operate under the same statutory person may install a lanyard having part Avenue, SE., Washington, DC 20559– licenses, because noncommercial number (S700M1392A170) or 6000; or mailed to: Copyright webcasters were involved in separate (S700M1392A161) on the pressure relief door Arbitration Royalty Panel (CARP), P.O. rate negotiations to establish an for the thrust reverser on any airplane. Box 70977, Southwest Station, alternative rate structure to the one that Washington, DC 20024–0977. Alternative Methods of Compliance would be set in accordance with the FOR FURTHER INFORMATION CONTACT: procedures set forth in 17 U.S.C. 112(e) (c) An alternative method of compliance or David O. Carson, General Counsel, or adjustment of the compliance time that and 114(f). These negotiations were Tanya M. Sandros, Senior Attorney, provides an acceptable level of safety may be conducted in accordance with the Small Copyright Arbitration Royalty Panel used if approved by the Manager, Los Webcaster Settlement Act of 2002 (CARP), P.O. Box 70977, Southwest Angeles Aircraft Certification Office (ACO), (‘‘SWSA’’), Public Law 107–321, 116 FAA. Operators shall submit their requests Station, Washington, DC 20024. Stat. 2780. through an appropriate FAA Principal Telephone: (202) 707–8380; Telefax: The SWSA was passed in 2002 to Maintenance Inspector, who may add (202) 252–3423. address certain concerns of small comments and then send it to the Manager, SUPPLEMENTARY INFORMATION: Since webcasters with respect to the rates Los Angeles ACO. 1995, copyright owners of sound announced on July 8, 2002, and the Note 3: Information concerning the recordings have had the exclusive right CARP process which established those existence of approved alternative methods of to perform their works publicly by rates. Basically, it gave small compliance with this AD, if any, may be means of a digital audio transmission, commercial webcasters and obtained from the Los Angeles ACO. subject to certain limitations. 17 U.S.C. noncommercial webcasters another 106(6). Among the limitations on the opportunity to negotiate a different and Special Flight Permits performance right was the creation of a separate rate schedule applicable to (d) Special flight permits may be issued in new compulsory license for nonexempt, their use of sound recordings in digital accordance with sections 21.197 and 21.199 noninteractive digital subscription transmissions for the period through of the Federal Aviation Regulations (14 CFR transmissions. 17 U.S.C. 114. Section 2004. The negotiations for these 21.197 and 21.199) to operate the airplane to 114 was later amended with the passage alternative agreements were conducted a location where the requirements of this AD of the Digital Millennium Copyright Act sequentially. SoundExchange, an can be accomplished. of 1998 (‘‘DMCA’’), Public Law 105– unincorporated division of the

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Recording Industry Association of provided that the proposed rates and If no comments are received, the America, Inc. that is authorized to terms are published in the Federal regulations shall become final upon negotiate on behalf of copyright owners Register and no interested party with an publication of a final rule and shall and performers, reached an agreement intent to participate in the proceeding cover the period from January 1, 2003, with small commercial webcasters in files a comment objecting to the to December 31, 2004. December 2002. See 67 FR 78510 proposed terms. In other words, unless Schedule for Filing a Written Direct (December 24, 2002). Negotiations there is an objection from a person with Case between SoundExchange and the a significant interest in setting rates and noncommercial webcasters followed terms applicable to noncommercial On August 18, 2004, the Copyright and were completed in May 2003. The licensees and who is prepared and Office issued an order in this SWSA agreement applicable to the eligible to participate in a CARP proceeding in which it: (1) Announced noncommercial entities was published proceeding, the Librarian can adopt the the consolidation of this proceeding in the Federal Register on June 11, rates and terms in the proposed with the proceeding to establish rates 2003. 68 FR 35008 (June 11, 2003). settlement in final regulations without and terms for new subscription services, Noncommercial webcasters who wished convening a CARP. This procedure to Docket No. 2001–2–DTNSRA; (2) set to take advantage of the rates and terms adopt negotiated rates and terms in the forth a new precontroversy discovery set forth in this agreement and had case where an agreement has been schedule and set a date for a meeting to already made digital audio reached has been specifically endorsed discuss administrative issues; (3) transmissions were required to submit a by Congress. directed parties in this proceeding to completed and signed election form to file a Notice of Intention to Submit a If an agreement as to rates and terms is Written Direct Case; and (4) set a new SoundExchange no later than 30 days reached and there is no controversy as to after publication of the rates and terms these matters, it would make no sense to briefing schedule for filing oppositions in the Federal Register. Noncommercial subject the interested parties to the needless and replies to the pending motion to webcasters who have not yet made a expense of an arbitration proceeding adopt the interim protective order. digital audio transmission may still conducted under [section 114(f)(2) (1995)]. Any new participants who may enter elect to operate under the SWSA Thus, it is the Committee’s intention that in this proceeding by filing an objection to provided that they file the election form such a case, as under the Copyright Office’s the proposed rates and terms as they no later than the first date on which it current regulations concerning rate apply to noncommercial entities must would be obligated to make a royalty adjustment proceedings, the Librarian of comply with the dates and requirements payment. See 68 FR at 35009. Congress should notify the public of the set forth in the August 18 order. See Shortly thereafter, SoundExchange, proposed agreement in a notice-and- http://www.copyright.gov/carp/ comment proceeding and, if no opposing the American Council on Education, comment is received from a party with a order81803.pdf. Accordingly, all parties and the Intercollegiate Broadcasting substantial interest and an intent to to this proceeding, including any new System, Inc., jointly with Harvard Radio participate in an arbitration proceeding, the participants, must be prepared to file a Broadcasting Co., Inc. filed a petition Librarian of Congress should adopt the rates written direct case with the Copyright with the Copyright Office for adjustment embodied in the agreement without Office and serve a copy of the written of the section 112 and 114 statutory convening an arbitration panel. direct case on all parties to this rates and terms applicable to S. Rep. No. 104–128, at 29 (1995) proceeding on October 6, 2003. noncommercial licensees, requesting (citations omitted). that the Office publish the proposed List of Subjects in 37 CFR Part 263 rates and terms for public comment Accordingly, the Copyright Office is Copyright, Digital audio pursuant to 37 CFR 251.63(b). The granting the joint petition filed on July transmissions, Performance right, Sound proposed rates and terms are identical 3, 2003, and is publishing for public recordings. comment the proposed rates and terms to the applicable rates and terms for the Proposed Regulation period ending December 31, 2002, as embodied in the agreement. Any party established in the Order of the Librarian who objects to the proposed rates and In consideration of the foregoing, the of Congress published July 8, 2002. See terms set forth herein must file a written Copyright Office proposes adding part 67 FR 45239 (July 8, 2002). objection with the Copyright Office and 263 to 37 CFR to read as follows: The purpose for proposing these rates an accompanying Notice of Intent to and terms is to ensure that a statutory Participate, if the party has not already PART 263—RATES AND TERMS FOR rate is set for noncommercial licensees, done so, in accordance with the CERTAIN TRANSMISSIONS AND THE so that there is no gap in the statutory requirements set forth in the Copyright MAKING OF EPHEMERAL rate scheme. Thus, a noncommercial Office’s November 20, 2001, Notice. See REPRODUCTIONS BY licensee who does not opt to operate 66 FR 58180, 58181 (November 20, NONCOMMERCIAL LICENSEES 2001). The content of the written under the rates and terms negotiated in Sec. the SWSA agreement would operate challenge should describe the party’s 263.1 General. according to the rates and terms interest in the proceeding, the proposed 263.2 Definitions. announced today, should they be rule the party finds objectionable, and 263.3 Royalty Rates and Terms. adopted as final rules. However, the reasons for the challenge. Authority: 17 U.S.C. 112(e), 114, 801(b)(1). noncommercial webcasters who have Only a party with a significant elected to operate under the rates and interest in these rates and terms and § 263.1 General. terms negotiated pursuant to the SWSA who is prepared to participate in a This part 263 establishes rates and and published on June 11, 2003, will CARP proceeding has standing to object. terms of royalty payments for the public not be affected by the proposed rates A noncommercial webcaster that has performance of sound recordings in and terms announced today. elected to operate under the rates and certain digital transmissions by certain Section 251.63(b) of title 37 of the terms negotiated under the SWSA and Noncommercial Licensees in Code of Federal Regulations allows the published on June 11 would have no accordance with the provisions of 17 Librarian to adopt proposed rates and standing to object to the rates and terms U.S.C. 114, and the making of terms without convening a CARP, announced today. ephemeral recordings by certain

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Noncommercial Licensees in Regulation Supplement (DFARS) to B. Regulatory Flexibility Act accordance with the provisions of 17 eliminate requirements for contract DoD does not expect this rule to have U.S.C. 112(e), during the period 2003– administration offices to perform a significant economic impact on a 2004. production surveillance on contractors substantial number of small entities that have only Criticality Designator C § 263.2 Definitions. within the meaning of the Regulatory (low-urgency) contracts. This change Flexibility Act, 5 U.S.C. 601, et seq., For purposes of this part, the will permit contract administration following definition shall apply: because the DFARS changes in this rule offices to devote more resources to primarily affect the allocation of A Noncommercial Licensee is a critical and high-risk contracts. person or entity that has obtained a Government resources to production compulsory license under 17 U.S.C. 114 DATES: DoD will consider all comments surveillance functions. Therefore, DoD and the implementing regulations received by October 20, 2003. has not performed an initial regulatory flexibility analysis. DoD invites therefor, or that has obtained a ADDRESSES: Respondents may submit compulsory license under 17 U.S.C. comments from small businesses and comments directly on the World Wide other interested parties. DoD also will 112(e) and the implementing regulations Web at http://emissary.acq.osd.mil/dar/ therefor to make ephemeral recordings consider comments from small entities dfars.nsf/pubcomm. As an alternative, concerning the affected DFARS subpart for use in facilitating such respondents may e-mail comments to: in accordance with 5 U.S.C. 610. Such transmissions, and— [email protected]. Please cite DFARS Case (a) Is exempt from taxation under comments should be submitted 2002–D015 in the subject line of e- separately and should cite DFARS Case section 501 of the Internal Revenue mailed comments. Code of 1986 (26 U.S.C. 501); 2002–D015. (b) Has applied in good faith to the Respondents that cannot submit C. Paperwork Reduction Act Internal Revenue Service for exemption comments using either of the above The Paperwork Reduction Act does from taxation under section 501 of the methods may submit comments to: not apply because the rule does not Internal Revenue Code and has a Defense Acquisition Regulations impose any information collection commercially reasonable expectation Council, Attn: Mr. Steven Cohen, requirements that require the approval that such exemption shall be granted, or OUSD(AT&L)DPAP(DAR), IMD 3C132, (c) Is a State of possession or any 3062 Defense Pentagon, Washington, DC of the Office of Management and Budget governmental entity or subordinate 20301–3062; facsimile (703) 602–0350. under 44 U.S.C. 3501, et seq. thereof, or the United States or District Please cite DFARS Case 2002–D015. List of Subjects in 48 CFR Part 242 of Columbia, making transmissions for At the end of the comment period, Government procurement. exclusively public purposes. interested parties may view public Michele P. Peterson, § 263.3 Royalty Rates and Terms. comments on the World Wide Web at http://emissary.acq.osd.mil/dar/ Executive Editor, Defense Acquisition A Noncommercial Licensee shall in dfars.nsf. Regulations Council. every respect be treated as a ‘‘Licensee’’ Therefore, DoD proposes to amend 48 under part 262 of this chapter, and all FOR FURTHER INFORMATION CONTACT: Mr. CFR part 242 as follows: terms applicable to Licensees and their Steven Cohen, (703) 602–0293. 1. The authority citation for 48 CFR payments under part 262 of this chapter part 242 continues to read as follows: shall apply to Noncommercial Licensees SUPPLEMENTARY INFORMATION: Authority: 41 U.S.C. 421 and 48 CFR and their payment, except that a A. Background Chapter 1. Noncommercial Licensee shall pay royalties at the rates applicable to such DFARS 242.1104 presently requires PART 242—CONTRACT a ‘‘Licensee,’’ as currently provided in the cognizant contract administration ADMINISTRATION AND AUDIT § 261.3(a), (c), (d) and (e) of this chapter, office to conduct a periodic risk SERVICES rather than at the rates set forth in assessment of each contractor to § 262.3(a) through (d) of this chapter. determine the degree of production 2. Section 242.1104 is revised to read surveillance needed for contracts as follows: Dated: August 18, 2003. awarded to that contractor, and to 242.1104 Surveillance requirements. David O. Carson, develop a production surveillance plan General Counsel. based on the risk level determined (a) The cognizant contract [FR Doc. 03–21467 Filed 8–20–03; 8:45 am] during the risk assessment. This administration office (CAO)— (i) Shall perform production BILLING CODE 1410–33–P proposed rule revises DFARS 242.1104 surveillance on all contractors that have to eliminate requirements for Criticality Designator A or B contracts; production surveillance on contractors (ii) Shall not perform production DEPARTMENT OF DEFENSE that have only Criticality Designator C surveillance on contractors that have (low-urgency) contracts, and for 48 CFR Part 242 only Criticality Designator C contracts, monitoring of progress on any Criticality unless specifically requested by the [DFARS Case 2002–D015] Designator C contract, unless contracting officer; and production surveillance or contract (iii) When production surveillance is Defense Federal Acquisition monitoring is specifically requested by required, shall— Regulation Supplement; Production the contracting officer. This change will (A) Conduct a periodic risk Surveillance and Reporting enable contract administration offices to assessment of the contractor to use production surveillance resources in AGENCY: Department of Defense (DoD). determine the degree of production a more effective manner. ACTION: Proposed rule with request for surveillance needed for all contracts comments. This rule was not subject to Office of awarded to that contractor. The risk Management and Budget review under assessment shall consider information SUMMARY: DoD is proposing to amend Executive Order 12866, dated provided by the contractor and the the Defense Federal Acquisition September 30, 1993. contracting officer;

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(B) Develop a production surveillance ADDRESSES: Comments should be sport hunting seasons are annually plan based on the risk level determined mailed to Chief, Division of Migratory promulgated in 50 CFR part 20 by the during a risk assessment; Bird Management, U.S. Fish and Service. (C) Modify the production Wildlife Service, Department of the In recent years, numbers of Canada surveillance plan to incorporate any Interior, 4401 North Fairfax Drive, geese that nest and/or reside special surveillance requirements for MBSP–4107, Arlington, Virginia 22203. predominantly within the conterminous individual contracts, including any We will not consider anonymous United States (resident Canada geese) requirements identified by the comments. All comments received, have undergone dramatic population contracting officer; and including names and addresses, will growth and have increased to levels that (D) Monitor contract progress and become part of the public record. are increasingly coming into conflict identify potential contract Alternatively, comments may be with people and causing personal and delinquencies in accordance with the submitted electronically to the public property damage. We believe that production surveillance plan. Contracts following address: resident Canada goose populations must with Criticality Designator C are exempt [email protected]. The public be reduced, more effectively managed, from this requirement unless may inspect comments during normal and controlled to reduce goose related specifically requested by the contracting business hours in Room 4107, 4501 damages. This rule would establish a officer. North Fairfax Drive, Arlington, Virginia. new regulation authorizing State wildlife agencies to conduct (or allow) [FR Doc. 03–21312 Filed 8–20–03; 8:45 am] You may obtain copies of the draft environmental impact statement from indirect and/or direct population BILLING CODE 5001–08–P the above address or from the Division control management activities, of Migratory Bird Management Web site including the take of birds, on resident at http://migratorybirds.fws.gov. Canada goose populations. The intent of this rule is to allow State wildlife DEPARTMENT OF THE INTERIOR FOR FURTHER INFORMATION CONTACT: management agencies sufficient Brian Millsap, Chief, Division of flexibility to deal with problems caused Fish and Wildlife Service Migratory Bird Management, or Ron by resident Canada geese and guide and Kokel (703) 358–1714. 50 CFR Parts 20 and 21 direct resident Canada goose population SUPPLEMENTARY INFORMATION: Migratory growth and management activities in RIN 1018–AI32 birds are protected under four bilateral the conterminous United States. migratory bird treaties the United States Migratory Bird Hunting and Permits; entered into with Great Britain (for Population Delineation and Status Regulations for Managing Resident Canada), Mexico, Japan, and Russia. Waterfowl management activities Canada Goose Populations Regulations allowing the take of frequently are based on the delineation migratory birds are authorized by the of populations that are the target of AGENCY: Fish and Wildlife Service, Migratory Bird Treaty Act (16 U.S.C. management. Some goose populations Interior. 703–711), and the Fish and Wildlife are delineated according to where they ACTION: Proposed rule. Improvement Act of 1978 (16 U.S.C. winter, whereas others are delineated 712). The Migratory Bird Treaty Act based on the location of their breeding SUMMARY: In recent years, the numbers (Act) provides that, subject to and to grounds. For management purposes, of Canada geese that nest and/or reside carry out the purposes of the treaties, populations can comprise one or more predominantly within the conterminous the Secretary of the Interior is species of geese. United States (resident Canada geese) authorized and directed to determine Canada geese (Branta canadensis) have undergone dramatic population when, to what extent, and by what nesting within the conterminous United growth and have increased to levels that means it is compatible with the States are considered subspecies or are increasingly coming into conflict conventions to allow hunting, killing, hybrids of the various subspecies with people and human activities and and other forms of taking of migratory originating in captivity and artificially causing personal and public property birds, their nests, and eggs. The Act introduced into numerous areas damage, as well as public health requires the Secretary to implement a throughout the conterminous United concerns, in many parts of the country. determination by adopting regulations States. Canada geese are highly The U.S. Fish and Wildlife Service permitting and governing those philopatric to natal areas, and no (Service or ‘‘we’’) believes that resident activities. evidence presently exists documenting Canada goose populations must be Canada geese are Federally protected breeding between Canada geese nesting reduced, more effectively managed, and by the Act by reason of the fact that they within the conterminous United States controlled to reduce goose related are listed as migratory birds in all four and those subspecies nesting in damages. This rule would authorize treaties. These regulations must meet northern Canada and Alaska. Canada State wildlife agencies to conduct (or the requirements of the most restrictive geese nesting within the conterminous allow) indirect and/or direct population of the four, which for Canada geese is United States in the months of March, control management activities, the treaty with Canada. We have April, May, or June, or residing within including the take of birds, on resident prepared these regulations compatible the conterminous United States in the Canada goose populations. The intent of with its terms, with particular reference months of April, May, June, July, and this rule is to allow State wildlife to Articles VII, V, and II. August will be collectively referred to in management agencies sufficient Regulations governing the issuance of this proposed rule as ‘‘resident’’ Canada flexibility to deal with problems caused permits to take, capture, kill, possess, geese. by resident Canada geese and guide and and transport migratory birds are The recognized subspecies of Canada direct resident Canada goose population promulgated in Title 50 Code of Federal geese are distributed throughout the growth and management activities in Regulations (CFR) parts 13 and 21, and northern temperate and sub-arctic the conterminous United States. issued by the Service. Regulations regions of North America (Delacour DATES: Comments on this proposed rule governing the take, possession, and 1954; Bellrose 1976; Palmer 1976). must be received by October 20, 2003. transportation of migratory birds under Historically, breeding Canada geese are

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believed to have been restricted to areas rate of about 6 percent per year since U.S. Fish and Wildlife Service, 2002). north of 35 degrees and south of about 1993 (Rusch et al. 1996; Wood et al. Mid-winter survey estimates of Rocky 70 degrees latitude (Bent 1925; Delacour 1996; Nelson and Oetting 1998; U.S. Mountain Population Canada geese have 1954; Bellrose 1976; Palmer 1976). Fish and Wildlife Service, 2002). increased an average of 4 percent per Today, in the conterminous United In the Central Flyway, Canada geese year since 1993, while spring States, Canada geese can be found that nest and/or reside in the States of populations have increased 6 percent nesting in every State, primarily due to the Flyway consist mainly of two per year over the last 10 years (U.S. Fish translocations and introductions since populations, the Great Plains and Hi- and Wildlife Service, 2002). The Pacific the 1940s. Line. The Great Plains Population Population (Krohn and Bizeau 1980; The majority of Canada geese still nest (Nelson 1962; Vaught and Kirsch 1966; Ball et al. 1981) (B. c. moffitti) nests in localized aggregations throughout Williams 1967) consists of geese (B. c. from southern British Columbia Canada and Alaska and migrate maxima/B. c. moffiti) that have been southward and west of the Rockies in annually to the conterminous United restored to previously occupied areas in the States of Idaho, western Montana, States to winter, with a few reaching as Saskatchewan, North and South Dakota, Washington, Oregon, northern far south as northern Mexico. However, Nebraska, Kansas, Oklahoma, and California, and northwestern Nevada. the distribution of Canada geese has Texas. For management purposes, this They are essentially nonmigratory and expanded southward and numbers have population is often combined with the winter primarily in these same areas. increased appreciably throughout the Western Prairie Population (composed southern portions of the range during of geese (B. c. maxima/B. c. moffiti/B. c. Flyway Management Plans and the past several decades (Rusch et al. interior) that nest throughout the prairie Population Goals 1995). The following is a brief regions of Manitoba and Saskatchewan) The Atlantic, Mississippi, Central, description of the status and and winter together from the Missouri and Pacific Flyway Councils are distribution of the major management River in South Dakota southward to administrative bodies established to populations of Canada geese covered by Texas. The Hi-Line Population cooperatively deliver migratory bird this proposed rule: (Rutherford 1965; Grieb 1968, 1970) (B. management under the flyway system. In the Atlantic Flyway, the resident c. moffitti) nests in southeastern Alberta, The Councils, which are comprised of population of Canada geese nests from southwestern Saskatchewan and eastern representatives from each member State Southern Quebec and the Maritime Montana, Wyoming, and northcentral and Province, make recommendations Provinces of Canada southward Colorado. The population winters from throughout the States of the Atlantic Wyoming to central New Mexico. to the Service on matters regarding Flyway (Sheaffer and Malecki 1998; Overall, these three populations of large migratory game birds. The Flyway Johnson and Castelli 1998; Nelson and subspecies of Canada geese have Councils work with the Service and the Oetting 1998). This population is increased tremendously over the last 30 Canadian Wildlife Service to manage believed to be of mixed racial origin (B. years as the result of active restoration populations of Canada geese that occur c. canadensis, B. c. interior, B. c. and management by Central Flyway in their geographic areas. Since there are moffitti, and B. c. maxima) and is the States and Provinces. In 1999, the index large numbers of resident Canada geese result of purposeful introductions by for these three populations was over in each Flyway, the Councils developed management agencies, coupled with 900,000 birds, 95 percent higher than and prepared cooperative Flyway released birds from private aviculturists 1990, and 687 percent higher than 1980 management plans to address these and releases from captive decoy flocks (Gabig 2000). More recently, the 2002 populations and establish overall after live decoys were outlawed for mid-winter survey estimate of the Great population goals and associated hunting in the 1930s. Following the Plains Population (surveyed together objectives/strategies. A common goal Federal prohibition on the use of live with the Western Prairie Population) among the plans is the need to balance decoys in 1935, Dill and Lee (1970) was 710,300 geese and has increased an the positive aspects of resident Canada cited an estimate of more than 15,000 average of 10 percent per year since geese with the conflicts they can cause. domesticated and semi-domesticated 1993. For the Hi-Line Population, both While the Service does not formally geese that were released from captive the mid-winter survey and the spring adopt Flyway management plans, flocks. With the active restoration survey estimates have increased an because of the cooperative nature of programs that occurred from the 1950s average of 6 percent per year since 1993 migratory bird management under the through the 1980s, the population has (U.S. Fish and Wildlife Service, 2002). Flyway Council system, and the fact grown to over 1 million birds in the In the Pacific Flyway, two that the Flyway Councils and States are northeastern United States and has populations of the western Canada the most knowledgeable sources of increased an average of 5 percent per goose, the Rocky Mountain Population information regarding the establishment year since 1993 (Sheaffer and Malecki and the Pacific Population, are of goose population goals and objectives 1998; Atlantic Flyway Council 1999; predominantly composed of Canada under their purview, we believe U.S. Fish and Wildlife Service, 2002). geese that nest and/or reside in the incorporation of these management In the Mississippi Flyway, most States of the Flyway. The Rocky plans into the formulation of our overall resident Canada geese are giant Canada Mountain Population (B. c. moffitti) resident Canada goose management help geese (B. c. maxima). Once believed to nests from southwestern Alberta define the objectives for acceptable be extinct (Delacour 1954), Hanson southward through the intermountain resident Canada goose population (1965) rediscovered them in the early regions of western Montana, Utah, reduction and management. Thus, we 1960s, and estimated the giant Canada Idaho, Nevada, Colorado, and Wyoming. have attempted to incorporate the goals goose population at about 63,000 birds They winter southward from Montana and objectives of the Flyways’ resident in both Canada and the United States. to southern California, Nevada, and Canada goose management plans and In the nearly 40 years since their Arizona. Highly migratory, they have their associated population objectives rediscovery, the breeding population of grown from a breeding population of into the formulation of this proposed giant Canada geese in the Mississippi about 14,000 in 1970 (Krohn and Bizeau rule. A more detailed discussion of the Flyway now exceeds 1.4 million 1980) to over 130,000 (Subcommittee on Flyway management plans, their individuals and has been growing at a Rocky Mountain Canada Geese 2000; specific goals and objectives, is

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contained in the draft EIS described in populations as determined by each geese with respect to conflicts and the ADDRESSES section of this document. Flyway Council, and in accordance with concerns. We further note that these The objective of this proposed rule is the mission of the Service. Formulating population sizes are only optimal in the to allow State wildlife management such a national management strategy to sense that it was each Flyway’s best agencies sufficient flexibility to deal reduce, manage, and control resident attempt to balance the many competing with problems, conflicts, and damages Canada goose populations in the considerations of both consumptive and caused by resident Canada geese and continental United States and to reduce nonconsumptive users. As with any goal guide and direct resident Canada goose related damages, safety, and public or objective, we believe that these population growth and management health concerns was a complex population objectives should be activities in the conterminous United problem, and Flyway input was periodically reviewed and/or revised in States. The program established by this essential for incorporating regional response to changes in resident Canada rule should contribute to human health differences and solutions. goose populations, damage levels, and safety, protect personal property As such, we note that the overall public input, or other factors. Current and agricultural crops, protect other population objectives established by the resident Canada goose population interests from injury, and allow Flyways were derived independently estimates and population objectives for resolution or prevention of injury to based on the States’ respective each Flyway are shown in Table 1. We people, property, agricultural crops, or management needs and capabilities, and note that over the last three years (2001– other interests from resident Canada in some cases, these objectives were an 03), the total number of temperate- geese. Further, the means must be approximation of population levels from nesting Canada geese, or resident effective, environmentally sound, cost- an earlier time when problems were less Canada geese, has averaged effective, flexible enough to meet the severe. In other cases, population approximately 3.2 million in the U.S. variety of management needs found objective levels were calculated from and 1.1 in Canada for a total spring throughout the flyways, should not what was professionally judged to be a population of 4.3 million (Moser and threaten viable resident Canada goose more desirable or acceptable density of Caswell, in press).

TABLE 1.—RECENT RESIDENT CANADA GOOSE POPULATION ESTIMATES (2001–03 AVERAGE) AND POPULATION OBJECTIVES ON A FLYWAY BASIS

Current resident Canada goose population a Atlantic flyway Mississippi flyway Central flyway Pacific flyway

U.S ...... 1,148,536 1,292,298 528,948 218,311 Canada ...... 269,439 152,434 343,286 372,686

Total ...... 1,417,975 1,444,732 872,234 590,996

Mississippi Resident Canada goose population objective Atlantic flyway b Central flyway d Pacific flyway flyway c

U.S...... 620,000 989,000 368,833–448,833 e 54,840–90,900 Canada ...... 30,000 180,000 e 35,750–56,250

Total ...... 650,000 1,169,000 e 90,590–147,150 a Moser and Caswell, in press. b Atlantic Flyway Council Section 1999. c Population objective numbers are draft and are not final at this time (Giant Canada Goose Committee 2000). d Only U.S. States provided population objectives (Gabig 2000). e Lower end of the Pacific Flyway population objective for the Pacific Population of Western Canada geese derived from ‘‘Restriction Level’’ and upper end derived from ‘‘Liberalization Level’’ as shown in Management Plan for the Pacific Population of Western Canada Geese (Sub- committee on Pacific Population of Western Canada Geese 2000). While the cited report refers to numbers of pairs, nests, and individual geese, the numbers shown here have been converted to numbers of individual geese.

Potential Causes of Population Growth urban areas provides additional Normally, complex Federal and State and Past Attempts to Slow Growth protection to those urban portions of the responsibilities are involved with The rapid rise of resident Canada resident Canada goose population. Canada goose control activities. All goose populations has been attributed to Given these characteristics, most control activities, except those intended a number of factors. Most resident resident Canada goose populations are to either scare geese out of, or preclude Canada geese live in temperate climates continuing to increase in both rural and them from using, a specific area, such as with relatively stable breeding habitat urban areas. harassment, habitat management, or conditions and low numbers of We have attempted to curb the growth repellants, require a Federal permit predators, tolerate human and other of resident Canada goose populations by issued by the Service. Additionally, disturbances, have a relative abundance several means. Expansion of existing permits to alleviate migratory bird of preferred habitat (especially those annual hunting season frameworks depredations are issued by the Service located in urban/suburban areas with (special and regular seasons), the in coordination with the Wildlife current landscaping techniques), and fly issuance of control permits on a case-by- Services program of the U.S. relatively short distances to winter case basis, and a Special Canada goose Department of Agriculture’s Animal and compared with other Canada goose permit have all been used with varying Plant Health Inspection Service populations. This combination of factors degrees of success. While these (Wildlife Services). Wildlife Services is contributes to consistently high annual approaches have provided relief in some the Federal agency with lead production and survival. Further, the areas, they have not completely responsibility for dealing with wildlife virtual absence of waterfowl hunting in addressed the problem.

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damage complaints. In most instances, concerns, and other public conflicts Proposed Resident Canada Goose State permits are required as well. have increased as resident Canada goose Regulations Conflicts and Impacts populations increased. Recently completed resident Canada goose modeling in Missouri (Coluccy Conflicts between geese and people We have further described the various affect or damage several types of impacts of resident Canada geese on 2000; Coluccy and Graber 2000), when resources, including property, human natural resources, public and private extrapolated to the entire Mississippi health and safety, agriculture, and property, and health and human safety Flyway, indicates that reduction of the natural resources. Common problem in our draft EIS on resident Canada Mississippi Flyway’s resident areas include public parks, airports, goose management. Due to the volume population from the current 1,335,683 public beaches and swimming facilities, of technical information, we refer the geese to the Flyway Council’s goal of water-treatment reservoirs, corporate reader to the draft EIS for specific 989,000 geese would require one of business areas, golf courses, schools, details. Procedures for obtaining a copy several management actions: (1) The college campuses, private lawns, of the draft EIS are described in the harvest of an additional 240,000 geese annually over that already occurring; (2) athletic fields, amusement parks, ADDRESSES section of this document. cemeteries, hospitals, residential the take of an additional 426,000 subdivisions, and along or between Environmental Consequences of Taking goslings per year; (3) a Flyway-wide highways. No Action nest removal of 264,000 nests annually; Property damage usually involves or (4) a combination of harvesting an landscaping and walkways, most We fully analyzed the No Action additional 120,000 geese annually and commonly on golf courses, parks, and alternative with regard to resident the take of an additional 160,000 waterfront property. In parks and other Canada goose management in our draft goslings per year. Each of these open areas near water, large goose flocks EIS, to which we refer the reader (U.S. management alternatives would be create local problems with their Fish and Wildlife Service 2002). In required annually for 10 years to reach droppings and feather litter (Conover summary, we expect that resident the Flyway’s population management and Chasko, 1985). Surveys have found Canada goose populations will continue goal. In the Atlantic Flyway, where the that, while most landowners like seeing to grow. Within 10 years, populations resident Canada goose population is some geese on their property, could approach 1.6 million in the even further above established Flyway eventually, increasing numbers of geese Atlantic Flyway, 2.0 million in the goals, these numbers would be even and the associated accumulation of Mississippi Flyway, 1.3 million in the greater. Similar numbers would be goose droppings on lawns, which Central Flyway, and 450,000 in the expected in the Central Flyway, while results in a reduction of both the Pacific Flyway. Additionally, resident numbers would be correspondingly aesthetic value and recreational use of Canada goose problems and conflicts smaller in the Pacific Flyway. these areas, cause many landowners to related to goose distribution are likely to Thus, to reduce the four Flyways’ resident populations from the current view geese as a nuisance (Conover and continue and expand. Resident Canada level of approximately 3.5 million to the Chasko, 1985). geese will continue to impact public Negative impacts on human health Flyway Councils’ goals of and private property, safety, and health, and safety occur in several ways. At approximately 2.1 million geese would airports, large numbers of geese can and impacts are likely to grow as goose require, at a minimum for the next 10 create a very serious threat to aviation. populations increase. Lastly, both years, either the harvest of an additional Resident Canada geese have been Federal and State workloads related to 480,000 geese annually, the take of an involved in a large number of aircraft dealing with these increasing conflicts additional 852,000 goslings per year, a strikes resulting in dangerous landing/ and populations will also increase. Flyway-wide nest removal of 528,000 take-off conditions, costly repairs, and Environmental Consequences of nests annually, or a combination of the loss of human life. As a result, many Proposed Action harvest of an additional 240,000 geese airports have active goose control annually and the take of an additional programs. Excessive goose droppings We fully analyzed our proposed 320,000 goslings per year. We believe are a disease concern for many people. action in the draft EIS on resident the only way possibly to attain these Public beaches in several States have Canada goose management, to which we numbers is to give the States the been closed by local health departments refer the reader for specific details (U.S. flexibility to address the problems due to excessive fecal coliform levels Fish and Wildlife Service 2002). In caused by resident Canada goose that in some cases have been traced summary, under our proposed action, populations within their respective back to geese and other waterfowl. entitled ‘‘State Empowerment,’’ we States. By addressing population Additionally, during nesting and brood- expect a reduction in resident Canada reductions on a wide number of rearing, aggressive geese have bitten and goose populations, especially in available fronts, we believe the combination of various damage chased people and injuries have problem areas. We also expect occurred due to people falling or being management strategies and population significant reductions in conflicts struck by wings. control strategies would successfully caused by resident Canada geese; Agricultural and natural resource reduce numbers of resident Canada impacts include losses to grain crops, decreased impacts to property, safety, geese in those priority areas identified overgrazing of pastures, and degrading and health; and increased hunting by the States. Since the States are the water quality. In heavy concentrations, opportunities. We expect some initial most informed and knowledgeable local goose droppings can overfertilize lawns State and Federal workload increases authorities on wildlife conflicts in their and degrade water quality, resulting in associated with implementation of the respective States, we believe it is logical eutrophication of lakes and excessive management strategies; however, over to authorize them to take the necessary algae growth (Manny et al., 1994). the long term, we expect that workloads actions within specified parameters. Overall, complaints related to personal would decrease. Lastly, we expect our To give States the needed flexibility to and public property damage, proposed action to maintain viable address the problems caused by resident agricultural damage, public safety resident Canada goose populations. Canada geese, this proposed rule would

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establish a regulation authorizing State September 15–30) could be approved as initiate action to suspend the regulation, wildlife agencies (or their authorized experimental and would require and/or regular-season regulation agents) to conduct (or allow) demonstration of a minimal impact to changes, for that population. management activities, including the migrant Canada goose populations. Suspension of regulations for a take of birds, on resident Canada goose These experimental seasons would be particular population would be made populations. This proposed rule would authorized on a case-by-case basis following a public review process. authorize indirect and/or direct through the normal migratory bird Under this proposed rule, the Service population control strategies such as hunting regulatory process. All of these would maintain primary authority for aggressive harassment, nest and egg expanded hunting methods and the management of resident Canada destruction, gosling and adult trapping opportunities under Special Canada geese, but the individual States would and culling programs, expanded goose hunting seasons would be in be authorized to implement the methods of take to increase hunter accordance with the existing Migratory provisions of this regulation within the harvest, or other general population Bird Treaty frameworks for sport guidelines established by the Service. In reduction strategies. The intent of this hunting seasons (i.e., 107-day limit from addition to specific strategies, we would proposed rule is to allow State wildlife September 1 to March 10) and would be continue the use of special and regular management agencies sufficient conducted outside of any other open hunting seasons, issued under 50 CFR flexibility, within predefined waterfowl season (i.e., when all other 20, and the issuance of depredation guidelines, to deal with problems waterfowl and crane hunting seasons permits and special Canada goose caused by resident Canada geese within were closed). permits, issued under 50 CFR 21.41 and their respective States. Other guidelines Take of resident Canada geese outside 21.26, respectively. Participating States would include criteria for such the existing Migratory Bird Treaty would be required to annually monitor activities as special take authorization frameworks for sport hunting seasons the spring breeding population to assess during a portion of the Treaty closed (i.e., 107-day limit from September 1 to population status and provide for the period (August 1–31); control for the March 10) would also be available long-term conservation of the resource. protection of airport safety, agriculture, under this proposed rule by creation of Additionally, States or other applicable and public health; and the take of nests a new subpart to 50 CFR part 21 and eggs without permits. parties (such as airports or public health specifically for the management of States could choose to implement officials) would be required to annually overabundant resident Canada goose specific strategies, such as specific report all take of geese under authorized depredation orders that address goose populations. Under this new subpart, management activities. we would establish a regulation under control at airports, agricultural sites, References Cited public health sites, and the non- the authority of the Migratory Bird permitted take of nests and eggs, Treaty Act with the intent to reduce Atlantic Flyway Council. 1999. Atlantic Flyway resident Canada goose management identified under the regulation and/or stabilize resident Canada goose population levels. The ‘‘managed take’’ plan. Canada Goose Committee, Atlantic conditions and guidelines. The Orders Flyway Technical Section. 42 pp. would be for resident Canada goose regulation would authorize each State in eligible areas to initiate aggressive Ball, I. J., E. L. Bowhay and C. F. Yocom. populations only and, as such, in order 1981. Ecology and management of the to ensure protection of migrant Canada resident Canada goose take strategies, western Canada goose in Washington. goose populations, could only be within the conditions that we provide, Washington Department of Game, implemented between April 1 and with the intent to reduce the Biological Bulletin No. 17. August 31, except for the take of nests populations. The regulation will enable Bellrose, F. C. 1976. Ducks, geese and swans and eggs which could be additionally States to use the general public acting of North America. Stackpole, Harrisburg, implemented in March. under strict program controls to kill PA. 543 pp. Special Canada goose hunting seasons resident Canada geese, by way of Bent, A. C. 1925. Life histories of North American wild fowl. Order Anseres (Part within the existing Treaty frameworks shooting in a hunting manner, during the August 1 through September 15 II). U.S. National Museum Bulletin 130. (i.e., September 1 to March 10) would Washington, D.C. 396 pp. continue to be handled within the period when all waterfowl and crane Conover, M. R., and G. G. Chasko. 1985. existing migratory bird hunting season hunting seasons, excluding falconry, are Nuisance Canada goose problems in the regulation development process. This closed, inside or outside the migratory eastern United States. Wildlife Society proposed rule would also provide new bird hunting season frameworks. The Bulletin 13(3):228–233. regulatory options to State wildlife regulation would also authorize the use Delacour, J. T. 1954. The waterfowl of the management agencies to potentially of additional methods of take to kill world. Volume 1 (Swans and geese). increase the harvest of resident Canada resident Canada geese during that Country Life Ltd., London. 284 pp. geese above that which results from period. The regulation would authorize Dill, H. H., and F. B. Lee, eds. 1970. Home the use of electronic calls and Grown Honkers. U.S. Fish and Wildlife existing special Canada goose seasons Service, Washington, D.C. 154 pp. that target resident Canada geese. This unplugged shotguns, liberalize daily bag Gabig, P. J. 2000. Large Canada geese in the proposed rule would authorize the use limits on resident Canada geese, and Central Flyway: management of of additional hunting methods such as allow shooting hours to continue until depredation, nuisance and human health electronic calls, unplugged shotguns, one-half hour after sunset. The Service and safety issues. Central Flyway Council. and expanded shooting hours (one-half would annually assess the overall 53 pp. hour after sunset). During existing, impact and effectiveness of the Giant Canada Goose Committee. 1996. operational, special September Canada ‘‘managed take’’ regulation to ensure Mississippi Flyway giant Canada goose goose seasons (i.e., September 1–15), compatibility with long-term management plan. [c/o USFWS, MBMO] these additional hunting methods conservation of this resource. If at any Twin Cities, MN. Unpublished report. 61 pp. would be available for use on an time evidence is presented that clearly llll. 2000. Unpublished notes from the operational basis. Utilization of these demonstrates that there no longer exists February 25, 2000 meeting of the Giant additional hunting methods during any a serious threat of injury to the area or Canada Goose Committee of the new special seasons or other existing, areas involved for a particular resident Mississippi Flyway Council Technical operational special seasons (i.e., Canada goose population, we will Section in Little Rock, AR. 8 pp.

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Grieb, J. R. 1968. Canada goose populations Sheaffer, S. E. and R. A. Malecki. 1998. Regulatory Flexibility Act in the Central Flyway—their status and Status of Atlantic Flyway resident nesting future. Pages 31–41 in R. L. Hine and C. Canada geese. Pages 29–34 in D. H. Rusch, The Regulatory Flexibility Act of 1980 Schoenfeld, eds. Canada goose M. D. Samuel, D. D. Humburg, and B. D. (5 U.S.C. 601 et seq.) requires the management: Current continental problems Sullivan, eds. Biology and management of preparation of flexibility analyses for and programs. Dembar Education Research Canada geese. Proceedings of the actions that will have a significant Service, Madison, WI. 195 pp. International Canada Goose Symposium, economic impact on a substantial llll. 1970. The Shortgrass Prairie Milwaukee, WI. number of small entities, which Canada goose population. Wildlife Subcommittee on Pacific Population of includes small businesses, Monograph 22. 49 pp. Western Canada Geese. 2000. Pacific Hanson, H. C. 1965. The giant Canada goose. Flyway Management Plan for the Pacific organizations, or governmental Southern Illinois University Press. Population of Western Canada Geese. jurisdictions. The economic impacts of Carbondale, IL. 252 pp. Pacific Flyway Study Committee. (c/o this proposed rule will fall primarily on Johnson, F.A. and P. M. Castelli. 1998. USFWS) Portland, OR. Unpublished State and local governments and Demographics of ‘‘resident’’ Canada geese report. XX pp. Wildlife Services because of the in the Atlantic Flyway. Pages 127–133 in Subcommittee on Rocky Mountain Canada structure of wildlife damage D. H. Rusch, M. D. Samuel, D. D. Humburg, Geese. 2000. Pacific Flyway management management. Data are not available to and B. D. Sullivan, eds. Biology and plan for the Rocky Mountain Population of management of Canada geese. Proceedings estimate the exact number of Canada Geese. Pacific Flyway Study governments affected, but it is unlikely of the International Canada Goose Committee [c/o USFWS], Portland, OR. Symposium, Milwaukee, WI. Unpublished report. 28 pp. to be a substantial number on a national Krohn, W. B., and E. G. Bizeau. 1980. The U.S. Fish and Wildlife Service. 2002. scale. We estimate that implementation Rocky Mountain population of western Waterfowl population status, 2002. U.S. of new resident Canada goose Canada goose: Its distribution, habitats and Department of the Interior, Washington, management regulations would help management. Special Scientific Report D.C. 37 pp. + appendices. alleviate local public health and safety Wildlife 229. U.S. Fish and Wildlife Vaught, R. W. and L. M. Kirsch. 1966. Canada concerns, decrease economic damage Service, Washington, D.C. 93 pp. geese of the Eastern Prairie Population Manny, B. A., W. C. Johnson, and R. G. caused by excessive numbers of geese, with special reference to the Swan Lake and increase the quality of life for those Wetzel. 1994. Nutrient additives by flock. Missouri Department of waterfowl to lakes and reservoirs: Conservation Technical Bulletin 3. people experiencing goose conflicts. predicting their effects on productivity and Jefferson City, MO. 91 pp. Implementation of new resident Canada water quality. Hydrobiologia 279:121–132. Williams, C. S. 1967. Honker: a discussion of goose regulations would also help Mississippi Flyway Council. 1996. Giant the habits and needs of the largest of our reduce agricultural losses caused by Canada Goose Management Plan. Canada geese. D. Van Nostrand Co., these geese. Our proposed rule would Unpublished report. Princeton, NJ. 179 pp. give State fish and wildlife agencies Moser, T. J., and F. D. Caswell. In press. Wood, J. C., D. H. Rusch, and M. Samuel. Long-term indices of Canada goose status significantly more latitude to manage 1996. Results of the 1996 spring survey of resident Canada goose populations. and management. Pages xx–xx in T. J. giant Canada goose survey in the Moser, K C. Vercauteren, R. D. Lien, K. F. Mississippi Flyway. University of Goose populations would be reduced to Abraham, D. E. Andersen, J. G. Bruggink, Wisconsin Co-op Unit. 9 pp. (mimeo). levels that local communities can J. M. Coluccy, D. A. Graber, J. O. Leafloor, support, and agricultural damages from D. R. Luukkonen, and R. E. Trost, editors. NEPA Considerations resident Canada geese would be Proceedings of the 2003 International In compliance with the requirements reduced. We have determined that a Canada Goose Symposium, Madison, WI. Nelson, H. K. 1962. Recent approaches to of section 102(2)(C) of the National Regulatory Flexibility Act analysis is Canada goose management. U.S. Environmental Policy Act of 1969 (42 not required. U.S.C. 4332(C)), and the Council on Department of the Interior. Special Executive Order 12866 Scientific Report Wildlife 66. 21 pp. Environmental Quality’s regulation for lll, and R. B. Oetting. 1998. Giant Canada implementing NEPA (40 CFR 1500– In accordance with the criteria in goose flocks in the United States. Pages 1508), we prepared a draft EIS in Executive Order 12866, this proposed 483–495 in D. H. Rusch, M. D. Samuel, D. February 2002. The draft EIS is available action is not a significant regulatory D. Humburg, and B. D. Sullivan, eds. to the public at the location indicated action subject to Office of Management Biology and management of Canada geese. under the ADDRESSES caption. and Budget (OMB) review. This rule Proceedings of the International Canada will not have an annual economic effect Goose Symposium, Milwaukee, WI. Endangered Species Act Consideration Palmer, R.S., ed. 1976. Handbook of North of $100 million or adversely affect any American birds. Volume 2. Yale University Section 7(a)(2) of the Endangered economic sector, productivity, Press, New Haven, CT. 521 pp. Species Act (ESA), as amended (16 competition, jobs, the environment, or Rusch, D. H., R. E. Malecki, and R. E. Trost. U.S.C. 1531–1543; 87 Stat. 884) other units of government. Therefore, a 1995. Canada geese in North America. provides that ‘‘Each Federal agency cost-benefit economic analysis is not Pages 26–28 in E. T. LaRoe, G. S. Farris, shall, in consultation with and with the required. This proposed action will not C. E. Puckett, P. D. Doran, and M. J. Mac. assistance of the Secretary, insure that create inconsistencies with other Editors. OUR LIVING RESOURCES: A any action authorized, funded, or agencies’ actions or otherwise interfere report to the nation on the distribution, abundance, and health of U.S. plants, carried out * * * is not likely to with an action taken or planned by animals, and ecosystems. U.S. Department jeopardize the continued existence of another agency. The Federal agency of the Interior, National Biological Service. any endangered species or threatened most interested in this action is Wildlife Washington, D.C. 530 pp. species or result in the destruction or Services. The action proposed is lll, J. C. Wood, G. G. Zenner. 1996. The adverse modification of [critical] habitat consistent with the policies and dilemma of giant Canada goose ***.’’ We have initiated Section 7 guidelines of other Department of the management. Pages 72–78 in Ratti, J. T. ed. consultation under the ESA for this Interior bureaus. This proposed action 7th International Waterfowl Symposium. proposed rule. The result of our will not materially affect entitlements, Ducks Unlimited, Inc., Memphis, TN. Rutherford, W. H., ed. 1965. Description of consultation under Section 7 of the ESA grants, user fees, loan programs, or the Canada goose populations common to the will be available to the public at the rights and obligations of their recipients. Central Flyway. Central Flyway Waterfowl location indicated under the ADDRESSES This proposed action will not raise Council Technical Committee. 20 pp. caption. novel legal or policy issues because we

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have previously managed resident program, and particularly in monitoring not held the special permit, we believe Canada geese under the Migratory Bird resident Canada goose population status some number of these individuals Treaty Act. and in the assessment of impacts that would have applied for depredation Executive Order 12866 requires each alternative regulatory strategies may permits. agency to write regulations that are easy have on resident Canada goose How Would This Rule Change the to understand. We invite comments on populations. The information how to make this rule easier to collections will be required in order to Estimated Burden Associated With the understand, including answers to authorize State governments responsible Current Permit Process? questions such as the following: (1) Are for migratory bird management to take We expect that this proposed rule the requirements in the rule clearly (or allow the take of) resident Canada would alleviate approximately 2,000 stated? (2) Does the rule contain geese within the program guidelines. current or potential permit holders from technical language or jargon that What Are the Current Information the requirement of applying for a interferes with its clarity? (3) Does the Federal depredation permit to control format of the rule (grouping and order Collection Burden Estimates Under the Existing Permit Process? and manage resident Canada geese. of sections, use of headings, Thus, under this proposed rule, paragraphing, etc.) aid or reduce its Current total annual burden estimates paperwork burden would be eliminated clarity? (4) Would the rule be easier to for resident Canada goose depredation in two main areas: Application understand if it were divided into more permits (those permits issued under 50 submission and annual reporting (but shorter) sections? (5) Is the CFR 21.41), including the time for requirements. completing the application and filing description of the rule in the Under the application-associated annual reports, is 2,304 hours. The SUPPLEMENTARY INFORMATION section of burden, using an average of 1.5 hours to annual ‘‘out-of-pocket’’ cost to the the preamble helpful in understanding complete an application for a applicants is approximately $12,225. the rule? (6)What else could the Service depredation permit, we estimate that Under the Special Canada Goose Permit do to make the rule easier to approximately 3,500 hours (2,000 × 1.5 program (50 CFR 21.26), the total annual understand? hours) of existing or potential burden burden, including application and would be eliminated with this proposed Small Business Regulatory Enforcement reporting requirements, is 114 hours. rule. Additionally, the associated Fairness Act There is no annual ‘‘out-of-pocket’’ cost annual ‘‘out-of-pocket’’ cost to the This rule is not a major rule under 5 to the respondents under the Special current and potential applicants that U.S.C. 804(2), the Small Business Canada Goose Permit program because would be eliminated is approximately Regulatory Enforcement Fairness Act. It State agencies are exempt from the $25 $50,000 (2,000 applicants multiplied by will not have an annual effect on the application processing fee (50 CFR a $25 application processing fee). economy of $100 million or more; nor 13.11). will it cause a major increase in costs or Under the burden associated with How Many Agencies, Organizations, or annual reporting requirements, a similar prices for consumers, individual People Would Potentially Be Affected industries, Federal, State, or local elimination of existing burden would Under the New Requirements of This occur. Normally, holders of depredation government agencies, or geographic Rule? regions. It will not have significant permits are required to submit an adverse effects on competition, Based on information in the DEIS, annual report detailing the number of employment, investment, productivity, Wildlife Services annually receives birds, eggs, or nests actually taken under innovation, or the ability of U.S.-based approximately 2,000 requests for the permit. The Service uses this enterprises to compete with foreign- technical assistance for property damage information to determine whether a based enterprises. caused by resident Canada geese. permit holder is in compliance with the Further, in 2000, the Service issued permit and to track the number of birds Paperwork Reduction Act and about 1,600 depredation permits for actually taken from the wild and Information Collection resident Canada geese. We believe these monitor the impact on the resource. We examined these regulations under numbers are fairly representative of the While most annual reporting the Paperwork Reduction Act of 1995 current needs status. However, we also requirements would be eliminated (44 U.S.C. 3507(d)). Under the Act, recognize that some unknown number under the proposed rule, a few would information collections must be of needs for assistance go unreported remain (those required for the State approved by OMB. Agencies may not due to either higher individual resident wildlife agency summarizing activities conduct or sponsor, and a person is not Canada goose damage tolerance levels or under § 21.61(d)(1) and (6)). Others required to respond to, a collection of personal perceptions that the obtained would be replaced by the maintenance information unless it displays a assistance would not ‘‘solve’’ the of a log recording activities. As with the currently valid OMB control number. As problem. Additionally, we know that normal permit application, the amount required by the Act, we will submit the States operating under the Special of time it takes to complete the annual necessary paperwork to OMB for Canada Goose Permit (50 CFR 21.26) report or log depends on the scope of approval to collect this information. We have been issuing individual the activities. We estimate it normally will not collect any information until authorizations within their respective takes an average of 1 hour to complete approved by OMB and a final regulation States. For example, in 2000, the States the annual report for a depredation is published. of Michigan, Minnesota, Missouri, and permit. Maintenance of a log book Ohio, operating under a Special Canada would be significantly less burden than What Will the Required Information Be Goose Permit, issued 528 authorizations completion of an annual report. We Used for? to individuals within their respective estimate that maintenance of a log book The proposed information collection, States. These authorizations enabled the would require approximately 10 record-keeping, and reporting named individual(s) to conduct control minutes per logbook, or about 1 minute requirements imposed under proposed and management activities on resident per entry. Thus, we estimate that the regulations in 50 CFR part 21, subpart Canada geese under the auspices of the proposed rule would result in a total E will be used to administer this State wildlife agency. Had these States annual burden of 333 hours (2,000 × 10

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minutes) or less for the reporting Service, including whether the the justice system beyond enforcement requirements. information will have practical utility; of provisions of the Migratory Bird (2) the accuracy of the Service’s burden Treaty Act of 1918 that have already What About Those State Agencies of the collection of information, been implemented through previous Currently Operating Under the Special including the validity of the rulemakings. Canada Goose Permit? How Would They methodology and assumptions used; (3) Be Affected? Takings Implication Assessment the quality, utility, and clarity of the States currently operating under the information to be collected; and (4) how In accordance with Executive Order existing Special Canada Goose Permit to minimize the burden of the collection 12630, this proposed action, authorized would experience some changes in of information on those who are to by the Migratory Bird Treaty Act, does burden if they opt to operate under the respond, including the use of electronic, not have significant takings implications proposed rule. Currently each permittee mechanical, or other forms of and does not affect any constitutionally (i.e., State wildlife agency) is required to information technology. Send your protected property rights. This action submit not only an application for the comments on this information will not result in the physical permit, but an annual report detailing collection to the Desk Officer for the occupancy of property, the physical the number of birds, eggs, or nests Department of the Interior at OMB– invasion of property, or the regulatory actually taken under the permit. Burden OIRA via facsimile or e-mail using the taking of any property. In fact, this requirements for the application would following fax number or e-mail address: proposed action will help alleviate be eliminated for those States that opt (202) 395–6566 (fax); private and public property damage and to participate in the new management [email protected] (e-mail); concerns related to public health and program. However, under the proposed and a copy of the comments should be safety and allow the exercise of rule, annual reports would continue to sent to the Information Collection otherwise unavailable privileges. be required for State wildlife agencies Clearance Officer, U.S. Fish and Federalism Effects summarizing management activities Wildlife Service, ms 222–ARLSQ, 1849 under § 21.61(d)(1) and (6), similar to C Street, NW., Washington, DC 20204. Due to the migratory nature of certain species of birds, the Federal that required under the Special Canada Unfunded Mandates Reform Act Goose Permit program. We estimate it Government has been given statutory would take an average of 2 hours to The Unfunded Mandates Reform Act responsibility over these species by the complete this annual report (the same as of 1995 requires agencies to assess the Migratory Bird Treaty Act. While legally that estimated under the Special Canada effects of Federal regulatory actions on this responsibility rests solely with the Goose Permit program). We estimate State, local, and tribal governments and Federal Government, it is in the best that the proposed rule would not the private sector. The purpose of the interest of the migratory bird resource significantly affect the overall burden act is to strengthen the partnership for us to work cooperatively with the associated under both programs of between the Federal Government and Flyway Councils and States to develop approximately 90 hours (45 States × 2 State, local, and tribal governments and and implement the various migratory hours) or less. to end the imposition, in the absence of bird management plans and strategies. full consideration by Congress, of For example, in the establishment of How Do the Conservation Order Federal mandates on these governments migratory game bird hunting Provisions Affect the Estimated Burden? without adequate Federal funding, in a regulations, we annually prescribe Are There Not Additional Reporting manner that may displace other frameworks from which the States make Requirements Associated With the essential governmental priorities. We selections and employ guidelines to Special Management Actions have determined, in compliance with establish special regulations on Federal Authorized Under the Conservation the requirements of the Unfunded Indian reservations and ceded lands. Order? Mandates Reform Act, 2 U.S.C. 1502 et This process preserves the ability of the Yes. Under § 21.61(d)(6)(iii)(H), States seq., that the proposed action would not States and Tribes to determine which must keep detailed records of activities ‘‘significantly or uniquely’’ affect small seasons meet their individual needs. carried out under the Conservation governments, and will not produce a Frameworks are developed in a Order and must submit an annual report Federal mandate of $100 million or cooperative process with the States and summarizing such activities. We expect more in any given year on local or State the Flyway Councils and any State or a maximum of 45 State wildlife agencies government or private entities. Tribe may be more restrictive than the will participate under the authority of Therefore, this action is not a Federal frameworks. This allows States the Conservation Order, requiring an ‘‘significant regulatory action’’ under to participate in the development of average of 24 hours to collect the the Unfunded Mandates Reform Act. frameworks from which they will make information from program participants. selections, thereby having an influence Civil Justice Reform—Executive Order on their own regulations. Thus, the burden assumed by State 12988 participants would be 1,080 hours or The proposed rulemaking was less. We, in promulgating this rule, have developed following extensive input determined that these regulations meet from the Flyway Councils, States, and What Is the Total Estimated Burden of the applicable standards provided in Wildlife Services. Individual Flyway This New Program? Sections 3(a) and 3(b)(2) of Executive management plans were developed and We estimate the maximum total Order 12988. Specifically, this rule has approved by the four Flyway Councils, annual burden would be about 1,503 been reviewed to eliminate errors and and States actively participated in the hours (333 + 90 + 1,080). ambiguity, has been written to minimize scoping process for the DEIS. This litigation, provides a clear legal proposed rule does not have a How Can I Comment on This Estimate? standard for affected conduct, and substantial direct effect on fiscal Comments are invited from the public specifies in clear language the effect on capacity, change the roles or on: (1) Whether the collection of existing Federal law or regulation. It is responsibilities of Federal or State information is necessary for the proper not anticipated that this rule will governments, or intrude on State policy performance of the function of the require any additional involvement of or administration. The proposed rule

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allows States the latitude to develop and Wildlife Act of 1956, 16 U.S.C. 742a–j; Pub. Maryland, Massachusetts, Michigan, implement their own resident Canada L. 106–108, 113 Stat. 1491, Note Following Minnesota, Mississippi, Missouri, goose management action plan within 16 U.S.C. 703. Montana, Nebraska, New Hampshire, the frameworks of the proposed 2. Amend § 20.11 by adding New Mexico, New York, North Carolina, alternative. Therefore, in accordance paragraph (n) to read as follows: North Dakota, Ohio, Oklahoma, with Executive Order 13132, this Pennsylvania, Rhode Island, South proposed rule does not have significant § 20.11 What terms do I need to Carolina, South Dakota, Tennessee, understand? federalism effects and does not have Texas, Vermont, Virginia, West Virginia, sufficient federalism implications to * * * * * Wisconsin, and Wyoming. warrant the preparation of a Federalism (n) Resident Canada geese means (2) A season only for resident Canada Assessment. Canada geese that nest within the lower geese during the period of September 1 48 States in the months of March, April, to September 15 when all other Government-to-Government May, or June, or reside within the lower waterfowl and crane hunting seasons, Relationship With Tribes 48 States in the months of April, May, excluding falconry, are closed. In accordance with the President’s June, July, or August. memorandum of April 29, 1994, 3. Revise paragraphs (b) and (g) of PART 21—[AMENDED] ‘‘Government-to-Government Relations § 20.21 to read as follows: 4. The authority citation for part 21 is with Native American Tribal § 20.21 What hunting methods are illegal? revised to read as follows: Governments’’ (59 FR 22951), Executive * * * * * Order 13175, and 512 DM 2, we have Authority: Migratory Bird Treaty Act, 40 (b) With a shotgun of any description Stat. 755 (16 U.S.C. 703); Pub. L. 95–616, 92 determined that this rule has no effects capable of holding more than three on Federally-recognized Indian tribes. Stat. 3112 (16 U.S.C. 712(2)); Pub. L. 106– shells, unless it is plugged with a one- 108, 113 Stat. 1491, Note Following 16 U.S.C. Specifically, Tribes were sent copies of piece filler, incapable of removal 703. our August 19, 1999, Notice of Intent without disassembling the gun, so its 5. Amend § 21.3 by revising the (64 FR 45269) that outlined the total capacity does not exceed three proposed action in the Draft definition for ‘‘Resident Canada geese’’ shells. However, this restriction does to read as follows: Environmental Impact Statement on not apply during: Resident Canada Goose Management. In (1) A light-goose-only season (greater § 21.3 Definitions. addition, Tribes were sent our December and lesser snow geese and Ross’ geese) 30, 1999, Notice of Meetings (64 FR * * * * * when all other waterfowl and crane Resident Canada geese means Canada 73570), which provided the public hunting seasons, excluding falconry, are geese that nest within the lower 48 additional opportunity to comment on closed while hunting light geese in States in the months of March, April, the DEIS process. No known Native Atlantic, Central, and Mississippi May, or June, or reside within the lower American tribes depend on this resource Flyway portions of Alabama, Arkansas, 48 States in the months of April, May, for sustenance or religious purposes. Colorado, Connecticut, Delaware, June, July, or August. Energy Effects—Executive Order 13211 Florida, Georgia, Illinois, Indiana, Iowa, * * * * * Kansas, Kentucky, Louisiana, Maine, On May 18, 2001, the President issued 6. Add § 21.61 to subpart E to read as Maryland, Massachusetts, Michigan, Executive Order 13211 on regulations follows: Minnesota, Mississippi, Missouri, that significantly affect energy supply, Montana, Nebraska, New Hampshire, § 21.61 Control and management of distribution, and use. Executive Order New Mexico, New York, North Carolina, resident Canada geese. 13211 requires agencies to prepare North Dakota, Ohio, Oklahoma, (a) Which Canada geese are covered Statements of Energy Effects when Pennsylvania, Rhode Island, South by this regulation? This regulation undertaking certain actions. This rule is Carolina, South Dakota, Tennessee, addresses the control and management not a significant regulatory action under Texas, Vermont, Virginia, West Virginia, of resident Canada geese, as described Executive Order 12866 and is not Wisconsin, and Wyoming. in § 21.3. expected to adversely affect energy (2) A season only for resident Canada (b) What is the resident Canada goose supplies, distribution, or use. Therefore, geese during the period of September 1 control and management program, and this action is not a significant energy to September 15 when all other what is its purpose? The resident action and no Statement of Energy waterfowl and crane hunting seasons, Canada goose control and management Effects is required. excluding falconry, are closed. program authorizes State wildlife List of Subjects in 50 CFR Parts 20 and * * * * * agencies to conduct (or allow) indirect 21 (g) By the use or aid of recorded or and/or direct population control Exports, Hunting, Imports, Reporting electrically amplified bird calls or management activities, including the and recordkeeping requirements, sounds, or recorded or electrically take of birds, on resident Canada goose Transportation, Wildlife. amplified imitations of bird calls or populations. The intent of the program is to allow State wildlife management For the reasons stated in the sounds. However, this restriction does agencies sufficient flexibility to deal preamble, we hereby propose to amend not apply during: (1) A light-goose-only season (greater with problems, conflicts, and damages parts 20 and 21, of subchapter B, and lesser snow geese and Ross’ geese) caused by resident Canada geese and chapter I, title 50 of the Code of Federal when all other waterfowl and crane guide and direct resident Canada goose Regulations, as set forth below: hunting seasons, excluding falconry, are population growth and management PART 20—[AMENDED] closed while hunting light geese in activities in the conterminous United Atlantic, Central, and Mississippi States. The program contributes to 1. The authority citation for part 20 is Flyway portions of Alabama, Arkansas, human health and safety, protects revised to read as follows: Colorado, Connecticut, Delaware, personal property and agricultural Authority: Migratory Bird Treaty Act, 40 Florida, Georgia, Illinois, Indiana, Iowa, crops, protects other interests from Stat. 755, 16 U.S.C. 703–712; Fish and Kansas, Kentucky, Louisiana, Maine, injury, and allows resolution or

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prevention of injury to people, property, (iii) States and their employees and officers upon request during normal agricultural crops, or other interests agents may conduct (or allow) business hours. from resident Canada geese. The management and control activities, (ix) Any State employee or designated management and control activities including the take of resident Canada agent authorized to carry out allowed or conducted under the geese, under this section between April management and control activities must program are intended to relieve or 1 and August 31. The manipulation and have a copy of the State’s authorization prevent damage and injurious destruction of resident Canada goose and designation in their possession situations. No person should construe nests and eggs may take place between when carrying out any activities. If the this program as opening, reopening, or March 1 and June 30. State is conducting operations on extending any hunting season contrary (iv) States and their employees and private property at the request of the to any regulations established under agents may possess, transport, and property owner or occupant, the State Section 3 of the Migratory Bird Treaty otherwise dispose of resident Canada must also require the property owner or Act. geese taken under this section. States occupant on whose premises resident (c) Who may participate in the must dispose of birds taken under this Canada goose control and management program? Only State wildlife agencies program by donation to public museums activities are being conducted to allow, (State) in the lower 48 States are eligible or public institutions for scientific or at all reasonable times, including during to conduct (or allow) and implement the educational purposes, by processing actual operations, free and unrestricted various resident Canada goose control them for human consumption and access to any Service special agent or and management program components. distributing them free of charge to refuge officer, State wildlife or deputy (d) What are the various components charitable organizations, or by burying wildlife agent, warden, protector, or of the resident Canada goose control or incinerating them. States, their other wildlife law enforcement officer and management program? The resident employees, and designated agents may (wildlife officer) on the premises where Canada goose control and management not sell, offer for sale, barter, or ship for they are, or were, conducting activities. program has six components. Any State the purpose of sale or barter any Furthermore, any State employee or identified in paragraph (c) of this resident Canada geese taken under this designated agent conducting such section, may implement all, part, or section, nor their plumage or eggs. activities must promptly furnish none of the following program Persons authorized to operate under the whatever information is required components: program may not possess or transport concerning such activities to any such resident Canada goose nests and eggs (1) State control and management wildlife officer. taken under this section. Any specimens activities for resident Canada geese. (x) States exercising the privileges needed for scientific purposes as State wildlife agencies (or their granted by this section must submit an determined by the Director must not be authorized agents) may conduct (or annual report summarizing activities, destroyed, and information on birds allow) control and management including the date, numbers, and carrying metal leg bands must be activities, including the take of birds, on location of birds taken by December 31 submitted to the Bird Banding resident Canada goose populations of each year. The State should submit Laboratory by means of a toll-free the annual report to the Assistant when necessary to protect human health telephone number at 1–800–327–BAND Director for Migratory Birds and State and safety; protect personal property, (or 2263). agricultural crops, and other interests (v) No person conducting resident Programs, U.S. Fish and Wildlife from injury; and allow resolution or Canada goose control and management Service, (Attention: Division of prevention of injury to people, property, activities under this section should Migratory Bird Management), 4401 agricultural crops, or other interests construe the program as authorizing the North Fairfax Drive, MBSP–4107, from resident Canada geese; and to killing of resident Canada geese or Arlington, Virginia 22203. reduce resident Canada goose destruction of their nests and eggs (2) Airport safety. States may populations within Flyway management contrary to any State law or regulation, authorize commercial, public, and objectives. Control and management nor may any control or management private airports (Airports) (and their activities include indirect and/or direct activities be conducted on any Federal employees or their agents) to establish population control strategies such as land without specific authorization by and implement a resident Canada goose aggressive harassment, trapping and the responsible management agency. No control and management program when relocation, nest and egg manipulation person may exercise the privileges necessary to protect public safety and and destruction, gosling and adult granted under this section unless they allow resolution or prevention of airport trapping and culling programs, or other possess any permits required for such safety threats from resident Canada general population reduction strategies. activities by any State or Federal land geese. Control and management The program is subject to the following manager. activities include indirect and/or direct restrictions: (vi) States and their employees and population control strategies such as (i) States should encourage and utilize agents operating under the provisions of aggressive harassment, trapping and nonlethal goose management tools to this section may not use decoys, calls, relocation, nest and egg manipulation the extent they deem appropriate in an or other devices to lure birds within gun and destruction, gosling and adult effort to minimize lethal take. range. trapping and culling programs, or other (ii) Methods of take for the control (vii) Persons using shotguns are general population reduction strategies. and management of resident Canada required to use nontoxic shot. This program is subject to the following geese are at the State’s discretion from (viii) Any State, its employees, and restrictions: among the following: Firearms, alpha- agents exercising the privileges of this (i) Authorized airports should utilize chloralose, traps, egg and nest section must keep and maintain a log nonlethal goose management tools to manipulation and destruction, recording the date and number of birds the extent they deem appropriate. To euthanization, and other damage control killed each month under this minimize lethal take, Airports should techniques consistent with accepted authorization. The log and any related follow the following procedure: wildlife damage-management programs records must be made available to (A) Assess the problem to determine as may be approved by the Director. Federal or State wildlife enforcement its extent or magnitude, its impact on

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current operations, and the appropriate decoys, calls, or other devices to lure (v) Any person exercising the control method to be used. birds within gun range. privileges of this section under a State (B) Base control methods on sound (viii) Any Airport exercising the authorization must keep and maintain a biological, environmental, social, and privileges of a program authorized log recording the date and number of cultural factors. under this section must keep and resident Canada goose nests and eggs (C) Formulate appropriate methods maintain a log recording the date and taken under this authorization. The log into a control strategy that utilizes the number of birds killed, and the number must be maintained for a period of 3 approach or concept that encourages the of nests and eggs taken under this years (and records of 3 previous years of use of several control techniques rather authorization. The log must be takings must be maintained at all times than relying on a single method. maintained for a period of 3 years (and thereafter). The log and any related (D) Always first consider nonlethal records of 3 previous years of takings records must be made available to harassment methods in any control must be maintained at all times Federal or State wildlife enforcement strategy. thereafter). The log and any related officers upon request during normal (ii) Methods of take for the control of records must be made available to business hours. resident Canada geese are at the State’s Federal or State wildlife enforcement (vi) Nothing in this section authorizes discretion from among the following: officers upon request during normal the destruction of resident Canada goose Firearms, alpha-chloralose, traps, egg business hours. nests or the take of resident Canada and nest manipulation and destruction, (ix) Nothing in this section authorizes goose eggs contrary to the laws or euthanization, and other damage control the killing of resident Canada geese or regulations of any State, and none of the techniques consistent with accepted destruction of their nests and eggs privileges of this section may be wildlife damage-management programs contrary to the laws or regulations of exercised unless the persons authorized as may be approved by the Director. any State, and none of the privileges of to operate under the program possess (iii) Authorized airports may conduct this section may be exercised unless the the appropriate State permits, when management and control activities, Airport possesses the appropriate State required; nor does it authorize the including the take of resident Canada authorization or other permits required killing of any migratory bird species or geese, under this section between April by the State, when required; nor does it destruction of their nest or eggs other 1 and August 31. The manipulation and authorize the killing of any migratory than resident Canada geese. destruction of resident Canada goose bird species or destruction of their nest (4) Agricultural depredation. States nests and eggs may take place between or eggs other than resident Canada may authorize landowners, operators, March 1 and June 30. geese. and tenants actively engaged in the (iv) Authorized airports and their (3) Nest and eggs. States may production of commercial agriculture employees and agents may possess, authorize the manipulation and (agricultural producers) (or their transport, and otherwise dispose of destruction of resident Canada goose employees or agents) to conduct indirect resident Canada geese taken under this nests and the take of resident Canada and/or direct population control section. They must dispose of birds goose eggs when necessary to allow strategies such as aggressive harassment, taken under this order by donation to resolution or prevention of injury to nest and egg manipulation and public museums or public institutions people, property, agricultural crops, or destruction, gosling and adult trapping for scientific or educational purposes, other interests from resident Canada and culling programs, or other general by processing them for human geese, and to reduce resident Canada population reduction strategies on consumption and distributing them free goose populations within Flyway resident Canada goose populations of charge to charitable organizations, or management objectives. An authorized when the geese are committing or about by burying or incinerating them. program is subject to the following to commit depredations to agricultural Airports, their employees, and restrictions: crops and when necessary to allow designated agents may not sell, offer for (i) Persons authorized to operate resolution or prevention of injury to sale, barter, or ship for the purpose of under the program should utilize agricultural crops or other agricultural sale or barter any resident Canada geese nonlethal goose management tools to interests from resident Canada geese. taken under this section, nor their the extent they deem appropriate in an The program is subject to the following plumage or eggs. Persons authorized to effort to minimize lethal take. restrictions: operate under the program may not (ii) Methods of take are at the State’s (i) Authorized agricultural producers possess or transport resident Canada discretion from among the following: should utilize nonlethal goose goose nests and eggs taken under this egg and nest manipulation and management tools to the extent they section. Any specimens needed for destruction, and other damage control deem appropriate. To minimize lethal scientific purposes as determined by the techniques consistent with accepted take, agricultural producers should Director must not be destroyed, and wildlife damage-management programs follow the following procedure: information on birds carrying metal leg as may be approved by the Director. (A) Assess the problem to determine bands must be submitted to the Bird (iii) Persons authorized to operate its extent or magnitude, its impact to Banding Laboratory by means of a toll- under the program may conduct current operations, and the appropriate free telephone number at 1–800–327– resident Canada goose nest and egg control method to be used. BAND (or 2263). manipulation and destruction activities (B) Base control methods on sound (v) Resident Canada geese may be between March 1 and June 30. biological, environmental, social, and taken only within a 3-mile radius of the (iv) Persons authorized to operate cultural factors. Airport. under the program may not possess or (C) Formulate appropriate methods (vi) Persons using shotguns are transport resident Canada goose nest into a control strategy that utilizes the required to use nontoxic shot as and eggs taken under this section. approach/concept that encourages the identified in § 20.22(j). Persons authorized to operate under the use of several control techniques rather (vii) Authorized airports, and their program may not sell, offer for sale, than relying on a single method. employees and agents operating a barter, or ship for the purpose of sale or (D) Always first consider nonlethal program authorized under the barter any resident Canada goose nest or harassment methods in any control provisions of this section may not use egg taken under this section. strategy.

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(ii) Methods of take for the control of of nests and eggs taken under this techniques consistent with accepted resident Canada geese are at the State’s authorization. The log must be wildlife damage-management programs discretion among the following: maintained for a period of 3 years (and as may be approved by the Director. firearms, alpha-chloralose, traps, egg records for 3 previous years of takings (iii) Authorized public health and nest manipulation and destruction, must be maintained at all times agencies and their employees and agents euthanization, and other damage control thereafter). The log and any related may conduct management and control techniques consistent with accepted records must be made available to activities, including the take of resident wildlife damage-management programs Federal or State wildlife enforcement Canada geese, under this section as may be approved by the Director. officers upon request during normal between April 1 and August 31. The (iii) Authorized agricultural producers business hours. manipulation and destruction of and their employees and agents may (ix) Nothing in this section authorizes resident Canada goose nests and eggs conduct management and control the killing of resident Canada geese or may take place between March 1 and activities, including the take of resident the destruction of their nests and eggs June 30. Canada geese, under this section contrary to the laws or regulations of (iv) Authorized public health agencies between April 1 and August 31. The any State, and none of the privileges of and their employees and agents may manipulation and destruction of this section may be exercised unless the possess, transport, and otherwise resident Canada goose nests and eggs agricultural producer possesses the dispose of resident Canada geese taken may take place between March 1 and appropriate State permits, when under this section. Public health June 30. required; nor does its authorize the agencies must dispose of birds taken (iv) Authorized agricultural producers killing of any migratory bird species or under this order by donation to public and their employees and agents may destruction of their nest or eggs other museums or public institutions for possess, transport, and otherwise than resident Canada geese. scientific or educational purposes, by dispose of resident Canada geese taken (5) Public health. States may processing them for human under this section. Agricultural authorize State, county, municipal, or consumption and distributing them free producers must dispose of birds taken local public health officials (public of charge to charitable organizations, or under this order by donation to public health agencies) (or their employees or by burying or incinerating them. Public museums or public institutions for their agents) to establish and implement health agencies, their employees, and scientific or educational purposes, by a resident Canada goose control and designated agents may not sell, offer for processing them for human management program when necessary to sale, barter, or ship for the purpose of consumption and distributing them free protect public health and allow sale or barter any resident Canada geese of charge to charitable organizations, or resolution or prevention of public taken under this section, nor their by burying or incinerating them. health threats from resident Canada plumage or eggs. Persons authorized to Agricultural producers, their employees, geese. Control and management operate under the program may not and designated agents may not sell, offer activities include indirect and/or direct possess or transport resident Canada for sale, barter, or ship for the purpose population control strategies such as of sale or barter any resident Canada goose nests and eggs taken under this aggressive harassment, trapping and section. Any specimens needed for geese taken under this section, nor their relocation, nest and egg manipulation plumage or eggs. Persons authorized to scientific purposes as determined by the and destruction, gosling and adult Director must not be destroyed, and operate under the program may not trapping and culling programs, or other possess or transport resident Canada information on birds carrying metal leg general population reduction strategies. bands must be submitted to the Bird goose nests and eggs taken under this The program is subject to the following section. Any specimens needed for Banding Laboratory by means of a toll- restrictions: free telephone number at 1–800–327– scientific purposes as determined by the (i) Authorized public health agencies BAND (or 2263). Director must not be destroyed, and should utilize nonlethal goose (v) Resident Canada geese may be information on birds carrying metal leg management tools to the extent they taken only within the area of potential bands must be submitted to the Bird deem appropriate. To minimize lethal health threat. Banding Laboratory by means of a toll- take, public health agencies should (vi) Persons using shotguns are free telephone number at 1–800–327– follow the following procedure: BAND (or 2263). (A) Assess the problem to determine required to use nontoxic shot as (v) Resident Canada geese may be its extent or magnitude, its impact to identified in § 20.22(j). taken on land an authorized agricultural public health, and the appropriate (vii) Authorized public health producer personally controls and where control methods to be used. agencies, and their employees and damage is either occurring or where (B) Base control methods on sound agents operating under the provisions of geese are committing or about to commit biological, environmental, social, and this section may not use decoys, calls, depredations to agricultural crops. cultural factors. or other devices to lure birds within gun (vi) Persons using shotguns are (C) Formulate appropriate methods range. required to use nontoxic shot as into a control strategy that utilizes the (viii) Any authorized public health identified in § 20.22(j). approach or concept that encourages the agencies exercising the privileges of this (vii) Authorized agricultural use of several control techniques rather section must keep and maintain a log producers, and their employees and than relying on a single method. which indicates the date and number of agents, operating under the provisions (D) Always first consider nonlethal birds killed and the date and number of of this section may not use decoys, calls, harassment methods in any control nests and eggs taken under this or other devices to lure birds within gun strategy. authorization. The log must be range. (ii) Methods of take for the control of maintained for a period of 3 years (and (viii) Any authorized agricultural resident Canada geese are at the State’s records for the 3 previous years of producer exercising the privileges of discretion from among the following: takings must be maintained at all times this section must keep and maintain a Firearms, alpha-chloralose, traps, egg thereafter). The log and any related log that indicates the date and number and nest manipulation and destruction, records must be made available to of birds killed and the date and number euthanization, and other damage control Federal or State wildlife enforcement

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officers upon request during normal one-half hour before sunrise to one-half (2) From or by means, aid, or use of business hours. hour after sunset. a sinkbox or any other type of low- (ix) Nothing in this section authorizes (F) Nothing in the program may limit floating device, having a depression the killing of resident Canada geese or or initiate management actions on affording the person a means of destruction of their nests and eggs Federal land without concurrence of the concealment beneath the surface of the contrary to the laws or regulations of Federal agency with jurisdiction. water. any State, and none of the privileges of (G) States must designate participants (3) From or by means, aid, or use of this section may be exercised unless the who must operate under the conditions any motor vehicle, motor-driven land public health agency possesses the of the managed take program. conveyance, or aircraft of any kind, appropriate State permits, when (H) States must inform participants of except that paraplegics and persons required; nor does it authorize the the requirements/conditions of the missing one or both legs may take from killing of any migratory bird species or program that apply. any stationary motor vehicle or destruction of their nest and eggs other (I) States must keep annual records of stationary motor-driven land than resident Canada geese. activities carried out under the authority conveyance. (6) Managed take of resident Canada of the program. Specifically, (4) From or by means of any geese. (i) What is managed take? information must be collected on: motorboat or other craft having a motor Managed take is a special management (1) The number of individuals attached, or any sailboat, unless the action that is needed to control certain participating in the program; motor has been completely shut off and wildlife populations when traditional (2) The number of days individuals the sails furled, and its progress has ceased. A craft under power may be management programs are unsuccessful participated in the program; used only to retrieve dead or crippled in preventing overabundance of the (3) The total number of resident birds; however, the craft may not be population. We are implementing a Canada geese shot and retrieved during used under power to shoot any crippled managed take program under the the program; and birds. authority of the Migratory Bird Treaty (4) The number of resident Canada Act to reduce and stabilize resident (5) By the use or aid of live birds as geese shot but not retrieved. The States decoys. No person may take resident Canada goose populations. Managed must submit an annual report take allows additional methods of taking Canada geese on an area where tame or summarizing activities conducted under captive live geese are present unless resident Canada geese, allows shooting the program on or before June 1 of each hours for resident Canada geese to such birds are, and have been for a year, to the Chief, Division of Migratory period of 10 consecutive days before the extend to one-half hour after sunset, and Bird Management, 4401 N. Fairfax Dr., removes daily bag limits for resident taking, confined within an enclosure Suite 634, Arlington, Virginia 22203. that substantially reduces the audibility Canada geese inside or outside the (iv) What is required for individuals to migratory bird hunting season of their calls and totally conceals the participate in the program? Individual birds from the sight of resident Canada frameworks as described below. participants in State programs covered (ii) In what areas can a managed take geese. by the managed take program must program be implemented? All States (6) By means or aid of any motor- comply with the following except Alaska and Hawaii. driven land, water, or air conveyance, or requirements: (iii) What is required in order for State any sailboat used for the purpose of or governments to participate in a (A) Participants must comply with all resulting in the concentrating, driving, managed take program? Any State applicable State laws or regulations rallying, or stirring up of resident government responsible for the including possession of whatever Canada geese. management of wildlife and migratory permit(s) or other authorization(s) may (7) By the aid of baiting, or on or over birds may, without permit, kill or cause be required by the State government any baited area, where a person knows to be killed under its general concerned. or reasonably should know that the area supervision, resident Canada geese (B) Participants who take resident is or has been baited as described in under the following conditions: Canada geese under the program may § 20.11(j) and (k). Resident Canada geese (A) Activities conducted under the not sell or offer for sale those birds or may not be taken on or over lands or managed take program may not affect their plumage, but may possess, areas that are baited areas, and where endangered or threatened species as transport, and otherwise properly use grain or other feed has been distributed designated under the Endangered them. or scattered solely as the result of Species Act. (C) Participants must permit at all manipulation of an agricultural crop or (B) Control activities must be reasonable times, including during other feed on the land where grown, or conducted clearly as such and are not to actual operations, any Federal or State solely as the result of a normal be construed as opening, reopening, or game or deputy game agent, warden, agricultural operation as described in extending any open hunting season protector, or other game law § 20.11(h) and (l) . However, nothing in contrary to any regulations promulgated enforcement officer free and this paragraph prohibits the taking of under Section 3 of the Migratory Bird unrestricted access over the premises on resident Canada geese on or over the Treaty Act. which such operations have been or are following lands or areas that are not (C) Control activities may only be being conducted and must promptly otherwise baited areas: conducted under this section between furnish whatever information an officer (i) Standing crops or flooded standing August 1 and September 15. requires concerning the operation. crops (including aquatics); standing, (D) Control activities may be (D) Participants may take resident flooded, or manipulated natural conducted only when all waterfowl Canada geese by any method except vegetation; flooded harvested croplands; (including resident Canada goose) and those prohibited as follows: or lands or areas where seeds or grains crane hunting seasons, excluding (1) With a trap, snare, net, rifle, pistol, have been scattered solely as the result falconry, are closed. swivel gun, shotgun larger than 10 of a normal agricultural planting, (E) Control measures employed gauge, punt gun, battery gun, machine harvesting, post-harvest manipulation or through this section may be gun, fish hook, poison, drug, explosive, normal soil stabilization practice as implemented only between the hours of or stupefying substance. described in § 20.11(g), (i), (l), and (m);

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(ii) From a blind or other place of have not been adhered to by that C Street, NW., Washington, DC 20240, concealment camouflaged with natural Agency. The criteria for suspension and or the Office of Management and vegetation; revocation are outlined in § 13.27 and Budget, Paperwork Reduction Project (iii) From a blind or other place of § 13.28 of this subchapter. Upon appeal, 1018–0099, Washington, DC 20503. concealment camouflaged with final decisions to revoke authority will * * * * * vegetation from agricultural crops, as be made by the Director. Additionally, long as such camouflaging does not at such time that we determine that a Dated: July 9, 2003. result in the exposing, depositing, specific population of resident Canada Craig Manson, distributing, or scattering of grain or geese no longer poses a threat to human Assistant Secretary for Fish and Wildlife and other feed; or health or safety, personal property, Parks. (iv) Standing or flooded standing agricultural crops, or injury to other [FR Doc. 03–21268 Filed 8–20–03; 8:45 am] agricultural crops where grain is interests; or no longer needs to be BILLING CODE 4310–55–P inadvertently scattered solely as a result reduced in order to allow resolution or of a hunter entering or exiting a hunting prevention of injury to people, property, area, placing decoys, or retrieving agricultural crops, or other interests, or DEPARTMENT OF COMMERCE downed birds. is within Flyway management (8) Participants may not possess shot objectives, we may choose to terminate National Oceanic and Atmospheric (either in shotshells or as loose shot for part or all of the program. In all cases, Administration muzzleloading) other than steel shot, we will annually review the bismuth-tin, tungsten-iron, tungsten- effectiveness of the program. 50 CFR Part 679 polymer, tungsten-matrix, tungsten- (g) What population information is nickel-iron, or other shots that are the State required to collect concerning [I.D. 081303C] authorized in § 20.21(j). the resident Canada goose control and (v) Under what conditions would the management program? Participating Groundfish Fisheries of the Bering Sea managed take program be suspended? States must provide an annual estimate and Aleutian Islands Area and the Gulf We will annually assess the overall of the breeding population and of Alaska; Public Hearings impact and effectiveness of the program distribution of resident Canada geese in AGENCY: on each resident Canada goose National Marine Fisheries their State. The States must submit this Service (NOAA Fisheries), National population to ensure compatibility with estimate on or before August 1 of each long-term conservation of this resource. Oceanic and Atmospheric year, to the Chief, Division of Migratory Administration (NOAA), Commerce. If at any time evidence is presented that Bird Management, 4401 N. Fairfax Dr., clearly demonstrates that a resident MBSP–4107, Arlington, Virginia 22203. ACTION: Public hearings on the revised Canada goose population no longer (h) Has OMB approved the Draft Alaska Groundfish Fisheries presents a serious threat of injury to the information collection requirements of Programmatic Supplemental area or areas involved, we will initiate the program? The information collection Environmental Impact Statement action to suspend the program for the requirements of the program will be (PSEIS) specific resident Canada goose submitted to OMB for approval. SUMMARY: NOAA Fisheries will hold population in question. However, Agencies may not conduct or sponsor, five public meetings in Washington, resumption of growth by the resident and a person is not required to respond D.C., Seattle, WA, and in Juneau, Canada goose population in question to, a collection of information unless it Kodiak and Anchorage, AK, in may warrant reinstatement of such displays a currently valid OMB control September and October 2003 for the regulations to control the population. number. The proposed recordkeeping purpose of answering questions and Depending on the status of resident and reporting requirements imposed receiving public testimony on the Canada goose populations, it is possible under § 21.61 will be used to administer PSEIS. that a managed take program may be in this program, particularly in the effect for one or more resident Canada assessment of impacts that alternative DATES: See SUPPLEMENTARY INFORMATION goose populations, but not others. regulatory strategies may have on under the heading ‘‘Meeting Dates and (e) What are the general program resident Canada geese and other Addresses’’ for the dates of the public conditions and restrictions? The migratory bird populations, and to meetings. monitor the program effectiveness and program is subject to the conditions ADDRESSES: See SUPPLEMENTARY the population status of resident Canada elsewhere in this section, and, unless INFORMATION under the heading geese. We will require the information otherwise specifically authorized, the ‘‘Meeting Dates and Addresses’’ for the from State wildlife agencies responsible conditions outlined below: addresses of the public meetings. (1) Nothing in this section applies to for migratory bird management in order any Federal land within a State’s to continue participation in the program FOR FURTHER INFORMATION CONTACT: boundaries without written permission and to protect the resident Canada goose Steven K. Davis, Programmatic SEIS of the Federal agency with jurisdiction. population. We estimate the public Manager, Anchorage, AK, Phone: 907– (2) States may not undertake any reporting burden for this collection of 271–3523. actions under this section if the information to be 1503 hours, including SUPPLEMENTARY INFORMATION: On activities adversely affect other the time for gathering and maintaining November 27, 2001, based on a review migratory birds or species designated as data needed, and completing and of public comment, NOAA Fisheries endangered or threatened under the reviewing the collection of information. announced its intent to revise the authority of the Endangered Species States may send comments regarding Alaska Groundfish Fisheries draft PSEIS Act. this burden estimate or any other aspect released in January 2001 (66 FR 59228, (f) Can the program be suspended? of this collection of information, November 27, 2001). An extensive We reserve the right to suspend or including suggestions for reducing the public involvement process has resulted revoke an Agency’s authority under this burden, to the Service Information in the adoption of new multi-objective program if we find that the terms and Collection Clearance Officer, Fish and policy alternatives which have been conditions specified in the program Wildlife Service, ms 224–ARLSQ, 1849 analyzed in the revised PSEIS.

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The public comment period on the Fisheries Alaska Region’s website at Kodiak Fisheries research Center revised PSEIS is from August 29, 2003 http://www.fakr.noaa.gov. Conference Room, 301 Research Ct., until October 15, 2003. The public has Kodiak, AK. Local Contact: Tom Meeting Dates and Addresses the opportunity to submit comments on Pearson 907–481–1780. The dates, times, locations, and the document in one of three ways: October 7, 2003, 5:30 p.m. - 8 p.m. - telephone numbers of the hearings are (1) Mail in a written comment letter Sheraton Hotel, 401 E 6th Avenue, as follows: to: National Marine Fisheries Service, Anchorage, AK. Local Contact: Steven Alaska Regional Office, P.O. Box 21668, September 8, 2003, 1 p.m. - 4 p.m. K. Davis 907–271–3523. Juneau, AK 99802, Attn: Lori Gravel; Eastern daylight time - NOAA, Science (2) Submit a comment through the Center Room, 1301 East-West Highway, Special Accommodations NOAA Fisheries e-Comments website, Silver Spring, MD. Local Contact: Kim accessible at http://www.fakr.noaa.gov/ Marshall 301–713–2341. These meetings are physically sustainablefisheries/seis/default.com; September 11, 2003, 5 p.m. - 8 p.m. accessible to people with disabilities. (3) Submit oral comments at one of Pacific daylight time - Alaska Fisheries Requests for sign language the revised PSEIS public hearings. Science Center, 7600 Sand Point Way interpretation or other auxiliary aids Faxed comments will not be accepted. N.E., Bldg. 9, Seattle, WA. Local should be directed to Steven K. Davis at NMFS has scheduled five public Contact: Dan Ito 206–526–4232. 907–271–3523 at least 7 working days hearings on the revised PSEIS. The September 17, 2003, 1 p.m. - 5 p.m. prior to the meeting date. purpose of these meetings is to provide Alaska daylight time - National Marine Dated: August 14, 2003. an opportunity for the public to ask Fisheries Service, Federal Building, 709 questions on the revised PSEIS, as well W. 9th Street, Room 445, Juneau, AK. Bruce C. Morehead, as to submit formal oral testimony on Local Contact: Jim Hale: 907–586–7491. Acting Director, Office of Sustainable the document during the comment September 24, 2003, 3 p.m. - 7 p.m. Fisheries, National Marine Fisheries Service. period. Information on these meetings Alaska daylight time - Alaska Fisheries [FR Doc. 03–21365 Filed 8–20–03; 8:45 am] can also be found on the NOAA Science Center Kodiak Laboratory, BILLING CODE 3510–22–S

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Notices Federal Register Vol. 68, No. 162

Thursday, August 21, 2003

This section of the FEDERAL REGISTER recommended that an international Open Ended Working Group, as contains documents other than rules or standard be developed to address amended by ICPM–4; and proposed rules that are applicable to the potential plant pest risks associated • Maintain a clear and easily public. Notices of hearings and investigations, with living modified organisms (LMOs). understood standard, and provide committee meetings, agency decisions and An expert working group was rulings, delegations of authority, filing of comprehensive guidance on pest risk petitions and applications and agency established to develop detailed analysis for LMOs. statements of organization and functions are specifications for the standard. The The working group, consisting of examples of documents appearing in this decision to develop an international seven experts, one from each FAO section. standard was the result of requests from region plus representation from the IPPC member countries for guidance Convention on Biological Diversity, the from the IPPC on evaluating potential Global Invasive Species Program, and DEPARTMENT OF AGRICULTURE phytosanitary issues that may be Canada (as host) met in September 2002 associated with LMOs. to draft the standard. The draft standard Animal and Plant Health Inspection APHIS has held two public meetings Service was reviewed by the Standards regarding the development of an LMO Committee in May 2003 and posted for [Docket 03–074–1] standard in the IPPC. The need for a country consultation in June 2003. The standard was discussed at a public draft standard and guidelines for International Plant Protection meeting announced in the Federal submitting comments are available on Convention Draft Standard on the Register on February 20, 2001 (66 FR the Internet at http://www.aphis.usda. Plant Pest Risks Associated with 10874, Docket No. 01–012–1), and held gov/ppq/pim/standards/ Living Modified Organisms; Public on March 8, 2001. At the second public draft_standards_4_comment.htm. Meeting meeting, which was announced in the Comments should be submitted to Mr. Federal Register on July 27, 2001 (66 FR AGENCY: Animal and Plant Health Narcy Klag on or before September 22, 39136, Docket No. 01–061–1), and held Inspection Service, USDA. 2003 (see FOR FURTHER INFORMATION on August 23, 2001, we solicited public ACTION: Notice of public meeting. CONTACT at the beginning of this notice comments on the development of for Mr. Klag’s postal and e-mail SUMMARY: We are giving notice of a specifications for the LMO standard. addresses). public meeting to solicit comments on The transcripts of both meetings are available on the Internet at http:// We are holding this public meeting to a draft international standard provide a forum for the submission of concerning the plant pest risks www.aphis.usda.gov/ppq/pim/ standards/draft_standard_&_ comments from representatives of non- associated with living modified governmental organizations on the organisms. discussion_for_review.htm. The specifications for the standard format and content of the draft standard. DATES: The public meeting will be held were adopted at the ICPM–4 meeting in If you wish to speak at the meeting, on September 18, 2003, from 1 to 3 p.m. March 2002. The United States please register in advance by sending an ADDRESSES: The meeting will be held at supported the development of a stand- e-mail or fax to Dr. Terri Dunahay (see the USDA Center at Riverside, 4700 alone risk analysis standard for LMOs, FOR FURTHER INFORMATION CONTACT at River Road, Riverdale, MD, in but the decision at ICPM–4 was to draft the beginning of this notice for Dr. Conference Rooms C and D. the LMO standard as a supplement to an Dunahay’s e-mail address and fax FOR FURTHER INFORMATION CONTACT: Dr. existing IPPC standard, International number). Registrants should include Terri Dunahay, Director for Standard for Phytosanitary Measures their name, affiliation, address, and International Biotechnology Policy, (ISPM) No. 11, ‘‘Pest Risk Analysis for telephone number. Speakers are BRS, APHIS, 4700 River Road Unit 146, Quarantine Pests.’’ The specifications welcome, but not required, to submit Riverdale, MD 20737–1236; phone (301) describe the scope of the standard as written copies of their comments via e- 734–4308, fax (301) 734–8669, e-mail: guidance on how to assess the mail to Dr. Dunahay. Based on the [email protected]. phytosanitary risks that could be number of registered speakers, limits For further information on APHIS’s presented by LMOs, and charge the may be imposed on the length of each participation in international standard- working group with the following tasks: speaker’s presentation. The meeting will setting activities, contact Mr. Narcy • Consider existing pest risk analysis be recorded, and information about Klag, Manager, International Standards procedures and IPPC and other relevant obtaining a transcript will be provided Management, PIM, PPQ, APHIS, 4700 standards; at the meeting. River Road Unit 60, Riverdale, MD • Identify relevant hazards and We will also provide the opportunity 20737–1236; (301) 734–8469, e-mail: methods for the evaluation of the for interested persons to participate by [email protected]. potential phytosanitary risks presented teleconference. Those wishing to do so SUPPLEMENTARY INFORMATION: The by LMOs; should contact Dr. Dunahay via e-mail International Plant Protection • Formulate a draft supplement to by Friday, September 12, 2003, for Convention (IPPC) is recognized as the ISPM No. 11 providing guidance on the phone-in information. standard-setting body for international conduct of pest risk analyses for LMOs If you require special phytosanitary (plant health) issues by consistent with relevant aspects of the accommodations, such as a sign the World Trade Organization. In April Cartagena Protocol, taking account of language interpreter, please contact 2001, the IPPC’s Interim Commission on Annex III of the Cartagena Protocol and either of the persons listed under FOR Phytosanitary Measures (ICPM) September 2001 statements from the FURTHER INFORMATION CONTACT.

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Parking and Security Procedures The public may inspect comments institutions; and commercial users of Please note that a fee of $2.25 in exact received at the Ecosystem Management NFS land and resources. change is required to enter the parking Coordination Office, 201 14th St SW., Estimated Annual Number of lot at the USDA Center at Riverside. The Washington, DC during normal business Respondents: 1210 a year. hours. Visitors are encouraged to call machine accepts $1 bills or quarters. Estimated Annual Number of ahead to (202) 205–0895 to facilitate Upon entering the building, visitors Responses per Respondent: 1. should inform security personnel that entry into to the building. Estimated Total Annual Burden on they are attending the Living Modified FOR FURTHER INFORMATION CONTACT: Respondents: 12,100 hours. Organisms public meeting. State-issued Frank Roth, Ecosystem Management photo identification is required and all Coordination, at (202) 205–1547 or e- Comment Is Invited bags will be screened. Security mail to: [email protected]. Individuals who personnel will direct visitors to the use telecommunication devices for the Comment is invited on: (1) Whether registration tables located outside of deaf (TDD) may call the Federal this collection of information is Conference Rooms C and D on the first Information Relay Service (FIRS) at 1– necessary for the stated purposes and floor. Registration upon arrival is 800–877–8339 between 8 a.m. and 8 the proper performance of the functions required for all participants, including p.m., Eastern Standard Time, Monday of the agency, including whether the those who have registered in advance to through Friday. information will have practical or scientific utility; (2) the accuracy of the speak. Visitor badges must be worn at SUPPLEMENTARY INFORMATION: all times in the building. agency’s estimate of the burden of the Further information regarding the Description of Information Collection collection of information, including the meeting may be obtained from either of Title: Objection to new land validity of the methodology and the persons listed under FOR FURTHER management plans, plan amendments, assumptions used; (3) ways to enhance INFORMATION CONTACT. and plan revisions. the quality, utility, and clarity of the information to be collected; and (4) Done in Washington, DC, this 15th day of OMB Number: 0596–0158. August 2003. Expiration Date of Approval: October ways to minimize the burden of the Peter Fernandez, 31, 2003. collection of information on respondents, including the use of Acting Administrator, Animal and Plant Type of Request: Extension with Health Inspection Service. revision of currently approved automated, electronic, mechanical, or other technological collection [FR Doc. 03–21421 Filed 8–20–03; 8:45 am] collection. techniques or other forms of information BILLING CODE 3410–34–P Abstract: The information that would be required by 36 CFR 219.19 is the technology. minimum information needed for a Use of Comments DEPARTMENT OF AGRICULTURE citizen or organization to explain the nature of the objection being made to a All comments received in response to Forest Service proposed land management plan, plan this notice, including names and amendment, or plan revision and the addresses when provided, will be a Information Collection; Objections to reason why the individual or matter of public record. In submitting New Land Management Plans, Plan this proposal to the Office of Amendments, and Plan Revisions organization objects. Specifically, an objector must provide name, mailing Management and Budget for approval, AGENCY: Forest Service, USDA. address, and if possible, telephone the Forest Service will summarize and ACTION: Notice; request for comment. number; an identification of the specific respond to comments received. proposed plan, amendment or revision Dated: August 14, 2003. SUMMARY: In accordance with the that is the subject of the objection; and Gloria Manning, Paperwork Reduction Act of 1995, the a concise statement explaining how the Associate Deputy Chief, National Forest Forest Service is seeking comments environmental disclosure documents, if System. from all interested individuals and any, and proposed plan, amendment, or [FR Doc. 03–21407 Filed 8–20–03; 8:45 am] organizations on the extension, with revision are inconsistent with law, BILLING CODE 3410–11–P revision, of the information collection regulation, Executive order, or policy for objections to new land management and any recommendations for change. plans, plan amendments, and plan The Reviewing Officer must review the DEPARTMENT OF AGRICULTURE revisions as required by Title 36 of the objection(s) and relevant information Code of Federal Regulations, part 219 and then respond to the objector(s) in Forest Service (36 CFR part 219). writing. DATES: Comments must be received in Estimate of Annual Burden: 10 hours California Coast Provincial Advisory writing on or before October 20, 2003 to to prepare the objection. Committee be assured of consideration. Comments Type of Respondents: Interested and received after that date will be affected individuals, organizations, and AGENCY: Forest Service, USDA. considered to the extent practicable. governmental units who participate in ACTION: Notice of meeting. ADDRESSES: Comments concerning this the planning process: such as persons notice should be addressed to Forest who live in or near National Forest SUMMARY: The California Coast Service, USDA, Assistant Director for System (NFS) lands; local, State, and Provincial Advisory Committee (PAC) Planning, Ecosystem Management Tribal governments who have an will meet on September 17 and 18, Coordination, Mail Stop 1104, 1400 interest in the plan; Federal agencies 2003, in Ukiah, California. The purpose Independence Avenue SW., with an interest in the management of of the meeting is to conduct annual Washington, DC 20250–1104. NFS lands and resources; not-for-profit implementation monitoring of two Comments also may be submitted via organizations interested in NFS projects completed in previous years, facsimile to (202) 205–1012 or by e-mail management, such as environmental relating to standards and guidelines in to: [email protected]. groups, recreations groups, educational the Northwest Forest Plan (NWFP).

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DATES: The meeting will be held from administrative review on the narrowly and, thus, captures within the 8:30 a.m. to 5 p.m., September 17 and antidumping duty orders on steel wire scope certain products petitioners no 18, 2003. rod from Brazil, Canada, Indonesia, longer wish to have subject to the ADDRESSES: The meeting will be held in Mexico, Moldova, Trinidad and Tobago, orders. Acceding to petitioners’ request the field both days, beginning at the and Ukraine and countervailing duty would, petitioners maintain, ‘‘exclude a Bureau of Land Management Office orders on steel wire rod from Brazil and larger quantity of grade 1080 tire cord Conference Room, 2550 North State St., Canada. This changed circumstances and grade 1080 tire bead wire rod from Ukiah, CA. review concerns certain grade 1080 tire the scope of the antidumping and FOR FURTHER INFORMATION CONTACT: cord quality wire rod and certain grade countervailing duty orders.’’ Letter from Phebe Brown, Committee Coordinator, 1080 tire bead quality wire rod. These Collier, Shannon, Scott, dated July 24, USDA, Mendocino National Forest, 825 products were excluded from the 2003, at 2. According to petitioners, N. Humboldt Avenue, Willows, CA original scope of these antidumping and good cause to initiate this review, as 95988, (530) 934–1137; EMAIL countervailing duty orders; however, required by 19 CFR 351.216(c), ‘‘exists [email protected]. petitioners are requesting a further in this case because the petitioners no clarification of the technical description longer wish products subject to the SUPPLEMENTARY INFORMATION: The two of these products. See the ‘‘Scope of the projects to be monitored are: (1) Cow proposed scope language’’ to be covered Changed Circumstances Review,’’ by the orders.2 Mountain prescribed burn (September below. 17), Bureau of Land Management In response to petitioners’ request, the Petitioners believe that they continue Project; and (2) Howard Mill understory Department of Commerce (the to represent more than 50 percent of burn (September 18), Upper Lake Department) is initiating a changed total production of the domestic like Ranger District of the Mendocino circumstances review with respect to product in the United States, but do not National Forest. The meeting is open to the specific grade 1080 tire cord quality allege they represent more than 85 the public. wire rod and tire bead quality wire rod percent of the production of the Dated: August 14, 2003. products specified in this notice. domestic like product and therefore do Phebe Y. Brown, Interested parties are invited to not represent ‘‘substantially all’’ of the Staff Coordinator. comment on this notice of initiation. production of the domestic like product. [FR Doc. 03–21428 Filed 8–20–03; 8:45 am] EFFECTIVE DATE: August 21, 2003. See 19 C.F.R. 351.222(g)(1)(i). Letter from Collier, Shannon, Scott, dated BILLING CODE 3410–11–M FOR FURTHER INFORMATION CONTACT: Brian J. Sheba, Import Administration, August 6, 2003 , at 2. Petitioners, International Trade Administration, however, also believe they represent substantially all domestic production of DEPARTMENT OF COMMERCE U.S. Department of Commerce, 14th Street and Constitution Avenue, N.W., grade 1080 tire cord and tire bead International Trade Administration Washington, D.C. 20230; telephone: quality wire rod that is the subject of (202) 482–0145. this request for review. Petitioners claim [A-351–832, A-122–840, A-560–815, A-201– SUPPLEMENTARY INFORMATION: Georgetown Steel and North Star Steel 830, A-841–805, A-274–804, A823–812, C- Texas are the only known domestic 351–833, and C-122–841] Background producers of such steel and have no Carbon and Certain Alloy Steel Wire The Department published the reason to believe that any domestic Rod from Brazil, Canada, Indonesia, antidumping duty orders on steel wire producer of wire rod will have reason to Mexico, Moldova, Trinidad and rod from Brazil, Canada, Indonesia, object to its request. Id. at 2. Tobago, and Ukraine: Initiation of Mexico, Moldova, Trinidad and Tobago, At present, the Department has no Changed Circumstances Antidumping and Ukraine on October 29, 2002. See information on the record that the other Duty Administrative Review and Notice of Antidumping Duty Orders: known domestic producers of wire rod Countervailing Duty Administrative Carbon and Certain Alloy Steel Wire have no interest in maintaining the Reviews, and Intent To Revoke Orders Rod From Brazil, Indonesia, Mexico, antidumping duty order with respect to in Part Moldova, Trinidad and Tobago, and the domestic like product or the certain Ukraine, 67 Fed. Reg. 65,945, and AGENCY: Import Administration, specific grade of 1080 tire cord and tire Notice of Amended Final Determination bead quality described below. In International Trade Administration, of Sales at Less Than Fair Value and particular, the Department does not Department of Commerce. Antidumping Duty Order: Carbon and have information on the record of this ACTION: Notice of Initiation of Changed Alloy Steel Wire Rod From Canada, 67 changed circumstances review that the Circumstances Review of the Fed. Reg. 65,944. The Department petitioners do indeed account for Antidumping Duty and Countervailing published the countervailing duty substantially all, or at least 85 percent, Duty Orders, and Intent To Revoke orders on steel wire rod from Brazil, and Orders in Part. Canada on October 22, 2002. See Notice of the production of the domestic like of Countervailing Duty Orders: Carbon product. Accordingly, we are not SUMMARY: On July 24, 2003, in and Certain Alloy Steel Wire Rod From combining this initiation with a accordance with 19 CFR 351.216(b), Brazil and Canada, 67 Fed. Reg. 64,871. preliminary determination, pursuant to 1 petitioners in the antidumping duty On July 24, 2003, petitioners requested 351.221(c)(3)(ii). This notice of and countervailing duty proceedings on that the Department change the initiation will accord all interested carbon and certain alloy steel wire rod technical description of certain grade parties an opportunity to address this (wire rod) filed a request for a changed 1080 tire cord quality wire rod and proposed exclusion. circumstances antidumping grade 1080 tire bead quality wire rod (hereafter, tire cord wire rod). This 2 Petitioners suggest any final affirmative changed 1 Petitioners are Georgetown Steel Company circumstances determination, excluding the (formerly GS Industries), North Star Steel Texas, request arises, petitioners aver, because additional tire cord wire rod products, be effective Gerdau Ameristeel (formerly Co-Steel Raritan), and the original definition of the excluded retroactively to the date of their request, or July 24, Keystone Consolidated Industries. tire cord wire rod was drawn too 2003.

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Scope of the Order a diameter of 0.78 mm or larger with 0.5 definition of these products reads: The merchandise covered by these or fewer breaks per ton; and (vii) ‘‘having no inclusions greater than 20 orders is certain hot-rolled products of containing by weight the following microns.’’ Petitioners suggest amending carbon steel and alloy steel, in coils, of elements in the proportions shown: (1) this to read ‘‘having no non-deformable approximately round cross section, 5.00 0.78 percent or more of carbon, (2) less inclusions greater than 20 microns and mm or more, but less than 19.00 mm, in than 0.01 percent of soluble aluminum, no deformable inclusions greater than solid cross-sectional diameter. (3) 0.040 percent or less, in the 35 microns.’’ Petitioners’ Request at 5 Specifically excluded are steel aggregate, of phosphorus and sulfur, (4) (emphases in original). Petitioners would then insert an products possessing the above-noted 0.008 percent or less of nitrogen, and (5) explanatory paragraph after the existing physical characteristics and meeting the either not more than 0.15 percent, in the definition of tire cord wire rod reading: Harmonized Tariff Schedule of the aggregate, of copper, nickel and chromium (if chromium is not For purposes of the grade 1080 tire United States (HTSUS) definitions for cord quality wire rod and the grade (a) stainless steel; (b) tool steel; (c) high specified), or not more than 0.10 percent in the aggregate of copper and nickel 1080 tire bead quality wire rod, an nickel steel; (d) ball bearing steel; and inclusion will be considered to be (e) concrete reinforcing bars and rods. and a chromium content of 0.24 to 0.30 percent (if chromium is specified). deformable if its ratio of length Also excluded are (f) free machining The designation of the products as (measured along the axis - that is, the steel products (i.e., products that ‘‘tire cord quality’’ or ‘‘tire bead quality’’ direction of rolling - of the rod) over contain by weight one or more of the indicates the acceptability of the thickness (measured on the same following elements: 0.03 percent or product for use in the production of tire inclusion in a direction perpendicular more of lead, 0.05 percent or more of cord, tire bead, or wire for use in other to the axis of the rod) is equal to or bismuth, 0.08 percent or more of sulfur, rubber reinforcement applications such greater than three. The size of an more than 0.04 percent of phosphorus, as hose wire. These quality designations inclusion for purposes of the 20 microns more than 0.05 percent of selenium, or are presumed to indicate that these and 35 microns limitations is the more than 0.01 percent of tellurium). products are being used in tire cord, tire measurement of the largest dimension Also excluded from the scope are bead, and other rubber reinforcement observed on a longitudinal section 1080 grade tire cord quality wire rod applications, and such merchandise measured in a direction perpendicular and 1080 grade tire bead quality wire intended for the tire cord, tire bead, or to the axis of the rod. rod. This grade 1080 tire cord quality other rubber reinforcement applications Letter from Collier, Shannon, Scott, rod is defined as: (i) grade 1080 tire cord is not included in the scope. However, dated August 6, 2003 , at 6; original quality wire rod measuring 5.0 mm or should petitioners or other interested emphasis deleted. more but not more than 6.0 mm in parties provide a reasonable basis to Initiation of Changed Circumstances cross-sectional diameter; (ii) with an believe or suspect that there exists a average partial decarburization of no Antidumping Duty Administrative pattern of importation of such products Review more than 70 microns in depth for other than those applications, end- (maximum individual 200 microns); (iii) use certification for the importation of Pursuant to sections 751(d) and having no inclusions greater than 20 such products may be required. Under 782(h)(2) of the Tariff Act, the microns; (iv) having a carbon such circumstances, only the importers Department may revoke an antidumping segregation per heat average of 3.0 or of record would normally be required to or countervailing duty order, in whole better using European Method NFA 04– certify the end use of the imported or in part, based on a review under 114; (v) having a surface quality with no merchandise. section 751(b) of the Tariff Act (i.e., a surface defects of a length greater than All products meeting the physical changed circumstances review) where 0.15 mm; (vi) capable of being drawn to description of subject merchandise that the Department determines that a diameter of 0.30 mm or less with 3 or are not specifically excluded are producers accounting for substantially fewer breaks per ton, and (vii) included in this scope. all of the production of that domestic containing by weight the following The products under investigation are like product have expressed a lack of elements in the proportions shown: (1) currently classifiable under subheadings interest in continuance of an order. 0.78 percent or more of carbon, (2) less 7213.91.3010, 7213.91.3090, Section 751(b)(1) of the Tariff Act than 0.01 percent of aluminum, (3) 7213.91.4510, 7213.91.4590, requires a changed circumstances 0.040 percent or less, in the aggregate, 7213.91.6010, 7213.91.6090, review to be conducted upon receipt of of phosphorus and sulfur, (4) 0.006 7213.99.0031, 7213.99.0038, a request which shows changed percent or less of nitrogen, and (5) not 7213.99.0090, 7227.20.0010, circumstances sufficient to warrant a more than 0.15 percent, in the aggregate, 7227.20.0020, 7227.20.0090, review. See, e.g., Certain Corrosion- of copper, nickel and chromium. 7227.20.0095, 7227.90.6051, Resistant Carbon Steel Flat Products This grade 1080 tire bead quality rod 7227.90.6053, 7227.90.6058, and From Japan: Notice of Final Results of is defined as: (i) grade 1080 tire bead 7227.90.6059 of the HTSUS. Although Changed Circumstances Review, and quality wire rod measuring 5.5 mm or the HTSUS subheadings are provided Revocation in Part of Antidumping Duty more but not more than 7.0 mm in for convenience and customs purposes, Order, 68 Fed. Reg. 19,970 (April 23, cross-sectional diameter; (ii) with an the written description of the scope of 2003). average partial decarburization of no this proceeding is dispositive. In accordance with sections 751(d)(1) more than 70 microns in depth and 782(h)(2) of the Tariff Act, and 19 (maximum individual 200 microns); (iii) Scope of Changed Circumstances CFR 351.216 and 351.222(g) of the having no inclusions greater than 20 Review Department’s regulations, domestic microns; (iv) having a carbon The products subject to this changed producers of the like product, segregation per heat average of 3.0 or circumstances antidumping duty and Georgetown Steel Company, North Star better using European Method NFA 04– countervailing duty administrative Steel Texas, Gerdau Ameristeel , and 114; (v) having a surface quality with no review are certain grade 1080 tire cord Keystone Consolidated Industries, claim surface defects of a length greater than steel wire rod and grade 1080 tire bead changed circumstances exist and have 0.2 mm; (vi) capable of being drawn to steel wire rod. Point (iii) of the existing made affirmative statements that no

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further interest exists in continuing the comments may be submitted not later EFFECTIVE DATE: August 21, 2003. order with respect to the specific grade than five days following submission of FOR FURTHER INFORMATION CONTACT: 1080 tire cord and tire bead quality steel the comments. All written comments Terre Keaton or Margarita Panayi, wire rod described above. Petitioners must be submitted in accordance with Import Administration, International further allege they represent more than 19 CFR 351.303, with the exception that Trade Administration, U.S. Department 50 percent of the total production of the only three (3) copies need be served on of Commerce, Washington, D.C. 20230; domestic like product and greater than the Department, and must be served on telephone: (202) 482–1280, or (202) 85 percent of the specific type of all interested parties on the 482–0049, respectively. merchandise subject to this changed Department’s service list in accordance SUPPLEMENTARY INFORMATION: circumstances review. Based upon the with 19 CFR 351.303. statements of no interest by the The Department intends to publish in Background petitioners, we are initiating this the Federal Register the final results of On June 3, 2003, the Department changed circumstances administrative this changed circumstances review, published in the Federal Register the review. including the results of its analysis of preliminary results of this new shipper If, as a result of this review, we revoke issues raised in any written comments, review (see Brake Rotors from the the order, in part, we intend to instruct no later than 270 days after the date of People’s Republic of China: Preliminary the Bureau of Customs and Border publication of this notice, or within 45 Results of the Eighth New Shipper Protection (Customs) to liquidate days if all parties to the proceeding Review, 68 FR 33095 (June 3, without regard to antidumping duties, agree to the outcome of this review. See 2003)(‘‘Preliminary Results’’)). We as applicable, and to refund any 19 CFR 351.216(e). estimated antidumping duties collected provided parties the opportunity to This notice is published in comment on the preliminary results of for all unliquidated entries of the tire accordance with section 751(b)(1) of the cord wire rod products meeting the the review. However, no interested Tariff Act and 19 CFR 351.216 and party submitted comments. specifications indicated above, as of July 351.222. 24, 2003, the date this changed The Department has conducted this circumstances review request was filed Dated: August 14, 2003. review in accordance with section by Petitioners, in accordance with 19 James J. Jochum, 751(a)(2)(B) of the Tariff Act of 1930, as CFR 351.222(g)(4). We will also instruct Assistant Secretary for Import amended, (‘‘the Act’’). Customs to pay interest on such refunds Administration. Scope of Order in accordance with section 778 of the [FR Doc. 03–21445 Filed 8–20–03; 8:45 am] The products covered by this order Tariff Act. The current requirement for BILLING CODE 3510–DS–S a cash deposit of estimated antidumping are brake rotors made of gray cast iron, duties on certain tire cord wire rod whether finished, semifinished, or products meeting the specifications set DEPARTMENT OF COMMERCE unfinished, ranging in diameter from 8 forth above will continue unless and to 16 inches (20.32 to 40.64 centimeters) until we publish a final determination International Trade Administration and in weight from 8 to 45 pounds (3.63 to revoke in part. to 20.41 kilograms). The size parameters [A-570–846] (weight and dimension) of the brake Public Comment Brake Rotors From the People’s rotors limit their use to the following Interested parties are invited to Republic of China: Final Results of the types of motor vehicles: automobiles, comment on the initiation of this Eighth New Shipper Review all-terrain vehicles, vans and changed circumstances review. Parties recreational vehicles under ‘‘one ton who submit argument in this proceeding AGENCY: Import Administration, and a half,’’ and light trucks designated are requested to submit with the International Trade Administration, as ‘‘one ton and a half.’’ argument (i) a statement of the issue, Department of Commerce. Finished brake rotors are those that and (ii) a brief summary of the ACTION: Notice of final results of the are ready for sale and installation argument. All written comments may be eighth new shipper review. without any further operations. Semi- submitted by interested parties not later finished rotors are those on which the than 14 days after the date of SUMMARY: On June 3, 2003, the surface is not entirely smooth, and have publication of this notice in accordance Department of Commerce published the undergone some drilling. Unfinished with 19 CFR 351.303, with the preliminary results of the eighth new rotors are those which have undergone exception that only three (3) copies shipper review of the antidumping duty some grinding or turning. need be served on the Department, and order on brake rotors from the People’s These brake rotors are for motor shall be served on all interested parties Republic of China with respect to vehicles, and do not contain in the on the Department’s service list in Xiangfen Hengtai Brake System Co., Ltd casting a logo of an original equipment accordance with 19 CFR 351.303. and Xianghe Xumingyuan Auto Parts manufacturer (‘‘OEM’’) which produces The Department will publish in the Co., Ltd. (collectively referred to as the vehicles sold in the United States (e.g., Federal Register a notice of preliminary respondents). The period of review is General Motors, Ford, Chrysler, Honda, result of changed circumstances review, April 1, 2002, through September 30, Toyota, Volvo). Brake rotors covered in in accordance with 19 CFR 351.221(c), 2002. We gave interested parties an this order are not certified by OEM which will set forth the factual and legal opportunity to comment on our producers of vehicles sold in the United conclusions upon which our preliminary results. However, no States. The scope also includes preliminary results are based, and a interested party submitted comments. composite brake rotors that are made of description of any action proposed The final results do not differ from the gray cast iron, which contain a steel based on those results. Interested parties preliminary results. The final weighted- plate, but otherwise meet the above may submit comments for consideration average dumping margins for the criteria. Excluded from the scope of this in the Department’s preliminary results reviewed firms are listed below in the order are brake rotors made of gray cast not later than 14 days after publication section entitled ‘‘Final Results of iron, whether finished, semifinished, or of this notice. Responses to those Review.’’ unfinished, with a diameter less than 8

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inches or greater than 16 inches (less System Co., Ltd (Hengtai) or Xianghe with sections 751(a)(2)(B) and 777(i) of than 20.32 centimeters or greater than Xumingyuan Auto Parts Co., Ltd the Act and 19 CFR 351.214. 40.64 centimeters) and a weight less (Xumingyuan) of brake rotors from the Dated: August 15, 2003. than 8 pounds or greater than 45 pounds PRC entered, or withdrawn from Jeffrey May, (less than 3.63 kilograms or greater than warehouse, for consumption on or after Acting Assistant Secretary for Import 20.41 kilograms). the publication date of the final results Administration. Brake rotors are classifiable under of this new shipper review. [FR Doc. 03–21446 Filed 8–20–03; 8:45 am] subheading 8708.39.5010 of the The following deposit rates shall be Harmonized Tariff Schedule of the required for merchandise subject to the BILLING CODE 3510–DS–S United States (‘‘HTSUS’’). Although the order entered, or withdrawn from HTSUS subheading is provided for warehouse, for consumption on or after DEPARTMENT OF COMMERCE convenience and customs purposes, our the publication date of these final written description of the scope of this results, as provided by section 751(a)(1) International Trade Administration order is dispositive. and (a)(2)(B) of the Act: (1) the cash Closed Meeting of the U.S. Automotive Final Results of Review deposit rate for Hengtai (i.e., for subject merchandise manufactured and Parts Advisory Committee (APAC) For the reasons discussed in our exported by Hengtai) and Xumingyuan AGENCY: Preliminary Results, we determine that (i.e., for subject merchandise International Trade the following weighted-average margin manufactured and exported by Administration, Commerce. percentages exist for the following Xumingyuan) will be the rate indicated ACTION: Announcement of meeting. companies during the period April 1, above; (2) the cash deposit rate for PRC 2002, through September 30, 2002: SUMMARY: The APAC will have a closed exporters who received a separate rate meeting on September 4, 2003 at the in a prior segment of the proceeding Manufacturer/producer/ Margin U.S. Department of Commerce to exporter Percent will continue to be the rate assigned in discuss U.S.-made automotive parts that segment of the proceeding; (3) the sales in Japanese and other Asian Xiangfen Hengtai Brake cash deposit rate for the PRC NME markets. System Co., Ltd ...... 0.00 entity and for subject merchandise Xianghe Xumingyuan Auto exported by either Hengtai or DATES: September 4, 2003. Parts Co., Ltd ...... 0.00 Xumingyuan but not manufactured by FOR FURTHER INFORMATION CONTACT: them will continue to be the PRC-wide Henry Misisco, U.S. Department of Assessment Rates rate (i.e., 43.32 percent); and (4) the cash Commerce, Room 4036, Washington, DC The Department shall determine, and deposit rate for non-PRC exporters of 20230, telephone: 202–482–0554. the U.S. Bureau of Customs and Border subject merchandise from the PRC will SUPPLEMENTARY INFORMATION: The U.S. Protection (‘‘BCBP’’) shall assess, be the rate applicable to the PRC Automotive Parts Advisory Committee antidumping duties on all appropriate exporter that supplied that exporter. (the ‘‘Committee’’) advises U.S. entries. The Department will issue These deposit requirements shall Government Officials on matters appropriate assessment instructions remain in effect until publication of the relating to the implementation of the directly to the BCBP within 15 days of final results of the next administrative Fair Trade in Automotive Parts Act of publication of the final results of this review. 1998 (Pub. L. 105–261). The Committee: review. For assessment purposes, we do This notice also serves as a final (1) Reports to the Secretary of not have the actual entered value for reminder to importers of their Commerce on barriers to sales of U.S.- either respondent for which we responsibility under 19 CFR made automotive parts and accessories calculated a margin because it is not the 351.402(f)(2) to file a certificate in Japanese and other Asian markets; (2) importer of record for the subject regarding the reimbursement of reviews and considers data collected on merchandise. Therefore, we calculated antidumping duties prior to liquidation sales of U.S.-made auto parts and individual importer- or customer- of the relevant entries during this accessories in Japanese and other Asian specific assessment rates by aggregating review period. Failure to comply with markets; (3) advises the Secretary of the dumping margins calculated for all this requirement could result in the Commerce during consultations with of the U.S. sales examined and dividing Secretary’s presumption that other Governments on issues concerning that amount by the total quantity of the reimbursement of antidumping duties sales of U.S.-made automotive parts in sales examined. To determine whether occurred and the subsequent assessment Japanese and other Asian markets; and the duty assessment rates are de of doubled antidumping duties. (4) assists in establishing priorities for minimis (i.e., at or above 0.50 percent), This notice also serves as the only the initiative to increase sales of U.S.- in accordance with the requirement set reminder to parties subject to made auto parts and accessories to forth in 19 CFR 351.106(c)(2), we have administrative protective orders Japanese markets, and otherwise calculated importer- or customer- (‘‘APO’’) of their responsibility provide assistance and direction to the specific ad valorem ratios based on concerning the return or destruction of Secretary of Commerce in carrying out export prices. We will instruct the BCBP proprietary information disclosed under the intent of that section; and (5) assists to assess antidumping duties on all APO in accordance with 19 CFR the Secretary of Commerce in reporting appropriate entries covered by this 351.3059(a)(3). Timely written to Congress by submitting an annual review if any importer or customer- notification of the return/destruction of written report to the Secretary on the specific assessment rate calculated is APO materials or conversion to judicial sale of U.S.-made automotive parts in above de minimis. protective order is hereby requested. Japanese and other Asian markets, as Failure to comply with the regulations well as any other issues with respect to Cash Deposit Requirements and terms of an APO is a violation which the Committee provides advice Bonding will no longer be permitted which is subject to sanction. pursuant to its authorizing legislation. to fulfill security requirements for We are issuing and publishing this At the meeting, committee members shipments from Xiangfen Hengtai Brake determination and notice in accordance will discuss specific trade and sales

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expansion programs related to 8:45 a.m.—Receive an address by a red snapper individual fishing quota automotive parts trade policy between RADM Robert Duncan. (IFQ) system. The committee will also the United States and Japan and other 9 a.m.–11 a.m.—Receive four consider submitting an emergency Asian markets. presentations of Marine Fisheries action request to NMFS to assure that The Acting Assistant Secretary for Initiative (MARFIN) reports on stock there is no lapse between the June 16, Administration, with the concurrence of structure of Gulf red snapper. These 2004 expiration of the current the General Counsel formally reports suggest there are separate regulations establishing the Madison- determined on August 15, 2003, subpopulations of red snapper east and Swanson and Steamboat Lumps marine pursuant to section 10(d) of the Federal west of the Mississippi River. reserves, and implementation of the Advisory Committee Act, as amended, 11 a.m.–11:30 a.m.—Receive the new regulations under Amendment 21. that the September 4th meeting of the Habitat Protection Committee report. 4:30 p.m.–5:30 p.m.—Convene the Committee and of any subcommittee 1:30 p.m.–3:30 p.m.—Receive the Reef Budget Committee to discuss the thereof, dealing with privileged or Fish Management Committee report. CY2004 budget. confidential commercial information 3:30 p.m.–4 p.m.—Receive the September 9 may be exempt from the provisions of Mackerel Management Committee the Act relating to open meeting and report. 8:30 a.m.–10:30 a.m.—Convene the public participation therein because 4 p.m.–4:30 p.m.—Receive the Shrimp Mackerel Management Committee to these items are concerned with matters Management Committee report. review potential alternatives and issues that are within the purview of 5 U.S.C. 4:30 p.m.–5 p.m.—(Closed Session) to be included in a scoping document 552b(c)(4) and (9)(B). A copy of the Receive the report of the Advisory Panel for Amendment 15 to the Coastal Notice of Determination is available for (AP) Selection Committee. Migratory Pelagics Fishery Management public inspection and copying Room Plan (FMP). 5317, Main Commerce. September 11 10:30 a.m.–12:30 p.m.—Convene the 8:30 a.m.–9 a.m.—Receive the Shrimp Management Committee to Dated: August 15, 2003. review Draft Shrimp Amendment 13/ Henry Misisco, Migratory Species Committee report. 9 a.m.–9:15 a.m.—Receive a report of Environmental Assessment (EA) Director, Office of Automotive Affairs. the Logo Selection Committee. Options Paper that includes alternatives [FR Doc. 03–21409 Filed 8–20–03; 8:45 am] 9:15 a.m.–9:30 a.m.—Receive a report for status criteria and benchmarks as BILLING CODE 3510–DR–P of the Budget Committee. well as a revised standardized bycatch 9:30 a.m.–10 a.m.—Receive reporting methodology; and a Draft Options Paper for Shrimp Amendment DEPARTMENT OF COMMERCE Enforcement Reports. 10 a.m.–10:15 a.m.—Receive the 14/Supplementary Invironmental NMFS Regional Administrator’s Report. Impact Statement (SEIS) that includes National Oceanic and Atmospheric alternatives to improve the bycatch Administration 10:15 a.m.–10:45 a.m.—Receive Director’s Reports. reporting methodology, further reduce [I.D. 081503D] 10:45 a.m.–11 a.m.—Other Business bycatch, and achieve optimum yield. 2 p.m.–4:30 p.m.—Convene the Gulf of Mexico Fishery Management 11 a.m.–11:15 a.m.—Election of Chairman and Vice Chairman. Migratory Species Management Council; Public Meetings Committee to discuss shark bycatch in Committees the menhaden purse seine fishery, AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and September 8 Highly Migratory Species (HMS) Advisory Panel recommendations on Atmospheric Administration (NOAA), 9 a.m.–10 a.m.—Orientation session Commerce. Amendment 1 to the HMS FMP, scoping for New Members. issues for HMS Amendment 2 and ACTION: Notice of public meeting. 10 a.m.–11:30 a.m.—(Closed Session) Billfish Amendment2, and the SUMMARY: The Gulf of Mexico Fishery - Convene the AP Selection Committee International Commission for the Management Council (Council) will to review NMFS enforcement records. Conservation of Atlantic Tunas Draft convene public meetings. 1 p.m.–4:30 p.m.—Convene the Reef recommendations on Integrated Fish Management Committee to review DATES: The meetings will be held on Migratory and Control Measures. Monday, September 8, 2003 through the Vermilion Snapper Regulatory 4:30 p.m.–5:30 p.m.—Convene the Thursday September 11, 2003. Amendment Options Paper that Habitat Protection Committee to discuss includes alternatives for arresting the Florida Offshore Aquaculture Inc. ADDRESSES: These meetings will be held overfishing that is believed to be Permit, and a dredge material disposal at the Baton Rouge Marriott, 5500 Hilton occurring on that stock. The committee application in Mississippi. Avenue, Baton Rouge, LA; telephone: will review public comments on this Although non-emergency issues not 225–924–5000. issue from scoping hearings held in contained in the agenda may come Council address: Gulf of Mexico August 2003. The committee will before the Council for discussion, in Fishery Management Council, 3018 U.S. consider implementing a new stock accordance with the Magnuson-Stevens Highway 301 North, Suite 1000, Tampa, assessment procedure (SEDAR - Fishery Conservation and Management FL 33619. Southeast Data and Review) under Act (Magnuson Act), those issues may FOR FURTHER INFORMATION CONTACT: which groups of panels review the data, not be the subject of formal Council Wayne E. Swingle, Executive Director, develop the assessment, and develop a action during this meeting. Council Gulf of Mexico Fishery Management peer-reviewed assessment. The action will be restricted to those issues Council; telephone: (813) 228–2815. committee will consider alternatives specifically identified in this notice and SUPPLEMENTARY INFORMATION: that should be included in the Reef Fish any issues arising after publication of Council 18 options paper for management of the this notice that require emergency grouper stocks. The committee will also action under section 305 (c) of the September 10 discuss which of the Council’s advisory Magnuson Act, provided the public has 8:30 a.m.—Convene. panels to utilize in the development of been notified of the Council’s intent to

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take final action to address the regulations and changes to the Dated: August 5, 2003. emergency. A copy of the Committee Amendment 10 submission documents Patricia L. Toppings, schedule and agenda can be obtained by if available. Alternate OSD Federal Register Liaison calling (813) 228–2815. Although non-emergency issues not Officer, Department of Defense. Special Accommodations contained in this agenda may come [FR Doc. 03–21395 Filed 8–20–03; 8:45 am] before this group for discussion, those BILLING CODE 5001–08–M These meetings are physically issues may not be the subject of formal accessible to people with disabilities. action during this meeting. Action will Requests for sign language be restricted to those issues specifically DEPARTMENT OF DEFENSE interpretation or other auxiliary aids listed in this notice and any issues Department of the Air Force should be directed to Anne Alford at the arising after publication of this notice Council (see ADDRESSES) by August 29, that require emergency action under HQ USAF Scientific Advisory Board 2003. section 305(c) of the Magnuson-Stevens Dated: August 15, 2003. Act, provided the public has been AGENCY: Department of the Air Force, Richard W. Surdi, notified of the Council’s intent to take DoD. Acting Director, Office of Sustainable final action to address the emergency. ACTION: Notice of Meeting. Fisheries, National Marine Fisheries Service. Special Accommodations [FR Doc. 03–21454 Filed 8–20–03; 8:45 am] SUMMARY: Pursuant to Public Law 92– BILLING CODE 3510–22–S These meetings are physically 463, notice is hereby given of the accessible to people with disabilities. forthcoming meeting of the Unmanned Requests for sign language Aerial Vehicles and Long-Range Strike DEPARTMENT OF COMMERCE interpretation or other auxiliary aids Studies. The purpose of the meeting is should be directed to Paul J. Howard to brief the Chief of Staff on the results National Oceanic and Atmospheric (see ADDRESSES) at least 5 days prior to of the study. This meeting will be closed Administration the meeting dates. to the public. DATES: 31 July 2003. [I.D. 081503C] Dated: August 15, 2003. Richard W. Surdi, ADDRESSES: Room 4E987, The Pentagon. New England Fishery Management FOR FURTHER INFORMATION CONTACT: Maj Council; Public Meetings Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. Dwight Pavek, Air Force Scientific AGENCY: National Marine Fisheries [FR Doc. 03–21453 Filed 8–20–03; 8:45 am] Advisory Board Secretariat, 1180 Air Service (NMFS), National Oceanic and BILLING CODE 3510–22–S Force Pentagon, Rm 5D982, Washington Atmospheric Administration (NOAA), DC 20330–1180, (703) 697–4811. Commerce. Pamela D. Fitzgerald, ACTION: Notice of public meeting. Air Force Federal Register Liaison Officer. DEPARTMENT OF DEFENSE SUMMARY: The New England Fishery [FR Doc. 03–21429 Filed 8–20–03; 8:45 am] Management Council (Council) is Office of the Secretary BILLING CODE 5001–05–P scheduling a public meeting of its Scallop Oversight Committee in Joint Advisory Committee on Nuclear September 2003 to consider actions Weapons Surety; Meeting DEPARTMENT OF ENERGY affecting New England fisheries in the exclusive economic zone (EEZ). AGENCY: Department of Defense. Federal Energy Regulatory Commission Recommendations from this group will ACTION: Notice of advisory committee be brought to the full Council for formal meeting. [Docket No. CP03–347–000] consideration and action, if appropriate. DATES: The meeting will be held on SUMMARY: The Joint Advisory Blue Lake Gas Storage Company; Tuesday, September 9, 2003, at 9:30 Committee on Nuclear Weapons Surety Notice of Application a.m. will conduct a closed session on August 14, 2003. September 3, 2003, at the Institute for ADDRESSES: The meeting will be held at Take notice that on August 8, 2003, Defense Analyses, Alexandria, VA. the Four Points by Sheraton, 407 Squire Blue Lake Gas Storage Company (Blue Road, Revere, MA 02151; telephone: The Joint Advisory Committee is Lake), 9 E Greenway Plaza, Houston, (781) 284–7200. charged with advising the Secretaries of Texas 77046, filed in Docket No. CP03– Council address: New England Defense and Energy, and the Joint 347–000, an application pursuant to Fishery Management Council, 50 Water Nuclear Weapons Council on nuclear Section 7(c) of the Natural Gas Act Street, Newburyport, MA 01950. weapons surety matters. At this meeting (NGA), 15 U.S.C. 717f(c), as amended, FOR FURTHER INFORMATION CONTACT: Paul the Joint Advisory Committee will and the Regulations of the Federal J. Howard, Executive Director, New receive classified briefings on nuclear Energy Regulatory Commission’s England Fishery Management Council; weapons safety, security and surety (Commission) 18 CFR sections 157.5 et telephone: (978) 465–0492. inspections. seq., Subpart A, requesting that the SUPPLEMENTARY INFORMATION: The In accordance with the Federal Commission issue an order authorizing Scallop committee will review and Advisory Committee Act (Public Law Blue Lake to increase the MDWQ to a discuss days-at-sea (DAS) allocations 92–463, as amended, Title 5, U.S.C. app. certificated level of 700 MMcf/d and resulting from the measures chosen by II, (1988)), this meeting concerns MDIQ to 700MMcf/d in order to provide the Council at its August 13–14 meeting matters sensitive to the interests of greater flexibility to serve storage for Amendment 10 to the Scallop national security, listed in 5 U.S.C. customers on a day by day basis, in Fishery Management Plan. The section 552b(c)(1) and accordingly this particular during times of peak demands Committee will also review draft meeting will be closed to the public. on the system.

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The project is more fully set forth in two copies of their comments to the First Revised Sheet No. 515. the request on file with the Commission Secretary of the Commission. Cove Point states that the purpose of and open to public inspection. This Environmental commenters will be this filing is to update its system map, filing is available for review on the placed on the Commission’s correct minor errors and clarify Commission’s Web site at http:// environmental mailing list, will receive ambiguous language. No substantive www.ferc.gov using the eLibrary copies of the environmental documents, changes have been made to the above (FERRIS) link. Enter the docket number and will be notified of meetings referenced tariff sheets. excluding the last three digits in the associated with the Commission’s Any person desiring to be heard or to docket number field to access the environmental review process. protest said filing should file a motion document. For assistance, contact FERC Environmental commenters will not be to intervene or a protest with the Online Support at required to serve copies of filed Federal Energy Regulatory Commission, [email protected] or toll- documents on all other parties. 888 First Street, NE., Washington, DC free at (866) 208–3676, or for TTY, However, the nonparty commenters will 20426, in accordance with Sections contact (202) 502–8659. not receive copies of all documents filed 385.214 or 385.211 of the Commission’s Any questions regarding this by other parties or issued by the Rules and Regulations. All such motions application should be directed to J. Commission (except for the mailing of or protests must be filed in accordance Gordon Pennington, Senior Counsel— environmental documents issued by the with § 154.210 of the Commission’s Pipeline, 555 11th Street, NW., Commission) and will not have the right Regulations. Protests will be considered Washington, DC 20004, (202) 637–3544 to seek court review of the by the Commission in determining the or Dawn A. McGuire, Attorney, 9 Commissions’ final order. appropriate action to be taken, but will Greenway Plaza, Houston, Texas 77046, Protests and interventions may be not serve to make protestants parties to (832) 676–5503. filed electronically via the Internet in the proceedings. Any person wishing to There are two ways to become lieu of paper. See 18 CFR become a party must file a motion to involved in the Commission’s review of 385.2001(a)(1)(iii) and the instructions intervene. This filing is available for this project. First, any person wishing to on the Commission’s Web site under the review at the Commission in the Public obtain legal status by becoming a party ‘‘e-Filing’’ link. The Commission Reference Room or may be viewed on to the proceedings for this project strongly encourages electronic filings. the Commission’s Web site at http:// should, on or before the comment date If the Commission decides to set the stated below file with the Federal www.ferc.gov using the eLibrary application for a formal hearing before (FERRIS) link. Enter the docket number Energy Regulatory Commission, 888 an Administrative Law Judge, the First Street, NE., Washington, DC 20426, excluding the last three digits in the Commission will issue another notice docket number field to access the a motion to intervene in accordance describing that process. At the end of with the requirements of the document. For assistance, please contact the Commission’s review process, a FERC Online Support at Commission’s Rules of Practice and final Commission order approving or Procedure (18 CFR 385.214 or 385.211) [email protected] or toll- denying a certificate will be issued. free at (866) 208–3676, or TTY, contact and the Regulations under the NGA (18 Comment Date: September 4, 2003. CFR 157.10). A person obtaining party (202) 502–8659. The Commission status will be placed on the service list Magalie R. Salas, strongly encourages electronic filings. maintained by the Secretary of the Secretary. See 18 CFR 385.2001(a)(1)(iii) and the Commission and will receive copies of [FR Doc. 03–21372 Filed 8–20–03; 8:45 am] instructions on the Commission’s Web all documents filed by the applicant and BILLING CODE 6717–01–P site under the ‘‘e-Filing’’ link. by all other parties. A party must submit Comment Date: August 25, 2003. 14 copies of filings made in the Magalie R. Salas, proceeding with the Commission and DEPARTMENT OF ENERGY Secretary. must mail a copy to the applicant and [FR Doc. 03–21385 Filed 8–20–03; 8:45 am] to every other party. Only parties to the Federal Energy Regulatory BILLING CODE 6717–01–P proceeding can ask for court review of Commission Commission orders in the proceeding. [Docket No. RP03–562–000] However, a person does not have to DEPARTMENT OF ENERGY intervene in order to have comments Dominion Cove Point LNG, LP; Notice considered. The second way to of Proposed Changes in FERC Gas Federal Energy Regulatory participate is by filing with the Tariff Commission Secretary of the Commission, as soon as possible, an original and two copies of August 14, 2003. [Docket No. RP03–564–000] comments in support of or in opposition Take notice that on August 11, 2003, Dominion Cove Point LNG, LP. (Cove Dominion Cove Point LNG, LP; Notice to this project. The Commission will of Tariff Filing consider these comments in Point) tendered for filing as part of its determining the appropriate action to be FERC Gas Tariff, Original Volume No. 1, August 14, 2003. taken, but the filing of a comment alone the following tariff sheets, with an Take notice that on August 11, 2003, will not serve to make the filer a party effective date of September 10, 2003: Dominion Cove Point LNG, LP (Cove to the proceeding. The Commission’s First Revised Sheet No. 4. Point) tendered for filing as part of its rules require that persons filing Second Revised Sheet No. 8. FERC Gas Tariff, Original Volume No. 1, comments in opposition to the project Second Revised Sheet No. 23. the following tariff sheets, with an provide copies of their protests only to First Revised Sheet No. 70. effective date of September 10, 2003: First Revised Sheet No. 90. the party or parties directly involved in First Revised Sheet No. 91. First Revised Sheet No. 24. the protest. First Revised Sheet No. 110. First Revised Sheet No. 51. Persons who wish to comment only Third Revised Sheet No. 205. Second Revised Sheet No. 72. on the environmental review of this First Revised Sheet No. 505. Second Revised Sheet No. 92. project should submit an original and First Revised Sheet No. 506. First Revised Sheet No. 113.

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Third Revised Sheet No. 200. issued July 31, 2003 in Docket No. Northern Border proposes to revise its First Revised Sheet No. 283. RP03–377–001 requiring that DTI refile tariff, specifically Subsection 26.2(b) of Sheet Nos. 284–399. a substitute tariff sheet correcting the its General Terms and Conditions to (1) Cove Point states that the purpose of references and incorporation of North clarify that the criteria for an acceptable this filing is to allow Cove Point the American Energy Standards Board’s bid will continue to apply when opportunity to charge Negotiated Rates Wholesale Gas Quadrant (WGQ) capacity becomes available on a first- for its transportation, peaking and LNG standards governing partial day recalls. come, first-served basis and (2) allow tanker discharging services. DTI has made the changes requested by firm shippers under defined conditions Any person desiring to be heard or to the Commission by deleting the an opportunity to bid on posted protest said filing should file a motion references to WGQ Standards 4.3.4 and available capacity and be awarded such to intervene or a protest with the 5.3.55 from Section 31 of the General capacity, when the bid is for a shorter Federal Energy Regulatory Commission, Terms and Conditions (GT&C) of its path than the posted path, at the 888 First Street, NE., Washington, DC tariff. Maximum Rate, on a first-come, first- 20426, in accordance with Sections Any person desiring to protest said served basis, for a term not to exceed 31 385.214 or 385.211 of the Commission’s filing should file a protest with the Rules and Regulations. All such motions Federal Energy Regulatory Commission, days. or protests must be filed in accordance 888 First Street, NE., Washington, DC Northern Border states that copies of with § 154.210 of the Commission’s 20426, in accordance with § 385.211 of this filing have been sent to all of Regulations. Protests will be considered the Commission’s Rules and Northern Border’s contracted shippers by the Commission in determining the Regulations. All such protests must be and interested state regulatory appropriate action to be taken, but will filed in accordance with § 154.210 of the commissions. not serve to make protestants parties to Commission’s Regulations. Protests will Any person desiring to be heard or to the proceedings. Any person wishing to be considered by the Commission in protest said filing should file a motion become a party must file a motion to determining the appropriate action to be to intervene or a protest with the intervene. This filing is available for taken, but will not serve to make Federal Energy Regulatory Commission, review at the Commission in the Public protestants parties to the proceedings. 888 First Street, NE., Washington, DC Reference Room or may be viewed on This filing is available for review at the the Commission’s Web site at http:// Commission in the Public Reference 20426, in accordance with Sections www.ferc.gov using the eLibrary Room or may be viewed on the 385.214 or 385.211 of the Commission’s (FERRIS) link. Enter the docket number Commission’s Web site at http:// Rules and Regulations. All such motions excluding the last three digits in the www.ferc.gov using the eLibrary or protests must be filed in accordance docket number field to access the (FERRIS) link. Enter the docket number with § 154.210 of the Commission’s document. For assistance, please contact excluding the last three digits in the Regulations. Protests will be considered FERC Online Support at docket number field to access the by the Commission in determining the [email protected] or toll- document. For assistance, please contact appropriate action to be taken, but will free at (866) 208–3676, or TTY, contact FERC Online Support at not serve to make protestants parties to (202) 502–8659. The Commission [email protected] or toll- the proceedings. Any person wishing to strongly encourages electronic filings. free at (866) 208–3676, or TTY, contact become a party must file a motion to See 18 CFR 385.2001(a)(1)(iii) and the (202) 502–8659. The Commission intervene. This filing is available for instructions on the Commission’s Web strongly encourages electronic filings. review at the Commission in the Public site under the ‘‘e-Filing’’ link. See 18 CFR 385.2001(a)(1)(iii) and the Reference Room or may be viewed on Comment Date: August 25, 2003. instructions on the Commission’s Web the Commission’s Web site at http:// Magalie R. Salas, site under the ‘‘e-Filing’’ link. www.ferc.gov using the eLibrary Protest Date: August 25, 2003. Secretary. (FERRIS) link. Enter the docket number [FR Doc. 03–21387 Filed 8–20–03; 8:45 am] Magalie R. Salas, excluding the last three digits in the docket number field to access the BILLING CODE 6717–01–P Secretary. [FR Doc. 03–21384 Filed 8–20–03; 8:45 am] document. For assistance, please contact FERC Online Support at BILLING CODE 6717–01–P DEPARTMENT OF ENERGY [email protected] or toll- free at (866) 208–3676, or TTY, contact Federal Energy Regulatory DEPARTMENT OF ENERGY (202) 502–8659. The Commission Commission strongly encourages electronic filings. [Docket No. RP03–377–002] Federal Energy Regulatory See 18 CFR 385.2001(a)(1)(iii) and the Commission instructions on the Commission’s Web Dominion Transmission, Inc.; Notice of site under the ‘‘e-Filing’’ link. Compliance Filing [Docket No. RP03–563–000] Comment Date: August 25, 2003. August 14, 2003. Northern Border Pipeline Company; Magalie R. Salas, Take notice that on August 11, 2003, Notice of Tariff Filing Secretary. Dominion Transmission, Inc. (DTI) tendered for filing as part of its FERC August 14, 2003. [FR Doc. 03–21386 Filed 8–20–03; 8:45 am] Gas Tariff, Third Revised Volume No. 1, Take notice that on August 11, 2003, BILLING CODE 6717–01–P Second Substitute Fifth Revised Sheet Northern Border Pipeline Company No. 1173, with an effective date of July (Northern Border) tendered for filing to 1, 2003. become part of its FERC Gas Tariff, First DTI states that the purpose of this Revised Volume No. 1, Fifth Revised filing is to comply with the Sheet Number 270, to become effective Commission’s Delegated letter order September 11, 2003.

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DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY

Federal Energy Regulatory Federal Energy Regulatory Federal Energy Regulatory Commission Commission Commission

[Docket No. MG01–6–001] [Docket No. MG01–7–001] [Docket No. MG01–8–001]

Panhandle Eastern Pipe Line Sea Robin Pipeline Company; Notice Southwest Gas Storage Company; Company, LLC; Notice of Filing of Filing Notice of Filing

August 14, 2003. August 14, 2003. August 14, 2003. On July 24, 2003, Panhandle Eastern On July 24, 2003, Sea Robin Pipeline On July 24, 2003, Southwest Gas Pipe Line Company, LLC (Panhandle), Company (Sea Robin), filed notice of Storage Company (Southwest), filed filed notice of withdrawal of its Revised withdrawal of its Revised Standards of notice of withdrawal of its Revised Standards of Conduct filed on October Conduct filed on October 26, 2000 in Standards of Conduct filed on October 26, 2000 in Docket No. MG01–6–000. Docket No. MG01–7–000. 26, 2000 in Docket No. MG01–8–000. Specifically, Panhandle states that it Specifically, Sea Robin states that it Specifically, Southwest states that it no longer has a marketing affiliate, does has no marketing affiliate, does not has no marketing affiliate, does not not transport on behalf of a marketing transport on behalf of a marketing transport on behalf of a marketing affiliate, and is not subject to the affiliate, and is not subject to the affiliate, and is not subject to the marketing affiliate rules. marketing affiliate rules. marketing affiliate rules. Any person desiring to intervene or to Any person desiring to intervene or to Any person desiring to intervene or to protest said filing should file with the protest said filing should file with the protest said filing should file with the Federal Energy Regulatory Commission, Federal Energy Regulatory Commission, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 888 First Street, NE., Washington, DC 888 First Street, NE., Washington, DC 20426, in accordance with Rules 211 20426, in accordance with Rules 211 20426, in accordance with Rules 211 and 214 of the Commission’s Rules of and 214 of the Commission’s Rules of and 214 of the Commission’s Rules of Practice and Procedure (18 CFR 385.211 Practice and Procedure (18 CFR 385.211 Practice and Procedure (18 CFR 385.211 and 385.214). Protests will be and 385.214). Protests will be and 385.214). Protests will be considered by the Commission in considered by the Commission in considered by the Commission in determining the appropriate action to be determining the appropriate action to be determining the appropriate action to be taken but will not serve to make taken but will not serve to make taken but will not serve to make protestants parties to the proceeding. protestants parties to the proceeding. protestants parties to the proceeding. Any person wishing to become a party Any person wishing to become a party Any person wishing to become a party must file a motion to intervene. All such must file a motion to intervene. All such must file a motion to intervene. All such motions or protests should be filed on motions or protests should be filed on motions or protests should be filed on or before the comment date, and, to the or before the comment date, and, to the or before the comment date, and, to the extent applicable, must be served on the extent applicable, must be served on the extent applicable, must be served on the applicant and on any other person applicant and on any other person applicant and on any other person designated on the official service list. designated on the official service list. designated on the official service list. This filing is available for review at the This filing is available for review at the This filing is available for review at the Commission or may be viewed on the Commission or may be viewed on the Commission or may be viewed on the Commission’s Web site at http://www/ Commission’s Web site at http://www/ Commission’s Web site at http://www/ ferc.gov, using the eLibrary (FERRIS) ferc.gov, using the eLibrary (FERRIS) ferc.gov, using the eLibrary (FERRIS) link. Enter the docket number excluding link. Enter the docket number excluding link. Enter the docket number excluding the last three digits in the docket the last three digits in the docket the last three digits in the docket number field to access the document. number field to access the document. number field to access the document. For assistance, contact FERC Online For assistance, contact FERC Online For assistance, contact FERC Online Support at Support at Support at [email protected] or toll- [email protected] or toll- [email protected] or toll- free at (866) 208–3676 or for TTY, free at (866) 208–3676 or for TTY, free at (866) 208–3676 or for TTY, contact (202) 502–8659. Protests and contact (202) 502–8659. Protests and contact (202) 502–8659. Protests and interventions may be filed electronically interventions may be filed electronically interventions may be filed electronically via the Internet in lieu of paper; see 18 via the Internet in lieu of paper; see 18 via the Internet in lieu of paper; see 18 CFR 385.2001(a)(1)(iii) and the CFR 385.2001(a)(1)(iii) and the CFR 385.2001(a)(1)(iii) and the instructions on the Commission’s Web instructions on the Commission’s Web instructions on the Commission’s Web site under the ‘‘e-Filing’’ link. The site under the ‘‘e-Filing’’ link. The site under the ‘‘e-Filing’’ link. The Commission strongly encourages Commission strongly encourages Commission strongly encourages electronic filings. electronic filings. electronic filings. Comment Date: August 29, 2003. Comment Date: August 29, 2003. Comment Date: September 4, 2003. Magalie R. Salas, Magalie R. Salas, Magalie R. Salas, Secretary. Secretary. Secretary. [FR Doc. 03–21379 Filed 8–20–03; 8:45 am] [FR Doc. 03–21380 Filed 8–20–03; 8:45 am] [FR Doc. 03–21381 Filed 8–20–03; 8:45 am] BILLING CODE 6717–01–P BILLING CODE 6717–01–P BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY restrictions as conditions to the considered. The second way to Environmental Assessments, the Final participate is by filing with the Federal Energy Regulatory Environmental Impact Statements, and Secretary of the Commission, as soon as Commission ultimately the Certificate Orders for possible, an original and two copies of [Docket Nos. CP81–296, CP81–296–019, these projects. comments in support of or in opposition CP84–441l-033, CP86–251–003, CP87–75– Tennessee states that it has to this project. The Commission will 010, CP87–85–002, CP87–131–009, CP87– determined that a new set of challenges consider these comments in 132–016, CP87–358–007, CP88–171–033, have resulted from its efforts to comply determining the appropriate action to be CP89–629–036, CP90–639–021, CP91–433– with self-imposed restrictions taken, but the filing of a comment alone 002, CP91–1618–005, and CP91–2206–011] prohibiting the use of herbicides and will not serve to make the filer a party pesticides. Tennessee states that it has to the proceeding. The Commission’s Tennessee Gas Pipeline Company; determined that a new set of challenges rules require that persons filing Notice of Application To Amend have resulted from these efforts. comments in opposition to the proposed Certificates of Public Convenience and Specifically, Tennessee says that amendment provide copies of their Necessity invasive, poisonous plants located on protests only to the party or parties Tennessee’s rights-of-way now pose a August 14, 2003. directly involved in the protest. potential danger to threatened and Take notice that on August 11, 2003, Persons who wish to comment only endangered plant species found Tennessee Gas Pipeline Company on the environmental review of this adjacent to the rights-of-way. In proposed amendment should submit an (Tennessee), a Delaware corporation, addition, Tennessee explains that whose mailing address is Nine E. original and two copies of their employees and contractors are exposed comments to the Secretary of the Greenway Plaza, Houston, Texas 77046, to threatening health situations as they filed an application pursuant to Section Commission. Environmental attempt to control the invasive plants commenters will be placed on the 7(c) of the Natural Gas Act (‘‘NGA’’), 15 and harmful insects by means other U.S.C. 717f(c), as amended, and the Commission’s environmental mailing than with herbicides or pesticides. list, will receive copies of the Regulations of the Federal Energy Tennessee proposes to maintain its Regulatory Commission (Commission), environmental documents, and will be rights-of-way, including fenced-in areas notified of meetings associated with the 18 CFR Sections 157.5 et seq., Subpart that Tennessee holds through A, requesting that the Commission Commission’s environmental review easements, right of access agreements, process. Environmental commenters amend certain Certificates of Public or in fee, and to adhere to all state Convenience and Necessity that will not be required to serve copies of specific and local regulations, as they filed documents on all other parties. authorized the construction and may change from time to time, for operation of pipeline facilities located However, the non-party commenters facilities authorized in the below- will not receive copies of all documents in the Northeast United States during referenced filings. Therefore, Tennessee the early 1980s through the early 1990s. filed by other parties or issued by the requests that the Commission amend the Commission (except for the mailing of Such facilities included laterals, certificates so that they allow the use of metering facilities, pipeline looping and environmental documents issued by the herbicides and pesticides, as Commission) and will not have the right additional compression. conditioned above, as tools for to seek court review of the Copies of Tennessee’s filing are on file Tennessee’s long-term maintenance of with the Commission and are available Commission’s final order. its rights-of-way. Comments, protests and interventions for public inspection in the Public There are two ways to become may be filed electronically via the Reference Room and may also be involved in the Commission’s review of Internet in lieu of paper. See 18 CFR viewed on the Commission’s Web site at this proposed amendment. First, any 385.2001(a)(1)(iii) and the instructions http://www.ferc.gov using the eLibrary person wishing to obtain legal status by (FERRIS) link. Enter the docket number becoming a party to the proceedings for on the Commission’s Web site under the (excluding the last three digits) in the this project should file with the Federal ‘‘e-Filing’’ link. The Commission docket number field to access the Energy Regulatory Commission, 888 strongly encourages electronic filings. Comment Date: September 5, 2003. document. For assistance, please contact First Street, NE., Washington, DC 20426, FERC Online Support at a motion to intervene or protest in Magalie R. Salas, [email protected] or toll- accordance with the requirements of the Secretary. free at (866) 208–3676, or TTY, contact Commission’s Rules of Practice and [FR Doc. 03–21376 Filed 8–20–03; 8:45 am] (202) 502–8659. Any questions Procedure (18 CFR 385.214 or 385.211) BILLING CODE 6717–01–P concerning this application may be and the Regulations under the NGA (18 directed to Dawn McGuire, Counsel, CFR 157.10). All such motions or Tennessee Pipeline Company, 9 E protests must be filed on or before the DEPARTMENT OF ENERGY Greenway Plaza, Houston, Texas 77046, comment date. A person obtaining party call (832) 676–5503, fax (832) 676–2251. status will be placed on the service list Federal Energy Regulatory Between 1981 and 1991, Tennessee maintained by the Secretary of the Commission filed certain applications to construct Commission and will receive copies of [Docket No. RP00–477–005] facilities in New Hampshire, all documents filed by the applicant and Massachusetts, Connecticut, Rhode by all other parties. A party must submit Tennessee Gas Pipeline Company; Island, New York, New Jersey and 14 copies of filings made with the Notice of Revised Compliance Tariff Pennsylvania. The environmental Commission and must mail a copy to Filing reports that Tennessee included in these the applicant and to every other party in filings incorporated a voluntary ban on the proceeding. Only parties to the August 14, 2003. the use of herbicides and pesticides as proceeding can ask for court review of Take notice that on August 11, 2003, part of Tennessee’s maintenance of its Commission orders in the proceeding. Tennessee Gas Pipeline Company, rights-of-way. Thereafter, the However, a person does not have to (Tennessee) tendered for filing as part of Commission integrated these voluntary intervene in order to have comments its FERC Gas Tariff, Fifth Revised

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Volume No. 1, the tariff sheets Any person desiring to intervene or to 888 First Street, NE., Washington, DC identified at Appendix A to the filing, protest said filing should file with the 20426, in accordance with Rules 211 with an effective date of October 1, Federal Energy Regulatory Commission, and 214 of the Commission’s Rules of 2003. 888 First Street, NE., Washington, DC Practice and Procedure (18 CFR 385.211 Tennessee states that the revised tariff 20426, in accordance with Rules 211 and 385.214). Protests will be sheets are being filed in order to comply and 214 of the Commission’s Rules of considered by the Commission in with the Commission’s July 11, 2003 Practice and Procedure (18 CFR 385.211 determining the appropriate action to be Order in the referenced proceeding, and 385.214). Protests will be taken but will not serve to make which relates to Tennessee’s previous considered by the Commission in protestants parties to the proceeding. filings to comply with Order Nos. 637, determining the appropriate action to be Any person wishing to become a party 637–A, and 637–B. taken but will not serve to make must file a motion to intervene. All such Any person desiring to protest said protestants parties to the proceeding. motions or protests should be filed on filing should file a protest with the Any person wishing to become a party or before the comment date, and, to the Federal Energy Regulatory Commission, must file a motion to intervene. All such extent applicable, must be served on the 888 First Street, NE., Washington, DC motions or protests should be filed on applicant and on any other person 20426, in accordance with § 385.211 of or before the comment date, and, to the designated on the official service list. the Commission’s Rules and extent applicable, must be served on the This filing is available for review at the Regulations. All such protests must be applicant and on any other person Commission or may be viewed on the filed in accordance with § 154.210 of the designated on the official service list. Commission’s Web site at http://www/ Commission’s Regulations. Protests will This filing is available for review at the ferc.gov, using the eLibrary (FERRIS) be considered by the Commission in Commission or may be viewed on the link. Enter the docket number excluding determining the appropriate action to be Commission’s Web site at http://www/ the last three digits in the docket taken, but will not serve to make ferc.gov, using the eLibrary (ERRIS) link. number field to access the document. protestants parties to the proceedings. Enter the docket number excluding the For assistance, contact FERC Online This filing is available for review at the last three digits in the docket number Support at Commission in the Public Reference field to access the document. For [email protected] or toll- Room or may be viewed on the assistance, contact FERC Online free at (866) 208–3676 or for TTY, Commission’s Web site at http:// Support at contact (202) 502–8659. Protests and www.ferc.gov using the eLibrary [email protected] or toll- interventions may be filed electronically (FERRIS) link. Enter the docket number free at (866) 208–3676 or for TTY, via the Internet in lieu of paper; see 18 excluding the last three digits in the contact (202) 502–8659. Protests and CFR 385.2001(a)(1)(iii) and the docket number field to access the interventions may be filed electronically instructions on the Commission’s Web document. For assistance, please contact via the Internet in lieu of paper; see 18 site under the ‘‘e-Filing’’ link. The FERC Online Support at CFR 385.2001(a)(1)(iii) and the Commission strongly encourages [email protected] or toll- instructions on the Commission’s Web electronic filings. free at (866) 208–3676, or TTY, contact site under the ‘‘e-Filing’’ link. The Comment Date: September 4, 2003. (202) 502–8659. The Commission Commission strongly encourages Magalie R. Salas, strongly encourages electronic filings. electronic filings. Secretary. See 18 CFR 385.2001(a)(1)(iii) and the Comment Date: September 4, 2003. [FR Doc. 03–21378 Filed 8–20–03; 8:45 am] instructions on the Commission’s Web BILLING CODE 6717–01–P site under the ‘‘e-Filing’’ link. Magalie R. Salas, Protest Date: August 25, 2003. Secretary. [FR Doc. 03–21382 Filed 8–20–03; 8:45 am] DEPARTMENT OF ENERGY Magalie R. Salas, BILLING CODE 6717–01–P Secretary. Federal Energy Regulatory [FR Doc. 03–21383 Filed 8–20–03; 8:45 am] Commission BILLING CODE 6717–01–P DEPARTMENT OF ENERGY [Docket Nos. CP02–374–000, CP02–376– Federal Energy Regulatory 000, CP02–377–000 and CP02–378–000] DEPARTMENT OF ENERGY Commission Cameron LNG, LLC; Notice of [Docket No. MG01–10–002] Federal Energy Regulatory Availability of the Final Environmental Impact Statement for the Proposed Commission Trunkline LNG Company, LLC; Notice Hackberry LNG Project [Docket No. MG01–9–001] of Filing August 14, 2003. August 14, 2003. Trunkline Gas Company, LLC; Notice The staff of the Federal Energy of Filing On July 24, 2003, Trunkline LNG Regulatory Commission (FERC or Company, LLC (Trunkline LNG), filed Commission) has prepared a final August 14, 2003. notice of withdrawal of its Revised environmental impact statement (EIS) On July 24, 2003, Trunkline Gas Standards of Conduct filed on October on the construction and operation of the Company, LLC (Trunkline), filed notice 26, 2000 in Docket No. MG01–10–000. liquefied natural gas (LNG) import of withdrawal of its Revised Standards Specifically, Trunkline LNG states terminal and natural gas pipeline of Conduct filed on October 26, 2000 in that it has no marketing affiliate, does facilities proposed by Cameron LNG, Docket No. MG01–9–000. not transport on behalf of a marketing LLC (Cameron LNG) in the above- Specifically, Trunkline Gas states that affiliate, and is not subject to the referenced docket.1 it has no marketing affiliate, does not marketing affiliate rules. transport on behalf of a marketing Any person desiring to intervene or to 1 On May 12, 2003, Sempra Energy LNG affiliate, and is not subject to the protest said filing should file with the Corporation filed a letter with the Commission marketing affiliate rules. Federal Energy Regulatory Commission, Continued

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The final EIS was prepared to satisfy final EIS has been mailed to Federal, DEPARTMENT OF ENERGY the requirements of the National state, and local agencies; elected Environmental Policy Act (NEPA). The officials; public libraries; newspapers; Federal Energy Regulatory staff concludes that approval of the parties to the proceeding; and public Commission proposed project, with appropriate interest groups, individuals, and [Docket No. CP03–39–000] mitigating measures as recommended, affected landowners who requested a would have limited adverse copy of the EIS. Kinder Morgan Interstate Gas environmental impact. The final EIS Transmission, LLC; Notice of In accordance with the Council on also evaluates alternatives to the Availability of the Environmental Environmental Quality’s (CEQ) proposal, including system alternatives, Assessment for the Proposed regulations implementing the NEPA, no alternative sites for the LNG import Cheyenne Market Center Project terminal, and pipeline alternatives. agency decision on a proposed action The final EIS addresses the potential may be made until 30 days after the U.S. August 5, 2003. environmental effects of the Environmental Protection Agency The staff of the Federal Energy construction and operation of the publishes a notice of availability of a Regulatory Commission (FERC or following facilities in Cameron, final EIS. However, the CEQ regulations Commission) has prepared an Calcasieu, and Beauregard Parishes, provide an exception to this rule when environmental assessment (EA) on the Louisiana: an agency decision is subject to a formal natural gas pipeline facilities proposed • A ship unloading slip with two internal appeal process which allows by Kinder Morgan Interstate Gas berths, each equipped with mooring and other agencies or the public to make Transmission, LLC (Kinder Morgan) in breasting dolphins, three liquid their views known. In such cases, the the above-referenced docket. unloading arms, and one vapor return agency decision may be made at the The EA was prepared to satisfy the arm; same time the notice of the final EIS is requirements of the National Environmental Policy Act. The staff • Three LNG storage tanks, each with published, allowing both periods to run concludes that approval of the proposed a usable volume of 1,006,000 barrels concurrently. The Commission decision project, with appropriate mitigating (3.5 billion standard cubic feet of gas for this proposed action is subject to a measures, would not constitute a major equivalent); 30-day rehearing period. • Nine first-stage pumps, each sized Federal action significantly affecting the for 250 million standard cubic feet per Additional information about the quality of the human environment. day (MMscf/d); project is available from the The EA assesses the potential • Ten second-stage pumps, each sized Commission’s Office of External Affairs, environmental effects of the for 188 MMscf/d; at 1–866–208-FERC or on the FERC construction and operation of the • Twelve submerged combustion Internet Web site (http:// proposed Cheyenne Market Center vaporizers, each sized for 150 MMscf/d; www.ferc.gov)using the eLibrary link. Project facilities including: • A boil-off gas compressor and Click on the eLibrary link, click on Compressor Facilities condensing system; ‘‘General Search’’ and enter the docket • • An LNG circulation system; number excluding the last three digits in Rockport (Cheyenne Hub) Compressor Station—install two • A natural gas liquids recovery unit; the Docket Number field. Be sure you additional 1,680-horsepower (hp) • Ancillary utilities, buildings, and have selected an appropriate date range. service facilities at the LNG terminal; compressor units within the Rockport For assistance with eLibrary, the Compressor Station in Weld County, and eLibrary helpline can be reached at 1– • A 35.4-mile, 36-inch-diameter Colorado. 866–208–3676, TTY (202) 502–8659 or • The new Kimball Junction natural gas sendout pipeline. [email protected]. The Compressor Station—install two 1,151- The purpose of building these eLibrary link on the FERC Internet Web hp compressor units at the existing facilities is to transport approximately site also provides access to the texts of Kimball Junction Interconnect 1.5 billion cubic feet per day of formal documents issued by the (interconnect between Kinder Morgan’s imported natural gas to the United Commission, such as orders, notices, 16-inch-diameter Rockport Lateral, 20- States market. As part of the proposed and rulemakings. inch-diameter Pony Express Pipeline, project, Cameron LNG plans to remove and 12-inch-diameter Weld County to the existing liquefied petroleum gas In addition, the Commission now Huntsman Pipeline) in Kimball County, facilities and associated dock at the offers a free service called eSubscription Nebraska. proposed terminal site. which allows you to keep track of all • Huntsman Compressor Station— The final EIS has been placed in the formal issuances and submittals in install two additional 3,550-hp public files of the FERC and is available specific dockets. This can reduce the compressor units in a new building for public inspection at: amount of time you spend researching immediately adjacent to the northern Federal Regulatory Energy proceedings by automatically providing side of the existing compressors, and Commission, Public Reference and Files you with notifications of these filings, install central injection and withdrawal Maintenance Branch, 888 First Street, document summaries, and direct links meters within the confines of the NE., Room 2A, Washington, DC 20426, to the documents. Go to https:// Huntsman Compressor Station. This (202) 502–8371. ferconline.ferc.gov/. station is located within the Huntsman A limited number of copies of the Storage Field, in Cheyenne County, final EIS are available from the Public Magalie R. Salas, Nebraska. References and Files Maintenance Secretary. Branch identified above. In addition, the [FR Doc. 03–21374 Filed 8–20–03; 8:45 am] Injection/Withdrawal Wells BILLING CODE 6717–01–P • Drill ten new injection/withdrawal stating that it had acquired Hackberry LNG Terminal, L.L.C. from Dynegy Midstream Services, wells at the Huntsman Storage Field. Limited Partnership, and had changed the The proposed well field design company’s name to Cameron LNG, LLC. configuration is to drill these wells

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directionally (diverging directionally associated injection capability of about ‘‘Login to File’’ and then ‘‘New User from a vertical well bore) from two new 38,400 Dth per day (Dthd) and an Account.’’ multiple wellhead surface location sites. associated withdrawal deliverability of Comments will be considered by the Six wells would be drilled at Pad #1, about 62,400 Dthd. Through the new Commission but will not serve to make located west and adjacent to the facilities, Kinder Morgan proposes to the commentor a party to the Huntsman Storage Field Well #9. Four offer a Cheyenne Market Center Service proceeding. Any person seeking to wells would be drilled at Pad #2 in the that would allow for the injection, become a party to the proceeding must northeast corner of the Huntsman storage, and withdrawal of gas supplies Compressor Station. received and delivered at the Cheyenne file a motion to intervene pursuant to Hub using facilities incremental to, and Rule 214 of the Commission’s Rules of Storage Field Lines separate from, existing Kinder Morgan Practice and Procedures (18 CFR 1 • Install about 2,000 feet of 12-inch- transportation or storage services. The 385.214). Only intervenors have the diameter pipeline loop originating at the proposed project would provide right to seek rehearing of the proposed multiple wellhead Pad #1 site customers with additional flexibility to Commission’s decision. and terminating at the Huntsman store gas and utilize receipt and delivery Affected landowners and parties with Compressor Station inlet header points on short notice. environmental concerns may be granted facilities. This new 12-inch-diameter The EA has been placed in the public intervenor status upon showing good pipeline would loop a 12-inch-diameter files of the FERC. A limited number of cause by stating that they have a clear pipeline from Huntsman Storage Field copies of the EA are available for and direct interest in this proceeding Well #9 to the compressor station. distribution and public inspection at: which would not be adequately • Install about 1,800 feet of 8-inch- Federal Energy Regulatory Commission, represented by any other parties. You do diameter pipeline loop originating at the Public Reference and Files Maintenance proposed multiple wellhead Pad #2 site not need intervenor status to have your Branch, 888 First Street, NE., Room 2A, comments considered. and terminating at the Huntsman Washington, DC 20426, (202) 502–8371. Compressor Station inlet header Copies of the EA have been mailed to Additional information about the facilities. This new 8-inch-diameter Federal, state and local agencies, public project is available from the pipeline would start at Pad #2, tie into interest groups, interested individuals, Commission’s Office of External Affairs, the existing 8-inch-diameter discharge newspapers, and parties to this at 1–866–208-FERC or on the FERC pipeline at Huntsman Storage Field proceeding. Internet Web site (http://www.ferc.gov) Well #23 and loop the pipeline back to Any person wishing to comment on using the FERRIS link. Click on the the compressor station. the EA may do so. To ensure FERRIS link, enter the docket number Auxiliary Facilities consideration prior to a Commission excluding the last three digits in the decision on the proposal, it is important Docket Number field. Be sure you have • Station Supervisory Control that we receive your comments before selected an appropriate date range. For Systems—install computer-based the date specified below. Please supervisory-type process control assistance with FERRIS, the FERRIS carefully follow these instructions to systems at the Huntsman and Rockport helpline can be reached at 1–866–208– ensure that your comments are received Compressor Stations. 3676, TTY (202) 502–8659 or at • in time and properly recorded: [email protected]. The Check Meter and Flow Control— • install a check meter and bi-directional Send an original and two copies of FERRIS link on the FERC Internet Web flow control assembly, with your comments to: site also provides access to the texts of appurtenances, at the existing Kimball Secretary, Federal Energy Regulatory formal documents issued by the Junction Interconnect located between Commission, 888 First St., NE., Room Commission, such as orders, notices, 1A, Washington, DC 20426. and rulemakings. Kinder Morgan’s 16-inch-diameter • Rockport Lateral and 20-inch-diameter Label one copy of the comments for the attention of the Gas Branch 1, In addition, the Commission now Pony Express Pipeline. offers a free service called eSubscription • Valves—install control valves at the PJ11.1. • which allows you too keep track of all existing Kinder Morgan/Colorado Reference Docket No. CP03–39– formal issuances and submittals in Interstate Gas Company (CIG) Weld 000; and • specific dockets. This can reduce the County Measurement Station in Weld Mail your comments so that they County, Colorado. will be received in Washington, DC on amount of time you spend researching • Pigging and Gas Cleaning or before August 30, 2003. proceedings by automatically providing Facilities—install pigging facilities on Please note that we are continuing to you with notification of these filings, the new 12-inch-diameter storage field experience delays in mail deliveries document summaries and direct links to pipeline and, depending upon the from the U.S. Postal Service. As a result, the documents. Go tohttp:// moisture content of the gas, install we will include all comments that we www.ferc.gov/esubscribenow.htm. either a gas scrubber, coalesce filter, or receive within a reasonable time frame in our environmental analysis of this gas separator on the new 8-inch- Magalie R. Salas, diameter storage field pipeline. project. However, the Commission • Office Building—construct an office strongly encourages electronic filing of Secretary. building with septic system and water any comments or interventions or [FR Doc. 03–21375 Filed 8–20–03; 8:45 am] well at the Rockport Compressor protests to this proceeding. See 18 CFR BILLING CODE 6717–01–P Station. 385.2001(a)(1)(iii) and the instructions The proposed project would be an on the Commission’s Web site at incremental expansion of Kinder http://www.ferc.gov under the ‘‘e- Morgan’s existing Huntsman Storage Filing’’ link and the link to the User’s Facilities. The project would create Guide. Before you can file comments 1 Interventions may also be filed electronically via incremental storage capacity for up to you will need to create a free account the Internet in lieu of paper. See the previous 6,000,000 dekatherms (Dth), with an which can be created by clicking on discussion on filing comments electronically.

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DEPARTMENT OF ENERGY (FERRIS) link. Enter the docket number of a development application to excluding the last three digits in the construct and operate the project. Federal Energy Regulatory docket number field to access the q. Comments, Protests, or Motions to Commission document. For assistance, call toll-free Intervene—Anyone may submit 1–866–208–3676 or e-mail comments, a protest, or a motion to Notice of Application Accepted for [email protected]. For TTY, intervene in accordance with the Filing and Soliciting Motions to call (202) 502–8659. A copy is also Intervene, Protests, and Comments available for inspection and requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211, .214. August 15, 2003. reproduction at the address in item h above. In determining the appropriate action to Take notice that the following m. Competing Preliminary Permit— take, the Commission will consider all hydroelectric application has been filed Anyone desiring to file a competing protests or other comments filed, but with the Commission and is available application for preliminary permit for a only those who file a motion to for public inspection: proposed project must submit the intervene in accordance with the a. Type of Application: Preliminary competing application itself, or a notice Commission’s Rules may become a Permit. of intent to file such an application, to party to the proceeding. Any comments, b. Project No.: 12266–000. the Commission on or before the c. Date filed: June 24, 2002. protests, or motions to intervene must specified comment date for the be received on or before the specified d. Applicant: MSR 14 Hydro, LLC. particular application (see 18 CFR 4.36). e. Name of Project: Mississippi Lock comment date for the particular Submission of a timely notice of intent application. & Dam 14 Project. allows an interested person to file the f. Location: On the Mississippi River, competing preliminary permit Comments, protests and interventions in Scott County, Iowa, utilizing the application no later than 30 days after may be filed electronically via the Mississippi River Lock & Dam 14 which the specified comment date for the Internet in lieu of paper;See 18 CFR is administered by the U.S. Army Corps particular application. A competing 385.2001 (a)(1)(iii) and the instructions of Engineers. preliminary permit application must on the Commission’s Web site under ‘‘e- g. Filed Pursuant to: Federal Power conform with 18 CFR 4.30(b) and 4.36. filing’’ link. The Commission strongly Act, 16 U.S.C. 791(a)–825(r). n. Competing Development encourages electronic filing. h. Applicant Contact: Mr. Brent Application—Any qualified r. Filing and Service of Responsive Smith, MSR 14 Hydro LLC., P.O. Box development applicant desiring to file a 535, Rigby, ID 83442, (208) 745–0834. Documents—Any filings must bear in competing development application all capital letters the title i. FERC Contact: Robert Bell, (202) must submit to the Commission, on or ‘‘COMMENTS’’, 502–6062. before a specified comment date for the ‘‘RECOMMENDATIONS FOR TERMS j. Deadline for filing comments, particular application, either a protests, and motions to intervene: 60 competing development application or a AND CONDITIONS’’, ‘‘PROTEST’’, OR days from the issuance date of this notice of intent to file such an ‘‘MOTION TO INTERVENE’’, as notice. application. Submission of a timely applicable, and the Project Number of The Commission’s Rules of Practice notice of intent to file a development the particular application to which the and Procedure require all interveners application allows an interested person filing refers. Any of the above-named filing documents with the Commission to file the competing application no documents must be filed by providing to serve a copy of that document on later than 120 days after the specified the original and the number of copies each person in the official service list comment date for the particular provided by the Commission’s for the project. Further, if an intervener application. A competing license regulations to: The Secretary, Federal files comments or documents with the application must conform with 18 CFR Energy Regulatory Commission, 888 Commission relating to the merits of an 4.30(b) and 4.36. First Street, NE., Washington, DC 20426. issue that may affect the responsibilities o. Notice of Intent—A notice of intent A copy of any motion to intervene must of a particular resource agency, they must specify the exact name, business also be served upon each representative must also serve a copy of the document address, and telephone number of the of the Applicant specified in the on that resource agency. prospective applicant, and must include particular application. k. Description of Project: The an unequivocal statement of intent to proposed project would utilize the U. S. submit, if such an application may be s. Agency Comments: Federal, state, Army Corps of Engineers’ Mississippi filed, either a preliminary permit and local agencies are invited to file River Lock & Dam 14 and would consist application or a development comments on the described application. of: (1) A proposed 50-foot-long, 168- application (specify which type of A copy of the application may be inch-diameter concrete penstock, (2) a application). A notice of intent must be obtained by agencies directly from the proposed powerhouse containing one served on the applicant(s) named in this Applicant. If an agency does not file generating unit having an installed public notice. comments within the time specified for capacity of 5 MW, (3) a proposed 1- p. Proposed Scope of Studies under filing comments, it will be presumed to mile-long, 25 kV transmission line, and Permit—A preliminary permit, if issued, have no comments. One copy of an (4) appurtenant facilities. does not authorize construction. The agency’s comments must also be sent to The applicant estimates that the term of the proposed preliminary permit the Applicant’s representatives. average annual generation would be would be 36 months. The work 43.2 GWh and would be sold to a local proposed under the preliminary permit Magalie R. Salas, utility. would include economic analysis, Secretary. l. This filing is available for review at preparation of preliminary engineering [FR Doc. 03–21497 Filed 8–20–03; 8:45 am] the Commission in the Public Reference plans, and a study of environmental BILLING CODE 6717–01–P Room or may be viewed on the impacts. Based on the results of these Commission’s Web site at http:// studies, the Applicant would decide www.ferc.gov using the eLibrary whether to proceed with the preparation

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DEPARTMENT OF ENERGY (FERRIS) link. Enter the docket number of a development application to excluding the last three digits in the construct and operate the project. Federal Energy Regulatory docket number field to access the q. Comments, Protests, or Motions to Commission document. For assistance, call toll-free Intervene—Anyone may submit [Project No. 11887–000] 1–866–208–3676 or e-mail comments, a protest, or a motion to [email protected]. For TTY, intervene in accordance with the Notice of Application Accepted for call (202) 502–8659. A copy is also requirements of Rules of Practice and Filing and Soliciting Comments, available for inspection and Procedure, 18 CFR 385.210, .211, .214. Motions To Intervene, and Protests reproduction at the address in item h. In determining the appropriate action to above. take, the Commission will consider all August 15, 2003. m. Competing Preliminary Permit— protests or other comments filed, but Take notice that the following Anyone desiring to file a competing only those who file a motion to hydroelectric application has been filed application for preliminary permit for a intervene in accordance with the with the Commission and is available proposed project must submit the Commission’s Rules may become a for public inspection: competing application itself, or a notice party to the proceeding. Any comments, a. Type of Application: Preliminary of intent to file such an application, to protests, or motions to intervene must Permit. the Commission on or before the be received on or before the specified b. Project No: 12457–000. specified comment date for the comment date for the particular c. Date Filed: May 20, 2003. particular application (see 18 CFR 4.36). application. d. Applicant: Wind River Hydro, LLC. Submission of a timely notice of intent r. Filing and Service of Responsive e. Name of Project: Wind River allows an interested person to file the Documents—Any filings must bear in Diversion Hydroelectric Project. competing preliminary permit all capital letters the title f. Location: The proposed project application no later than 30 days after ‘‘COMMENTS’’, ‘‘NOTICE OF INTENT would be located at the Bureau of the specified comment date for the TO FILE COMPETING APPLICATION’’, Reclamation’s (BOR) Wind River particular application. A competing ‘‘COMPETING APPLICATION’’, Diversion Dam, on the Wind River in preliminary permit application must ‘‘PROTEST’’, or ‘‘MOTION TO Fremont County, Wyoming. conform with 18 CFR 4.30(b) and 4.36. INTERVENE’’, as applicable, and the g. Filed Pursuant to: Federal Power n. Competing Development Project Number of the particular Act, 16 U.S.C. 791a–825r. Application—Any qualified application to which the filing refers. h. Applicant Contact: Mr. Brent L. development applicant desiring to file a Any of the above-named documents Smith, President; Northwest Power competing development application must be filed by providing the original Services, Inc., P.O. Box 535, Rigby, must submit to the Commission, on or and eight copies provided by the Idaho 83442, (208) 745–0834. before a specified comment date for the Commission’s regulations to: Magalie R. i. FERC Contact: Any questions on particular application, either a Salas, Secretary, Federal Energy this notice should be addressed to Mr. competing development application or a Regulatory Commission, 888 First Lynn R. Miles, Sr. at (202) 502–8763. notice of intent to file such an Street, NE., Washington, DC 20426. An j. Deadline for filing motions to application. Submission of a timely additional copy must be sent to intervene, protests and comments: 60 notice of intent to file a development Director, Division of Hydropower days from the issuance date of this application allows an interested person Administration and Compliance, notice. to file the competing application no Federal Energy Regulatory Commission, The Commission’s Rules of Practice later than 120 days after the specified at the above-mentioned address. A copy and Procedure require all interveners comment date for the particular of any notice of intent, competing filing documents with the Commission application. A competing license application or motion to intervene must to serve a copy of that document on application must conform with 18 CFR also be served upon each representative each person in the official service list 4.30(b) and 4.36. of the Applicant specified in the for the project. Further, if an intervener o. Notice of Intent—A notice of intent particular application. files comments or documents with the must specify the exact name, business Comments, protests and interventions Commission relating to the merits of an address, and telephone number of the may be filed electronically via the issue that may affect the responsibilities prospective applicant, and must include Internet in lieu of paper; see 18 CFR of a particular resource agency, they an unequivocal statement of intent to 385.2001(a)(1)(iii) and the instructions must also serve a copy of the document submit, if such an application may be on the Commission’s Web site under the on that resource agency. filed, either a preliminary permit ‘‘e-Filing’’ link. The Commission k. Description of Project: The application or a development strongly encourages electronic filings proposed run-of-river project using the application (specify which type of s. Agency Comments: Federal, state, BOR’s existing Wind River Diversion application). A notice of intent must be and local agencies are invited to file Dam would consist of: (1) One 8-foot- served on the applicant(s) named in this comments on the described application. diameter, 50-foot-long steel penstock, public notice. A copy of the application may be (2) a powerhouse containing one p. Proposed Scope of Studies under obtained by agencies directly from the generating unit with a total installed Permit—A preliminary permit, if issued, Applicant. If an agency does not file capacity of 1 MW, (3) a 24.9-kv does not authorize construction. The comments within the time specified for transmission line approximately 1 mile term of the proposed preliminary permit filing comments, it will be presumed to long, and (4) appurtenant facilities. The would be 36 months. The work have no comments. One copy of an project would have an annual proposed under the preliminary permit agency’s comments must also be sent to generation of 4.5 GWh. would include economic analysis, the Applicant’s representatives. l. This filing is available for review at preparation of preliminary engineering the Commission in the Public Reference plans, and a study of environmental Magalie R. Salas, Room or may be viewed on the impacts. Based on the results of these Secretary. Commission’s Web site at http:// studies, the Applicant would decide [FR Doc. 03–21498 Filed 8–20–03; 8:45 am] www.ferc.gov using the eLibrary whether to proceed with the preparation BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY (FERRIS) link. Enter the docket number of a development application to excluding the last three digits in the construct and operate the project. Federal Energy Regulatory docket number field to access the q. Comments, Protests, or Motions to Commission document. For assistance, call toll-free Intervene—Anyone may submit [Project No. 11887–000] 1–866–208–3676 or e-mail comments, a protest, or a motion to [email protected]. For TTY, intervene in accordance with the Notice of Application Accepted for call (202) 502–8659. A copy is also requirements of Rules of Practice and Filing and Soliciting Comments, available for inspection and Procedure, 18 CFR 385.210, .211, .214. Motions To Intervene, and Protests reproduction at the address in item h. In determining the appropriate action to above. take, the Commission will consider all August 15, 2003. m. Competing Preliminary Permit— protests or other comments filed, but Take notice that the following Anyone desiring to file a competing only those who file a motion to hydroelectric application has been filed application for preliminary permit for a intervene in accordance with the with the Commission and is available proposed project must submit the Commission’s Rules may become a for public inspection: competing application itself, or a notice party to the proceeding. Any comments, a. Type of Application: Preliminary of intent to file such an application, to protests, or motions to intervene must Permit. the Commission on or before the b. Project No: 12458–000. specified comment date for the be received on or before the specified c. Date Filed: May 23, 2003. particular application (see 18 CFR 4.36). comment date for the particular d. Applicant: Pilot Butte Hydro, LLC. Submission of a timely notice of intent application. e. Name of Project: Pilot Butte Dam allows an interested person to file the r. Filing and Service of Responsive Hydroelectric Project. competing preliminary permit Documents—Any filings must bear in f. Location: The proposed project application no later than 30 days after all capital letters the title would be located at the Bureau of the specified comment date for the ‘‘COMMENTS’’, ‘‘NOTICE OF INTENT Reclamation’s (BOR) Pilot Butte Dam, particular application. A competing TO FILE COMPETING APPLICATION’’, on the Wind River in Fremont County, preliminary permit application must ‘‘COMPETING APPLICATION’’, Wyoming. conform with 18 CFR 4.30(b) and 4.36. ‘‘PROTEST’’, or ‘‘MOTION TO g. Filed Pursuant to: Federal Power n. Competing Development INTERVENE’’, as applicable, and the Act, 16 U.S.C. 791a–825r. Application—Any qualified Project Number of the particular h. Applicant Contact: Mr. Brent L. development applicant desiring to file a application to which the filing refers. Smith, President; Northwest Power competing development application Any of the above-named documents Services, Inc., P.O. Box 535, Rigby, must submit to the Commission, on or must be filed by providing the original Idaho 83442, (208) 745–0834. before a specified comment date for the and eight copies to: Magalie R. Salas, i. FERC Contact: Any questions on particular application, either a Secretary, Federal Energy Regulatory this notice should be addressed to Mr. competing development application or a Commission, 888 First Street, NE., Lynn R. Miles, Sr. at (202) 502–8763. notice of intent to file such an Washington, DC 20426. An additional j. Deadline for filing motions to application. Submission of a timely copy must be sent to Director, Division intervene, protests and comments: 60 notice of intent to file a development of Hydropower Administration and days from the issuance date of this application allows an interested person Compliance, Federal Energy Regulatory notice. to file the competing application no Commission, at the above-mentioned The Commission’s Rules of Practice later than 120 days after the specified address. A copy of any notice of intent, and Procedure require all interveners comment date for the particular competing application or motion to filing documents with the Commission application. A competing license intervene must also be served upon each to serve a copy of that document on application must conform with 18 CFR representative of the Applicant each person in the official service list 4.30(b) and 4.36. specified in the particular application. for the project. Further, if an intervener o. Notice of Intent—A notice of intent files comments or documents with the must specify the exact name, business Comments, protests and interventions Commission relating to the merits of an address, and telephone number of the may be filed electronically via the issue that may affect the responsibilities prospective applicant, and must include Internet in lieu of paper; see 18 CFR of a particular resource agency, they an unequivocal statement of intent to 385.2001(a)(1)(iii) and the instructions must also serve a copy of the document submit, if such an application may be on the Commission’s Web site under the on that resource agency. filed, either a preliminary permit ‘‘e-Filing’’ link. The Commission k. Description of Project: The application or a development strongly encourages electronic filings. proposed run-of-river project using the application (specify which type of s. Agency Comments: Federal, state, BOR’s existing Pilot Butte Dam would application). A notice of intent must be and local agencies are invited to file consist of: (1) One 5-foot-diameter, 300- served on the applicant(s) named in this comments on the described application. foot-long steel penstock, (2) a public notice. A copy of the application may be powerhouse containing one generating p. Proposed Scope of Studies under obtained by agencies directly from the unit with a total installed capacity of 1 Permit—A preliminary permit, if issued, Applicant. If an agency does not file MW, (3) a 15-kv transmission line does not authorize construction. The comments within the time specified for approximately 1 mile long, and (4) term of the proposed preliminary permit filing comments, it will be presumed to appurtenant facilities. The project would be 36 months. The work have no comments. One copy of an would have an annual generation of 6.5 proposed under the preliminary permit agency’s comments must also be sent to GWh. would include economic analysis, the Applicant’s representatives. l. This filing is available for review at preparation of preliminary engineering the Commission in the Public Reference plans, and a study of environmental Magalie R. Salas, Room or may be viewed on the impacts. Based on the results of these Secretary. Commission’s Web site at http:// studies, the Applicant would decide [FR Doc. 03–21499 Filed 8–20–03; 8:45 am] www.ferc.gov using the eLibrary whether to proceed with the preparation BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY Company, Sempra Energy Trading DEPARTMENT OF ENERGY Corporation, Sierra Pacific Power Federal Energy Regulatory Company, Southern California Edison Federal Energy Regulatory Commission Company, TransAlta Energy Marketing Commission [Docket Nos. EL03–137–000, et al.] (U.S.) Inc. and TransAlta Energy Marketing (California), Inc., Tucson [Docket Nos. ER02–1656–000, ER03–1046– 000, RT01–85–000, RM01–12–000] American Electric Power Service Corp, Electric Power Company, Western Area Docket Nos. EL03–137–000, et al.; Power Administration, Williams Energy California Independent System Notice of Second Plenary Conference Services Corporation. Operator Corp.: Remedying Undue August 14, 2003. Take notice that the Trial Staff of the Discrimination through Open Access In the matter of EL03–137–000, EL03– Federal Energy Regulatory Commission Transmission Service and Standard 138–000, EL03–139–000, EL03–140– (Commission) will convene a second Electricity Market Design; Notice of 000, EL03–141–000, EL03–142–000, plenary conference in the above- Technical Conference EL03–143–000, EL03–144–000, EL03– referenced cases on Tuesday, August 26, August 15, 2003. 145–000, EL03–146–000, EL03–147– 2003 at 10 a.m. in Hearing Room 1 at the 000, EL03–148–000, EL03–149–000, Take notice that a technical offices of the Commission, 888 1st conference for California ISO will be EL03–150–000, EL03–151–000, EL03– Street, Washington, DC 20426. The 152–000, EL03–153–000, EL03–154– held on November 6, 2003, from conference will continue to be held as approximately 10 a.m. to 4 p.m. Pacific 000, EL03–155–000, EL03–156–000, a settlement conference pursuant to EL03–157–000, EL03–158–000, EL03– Standard Time in the auditorium of the Rule 602 of the Commission’s Rules of 159–000, EL03–160–000, EL03–161– California Public Utilities Commission, Practice and Procedure, 18 CFR 385.602. 000, EL03–162–000, EL03–163–000, 505 Van Ness Avenue, San Francisco, EL03–164–000, EL03–165–000, EL03– Therefore, participation at the California. Members of the Commission 166–000, EL03–167–000, EL03–168– conference will be limited to the will attend and participate in the 000, EL03–169–000, EL03–170–000, Identified Entities listed above, discussions. EL03–171–000, EL03–172–000, EL03– interveners in the instant dockets, and This conference shall be one in a 173–000, EL03–174–000, EL03–175– Trial Staff. series of regional technical conferences 000, EL03–176–000, EL03–177–000, At the conference, Trial Staff plans to announced in the White Paper issued in EL03–178–000, EL03–179–000; Aquila, initially meet with the Identified this docket on April 28, 2003. The Commission intends to use these American Electric Power Service Entities and all interveners to discuss conferences to discuss with states and Corporation Inc., Arizona Public Service the overall status of the proceeding. In market participants in each region Company, Automated Power Exchange, that regard, Trial Staff plans to discuss reasonable timetables for addressing Inc., Bonneville Power Administration, with all the parties procedures that can wholesale market design issues California Department of Water be adopted to streamline the discovery Resources, California Power Exchange, discussed in the White Paper and ways and trial phases of the instant case for in which to tailor the final rule in this Cargill-Alliant, LLC, City of Anaheim, those entities that cannot be removed California, City of Azuza, California, proceeding to benefit customers within from the case by means of settlement or City of Glendale, California, City of each region. dismissal prior to September 3, 2003. It Pasadena, California, City of Redding, The Commission is inviting selected would be Trial Staff’s aim to find a way California, City of Riverside, California, panelists to participate in this Coral Power, LLC, Duke Energy Trading to preserve fruitful settlement conference; it is not entertaining and Marketing Company Dynegy Power discussions for those cases that do not requests to make presentations. Further Marketing, Inc., Dynegy Power Corp., El settle or are not dismissed before details of the conference, including the Segundo Power LLC, Long Beach September 3, 2003. Similarly, Trial Staff agenda, will be specified in a Generation, LLC, Cabrillo, Power 1 LLC is mindful of the numerous petitions for subsequent notice. All interested and Cabrillo Power II LLC, Enron Power rehearing and requests for clarification persons may attend the conference, and Marketing, Inc. and Enron Energy that have been filed and would like to registration is not required. However, Services, Inc., F P & L Energy, Idaho discuss the ramifications of those in-person attendees are encouraged to Power Company, Los Angeles pleadings and potential Commission register on-line at http://www.ferc.gov Department of Water and Power Mirant action on those filings. /whats-new/registration/smd_1106- Americas Energy Marketing, LP, Mirant Thereafter, Trial Staff proposes, as form.asp Americas Energy Marketing, LP, and necessary, to meet with the Identified Transcripts of the conference will be Mirant Potero, LLC, Modesto Irrigation Entities and the Intervener Groups. As immediately available from Ace District, Morgan Stanley Capital Group, time permits, Trial Staff would also be Reporting Company (202–347–3700 or 1–800–336–6646) for a fee. They will be Northern California Power Agency, willing to meet with individual Pacific Gas and Electric Company, available for the public on the Identified Entities about the particular PacifiCorp, PGE Energy Services, Commission’s eLibrary system seven status of their cases. Portland General Electric Company, calendar days after FERC receives the Powerex Corporation, (f/k/a British All parties with questions regarding transcript. Additionally, Capitol Columbia Power Exchange Corp.), this second plenary conference may Connection offers the opportunity for Public Service Company of Colorado, contact Joel M. Cockrell at 202–502– remote listening of the conference via Public Service Company of New 8153, Edith A. Gilmore at 202–502– Real Audio or a Phone Bridge Mexico, Puget Sound Energy, Inc., 8632, or Janet K. Jones at 202–502–8165. Connection for a fee. Persons interested Reliant Resources, Inc., Reliant Energy in making arrangements should contact Power Generation, and Reliant Energy Magalie R. Salas, David Reininger or Julia Morelli at the Services, Inc., Salt River Project Secretary. Capitol Connection (703–993–3100) as Agricultural, Improvement and Power [FR Doc. 03–21377 Filed 8–20–03; 8:45 am, soon as possible or visit the Capitol District San Diego Gas & Electric BILLING CODE 6717–01–P Connection Web site at http://

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www.capitolconnection.org and click on available for the public on the a satisfactory definition of gathering ‘‘FERC.’’ Commission’s eLibrary system seven under the Natural Gas Act has remained For more information about the calendar days after FERC receives the elusive. A clear, consistent approach to conference, please contact Sarah transcript. Additionally, Capitol offshore gathering is needed to protect McKinley at (202) 502–8004 or Connection offers the opportunity to producers and customers from the [email protected]. remotely listen to the conference via the market power of third party transporters Internet or a Phone Bridge Connection and to avoid different jurisdictional Magalie R. Salas, for a fee. Persons interested in making outcomes for companies that perform Secretary. arrangements should contact David essentially the same economic function. [FR Doc. 03–21500 Filed 8–20–03; 8:45 am] Reininger or Julia Morelli at the Capitol Background BILLING CODE 6717–01–P Connection (703–993–3100) as soon as possible or visit the Capitol Connection A. Evolution of the Primary Function Web site at http:// Test DEPARTMENT OF ENERGY www.capitolconnection.gmu.edu and Although section 1(b) of the Natural Federal Energy Regulatory clicking on ‘‘FERC.’’ Gas Act states that the provisions of that For more information about the Commission act do not apply ‘‘to the production or conference, please contact Sarah gathering of natural gas,’’ the act itself [Docket Nos. RM01–12–000 and RT01–95– McKinley at (202) 502–8004 or does not define those terms. The 000] [email protected]. Commission has defined gathering as Remedying Undue Discrimination Magalie R. Salas, ‘‘the collecting of gas from various wells Through Open Access Transmission Secretary. and bringing it by separate and several Service and Standard Electricity [FR Doc. 03–21501 Filed 8–20–03; 8:45 am] individual lines to a central point where 2 Market Design, New York Independent BILLING CODE 6717–01–P it is delivered into a single line.’’ The System Operator, Inc.; Notice of Supreme Court has added that Technical Conference ‘‘production’’ and ‘‘gathering’’ are terms DEPARTMENT OF ENERGY ‘‘narrowly confined to the physical acts August 15, 2003. of drawing the gas from the earth and Take notice that a technical Federal Energy Regulatory preparing it for the first stages of conference for the New York Commission distribution.’’ 3 These definitions have Independent System Operator, Inc. will [Docket No. AD03–13–000] been useful in describing gathering as a be held on October 20, 2003, from concept. Nevertheless, as the courts approximately 1 p.m. to 5 p.m. Eastern Application of the Primary Function have recognized, ‘‘the line between Daylight Time at the offices of Test for Gathering on the Outer gathering and transportation is Consolidated Edison Company, 4 Irving Continental Shelf; Notice of Public inherently elusive.’’ 4 Attempts to Place, 19th floor auditorium, New York Conference establish a functional test, useful in the City, New York. Members of the context of specific proceedings, Commission will attend and participate August 14, 2003. resemble the pursuit of a desert mirage. in the discussion. An agenda will be Take notice that on September 23, Historically, the tendency has been to issued at a later time. 2003, the Commission will convene a announce a particular physical This conference is one in a series of public conference in the above characteristic that could be used to regional technical conferences captioned proceeding. The purpose of identify nonjurisdictional gathering, announced in the White Paper issued in the conference will be to explore only to substitute other criteria later to Docket No. RM01–12–000 on April 28, whether the Commission should reflect changes in the industry or in the 2003. The Commission intends to use reformulate its test for defining evolution of Commission policy.5 In these conferences to discuss with states nonjurisdictional gathering in the and market participants in each region shallow waters of the Outer Continental 2 Lomak Petroleum, Inc. v. FERC, 206 F.3d 1193, reasonable timetables for addressing Shelf (OCS) and if so what the new test 1196 (DC Cir 2000), quoting from Barnes wholesale market design issues and should be. Transportation Company, 18 FPC at 372 (1957). See The Commission has considered its also Conoco, Inc. v. FERC, 90 F.3d 536, 539 n.2 (DC ways to tailor the final rule in this Cir. 1996)(’’Gathering is the process of taking proceeding to benefit customers within offshore gathering policy a number of natural gas from the wells and moving it to a the region. times in the past decade.1 Nevertheless, collection point for further movement through the The Commission is inviting selected pipeline’s principal transmission system.’’) (quoting Northwest Pipeline Corp. v. FERC, 905 F.2d 1403, panelists to participate in this 1 See generally Natural Gas Gathering Services Performed by Interstate Pipelines and Interstate 1404 n.1 (10th Cir. 1990)). conference; it is not entertaining Pipeline Affiliates —Issues Related to Rates and 3 Northern Natural Gas Co. v. State Corp. requests to make presentations. Further Terms and Conditions of Service, Docket No. Comm’n, 372 U.S. 84, 90 (1963). details of the conference, including the RM94–4–000, Notice of Public Conference, 65 FERC 4 Exxon Mobil Gas Marketing Company v. FERC agenda, will be specified in a ¶ 61,136 (1993); Gas Pipeline Facilities and Services (Exxon), No. 00–1355 (DC Cir. August 6, 2002) on the Outer Continental Shelf—Issues Related to (Judge Edwards dissenting) slip op. at 18, citing subsequent notice. All interested the Commission’s Jurisdiction Under the Natural Conoco, Inc. v. FERC 90 F. 3d 536 at 542 (DC Cir. persons may attend the conference, and Gas Act and the Outer Continental Shelf Lands Act, 1996). registration is not required. However, Docket No. RM96–5–000, Policy Statement, 74 5 For many years, the Commission employed two in-person attendees are encouraged to FERC ¶ 61,222 (1996) (1996 Policy Statement); principal tests to differentiate (primarily onshore) register on-line at http://www.ferc.gov/ Chevron U.S.A., Inc. v. FERC, 193 F. Supp. 2d 54 transportation from gathering facilities. The _ (D.DC, January 11, 2002), appeal pending sub nom. ‘‘behind-the-plant’’ test presumes that all facilities whats-new/registration/smd 1020- Williams Companies, et al. v. FERC, No. 02–5056 located between the wellhead and a processing form.asp (DC Cir.) (appeal of district court ruling on motion plant are non-jurisdictional gathering lines, while Transcripts of the conference will be that FERC did not have authority under the Outer facilities downstream of the processing plant are Continental Shelf Lands Act (OCSLA) to issue presumptively transportation facilities. See Phillips immediately available from Ace regulations requiring gas service providers on the Petroleum Co., 10 FPC 246 (1951), rev’d in part on Reporting Company (202–347–3700 or Outer Continental Shelf (OCS)to submit quarterly other grounds sub nom. Phillips Petroleum Co. v. 1–800–336–6646) for a fee. They will be reports of services provided). Wisconsin, 347 U.S. 672 (1954). For gas that

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Farmland Industries, Inc.,6 the therefore the 51-mile long, 16-inch or at subsea taps. Through those Commission identified a number of diameter OCS pipeline downstream of upstream arms, Sea Robin moves the gas factors for consideration in analyzing the platform at issue in that case was a to a manned platform with two turbine the section 1(b) gathering test, and jurisdictional transportation facility. compressor units at the fork of the ‘‘Y’’ stated that ‘‘the ultimate test is whether The court reversed that finding, holding closer to shore. The bottom line of the the primary function can be classified as that while the length and diameter of ‘‘Y’’, from the platform to shore, consists transportation or gathering.’’ The pipeline facilities might indicate a of 66.3 miles of 36-inch pipeline. Along primary function test factors included: transportation function onshore, those this segment the gas is mingled with • The length and diameter of a factors had less weight in the offshore additional gas from four platforms. pipeline (longer and wider pipe context because of the longer distances In response to a request to reclassify indicating transportation); between the point of production in deep the Sea Robin facilities from • The central point in a field; transmission to gathering, the • water and the nearest connection with The pipeline’s geographic an interstate pipeline. The court further Commission found that the primary configuration (a web-like pattern, for questioned the validity of a central- function of Sea Robin’s entire system example, suggesting a gathering point-in-the-field analysis applied to was and continued to be jurisdictional function) transportation. In reaching that • unitary OCS structures. Location of compressors and In response, the Commission conclusion, the Commission processing plants (i.e., the ‘‘behind the modified its primary function test for emphasized the length and size of Sea plant’’ test); the OCS, stating that as drilling Robin’s pipeline, and also certain non- • The location of wells along all or operations pushed further offshore from physical factors, such as the reliance of part of the facilities (typically indicating existing interstate pipeline connections, shippers in the original jurisdictional gathering); and • it would apply a sliding scale to allow determination. The U.S. Court of Operating pressure of a line, with Appeals for the Fifth Circuit remanded higher pressure generally associated for the increasing length and diameter appropriate for gathering lines in that decision.11 In doing so the court with the need to propel gas in a said the Commission had relied too transportation function. correlation to the distance from shore and the water depth of the offshore heavily on the size of Sea Robin’s The primary function test has been production area.8 Later, following a system as a determinative factor and did relatively satisfactory for analyzing conference on offshore gathering in not give enough consideration to the onshore facilities. Offshore, however, Docket No. RM96–5–000, the different nature of gathering on the OCS. the test has proven more difficult to Commission issued a policy statement The court also faulted the Commission apply.7 Thus, in EP Operating Co. v. announcing that it would ‘‘presume for reliance on non-physical FERC, 876 F.2d 46, 48–49 (5th Cir. facilities located in deep water [more considerations, such as Sea Robin’s 1989), the Commission initially ruled than 200 meters] are primarily engaged ownership and shipper expectations. that under the primary function test the in gathering or production.’’ 9 The court specifically found that the offshore platform where initial gas As with onshore facilities, the use of Commission’s consideration of a treatment took place constituted a the primary function test, as modified ‘‘regulatory gap’’ in the absence of ‘‘central point in the field’’ where the by the policy statement for deepwater Natural Gas Act jurisdiction was gathering function was complete, and facilities, seems to be workable, and inappropriate: ‘‘Need for regulation there has been relatively little cannot alone create authority to required no processing, the ‘‘central-point-in-the- 12 controversy concerning its application regulate.’’ field’’ test applied, under which lateral lines that In its decision, the court suggested collect gas from separate wells before converging in recent years. Efforts to apply the into a larger single line—typically at the point primary function test to offshore that the primary function test could be where the gas is compressed for transportation by adapted to the operational the pipeline—were classified as gathering facilities. facilities in the shallow OCS, however, have been contentious. characteristics of the OCS, so that E.g., Barnes, supra portions of its system could be 6 23 FERC ¶ 61,063 at 61,143 (1983). The Commission later added a number of ‘‘non- B. The Sea Robin Pipeline considered to be predominantly physical’’ criteria, including (1) the purpose, Difficulties applying the primary gathering and other parts predominantly location and operation of a facility; (2) the business function test to offshore facilities were transportation. On remand, then, the of the owner; (3) whether the jurisdictional Commission adopted this suggestion determination is consistent with the objectives of highlighted by the Commission’s the NGA and other legislation; and (4) the changing decision in Sea Robin Pipeline and reformulated the primary function technical and geographic nature of exploration and Company (Sea Robin).10 Sea Robin’s test to draw the jurisdictional line at an production. Amerada Hess Corp., 52 FERC ¶ 61,268 offshore pipeline facilities were internal point on the Sea Robin system, at 61,844–45 (1990). Under the primary function at the junction of the ‘‘Y’’.13 The test, no one factor is determinative, nor do all certificated as jurisdictional factors apply in every situation. See e.g., Williams transmission facilities by the Commission concluded that the part of Field Services, 194 F.3d at 116; Farmland, 23 FERC Commission in 1969. The system Sea Robin’s pipeline facilities from the at 61,143. consists of 438 miles of pipeline that platform to shore was a jurisdictional 7 As more new facilities were constructed transports unprocessed gas from transportation system. Upstream of that offshore on the OCS, where the pattern of gathering point the two legs of the ‘‘Y’’ formed a and distribution differs, the applicability of the shallow water on the OCS to a factors was questioned. Specifically, it is often not processing plant onshore. The system is non-jurisdictional gathering system. feasible to process raw gas on open water. As a configured in the form of a ‘‘Y’’. Along In reformulating its primary function result, pipelines on the OCS typically do not gather the two arms of the ‘‘Y’’, 45 lateral lines test, the Commission concluded that the gas at a local, centralized point within a producing ‘‘behind-the-plant’’ factor is not field as they would onshore, to prepare it for with diameters ranging from 4.5 to 30 traditional transportation. Rather, on the OCS, they inches are connected to 67 receipt 11 construct relatively long lines to carry the raw gas points located on production platforms, Sea Robin Pipeline Company v. FERC, 127 F.3d from offshore platforms, where after production 365 (5th Cir. 1997). only rudimentary gas treatment takes place 12 Id. at 371. (primarily to remove water), to the shore or a point 8 See Amerada Hess, 52 FERC at 61,988 (1990). 13 Sea Robin Pipeline Company, Order on closer to shore where it can be processed into 9 See 1996 Policy Statement, note 1 supra. Remand, 87 FERC ¶ 61,384 (1999) (Comm. Bailey ‘‘pipeline quality’’ gas that can be transported by an 10 71 FERC ¶ 61,351 (1995), reh’g denied, 75 dissenting), rehearing denied, 92 FERC ¶ 61,072 interstate pipeline. FERC ¶ 61,332 (1996). (2000).

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necessarily determinative of where seems built into the primary function facilities are operationally integrated gathering ends when applied to offshore test as applied offshore. The primary with either production or transportation facilities. In addition, the Commission function test lists numerous factors for facilities, the function of compression in announced that where a pipeline system consideration, with no one factor having relation to the facilities, and the includes a facility where gas is priority. Thus, for example, the size of proximity to the pipeline transportation delivered by several relatively small a particular system may suggest that it grid? diameter lines for aggregation and is transmission, but the configuration 2. To what extent should the location preparation for further delivery onshore may suggest gathering. The primary of processing plants, the central point of through a single larger diameter function test does not indicate how such aggregation, the operating pressure of a pipeline, the location of that collection inconsistencies should be resolved. The line, and geographic configuration of facility will be afforded considerable result, over time, has been the gradual facilities, be considered relevant in weight for purposes of identifying the reclassification of more and larger evaluating the status of facilities on the demarcation point between gathering systems as gathering, even in cases OCS? What are the advantages and and transportation on OCS systems.14 where systems had been regulated for disadvantages of relying on these Although not all OCS pipeline many years under the Natural Gas Act. factors? Are there any other factors that systems exhibit such a centralized Systems with generally similar physical should be considered? aggregation point, e.g., facilities with a characteristic may have a different 3. What should be the relevance of straight-line or spine-and-lateral type regulatory status because of relatively non physical factors such as a facility’s configuration, the presence of such a minor physical differences. This result history of regulation or the major location would be considered the can produce different regulatory results business purpose of an owner? offshore analogue of the onshore for competitors who perform essentially ‘‘central-point-in-the-field’’ criterion. the same economic function. It is also 4. If formerly certificated facilities are The Commission’s decision on seems unfair to customers who may determined to be gathering, may the remand, based on its reformulated test have made investments relying on the Commission nonetheless require the that included the central point of regulated status of a transporter, only to company to file for abandonment under aggregation as a factor offshore, was find themselves subject to the market section 7(b) of the Natural Gas act before upheld by the U.S. Court of Appeals for power of that transporter in its new the facilities may be transferred to the District of Columbia Circuit in deregulated form. The ‘‘need for another company? Exxon (note 4 supra).15 regulation’’ may not create authority to Procedures regulate; on the other hand, inconsistent C. The ‘‘Reformulated, Modified classification and regulatory treatment The public conference convened by Primary Function Test’’ cannot be what Congress intended when this notice will be held on September Despite the several modifications of it established a comprehensive scheme 23, 2003 at the offices of the Federal the primary function test described of federal regulation that included Energy Regulatory Commission, 888 above, its utility in identifying transportation from the OCS. First Street, NE., Washington, DC 20426. nonjurisdictional gathering facilities Public Conference All interested persons are invited to remains uneven. As mentioned, the rule attend. Persons interested in speaking or seems to work fairly well onshore, The Commission is convening a making a presentation should indicate possibly because where other factors are public conference to hear suggestions their interest no later than September 3, not conclusive, there is usually a from interested persons on developing a 2003 by a letter addressed to the processing plant located at the end of a new test for gathering on the OCS that Secretary, Federal Energy Regulatory gathering system that serves as a logical is reasonably objective and that furthers Commission, 888 First Street, NE., demarcation point between the regulatory goals of the Natural Gas Washington, DC 20426, and should refer jurisdictional and nonjurisdictional Act. (The conference will not include to Docket No. AD03–13–000. Each systems. Also, after an initial round of the policy adopted for deepwater request to participate must include the decisions interpreting the 1996 Policy facilities in Docket No. RM96–5–000.) A name of a contact person, their Statement applying the primary new test should ensure that similar telephone number and e-mail address. function test to facilities located in deep facilities are subject to similar There is no need to provide advance water beyond the OCS, there has been regulatory treatment. It should also notice to the Commission simply to relatively little controversy. In the provide incentives for investment in attend the conference. shallow areas on the OCS, on the other production, gathering, and transportation infrastructure offshore, Comments addressing the questions hand, the status of facilities remains set out in this notice may also be filed unsettled. The Commission continues to without subjecting producers to the unregulated market power of third party by September 3, 2003. Every effort will receive requests to reclassify be made to accommodate requests to jurisdictional transmission facilities as transporters. Persons who appear at the conference should be prepared to make presentations, but depending on gathering, over the objection of the number of requests received, a limit customers who have been served indicate how the Commission’s definition of gathering can be changed may have to be placed on the number through the facilities. In these types of of presenters and the time allowed for cases, the correct interpretation of the to achieve these goals. Persons seeking to make formal statements at the public presentations. primary function test is usually the Members of the Commission intend to main issue. conference should be prepared to address questions set forth below. Other participate in the public conference and Based on the number of contested will reserve time for questions and cases presented to us, we are concerned questions may arise during the course of the proceedings. answers. In a subsequent notice, we will about the high degree of uncertainty that provide further details on the Questions conference, including the agenda and a 14 87 FERC at 62,248. 15 See also Williams Gas Processing—Gulf Coast 1. To what extent should a gathering list of participants, as plans evolve. For Company, L.P. et al. v. FERC, No. 01–1327 (DC Cir. test that be based on the length and additional information, please contact June 20, 2003). diameter of the pipeline, the extent the Gordon Wagner, Office of General

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Counsel, phone 202–502–8947, e-mail: the SNAP program, as well as other EPA substitutes in the following industrial [email protected]. publications on protection of sectors: refrigeration and air stratospheric ozone, are available from conditioning, solvents, cleaning, foam Magalie R. Salas, EPA’s Ozone Depletion World Wide blowing, fire suppression and explosion Secretary. Web site at http://www.epa.gov/ozone/ protection, and aerosols. For copies of [FR Doc. 03–21373 Filed 8–20–03; 8:45 am] including the SNAP portion at http:// the full lists of SNAP decisions in all BILLING CODE 6717–01–P www.epa.gov/ozone/snap/. industrial sectors, visit EPA’s Ozone EPA has established an official public Depletion Web site at http:// docket for this action under Docket ID www.epa.gov/ozone/snap/lists/ ENVIRONMENTAL PROTECTION No. OAR–2003–0118 (continuation index.html. AGENCY Docket A–91–42). The official public The sections below discuss each [FRL–7547–2] docket consists of the documents substitute listing in detail. Appendix A specifically referenced in this action contains a table summarizing today’s Protection of Stratospheric Ozone: and other information related to this listing decisions. The statements in the Notice 18 for Significant New action. Although a part of the official ‘‘Further Information’’ column in the Alternatives Policy Program docket, the public docket does not table provide additional information, include Confidential Business but are not legally binding under section AGENCY: Environmental Protection Information (CBI) or other information 612 of the Clean Air Act. In addition, Agency. whose disclosure is restricted by statute. the ‘‘further information’’ may not be a ACTION: Notice of acceptability. The official public docket is the comprehensive list of other legal collection of materials that is available obligations you may need to meet when SUMMARY: This Notice of Acceptability for public viewing at the Air and using the substitute. Although you are expands the list of acceptable Radiation Docket in the EPA Docket not required to follow recommendations substitutes for ozone-depleting Center, (EPA/DC) EPA West, Room in the ‘‘further information’’ column of substances (ODS) under the U.S. B102, 1301 Constitution Ave., NW., the table to use a substitute, EPA Environmental Protection Agency’s Washington, DC. The EPA Docket strongly encourages you to apply the (EPA) Significant New Alternatives Center Public Reading Room is open information when using these Policy (SNAP) program. The substitutes from 8:30 a.m. to 4:30 p.m., Monday substitutes. In many instances, the are for use in the following sectors: through Friday, excluding legal information simply refers to standard refrigeration and air conditioning, holidays. The telephone number for the operating practices in existing industry solvents cleaning, foam blowing, fire Public Reading Room is (202) 566–1744, and/or building-code standards. Thus, suppression and explosion protection, and the telephone number for the Air many of these statements, if adopted, and aerosols. and Radiation Docket is (202) 566–1742. would not require significant changes to EFFECTIVE DATE: August 21, 2003. An electronic version of the public existing operating practices. ADDRESSES: Information relevant to this docket is available through EPA’s Submissions to EPA for the use of the notice is contained in Air Docket A–91– electronic public docket and comment substitutes listed in this document may 42, 1301 Constitution Avenue, NW.; system. EPA Dockets. You may use EPA be found under category VI–D of EPA U.S. Environmental Protection Agency, Dockets at http://www.epa.gov/edocket/ air docket A–91–42 at the address Mail Code 6102T; Washington, DC to view public comments, access the described above under ADDRESSES. You 20460. The docket reading room is index listing of the contents of the can find other material supporting the located at the address above in room official public docket, and to access decisions in this action under category B102 in the basement. Reading room those documents in the public docket IX–B of EPA docket A–91–42 and in e- telephone: (202) 566–1744, facsimile: that are available electronically. docket OAR–2003–0118 at http:// (202) 566–1749, Air docket staff Although not all docket materials may www.epa.gov/edocket/. be available electronically, you may still telephone: (202) 566–1742 and A. Refrigeration facsimile: (202) 566–1741 You may access any of the publicly available inspect the docket between 8:30 a.m. docket materials through the docket 1. R–407C and 4:30 p.m. weekdays. As provided in facility identified in the previous EPA’s decision. R–407C is acceptable 40 CFR part 2, a reasonable fee may be paragraph. Once in the system, select for use in new and retrofit equipment as charged for photocopying. ‘‘search,’’ then key in the appropriate a substitute for R–502 in: docket identification number (OAR– FOR FURTHER INFORMATION CONTACT: • retail food refrigeration 2003–0118). Margaret Sheppard by telephone at • cold storage warehouses (202) 564–9163, by fax at (202) 565– SUPPLEMENTARY INFORMATION: • commercial ice machines 2155, by e-mail at I. Listing of Acceptable Substitutes • refrigerated transport [email protected], or by mail A. Refrigeration • ice skating rinks at U.S. Environmental Protection B. Solvents Cleaning • water coolers Agency, 1200 Pennsylvania Avenue, C. Foam Blowing • residential dehumidifiers NW., Mail Code 6205J, Washington, DC D. Fire Suppression and Explosion • vending machines 20460. Overnight or courier deliveries Protection • industrial process air conditioning should be sent to 501 3rd Street, NW., E. Aerosols • reciprocating chillers II. Section 612 Program Washington, DC 20001. • screw chillers A. Statutory Requirements • For more information on the Agency’s B. Regulatory History industrial process refrigeration process for administering the SNAP • non-mechanical heat transfer systems Appendix A—Summary of Acceptable • program or criteria for evaluation of Decisions household refrigerators and freezers substitutes, refer to the original SNAP • household and light commercial air rulemaking published in the Federal I. Listing of Acceptable Substitutes conditioning Register on March 18, 1994 (59 FR This section presents EPA’s most R–407C is a blend of 23% by weight 13044). Notices and rulemakings under recent acceptable listing decisions for HFC–32 (difluoromethane, Chemical

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Abstract Service [CAS] No. 75–10–5), potentially available and that provide a submitter has provided data to indicate 25% by weight HFC–125 substantially reduced risk to public that under a worst case fractionation (pentafluoroethane, CAS No. 354–33–6) health and the environment in the end scenario, the blend will have a lower and 52% by weight HFC–134a (1,1,1,2- uses listed. flammable limit (LFL) of 6% by volume. tetrafluoroethane, CAS No. 811–997–2). Due to this minor risk of flammability, 2. ISCEON 89 The submission may be found in EPA EPA expects users to take extra Air Docket A–91–42, item VI–D–293. EPA’s decision. ISCEON 89 is precautions while handling this blend, EPA previously listed R–407C as an acceptable for use in new and retrofit including those listed under Toxicity acceptable alternative for equipment as a substitute for R–13B1 in and exposure data, below. hydrochlorofluorocarbon (HCFC)–22 very low temperature refrigeration. Toxicity and exposure data. All and chlorofluorocarbons (CFCs) ISCEON 89 is a blend of 86% by weight components of the blend have (February 8, 1996; 61 FR 4736) and as HFC–125 (pentafluoroethane, CAS No. workplace guidance level exposure an acceptable substitute for HCFC 354–33–6), 9% by weight PFC–218 limits on the order of 1000 ppm. EPA blends (December 20, 2002; 67 FR (octofluoropropane, CAS NO. 76–19–7) believes this exposure limit will be 77927) in various refrigeration and air and 5% by weight R–290 (propane, CAS protective of human health and safety. conditioning end uses under SNAP. No. 74–98–6). The submission may be EPA expects users to adhere to all Environmental information. The found in EPA Air Docket A–91–42, item exposure limits, follow all ozone depletion potential (ODP) or R– VI–D–293. recommendations specified in the 407C is zero. The Global Warming Environmental information. The Material Safety Data Sheet (MSDS) for Potentials (GWPs) of HFC–32, HFC–125, ozone depletion potential (ODP) of the blend and the individual and HFC–134a are 543, 3450, and 1320, ISCEON 89 is zero. Relative to carbon components, and undertake all other respectively (relative to carbon dioxide, dioxide, using a 100-year time horizon, safety precautions common in the using a 100-year time horizon (United from the source cited above in IA1, the refrigeration and air conditioning Global Warming Potentials (GWPs) of Nations Environment Programme industry. HFC–125 and PFC–218 are 3450 and (UNEP) and World Meteorological Comparison to other refrigerants. 8690, respectively. The source lists the Organization (WMO) Scientific ISCEON 89 is not an ozone depleter; atmospheric lifetimes as 29 years for Assessment of Ozone Depletion: 2002).) thus, it reduces the associated risk HFC–125 and 2600 years for PFC–218. The atmospheric lifetimes of these compared to R–13B1, the ODS it The source does not list a GWP for constituents as 4.9, 29 and 14.0 years, replaces. ISCEON 89 has a comparable propane, but it is thought to be on the respectively. or lower GWP than most other All components of this blend are order of 10 to 20. substitutes for R–13B1 in very low excluded from the definition of volatile Because of the high GWP of HFC–125 temperature refrigeration end use. Thus, organic compound (VOC) under Clean and especially PFC–218, EPA strongly we find that ISCEON 89 is acceptable Air Act regulations addressing the encourages prompt identification and because it reduces overall risk to public development of State implementation repair of any leaks that may occur. EPA health and the environment in the end plans (SIPs) to attain and maintain the notes that most of the R–13B1 use listed. national ambient air quality standards. alternatives already listed as acceptable 40 CFR 51.100(s). for use within the very low temperature 3. RS–44 Flammability information. While refrigeration end use have GWPs as high EPA’s decision. RS–44 is acceptable HFC–32 is moderately flammable, the or higher than this blend, and for use in new and retrofit equipment as blend as formulated and under worst encourages the continued search for a substitute for HCFC–22 in the case fractionated formulation scenarios lower-GWP alternatives for this end use. following end uses: is not flammable. The contribution of these blends to • Toxicity and exposure data. All global warming will be minimized industrial process refrigeration • components of the blend have 8 hour/ through the implementation of the industrial process air conditioning • day, 40 hour/week workplace ice skating rinks venting prohibition under section • environmental exposure limits (WEELs) cold storage warehouses 608(c)(2) of the Clean Air Act (See 40 • of 1000 ppm established by the refrigerated transport CFR part 82, subpart F). This section • American Industrial Hygiene retail food refrigeration and EPA’s implementing regulations at • Association (AIHA). EPA expects users commercial ice machines subpart F of 40 CFR part 82 prohibit • to follow all recommendations specified household refrigerators and freezers venting or release of substitutes for class • in the Material Safety Data Sheet residential dehumidifiers I and class II ozone depleting substances • (MSDS) for the blend and the individual screw chillers used in refrigeration and air- • components and other safety reciprocating chillers conditioning and require proper • precautions common in the refrigeration centrifugal chillers handling and disposal of these • and air conditioning industry. We also substances, such as recycling or household and light commercial air expect that users of R–407C will adhere recovery. conditioning to the AIHA’s WEELs. Propane is defined as a volatile The submitter of RS–44 claims that Comparison to other refrigerants. R– organic compound (VOC) under Clean the composition of this blend is 407C is not an ozone depleter; thus, it Air Act regulations addressing the confidential business information. You poses a lower risk for ozone depletion development of State implementation can find a version of the submission than R–502, a blend of HCFC–22 and plans (SIPs) to attain and maintain the with information claimed confidential CFC–115, the ODS it replaces. R–407C national ambient air quality standards. by the submitter removed in EPA Air has a comparable or lower GWP than 40 CFR 51.100(s). HFC–125 and PFC– Docket A–91–142, item VI–D–295. most other substitutes for R–502. 218 are excluded from the definition of Environmental information. The Flammability and toxicity risks are low, VOC under those regulations. ozone depletion potential (ODP) of RS– as discussed above. Thus, we find that Flammability information. While 44 is zero. The Global Warming R–407C is acceptable because there are propane is flammable, the blend Potentials (GWPs) of the constituents no other substitutes that are currently or formulated as submitted is not. The are all below 5000 (relative to carbon

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dioxide, using a 100-year time horizon, Ninomiya et al., 2000) relative to carbon accordance with requirements of the from the source listed in IA1). dioxide, using a 100-year time horizon. Resource Conservation and Recovery At least one component of this blend Experimental data indicates a lifetime of Act (RCRA). has not been excluded from the 4.7 years (Ninomiya et al., 2000). Flammability information: Ecomate TM definition of VOC under Clean Air Act HFE–7000 is considered a VOC. This is flammable and should be handled regulations addressing the development chemical is being reviewed by EPA for with proper precautions. Use of of SIPs to attain and maintain the exclusion from the definition of VOC Ecomate TM will require safe handling national ambient air quality standards. under Clean Air Act regulations and shipping as prescribed by OSHA 40 CFR 51.100(s). addressing the development of State and DOT (for example, using personal Flammability information. While at implementation plans (SIPs) to attain safety equipment and following least one component of the blend is and maintain the national ambient air requirements for shipping hazardous moderately flammable, the submitter quality standards. 40 CFR 51.100(s). materials at 49 CFR parts 170 through has provided test results that show the Flammability information. This 173). However, when blended with fire blend as formulated and at worst case chemical is nonflammable. retardant, the flammability of formulation and worst case fractionated Toxicity and exposure data. The Ecomate TM can be reduced to make a formulation conditions is not manufacturer has recommended an formulation that is either combustible or flammable. acceptable exposure limit (AEL) of 75 non-flammable (refer to the Toxicity and exposure data. ppm over an eight-hour time-weighted manufacturer of Ecomate TM for more Components of the blend have average. EPA has reviewed this information). Due to its flammability, workplace guidance level exposure exposure limit and believes it is EPA is not finding Ecomate TM limits on the order of 600 to 1000 ppm. protective of human health and safety. acceptable for use in spray foam at this EPA believes this exposure limit will be We expect users to follow all time. For information on the safety protective of human health and safety. recommendations specified in the training requirements for use of EPA expects users to follow all MSDS for this chemical. flammable blowing agents in spray foam recommendations specified in the Comparison to other aerosol solvents. refer to SNAP Notice of Acceptability 11 Material Safety Data Sheet (MSDS) for HFE–7000 is not an ozone depleter; (64 FR 68039, December 6, 1999) or the blend and the individual thus, in the electronics and precision contact the EPA SNAP program. components and other safety cleaning end uses, it reduces risk overall Toxicity and exposure data. precautions common in the refrigeration compared to methyl chloroform and Ecomate TM should be handled with and air conditioning industry. CFC–113, the ODSs it replaces. The proper precautions. EPA anticipates that Comparison to other refrigerants. RS– GWP and atmospheric lifetime of HFE– Ecomate TM will be used in such a 44 is not an ozone depleter; thus, it 7000 are lower than those of several manner so that any recommendations reduces risk from ozone depletion other acceptable alternatives that are specified in the manufacturers’ Material compared to CFC–12, the ODS it cleaning solvents. Safety Data Sheets (MSDSs) are replaces. RS–44 has a comparable or C. Foam Blowing followed. OSHA established a lower GWP than most other substitutes permissible exposure limit for the main for HCFC–22. Flammability and toxicity 1. EcomateTM component of Ecomate TM of 100 ppm risks are low, as discussed above. Thus, EPA’s decision. EcomateTM is for a time-weighted average over an we find that RS–44 is acceptable acceptable as a substitute for CFCs and eight-hour work shift. because it reduces overall risk to public HCFCs in the following end-uses: Comparison to other foam blowing health and the environment in the end • Rigid polyurethane and agents. Ecomate TM is not an ozone uses listed. polyisocyanurate laminated boardstock; depleter; thus, it reduces risk overall B. Solvents Cleaning • Rigid polyurethane appliance; compared to the ODS it replaces. • Rigid polyurethane slabstock and Ecomate TM has a comparable or lower 1. HFE–7000 other foams; GWP than the other substitutes for CFCs Hydrofluoroether (HFE)–7000 is • Rigid polyurethane commercial and HCFCs in these end uses. Thus, we acceptable for use as a substitute for refrigeration and sandwich panels; and find that Ecomate TM is acceptable methyl chloroform and CFC–113 in the • Polyurethane integral skin foam. because it reduces overall risk to public precision cleaning and electronics The submitter, Foam Supplies, claims health and the environment in the end cleaning end uses. 3M, the submitter, that the composition of EcomateTM is uses listed. indicates that this chemical is also confidential business information (see 2. HFC–245fa known as HFE–301 and propane, docket A–91–42, item VI–D–296). 1,1,1,2,2,3,3 hepta fluoro-3-methoxy or Environmental information. EPA’s decision. Hydrofluorocarbon 1-(methoxy)-1,1,2,2,3,3,3- Ecomate TM has no ODP and very low or (HFC)–245fa is an acceptable substitute heptafluoropropane. The empirical zero global warming potential (GWP). for all HCFCs in: TM • formula is C4H3F7O and it is also Users should be aware that Ecomate Rigid polyurethane and identified as CH3-O-CF2-CF2-CF3 and R– is not excluded from the definition of polyisocyanurate laminated boardstock; E347mcc1. You can find a version of the volatile organic compound (VOC) under • Rigid polyurethane appliance; submission with information claimed Clean Air Act regulations addressing the • Rigid polyurethane slabstock and confidential by the submitter removed, development of State implemention other foams; in EPA Air Docket A–91–42, items VI– plans (SIPs) to attain and maintain the • Rigid polyurethane commercial D–272 and VI–D–300. EPA previously national ambient air quality standards. refrigeration and sandwich panels; found HFE–7000 acceptable in several 40 CFR 51.100(s). For more information • Phenolic insulation board and refrigerant end uses (March 22, 2002; 67 refer to the manufacturer of Ecomate TM, bunstock; FR 13272). EPA regulations, and your state or local • Polyolefin; Environmental information. The ODP air quality agency. Also, because • Polystyrene: extruded boardstock of HFE–7000 is zero. The GWP is Ecomate TM is considered hazardous, and billet; estimated as 400 (derived from spills and disposal should be handled in • Polyurethane integral skin foam.

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HCF–245fa is also known as 1,1,1,3,3- • Polyolefin; halon 1301 in the total flooding end use pentafluoropropane (CAS Registry No. • Polyurethane integral skin foam. in both normally occupied and 460–73–1). We previously found HFC– Further information on HFC–245fa is unoccupied spaces. NAF S–125 is a 245fa acceptable for use as a substitute described above in section C.2. of this mixture of HFC–125 containing 0.15% for CFC–11 and HCFC–141b in foam document. d-limonene by weight. HFC–125 is also blowing (64 FR 68041, December 6, Environmental information. HFC– known as 1,1,1,2,2-pentafluoroethane, 1999), refrigeration and air conditioning 245fa has an ODP of zero. It has a GWP CAS No. 354–33–6. Another name for d- (65 FR 37901, June 19, 2000) and of 1022. This value is similar to or lower limonene is 4-isopropenyl-1-methyl-1- aerosols (67 FR 13272, March 22, 2002). than the GWP of the substances that cyclohexene, CAS No. 5989–27–5. EPA In its original rulemaking on March HFC–245fa would be replacing. Both finds the blend acceptable as submitted; 18, 1994 (59 FR 13084), the SNAP HFC–245fa and HCFC–22 have been however, blends containing more than program addressed the use of blends in excluded from the definition of VOC 0.15% d-limonene are not addressed by foam blowing applications. EPA under Clean Air regulations addressing today’s decision. EPA previously found determined that notification was not the development of State HFC–125 acceptable in total flooding required for ‘‘use of blends or mixtures implementation plans (SIPs) to attain (January 29, 2002; 67 FR 4185). EPA of substitutes listed as acceptable under and maintain the national ambient air previously found the entire class of the SNAP program in open-celled or quality standards. 40 CFR 51.100(s). terpenes, including d-limonene, closed-cell or semi-rigid end uses’’ Flammability. Blends of HFC–245fa acceptable in solvent cleaning (March except in the following end-uses: and HCFC–22 are non-flammable. 18, 1994; 59 FR 13044). polyurethane rigid laminated Toxicity and exposure data. EPA Environmental information. Both of boardstock; polystyrene extruded anticipates that HFC–245fa will be used the components of NAF S–125 have an boardstock and billet foams; phenolic in such a manner so that any ozone depletion potential of zero. HFC– foams; and polyolefin foams. Therefore, recommendations specified in the 125 has a global warming potential use of HFC–245fa in blends with other manufacturers’ Material Safety Data (GWP) of 2800 and d-limonene has a substitutes that EPA has found Sheets (MSDSs) are followed. We also GWP of 10. These values are lower than acceptable 1 as HCFC replacements is expect that the workplace exposure the GWP of Halon 1301 (6900). currently acceptable in the following level will not exceed the American HFC–125 is excluded from the end uses: Industrial Hygiene Association’s (AIHA) definition of volatile organic compound (VOC) under Clean Air Act regulations • Rigid polyurethane appliance; workplace environmental exposure • Rigid polyurethane slabstock and limit (WEEL) of 300 ppm for HFC–245fa addressing the development of State other foams; or the American Conference of implementation plans (SIPs) to attain • Rigid polyurethane commercial Governmental Industrial Hygienists and maintain the national ambient air refrigeration and sandwich panels; (ACGIH) Threshold Limit Value (TLV) quality standards. 40 CFR 51.100(s). d- • Polyurethane integral skin foam. of 1000 ppm for HCFC–22. limonene is used as a solvent in cleaning solutions and has a variety of Approval of an HFC–245fa blend in any The blend of HFC–245fa and HCFC– uses. d-limonene is a VOC. Given that other end-use would require formal 22 has moderate to low toxicity. EPA d-limonene exists at higher percentages determination by EPA. Blends of HFC– expects that these blends will be used in commonly used cleaners and 245fa and other substitutes EPA has in a manner such that occupational polishes than it does in NAF S–125, the found acceptable as replacements for exposure to any component of the blend effects of fire extinguishers containing HCFCs are subject to the same does not exceed the WEEL for that d-limonene upon the environment and conditions that apply to the individual chemical. the general population are expected to substitutes (e.g., flammable blowing Comparison to other foam blowing agents. HFC–245fa has a lower ODP be minimal. agents in spray foam require EPA Flammability. Although d-limonene is than HCFC–141b, the ODS it replaces; approval and safety training). For more flammable, the blend is non-flammable. information on HFC–245fa and its thus, blends of HFC–245fa and HCFC– Toxicity and exposure data. As with blends refer to the original listing (64 FR 22 reduces risk overall compared to the other fire suppressants, EPA 68041, December 6, 1999) and the ODS blends they replace. Blends of recommends that you minimize information below for blends of HFC– HFC–245fa and HCFC–22 have exposure to this agent. If personnel are 245fa and HCFC–22. comparable or lower GWP than HCFC– exposed to the agent, they should exit 141b and other approved substitutes for 3. Blends of HFC–245fa and HCFC–22 the area within five minutes or less. HCFC–141b. Blends of HFC–245fa and EPA recommends that unnecessary EPA’s decision. Blends of HFC–245fa HCFC–22 are non-flammable. Blends of exposure to fire suppression agents and and HCFC–22 are acceptable substitutes HFC–245fa and HCFC–22 exhibit their decomposition products be for blends of HCFC–141b and HCFC–22, moderate to low toxicity and guidance avoided and that personnel exposure be where the HFC–245fa replaces the is available from the AIHA and the limited to no more than 5 minutes. HCFC–141b in: ACGIH on their use in the workplace. In order to keep exposure levels as • Rigid polyurethane and Thus, we find that blends of HFC–245fa low as possible, EPA recommends the polysocyanurate laminated boardstock; and HCFC–22 are acceptable because following for establishments installing • Rigid polyurethane appliance; they reduce overall risk to public health and maintaining total flooding systems: • Rigid polyurethane slabstock and and the environment in the end uses —Put adequate ventilation in place. If other foams; listed. • Rigid polyurethane commercial ventilation is suspected to be refrigeration and sandwich panels; D. Fire Suppression and Explosion inadequate, self-contained breathing • Phenolic insulation board and Protection apparatus (SCBA) should be available; —Wear proper personal protection bunstock; 1. HFC–125 with 0.15% d-limonene equipment (impervious butyl gloves, (NAF S–125) 1 By acceptable, in this case we mean acceptable, eye protection, chemical resistant acceptable subject to use conditions, or acceptable EPA’s decision. NAF S–125 is aprons, long sleeves, and safety subject to use limits. acceptable for use as a substitute for shoes);

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—Clean up all spills immediately in • Rulemaking—Section 612(c) • Foam blowing; accordance with good industrial requires EPA to promulgate rules • Solvents cleaning; hygiene practices; and making it unlawful to replace any class • Fire suppression and explosion —Provide training for safe handling I (chlorofluorocarbon, halon, carbon protection; procedures to all employees that tetrachloride, methyl choloroform, and • would be likely to handle the hydrobromofluorocarbon) or class II Sterilants; containers of NAF S 125 or (hydrochlorofluorocarbon) substance • Aerosols; extinguishing units filled with the with any substitute that the • Adhesives, coatings and inks; and material. Administrator determines may present • Tobacco expansion. Use of this agent should conform with adverse effects to human health or the These sectors compose the principal relevant Occupational Safety and Health environment where the Administrator industrial sectors that historically Administration (OSHA) requirements, has identified an alternative that (1) consumed the largest volumes of ozone- including 29 CFR part 1910, subpart L, reduces the overall risk to human health depleting compounds. § 1910.160 for fixed fire extinguishing and the environment, and (2) is systems, § 1910.162 for gaseous agents currently or potentially available. As described in this original rule for and § 1910.165 for predischarge • Listing of Unacceptable/Acceptable the SNAP program, EPA does not employee alarms. Per OSHA Substitutes—Section 612(c) also believe that rulemaking procedures are requirements, protective gear (self- requires EPA to publish a list of the required to list alternatives as contained breathing apparatus) should substitutes unacceptable for specific acceptable with no limitations. Such be available in the event that personnel uses. EPA must publish a corresponding listings do not impose any sanction, nor reenter the area. In addition, also list of acceptable alternatives for do they remove any prior license to use observe the guidelines in the National specific uses. a substance. Therefore, by this notice we Fire Protection Association (NFPA) • Petition Process—Section 612(d) are adding substances to the list of 2001 standard for use of Clean Agent grants the right to any person to petition acceptable alternatives without first Fire Extinguishing Systems for use of EPA to add a substance to or delete a requesting comment on new listings. HFC–125. substance from the lists published in However, we do believe that notice- Comparison to other fire accordance with section 612(c). The and-comment rulemaking is required to suppressants. NAF S–125 has no ODP; Agency has 90 days to grant or deny a place any substance on the list of thus, it reduces risk overall compared to petition. Where the Agency grants the prohibited substitutes, to list a halon 1301, the ODS it replaces. EPA petition, it must publish the revised lists substance as acceptable only under has already found acceptable HFC–125, within an additional six months. • certain conditions, to list substances as the main ingredient in NAF S–125. NAF 90-day Notification—Section 612(e) acceptable only for certain uses, or to S–125 has a GWP comparable with that directs EPA to require any person who remove a substance from the lists of of many other acceptable substitutes for produces a chemical substitute for a prohibited or acceptable substitutes. We halon 1301. Thus, we find that NAF S– class I substance to notify the Agency publish updates to these lists as separate 125 is acceptable because it does not not less than 90 days before new or notices of rulemaking in the Federal present a greater risk to public health existing chemicals are introduced into Register. and the environment in the end use interstate commerce for significant new uses as substitutes for a class I The Agency defines a ‘‘substitute’’ as listed than other substitutes that are any chemical, product substitute, or available. substance. The producer must also provide the Agency with the producer’s alternative manufacturing process, E. Aerosols unpublished health and safety studies whether existing or new, intended for use as a replacement for a class I or class 1. HFE–7000 on such substitutes. • Outreach—Section 612(b)(1) states II substance. Anyone who produces a HFE–7000 is acceptable for use as a that the Administrator shall seek to substitute must provide EPA with substitute for methyl chloroform, CFC– maximize the use of federal research health and safety studies on the 113, and HCFC–141b in the aerosol facilities and resources to assist users of substitute at least 90 days before solvent end use. For further information class I and II substances in identifying introducing it into interstate commerce about HFE–7000, see above in section and developing alternatives to the use of for significant new use as an alternative. B.1 on solvent cleaning. such substances in key commercial This requirement applies to substitute Comparison to other aerosol solvents. applications. manufacturers, but may include HFE–7000 is not an ozone depleter; • Clearinghouse—Section 612(b)(4) importers, formulators, or end-users, thus, in the aerosol solvent end use, it requires the Agency to set up a public when they are responsible for reduces risk overall compared to methyl clearinghouse of alternative chemicals, introducing a substitute into commerce. chloroform, CFC–113, and HCFC–141b, product substitutes, and alternative You can find a complete chronology the ODSs it replaces. The GWP and manufacturing processes that are of SNAP decisions and the appropriate atmospheric lifetime of HFE–7000 are available for products and Federal Register citations from the lower than those of a number of other manufacturing processes which use SNAP section of EPA’s Ozone Depletion acceptable alternatives that are aerosol class I and II substances. World Wide Web site at www.epa.gov/ solvents. ozone/snap/chron.html. This B. Regulatory History II. Section 612 Program information is also available from the On March 18, 1994, EPA published Air Docket (see ADDRESSES section A. Statutory Requirements the final rulemaking (59 FR 13044) above for contact information). which described the process for Section 612 of the Clean Air Act Dated: August 7, 2003. authorizes EPA to develop a program for administering the SNAP program. In the Brian J. McLean, evaluating alternatives to ozone- same notice, we issued the first depleting substances. We refer to this acceptability lists for substitutes in the Director, Office of Atmospheric Programs, Office of Air and Radiation. program as the Significant New major industrial use sectors. These Alternatives Policy (SNAP) program. sectors include: Appendix A: Summary of Acceptable The major provisions of section 612 are: • Refrigeration and air conditioning; Decisions

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End-Use Substitute Decision Further information

Refrigeration and Air Conditioning

Industrial process refrigeration (retrofit and RS–44 as a substitute for HCFC– Acceptable. new). 22. R–407C as a substitute for R–502 Acceptable.

Industrial process air conditioning (retrofit RS–44 as a substitute for HCFC– Acceptable. and new). 22. R–407C as a substitute for R–502 Acceptable

Ice skating rinks (retrofit and new) ...... RS–44 as a substitute for HCFC– Acceptable. 22. R–407C as a substitute for R–502 Acceptable.

Cold storage warehouses (retrofit and new) RS–44 as a substitute for HCFC– Acceptable. 22. R–407C as a substitute for R–502 Acceptable.

Refrigerated transport (retrofit and new) ..... RS–44 as a substitute for HCFC– Acceptable. 22. R–407C as a substitute for R–502 Acceptable.

Retail food refrigeration (retrofit and new) .. RS–44 as a substitute for HCFC– Acceptable. 22. R–407C as a substitute for R–502 Acceptable.

Vending machines (retrofit and new) ...... R–407C as a substitute for R–502 Acceptable.

Water coolers (retrofit and new) ...... R–407C as a substitute for R–502 Acceptable.

Commercial ice machines (retrofit and RS–44 as a substitute for HCFC– Acceptable. new). 22. R–407C as a substitute for R–502 Acceptable.

Household refrigerators and freezers (ret- RS–44 as a substitute for HCFC– Acceptable. rofit and new). 22. R–407C as a substitute for R–502 Acceptable.

Centrifugal chillers (retrofit and new) ...... RS–44 as a substitute for HCFC– Acceptable. 22.

Reciprocating chillers (retrofit and new) ..... RS–44 as a substitute for HCFC– Acceptable. 22. R–407C as a substitute for R–502 Acceptable.

Screw chillers (retrofit and new) ...... RS–44 as a substitute for HCFC– Acceptable. 22. R–407C as a substitute for R–502 Acceptable.

Very low temperature refrigeration (retrofit ISCEON 89 as a substitute for R– Acceptable. and new). 13B1.

Non-mechanical heat transfer systems (ret- R–407C as a substitute for R–502 Acceptable. rofit and new).

Household and light commercial air condi- RS–44 as a substitute for HCFC– Acceptable. tioning (retrofit and new). 22. R–407C as a substitute for R–502 Acceptable.

Residential dehumidifiers (retrofit and new) RS–44 as a substitute for HCFC– Acceptable. 22. R–407C as a substitute for R–502 Acceptable.

Solvent Cleaning

Precision cleaning...... HFE–7000 as a substitute for Acceptable ...... EPA expects that the workplace environ- CFC–113, methyl chloroform, mental exposure will not exceed the and HCFC–141b. workplace exposure limit of 75 ppm and that users will observe the manufactur- er’s recommendations in MSDSs.

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End-Use Substitute Decision Further information

Electronics cleaning ...... HFE–7000 as a substitute for Acceptable ...... EPA expects that the workplace environ- CFC–113, methyl chloroform, mental exposure will not exceed the and HCFC–141b. workplace exposure limit of 75 ppm and that users will observe the manufactur- er’s recommendations in MSDSs.

Foam Blowing

Rigid polyurethane and polyisocyanurate Ecomate as a substitute for CFCs Acceptable. laminated boardstock. and HCFCs. HFC–245fa as a substitute for Acceptable. HCFCs. Blends of HFC–245fa and HCFC– Acceptable. 22 as a substitute for blends of HCFC–141b and HCFC–22.

Rigid polyurethane appliance foam ...... Ecomate as a substitute for CFCs Acceptable. and HCFCs. HFC–245fa as a substitute for Acceptable. HCFCs. Blends of HFC–245fa and HCFC– Acceptable. 22 as a substitute for blends of HCFC–141b and HCFC–22.

Rigid polyurethane slabstock and other Ecomate as a substitute for CFCs Acceptable. foams. and HCFCs. HFC–245fa as a substitute for Acceptable. HCFCs. Blends of HFC–245fa and HCFC– Acceptable. 22 as a substitute for blends of HCFC–141b and HCFC–22.

Rigid polyurethane commercial refrigeration Ecomate as a substitute for CFCs Acceptable. and sandwich panels. and HCFCs. HCF–245fa as a substitute for Acceptable. HCFCs. Blends of HFC–245fa and HCFC– Acceptable. 22 as a substitute blends of HCFC–141b and HCFC–22.

Polyurethane integral skin foam ...... Ecomate as a substitute for CFCs Acceptable. and HCFCs. HFC–245fa as a substitute for Acceptable. HCFCs. Blends of HFC–245fa and HCFC– Acceptable. 22 as a substitute for blends of HCFC–141b and HCFC–22.

Phenolic insulation board and bunstock ..... HFC–245fa as a substitute for Acceptable. HCFCs. Blends of HFC–245fa and HCFC– Acceptable. 22 as a substitute for blends of HCFC–141b and HCFC–22.

Polyolefin ...... HFC–245fa as a substitute for Acceptable. HCFCs. Blends for HFC–245fa and Acceptable. HCFC–22 as a substitute for blends of HCFC–141b and HCFC–22.

Fire Suppression and Explosion Protection

Total flooding ...... NAF S–125 as a substitute for Acceptable ...... Use of the agent should be in accordance Halon 1301. with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire Extinguishing Systems. Extinguisher bottles should be clearly la- beled with the potential hazards associ- ated with the use of HFC–125 and d-lim- onene, as well as handling procedures to reduce risk resulting from these haz- ards.

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End-Use Substitute Decision Further information

See additional notes 1, 2, 3, 4, 5.

Aerosols

Aerosol solvents ...... HFE–7000 as a substitute for Acceptable ...... EPA expects that the workplace environ- CFC–113, methyl chloroform, mental exposure will not exceed the and HCFC–141b. workplace exposure limit of 75 ppm and that users will observe the manufactur- er’s recommendations in MSDSs. Additional notes: 1—Should conform with relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160, 1910.161 (dry chemicals and aerosols) and 1910.162 (gaseous agents). 2—Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the area. 3—Discharge testing should be strictly limited to that which is essential to meet safety or performance requirements. 4—The agent should be recovered from the fire protection system in conjunction with testing or servicing, and recycled for later use or de- stroyed. 5—EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective equipment (e.g., respiratory pro- tection), fire protection, hazard communication, worker training or any other occupational safety and health standard with respect to halon substitutes.

[FR Doc. 03–21425 Filed 8–20–03; 8:45 am] DATES: All interested parties may FOR FURTHER INFORMATION CONTACT: Jose´ BILLING CODE 6560–50–P request a public hearing. A request for G. Rodriguez, EPA Region 6, Drinking a public hearing must be submitted by Water Section at the Dallas address September 22, 2003 to the Regional given above or at telephone (214) 665– ENVIRONMENTAL PROTECTION Administrator at the EPA Region 6 8087. AGENCY address shown below. Frivolous or Authority: (Section 1413 of the Safe insubstantial requests for a hearing may Drinking Water Act, as amended (1996), and [FRL–7547–1] be denied by the Regional 40 CFR part 142 of the National Primary Administrator. However, if a substantial Drinking Water Regulations) Public Water System Supervision request for a public hearing is made by Dated: August 14, 2003. Program Revision for the State of September 22, 2003, a public hearing Lawrence Starfield, Arkansas will be held. If no timely and Acting Regional Administrator, Region 6. AGENCY: Environmental Protection appropriate request for a hearing is [FR Doc. 03–21426 Filed 8–20–03; 8:45 am] received and the Regional Administrator Agency (EPA). BILLING CODE 6560–50–P does not elect to hold a hearing on his ACTION: Notice of tentative approval. own motion, this determination shall SUMMARY: Notice is hereby given that become final and effective on September FEDERAL ELECTION COMMISSION the State of Arkansas is revising its 22, 2003. Any request for a public approved Public Water System hearing shall include the following Sunshine Act Notices information: The name, address, and Supervision Program. Arkansas has AGENCY: Federal Election Commission. adopted the Lead and Copper Rule telephone number of the individual, organization, or other entity requesting Previously Announced Date & Time: Minor Revisions to provide monitoring Tuesday, August 25, 2003, 10 a.m., relief for public water systems and a hearing; a brief statement of the requesting person’s interest in the Meeting Closed to the Public. This clarify some corrosion control treatment Meeting Was Rescheduled to Regional Administrator’s determination requirements, Variance and Exemptions Wednesday, August 27, 2003. Rule to maintain the authority to issue and a brief statement of the information DATE AND TIME: Wednesday, August 27, variances and exemptions especially that the requesting person intends to 2003 at 10 a.m. small system variances, Public submit at such hearing; and the Notification Rule to provide more signature of the individual making the PLACE: 999 E Street, NW., Washington, timely notice for violations that pose an request, or, if the request is made on DC. acute risk to public health, behalf of an organization or other entity, STATUS: This meeting will be closed to Radionuclides Rule to standardize the the signature of a responsible official of the public. monitoring of radiological contaminants the organization or other entity. ITEMS TO BE DISCUSSED: and establish a maximum contaminant Compliance matters pursuant to 2 ADDRESSES: All documents relating to level (MCL) for uranium, the Arsenic U.S.C. 437g. this determination are available for Rule to provide for better public health Audits conducted pursuant to 2 inspection between the hours of 8 a.m. protection by lowering the MCL for U.S.C. 437g, 438(b), and Title 26, U.S.C. and 4:30 p.m., Monday through Friday, arsenic and the Filter Backwash Matters concerning participation in at the following offices: Recycling Rule to require water systems civil actions or proceedings or to institute changes to return recycle Arkansas Department of Health, arbitration. flow to a plant’s treatment process that Division of Engineering—Slot #37, 4815 Internal personnel rules and may otherwise compromise microbial West Markham, Little Rock, Arkansas procedures or matters affecting a control. EPA has determined that these 72205 and United States Environmental particular employee. revisions are no less stringent than the Protection Agency, Region 6, Drinking DATE AND TIME: Thursday, August 28, corresponding Federal regulations. Water Section (6WQ–SD), 1445 Ross 2003 at 10 a.m. Therefore, EPA intends to approve these Avenue, Suite 1200, Dallas, Texas PLACE: 999 E Street, NW., Washington, program revisions. 75202. DC (Ninth Floor).

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STATUS: This meeting will be open to the Trust, all of Jacksonville, Arkansas, have Governors not later than September 15, public. applied to retain control of Bancshares. 2003. ITEMS TO BE DISCUSSED: B. Federal Reserve Bank of A. Federal Reserve Bank of Atlanta Correction and Approval of Minutes. Minneapolis (Richard M. Todd, Vice (Sue Costello, Vice President) 1000 Draft Advisory Opinion 2003–20: U.S. President and Community Affairs Peachtree Street, NE., Atlanta, Georgia Representative Silvestre Reyes by J. Officer) 90 Hennepin Avenue, 30303: Fernando Barrueta, Hispanic College Minneapolis, Minnesota 55480-0291: 1. Freedom Bancshares, Inc., Fund, Inc. 1. Gale Mark Hoese, David Kurt Commerce, Georgia; to become a bank Draft Advisory Opinion 2003–22: Hoese, and Terry Clayton Hoese, all of holding company by acquiring 100 American Bankers Association and ABA Glencoe, Minnesota, and Todd Curtis percent of the voting shares of Freedom BankPAC, by counsel Kenneth A. Gross Hoese, Waconia, Minnesota; to acquire Bank of Georgia, Commerce, Georgia. and Ki P. Hong. control of Commercial Bancshares, Inc., 2. RB Bancorporation, Athens, Notice of Proposed Rulemaking on Bloomington, Minnesota, and thereby Alabama; to become a bank holding Mailing Lists. indirectly acquire control of First company by acquiring 100 percent of Notice of Proposed Rulemaking on Commercial Bank, Bloomington, the voting shares of Reliance Bank, Telephone Banks. Minnesota. Athens, Alabama. Routine Administrative Matters. Board of Governors of the Federal Reserve Board of Governors of the Federal Reserve FOR FURTHER INFORMATION CONTACT: Mr. System, August 15, 2003. System, August 15, 2003. Ron Harris, Press Officer, Telephone: Robert deV. Frierson, Robert deV. Frierson, (202) 694–1220. Deputy Secretary of the Board. Deputy Secretary of the Board. Mary W. Dove, [FR Doc. 03–21394 Filed 8–20–03; 8:45 am] [FR Doc. 03–21393 Filed 8–20–03; 8:45 am] BILLING CODE 6210–01–S Secretary of the Commission. BILLING CODE 6210–01–S [FR Doc. 03–21533 Filed 8–19–03; 11:25 am] BILLING CODE 6715–01–M FEDERAL RESERVE SYSTEM DEPARTMENT OF HEALTH AND Formations of, Acquisitions by, and HUMAN SERVICES FEDERAL RESERVE SYSTEM Mergers of Bank Holding Companies Food and Drug Administration Change in Bank Control Notices; The companies listed in this notice Acquisition of Shares of Bank or Bank have applied to the Board for approval, [Docket No. 2003F–0370] Holding Companies pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) Unilever United States, Inc.; Filing of The notificants listed below have (BHC Act), Regulation Y (12 CFR part Food Additive Petition applied under the Change in Bank 225), and all other applicable statutes AGENCY: Food and Drug Administration, Control Act (12 U.S.C. 1817(j)) and and regulations to become a bank HHS. § 225.41 of the Board’s Regulation Y (12 holding company and/or to acquire the CFR 225.41) to acquire a bank or bank assets or the ownership of, control of, or ACTION: Notice. holding company. The factors that are the power to vote shares of a bank or SUMMARY: The Food and Drug considered in acting on the notices are bank holding company and all of the Administration (FDA) is announcing set forth in paragraph 7 of the Act (12 banks and nonbanking companies that Unilever United States, Inc., has U.S.C. 1817(j)(7)). owned by the bank holding company, filed a petition proposing that the food The notices are available for including the companies listed below. additive regulations be amended to immediate inspection at the Federal The applications listed below, as well provide for the safe use of vitamin D as Reserve Bank indicated. The notices as other related filings required by the 3 a nutrient supplement in certain foods also will be available for inspection at Board, are available for immediate for special dietary use, such as meal the office of the Board of Governors. inspection at the Federal Reserve Bank replacement products and snack Interested persons may express their indicated. The application also will be replacement products. views in writing to the Reserve Bank available for inspection at the offices of indicated for that notice or to the offices the Board of Governors. Interested FOR FURTHER INFORMATION CONTACT: of the Board of Governors. Comments persons may express their views in Judith L. Kidwell, Center for Food must be received not later than writing on the standards enumerated in Safety and Applied Nutrition (HFS– September 4, 2003. the BHC Act (12 U.S.C. 1842(c)). If the 265), Food and Drug Administration, A. Federal Reserve Bank of St. Louis proposal also involves the acquisition of 5100 Paint Branch Pkwy., College Park, (Randall C. Sumner, Vice President) 411 a nonbanking company, the review also MD 20740–3835, 202–418–3354. Locust Street, St. Louis, Missouri 63166- includes whether the acquisition of the SUPPLEMENTARY INFORMATION: Under the 2034: nonbanking company complies with the Federal Food, Drug, and Cosmetic Act 1. The Mike Wilson Descendents’ standards in section 4 of the BHC Act (sec. 409(b)(5) (21 U.S.C. 348(b)(5))), Trust, Jacksonville, Arkansas, to (12 U.S.C. 1843). Unless otherwise notice is given that a food additive increase its control of First Arkansas noted, nonbanking activities will be petition (FAP No. 3A4746) has been Bancshares, Inc., Jacksonville, Arkansas conducted throughout the United States. filed by Unilever United States, Inc., (‘‘Bancshares’’). In addition, Larry T. Additional information on all bank 390 Park Ave., New York, NY 10022– Wilson, Michael K. Wilson, Kathryn W. holding companies may be obtained 4698. The petition proposes to amend Roberts, the Kenneth Pat Wilson Annual from the National Information Center the food additive regulations in Gift Trust, the Larry Timothy Wilson website at http://www.ffiec.gov/nic. § 172.380 Vitamin D3 (21 CFR 172.380) Annual Gift Trust, the Kathryn Patricia Unless otherwise noted, comments to provide for the safe use of vitamin D3 Wilson Roberts Annual Gift Trust, the regarding each of these applications in certain foods for special dietary use, Michael K. Wilson Annual Gift Trust, must be received at the Reserve Bank such as meal replacement products and and The Mike Wilson Descendents’ indicated or the offices of the Board of snack replacement products.

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The agency has determined under 21 enacted section 340B of the Public manufacturer must then submit an audit CFR 25.32(k) that this action is of a type Health Service Act (PHS Act), work plan describing the audit and that does not individually or ‘‘Limitation on Prices of Drugs evidence in support of the reasonable cumulatively have a significant effect on Purchased by Covered Entities.’’ Section cause standard to the HRSA PAB for the human environment. Therefore, 340B provides that a manufacturer who review. The office will review the neither an environmental assessment sells covered outpatient drugs to eligible documentation to determine if nor an environmental impact statement entities must sign a pharmaceutical reasonable cause exist. Once the audit is is required. pricing agreement with the Secretary of completed, the manufacturer will Dated: August 1, 2003. Health and Human Services in which submit copies of the audit report to the Laura M. Tarantino, the manufacturer agrees to charge a HRSA PAB for review and resolution of Acting Director, Office of Food Additive price for covered outpatient drugs that the findings, as appropriate. The Safety, Center for Food Safety and Applied will not exceed an amount determined manufacturer will also submit an Nutrition. under a statutory formula. informational copy of the audit report to [FR Doc. 03–21396 Filed 8–20–03; 8:45 am] Covered entities which choose to the HHS Office of Inspector General. participate in the section 340B drug BILLING CODE 4160–01–S Dispute resolution guidelines: discount program must comply with the Because of the potential for disputes requirements of section 340B(a)(5) of the involving covered entities and PHS Act. Section 340B(a)(5)(A) DEPARTMENT OF HEALTH AND participating drug manufacturers, the HUMAN SERVICES prohibits a covered entity from accepting a discount for a drug that HRSA PAB has developed an informal Health Resources and Services would also generate a Medicaid rebate. dispute resolution process which can be Administration Further, section 340B(a)(5)(B) prohibits used if an entity or manufacturer is a covered entity from reselling or believed to be in violation of section Agency Information Collection otherwise transferring a discounted drug 340B. Prior to filing a request for Activities: Submission for OMB to a person who is not a patient of the resolution of a dispute with the HRSA Review; Comment Request entity. PAB, the parties must attempt, in good In response to the statutory mandate faith, to resolve the dispute. All parties Periodically, the Health Resources involved in the dispute must maintain and Services Administration (HRSA) of section 340B(a)(5)(C) to develop audit guidelines and because of the potential written documentation as evidence of a publishes abstracts of information good faith attempt to resolve the collection requests under review by the for disputes involving covered entities and participating drug manufacturers, dispute. If the dispute is not resolved Office of Management and Budget, in and dispute resolution is desired, a compliance with the Paperwork the HRSA Pharmacy Affairs Branch (PAB) has developed a dispute party must submit a written request for Reduction Act of 1995 (44 U.S.C. a review of the dispute to the HRSA chapter 35). To request a copy of the resolution process for manufacturers and covered entities as well as PAB. A committee appointed to review clearance requests submitted to OMB for the documentation will send a letter to review, call the HRSA Reports manufacturer guidelines for audit of covered entities. the party alleged to have committed a Clearance Office on (301)–443–1129. violation. The party will be asked to The following request has been Audit guidelines: A manufacturer will provide a response to or a rebuttal of the submitted to the Office of Management be permitted to conduct an audit only allegations. and Budget for review under the when there is reasonable cause to Paperwork Reduction Act of 1995: believe a violation of section To date, there have been no requests 340B(a)(5)(A) or (B) has occurred. The for audits, but two disputes have Proposed Project: Drug Pricing Program manufacturer must notify the covered reached the level where a committee Reporting Requirements (OMB No. entity in writing when it believes the review may be needed. As a result, the 0915–0176)—Revision covered entity has violated the estimates of annualized hour burden for Section 602 of Pub. L. 102–585, the provisions of section 340B. If the audits and disputes have been reduced Veterans Health Care Act of 1992, problem cannot be resolved, the to the level shown in the table below.

Responses Reporting Requirement No. of Re- per Respond- Total Re- Hours/Re- Total Burden spondents ent sponses sponse Hours

AUDITS

Audit Notification of Entity 1 ...... 2 1 2 4 8

Audit Workplan 1 ...... 1 1 1 8 8 Audit Report 1 ...... 1 1 1 1 1 Entity Response ...... 0 0 0 0 0

DISPUTE RESOLUTION

Mediation Request ...... 2 4 8 10 80 Rebuttal ...... 2 1 2 16 32

TOTAL ...... 8 1.8 14 9.2 129 1 Prepared by the manufacturer

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No. of record- Hours of rec- Recordkeeping requirement keepers ordkeeping Total burden

Dispute records ...... 10 15 5

The total burden is 134 hours. Administration (HRSA) Advisory the Ryan White CARE Act of 1990, as Written comments and Committee on HIV and STD Prevention amended by the Ryan White CARE Act recommendations concerning the and Treatment established the Ryan Amendment of 1996 and 2000 (Pub. L. proposed information collection should White Comprehensive AIDS Resources 104–146 and Pub. L. 106–345). Written be sent within 30 days of this notice to: Emergency (CARE) Act Reauthorization comments should be limited to no more Allison Eydt, Human Resources and Workgroup. The workgroup is seeking than 10 single-spaced pages (or 20 Housing Branch, Office of Management public input about future HIV/AIDS double-spaced, excluding addendum or and Budget, New Executive Office care program directions including issues supplemental materials) and should Building, Room 10235, Washington, DC related to the third reauthorization of contain the name, address, telephone 20503 Fax Number 202–395–6974. the Ryan White CARE Act. The CDC/ and fax numbers, and any Dated: August 15, 2003. HRSA Advisory Committee on HIV and organizational affiliation of the persons Jon L. Nelson, STD Prevention and Treatment will requesting to provide a written subsequently submit a set of formal Associate Administrator for Management and statement. All requests for making oral recommendations relating to future Program Support. comments will be honored at the program directions and reauthorization [FR Doc. 03–21399 Filed 8–20–03; 8:45 am] issues to the HRSA Administrator. meetings on September 12, September BILLING CODE 4165–15–P 25, and October 3. Depending on the DATES: Three public meetings will be number of requests to present oral held on September 12, 2003, September comments, it may be necessary to limit 25, 2003, and October 3, 2003, from 9:30 DEPARTMENT OF HEALTH AND the length of time for each presenter. We HUMAN SERVICES a.m. to 3:30 p.m. To be assured of consideration for this public session, are particularly interested in comments Health Resources and Services written comments should be which address the following questions: Administration postmarked no later than 12 days prior 1. Is the CARE Act structured to best to each meeting. provide Federal Emergency Assistance Advisory Committee on ADDRESSES: The September 12, 2003, for HIV treatment and care services? Interdisciplinary, Community-Based public meeting will be held at the Linkages; Notice of Meeting; 2. What in the CARE Act works for Marriott Wardman Park Hotel, 2660 Cancellation you and what does not? Woodley Road, NW., Washington, DC, 3. Does the CARE Act provide telephone (202) 328–2000; the In notice FR Doc. 03–20249, on page adequate resources to respond to your 47344 in the Federal Register of August September 25, 2003, public meeting will needs or those of your community? 8, 2003, the meeting scheduled for be held at the Miami Airport Marriott, September 7–9, 2003, is canceled. 1201 NW., LeJeune Road, Miami, 4. Does the CARE Act local planning process (e.g., needs assessment, priority Authority: Public Law 92–463. Florida, telephone (305) 649–5000; and the October 3, 2003, public meeting will setting, and allocation processes) ensure Dated: August 15, 2003. be held at the Hyatt Regency Los a fair and appropriate opportunity to Jane M. Harrison, Angeles, 711 South Hope Street, Los determine the HIV care and support Director, Division of Policy Review and Angeles, California, telephone (213) service needs of your community? Coordination. 683–1234. Written comments should be 5. What are the most significant HIV [FR Doc. 03–21397 Filed 8–20–03; 8:45 am] sent to the CDC/HRSA Advisory service gaps in your community? How BILLING CODE 4165–15–P Committee on HIV and STD Prevention can the CARE Act help fill them? and Treatment, c/o HRSA HIV/AIDS Bureau, Office of Policy and Program 6. What are the most significant DEPARTMENT OF HEALTH AND Development, Attention: Regina Tosca, barriers to access to services? How can HUMAN SERVICES Parklawn Building, Room 7–18, 5600 the CARE Act help overcome them? Fishers Lane, Rockville, Maryland 7. How can the CARE Act respond Health Resources and Services 20857. Administration more fully to the current and changing FOR FURTHER INFORMATION CONTACT: Ms. needs of people living with HIV? CDC/HRSA Advisory Committee on Shelley Gordon, Office of Policy and 8. What is the single most important HIV and STD Prevention and Treatment Program Development, HIV/AIDS thing you would change in the CARE Ryan White Comprehensive AIDS Bureau, Health Resources and Services Act and why? Resources Emergency (CARE) Act Administration, (301) 443–5400, fax Reauthorization Workgroup (301) 443–3323, or e-mail Authority: Pub. L. 92–463 (5 U.S.C., App. [email protected]. 2); 42 U.S.C. 217a, sec. 222 of the Public AGENCY: Health Resources and Services Health Service Act. Administration, HHS. SUPPLEMENTARY INFORMATION: The Dated: August 14, 2003. ACTION: Notice of public meetings and meetings will be open to the public, Elizabeth M. Duke, opportunity to provide written limited only by the space available. The comments. meeting rooms will accommodate Administrator. approximately 80 people. The purpose [FR Doc. 03–21398 Filed 8–20–03; 8:45 am] SUMMARY: On May 15, 2003, the Centers of the meetings is to obtain public input BILLING CODE 4165–15–P for Disease Control and Prevention into future program directions and (CDC)/Health Resources and Services issues related to the reauthorization of

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DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND Laboratories and Scientific Services, SECURITY SECURITY Customs and Border Protection, 1300 Pennsylvania Avenue NW., Suite 1500 Bureau of Customs and Border Bureau of Customs and Border North, Washington, DC 20229, (202) Protection Protection 927–1060. [CBP Decision 03–19] Dated: July 15, 2003. [CBP Decision 03–20] Donald A. Cousins, Customs Accreditation of BSI Acting Executive Director, Laboratories and Customs Approval of BSI Inspectorate Inspectorate America Corporation as a Scientific Services. America Corporation as a Commercial Commercial Laboratory [FR Doc. 03–21466 Filed 8–20–03; 8:45 am] Gauger AGENCY: Customs and Border Protection, BILLING CODE 4820–02–P AGENCY: Customs and Border Protection, Department of Homeland Security. ACTION: Department of Homeland Security. Notice of Accreditation of BSI DEPARTMENT OF HOUSING AND Inspectorate America Corporation of URBAN DEVELOPMENT ACTION: Notice of Approval of BSI Tallaboa-Penuelas, Puerto Rico, as a Inspectorate America Corporation of Commercial Laboratory. [Docket No. FR–4834–C–02] Tallaboa-Penuelas, Puerto Rico, as a Commercial Gauger. SUMMARY: BSI Inspectorate America Notice of Funding Availability (NOFA) Corporation of Tallaboa-Penuelas, for the Community Development Block SUMMARY: BSI Inspectorate America Puerto Rico has applied to Customs and Grant Program for Indian Tribes and Corporation of Tallaboa-Penuelas, Border Protection under Part 151.12 of Alaska Native Villages, Fiscal Year Puerto Rico has applied to Customs and the Customs Regulations for 2003; Correction accreditation as a commercial laboratory Border Protection under Part 151.13 of AGENCY: Office of the Assistant the Customs Regulations for approval as to analyze petroleum products under Secretary for Public and Indian a commercial gauger to gauge petroleum Chapter 27 and Chapter 29 of the Housing, HUD. Harmonized Tariff Schedule of the products, animal and vegetable oils, and ACTION: Notice of Funding Availability United States (HTSUS). Customs has organic compounds. Customs has for the Community Development Block determined that this company meets all determined that this company meets all Grant Program for Indian Tribes and of the requirements for accreditation as Alaska Native Villages, Fiscal Year of the requirements for approval as a a commercial laboratory. Specifically, 2003; Correction. commercial gauger. Specifically, BSI BSI Inspectorate America Corporation Inspectorate America Corporation has has been granted accreditation to SUMMARY: On July 16, 2003, HUD been granted approval to gauge perform the following test methods at published the Notice of Funding petroleum product under Chapter 27 their Tallaboa-Penuelas, Puerto Rico Availability (NOFA) for the Community and Chapter 29, animal and vegetable site: (1) Distillation of Petroleum Development Block Grant Program for oils under Chapter 15 and organic Products, ASTM D86; (2) Flash-Point by Indian Tribes and Alaska Native compounds under Chapter 29 of the Pensky Martens Closed Cup Tester, Villages Fiscal Year 2003. This Harmonized Tariff Schedule of the ASTM D93; (3) Water in Petroleum document makes several technical United States (HTSUS). Therefore, in Products and Bituminous Materials by corrections to the NOFA. accordance with Part 151.13 of the Distillation, ASTM D95; (4) API Gravity FOR FURTHER INFORMATION CONTACT: Customs Regulations, BSI Inspectorate by Hydrometer, ASTM D287; (5) Jacqueline Kruszek, Office of Public and America Corporation of Tallaboa- Kinematic Viscosity of Transparent and Indian Housing, Denver Regional Office, Penuelas, Puerto Rico, is hereby Opaque Liquids, ASTM D445; (6) Department of Housing and Urban approved to gauge the products named Sediment in Crude Oils and Fuel Oils Development, 633 17th Street, Denver, above. by Extraction, ASTM D473; (7) Density, CO, 80202–3607, telephone (303) 675– Relative Density (Specific Gravity), or Location: BSI Inspectorate America 1600 (this is not a toll-free number). API Gravity of Crude Petroleum and Corporation accredited site is located at: Persons with hearing and/or speech Liquid Petroleum Products by challenges may access the above Bo. Encarnacion Road 127 Km 19.1, Hydrometer Method, ASTM D1298; (8) Tallaboa-Penuelas, Puerto Rico 00624. telephone number via TTY (text Water in Crude Oil by Distillation, telephone) by calling the toll-free EFFECTIVE DATE: July 17, 2003. ASTM D4006; (9) Percent by Weight of Federal Information Relay Service at 1– Sulfur by Energy-Dispersive X-Ray 800–877–8339. FOR FURTHER INFORMATION CONTACT: Fluorescence, ASTM D4294; and (10) Arlene Faustermann, Science Officer, SUPPLEMENTARY INFORMATION: On July Vapor Pressure of Petroleum Products, 16, 2003, HUD published the Notice of Laboratories and Scientific Services, ASTM D5191. Therefore, in accordance Customs and Border Protection, 1300 Funding Availability (NOFA) for the with Part 151.12 of the Customs Community Development Block Grant Pennsylvania Avenue NW., Suite 1500 Regulations, BSI Inspectorate America North, Washington, DC 20229, (202) Program for Indian Tribes and Alaska Corporation of Tallaboa-Penuelas, Native Villages, Fiscal Year 2003 (68 FR 927–1060. Puerto Rico is hereby accredited to 42190). Subsequent to publication, it Dated: July 17, 2003. analyze the products named above. was discovered that additional funds Location: BSI Inspectorate America Donald A. Cousins, were available but not stated in the Corporation accredited site is located at: Acting Executive Director, Laboratories and NOFA. This document makes clear the Bo. Encarnacion Road 127 Km 19.1, amount of funds available. In addition, Scientific Services. Tallaboa-Penuelas, Puerto Rico 00624. [FR Doc. 03–21465 Filed 8–20–03; 8:45 am] it was determined that paragraph EFFECTIVE DATE: July 15, 2003. numbers were inadvertently omitted BILLING CODE 4820–02–P FOR FURTHER INFORMATION CONTACT: from both Section VI. ‘‘Threshold Arlene Faustermann, Science Officer, Requirements’’ and under Rating Factor

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3 under the element labeled, ‘‘Public $70,538,500 and FY 2002 ICDBG carry- included in the application that adopts Facilities and Improvement Projects.’’ over of $7,899,850, less $4,000,000 the operation and maintenance plan and The labels are corrected in this retained to fund Imminent Threat commits the necessary funds to provide document. Further, it was determined, Grants, the allocations for FY 2003 are for these responsibilities. In addition, and is corrected in this document, that as follows: the operation and maintenance plan is under Rating Factor 1, zero points will included in the application and be awarded if an applicant has not Eastern/Woodland ...... $ 8,028,368 addresses maintenance, repairs, submitted either of the reports required Southern Plains ...... 14,911,565 Northern Plains ...... 11,210,433 insurance, and replacement reserves by Rating Factor 1 in a timely manner. Southwest ...... 29,066,801 and includes a cost breakdown for Also, it was ascertained that incorrect Northwest ...... 4,004,517 annual expenses. If an entity other than dollar values were listed under Rating Alaska ...... 7,216,666 the tribe commits to pay for operation Factor 2 in the NOFA, ‘‘Need/Extent of and maintenance for the public facilities the Problem,’’ and the dollar values are Total ...... $74,438,350 and improvements, a letter of corrected in this document. commitment from the entity is included Additionally, it was determined that 4. On page 42201, in the middle in the application that identifies the language in Rating Factor 2, in the column, the subsection heading, maintenance responsibilities and, if section entitled, ‘‘Public Facilities and ‘‘Project Specific Threshold applicable, responsibilities for Improvements and Economic Requirements’’ is corrected to read as operations the entity will assume as Development Projects,’’ needed follows, ‘‘(B) Project Specific Threshold well as the necessary funds to provide explanation. Therefore, a clarification is Requirements.’’ for these responsibilities. Submission of made by this document. In addition, a 5. On page 42204, paragraph (b), the operation and maintenance plan is correction is made in this document to beginning in the middle column and not required when an entity other than make clear that the title of form HUD– continuing to the third column, is the tribe assumes operation and 424 is ‘‘Application for Federal corrected by adding the following maintenance responsibilities. For Assistance.’’ This document also sentence prior to paragraph (c): ‘‘(0 community buildings only, a tribal clarifies that the Logic Model form may points) The applicant has not submitted resolution or letter of commitment is be used to address program evaluation either of the required reports in a timely included in the application that requirements under Rating Factor manner.’’ identifies the source of and commits the 1(1)(b) of this NOFA. Finally, it was 6. On page 42205, in the first column, necessary operating funds for any determined that the text under Rating paragraph (a) ‘‘Public Facilities and recreation, social or other services to be Factor 3 ‘‘Soundness of Approach’’, Improvements and Economic provided. In addition, letters of subsection entitled, ‘‘Public Facilities Development Projects’’ is corrected to commitment from service providers are and Improvement Projects’’ was read as follows: ‘‘The proposed included which address both operating confusing. The text of that subsection is activities benefit the neediest segment of expenses and space needs. clarified in this document. the population, as identified below. For Accordingly, the Notice of Funding economic development projects, you (10 points) If a tribe assumes Availability (NOFA) for the Community may consider beneficiaries of the project operation and maintenance Development Block Grant Program for as persons served by the project and/or responsibilities for public facilities and Indian Tribes and Alaska Villages, persons employed by the project, and improvements, a tribal resolution is Fiscal Year 2003, published in the jobs created or retained by the project.’’ included in the application that adopts Federal Register on July 16, 2003, (68 7. On page 42205, in the middle the operation and maintenance plan and FR 41290) is corrected as follows: column, the sixth paragraph is corrected commits the necessary funds to provide 1. On page 42190, in the first column, to read as follows: ‘‘This ratio is for these responsibilities. In addition, the paragraph entitled, ‘‘Available computed for each tribe and contained the operation and maintenance plan is Funds’’ is corrected to read as follows: in Appendix B of this NOFA. included in the application and ‘‘The FY 2003 appropriation for the (15 points) $400–$699 or the tribe’s addresses most of the above items ICDBG Program is $70,538,500. In total FY 2003 IHBG amount was (maintenance, repairs, insurance, addition, FY 2002 ICDBG carry-over of $100,000 or less and Appendix B of this replacement reserves) but does not $7,899,850 is available for distribution, NOFA does not indicate that the Indian include a satisfactory cost breakdown for a total of $78,438,350.’’ tribe has no AIAN households for annual expenses. If an entity other 2. On page 42195, in the middle experiencing income or housing than the tribe commits to pay for column under Section II. entitled, problems. operation and maintenance for the ‘‘Amount Allocated,’’ paragraph (A) (10 points) $700–1,199 public facilities and improvements, a ‘‘Available Funds’’ is corrected to read (5 points) $1,200–$1,999 letter of commitment identifying as follows: ‘‘The FY 2003 appropriation (0 points) The dollar amount for the maintenance responsibilities and, if for the ICDBG Program is $70,538,500. Indian tribe is $2,000 or higher, or applicable, responsibilities for In addition, FY 2002 ICDBG carry-over Appendix B of this NOFA indicates that operations the entity will assume, but of $7,899,850 is available for the Indian tribe has no AIAN no information committing the distribution, for a total of $78,438,350.’’ households experiencing income or necessary funds in included. 3. On page 42195, in the middle housing problems.’’ Submission of the operation and column, under Section II. entitled, 8. On page 42206, in the first column, maintenance plan is not required when ‘‘Amount Allocated,’’ paragraph (C) the subsection heading, ‘‘Public an entity other than the tribe assumes ‘‘Allocations to Area ONAPs’’ is Facilities and Improvement Projects’’ is operation and maintenance corrected to read as follows: ‘‘The corrected to read as follows: ‘‘(a) Public responsibilities. For community requirements for allocating funds to Facilities and Improvement Projects. buildings only, a tribal resolution or Area ONAPs responsible for program (15 points) If a tribe assumes letter of commitment is included in the administration are found at 24 CFR operation and maintenance application that identifies the source of 1003.101. Following these requirements, responsibilities for the public facilities and commits the necessary operating based on an appropriation of and improvements, a tribal resolution is funds for any recreation, social or other

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services to be provided. In addition, DEPARTMENT OF THE INTERIOR participation in the DEIS review letters of commitment from service process. providers are included which address Fish and Wildlife Service The DEIS evaluates alternative both operating expenses and space strategies to reduce, manage, and Notice of Availability; Draft needs. Information provided is control resident Canada goose Environmental Impact Statement on populations in the continental United sufficient to determine that the project Resident Canada Goose Management; will proceed effectively. States and to reduce goose-related Reopening of Comment Period damages. The objective of the DEIS is to (5 points) If a tribe assumes operation AGENCY: Fish and Wildlife Service, provide a regulatory mechanism that and maintenance responsibilities for Interior. would allow State and local agencies, public facilities and improvements, a other Federal agencies, and groups and ACTION: tribal resolution is included in the Notice of availability for public comment; reopening of comment individuals to respond to damage application that adopts the operation period. complaints or damages by resident and maintenance plan and commits the Canada geese. The DEIS is a necessary funds to provide for these SUMMARY: The U.S. Fish and Wildlife comprehensive programmatic plan responsibilities or the operation and Service (Service) is reopening the intended to guide and intended to guide maintenance plan is included in the comment period on a Draft and direct resident Canada goose application and addresses most of the Environmental Impact Statement (DEIS) population growth and management above items (maintenance, repairs, which is available for public review. activities in the conterminous United insurance, replacement reserves). If an The DEIS analyzes the potential States. The DEIS analyzes seven entity other than the tribe commits to environmental impacts of alternative management alternatives: (1) No Action pay for operation and maintenance for strategies to reduce, manage, and (Alternative A); (2) Increase Use of the public facilities and improvements, control resident Canada goose Nonlethal Control and Management (excludes all permitted activities) the maintenance provider is identified populations in the continental United (Alternative B); (3) Increase Use of and, if applicable, responsibilities for States and to reduce goose-related damages. The analysis provided in the Nonlethal Control and Management operations the entity will assume are DEIS is intended to accomplish the (continue permitting of those activities included in the application, but no following: inform the public of the generally considered nonlethal) letter of commitment is provided. For proposed action and alternatives; (Alternative C); (4) New Regulatory community buildings only, no tribal address public comment received Options to Expand Hunting Methods resolution or letter of commitment is during the scoping period; and disclose and Opportunities (Alternative D); (5) included in the application that the direct, indirect, and cumulative Integrated Depredation Order identifies the source of and commits the environmental effects of the proposed Management (consisting of an Airport necessary funds for any recreation, actions and each of the alternatives. The Depredation Order, a Nest and Egg social or other services to be provided. Service invites the public to comment Depredation Order, an Agricultural However, letters of commitment to on the DEIS. Depredation Order, and a Public Health provide services are included but they DATES: Written comments on the DEIS Depredation Order) (Alternative E); (6) do not address operating expenses and must be received on or before October State Empowerment (Proposed Action) space needs. Information provided is 20, 2003. (Alternative F); and (7) General Depredation Order (Alternative G). sufficient to determine that the project ADDRESSES: Requests for copies of the will proceed effectively. DEIS should be mailed to Chief, Alternatives were analyzed with regard Division of Migratory Bird Management, to their potential impacts on resident (0 points) None of the above criteria Canada geese, other wildlife species, U.S. Fish and Wildlife Service, is met.’’ natural resources, special status species, Department of the Interior, 4401 North 9. On page 42207, in the third column socioeconomics, historical resources, Fairfax Drive, MBSP–4107, Arlington, under the subsection entitled, ‘‘Rating and cultural resources. Virginia 22203. Copies of the DEIS can Our proposed action (Alternative F) Factor 5 Comprehensiveness and be downloaded from the Division of Coordination (5 points)’’ that continues would establish a regulation authorizing Migratory Bird Management Web site at State wildlife agencies (or their to the first column on page 42208, the http://migratorybirds.fws.gov. last sentence of the paragraph is authorized agents) to conduct (or allow) Comments on the DEIS should be sent management activities, including the corrected to read as follows: ‘‘However, to the above address. Alternatively, applicants may use this form to address take of birds, on resident Canada goose comments may be submitted populations when necessary to protect program evaluation requirements under electronically to the following address: human health and safety; protect Rating Factor 1(1)(b) of this NOFA.’’ _ _ canada goose [email protected]. personal property, agricultural crops, 10. In the middle column on page FOR FURTHER INFORMATION CONTACT: and other interests from injury; and 42208, under paragraph (C), entitled, Brian Millsap, Chief, Division of allow resolution or prevention of injury ‘‘Application Submission,’’ number one Migratory Bird Management, or Ron to people, property, agricultural crops, on the list of forms is corrected to read Kokel (703) 358–1714. or other interests from resident Canada as follows: ‘‘1. Application for Federal SUPPLEMENTARY INFORMATION: On March geese; and to reduce resident Canada Assistance (HUD–424).’’ 1, 2002 (67 FR 9448), and March 7, 2002 goose populations within management (67 FR 10431), notices were published objectives. Control and management Dated: August 15, 2003. in the Federal Register announcing the activities include indirect and/or direct Michael M. Liu, availability of our DEIS on resident population control strategies such as Assistant Secretary for Public and Indian Canada goose management. On March aggressive harassment, trapping and Housing 26, 2002 (67 FR 13792), we published a relocation, nest and egg destruction, [FR Doc. 03–21420 Filed 8–18–03; 12:19 pm] notice in the Federal Register to gosling and adult trapping and culling BILLING CODE 4210–33–P announce the schedule of public programs, or other general population hearings to invite further public reduction strategies. The intent of

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Alternative F is to allow State wildlife DEPARTMENT OF INTERIOR Laboratory and the Canadian Bird management agencies sufficient Banding Office. These data are vital to flexibility, within predefined Geological Survey the study of avian biology. Data are guidelines, to deal with problems received for approximately 1.2 million Request for Public Comments on caused by resident Canada geese within birds per year. For further information Information Collection To Be their respective States. Other guidelines on the North American Bird Banding Submitted to OMB for Review Under Program, see our Web site (http:// under Alternative F would include the Paperwork Reduction Act criteria for such activities as control www.pwrc,usgs.gov/bbl). options for taking geese during the A request to reinstate the information Estimated Annual Number of portion of the Migratory Bird Treaty collection described below will be Respondents: 2400. Estimated Annual Burden Hours: closed period (August 1–31), airport, submitted to the Office of Management and Budget for approval under the 27, 563. agricultural, and public health control, Affected Public: Primarily U.S. and provisions of the Paperwork Reduction and the non-permitted take of nests and Canadian citizens who hold either a Act (44 U.S.C. chapter 35). Copies of the eggs. U.S. or Canadian permit to mark and tag proposed collection of information may birds (bird banding). We are publishing simultaneously a be obtained by contacting the Bureau’s proposed rule in the Federal Register For Further Information Contact: To clearance officer at the phone number obtain copies of the survey, contact the that would implement our preferred listed below. Comments and suggestions alternative. Because of the publishing of Bureau clearance officer, U.S. on the proposal should be made within Geological Survey, 807 National Center, the proposed rule, we have reopened 60 days directly to the Bureau clearance the comment period on the DEIS. The 12201 Sunrise Valley Drive, Reston, officer, U.S. Geological Survey, 807 Virginia 20192, telephone (703) 648– Service invites careful consideration by National Center, 12201 Sunrise Valley all parties, and welcomes serious 7313 or see the Web site at http:// Drive, Reston, Virginia 20192, telephone www.pwrc,usgs.gov/bbl. scrutiny from those committed to the (703) 648–7313. long-term conservation of migratory As required by OMB regulations at 5 Dated: August 11, 2003. birds. CFR 1320.8(d)(1), the U.S. Geological Ken Williams, In order to be considered, electronic Survey solicits specific public Acting Associate Director for Biology. submission of comments must include comments as to: [FR Doc. 03–21430 Filed 8–20–03; 8:45 am] your name and postal mailing address; 1. Whether the collection of BILLING CODE 4310–Y7–M we will not consider anonymous information is necessary for the proper performance of the functions on the comments. All comments received bureaus, including whether the DEPARTMENT OF THE INTERIOR including names and addresses, will information will have practical utility; become part of the public record. The 2. The accuracy of the Bureau Geological Survey public may inspect comments during estimate of the burden of the collection normal business hours at the Service’s of information, including the validity of Request for Public Comments on office in Room 4701, 4501 North Fairfax the methodology and assumptions used; Information Collection To Be Drive, Arlington, Virginia. Requests for 3. The quality, utility, and clarity of Submitted to OMB for Review Under such comments will be handled in the information to be collected; and the Paperwork Reduction Act accordance with the Freedom of 4. How to minimize the burden of the A request to reinstate the information Information Act and the Council on collection of information on those who collection described below will be Environmental Quality’s National are to respond, including the use of submitted to the Office of Management Environmental Policy Act regulations appropriate automated, electronic, and Budget for approval under the [40 CFR 1506.6(f)]. Our practice is to mechanical, or other forms of provisions of the Paperwork Reduction make all comments available for public information technology. Act (44 U.S.C. chapter 35). Copies of the inspection during regular business Title: North American Bird Banding proposed collection of information may hours. Individual respondents may Program—Banding Database. be obtained by contacting the Bureau request that we withhold their home Previous OMB Approval Number: clearance officer at the phone number address from the record, which we will 1018–0006. listed below. Comments and suggestions honor to the extent allowable by law. If Summary: In accordance with the on the proposal should be made within a respondent wishes us to withhold his/ Migratory Bird Treaty Act, the USGS 60 days directly to the Bureau clearance her name and/or address, this must be Bird Banding Laboratory issues permits officer, U.S. Geological Survey, 807 stated prominently at the beginning of for the trapping and marking of National Center, 12201 Sunrise Valley the comment. migratory birds. These permits require Drive, Reston, Virginia 20192, telephone that data on marked birds be submitted (703) 648–7313. Dated: July 1, 2003. to the Bird Banding Laboratory in a As required by OMB regulations at 5 Steve Williams, timely fashion. Currently this data is CFR 1320.8(d)(1), the U.S. Geological Director. submitted electronically using a Survey solicits specific public [FR Doc. 03–21269 Filed 8–20–03; 8:45 am] program (Band Manager) supplied by comments as to: the Bird Banding Laboratory and the BILLING CODE 4310–55–P 1. Whether the collection of Canadian Bird Banding Office to all information is necessary for the proper active permit holders. Data may also be performance of the functions of the submitted using a paper form. These bureaus, including whether the data are used to provide researchers information will have practical utility; with information needed for projects 2. The accuracy of the Bureau and also to respond to the 85,000 estimate of the burden of the collection reports of banded birds received of information, including the validity of annually by the Bird Banding the methodology and assumptions used;

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3. The quality, utility, and clarity of DEPARTMENT OF THE INTERIOR Estimated Annual Number of the information to be collected; and Respondents: 550. Geological Survey 4. How to minimize the burden of the Estimated Annual Burden Hours: 550. collection of information on those who Request for Public Comments on Affected Public: Mostly U.S. citizens are to respond, including the use of Information Collection To Be from the public and private sectors with appropriate automated, electronic, Submitted to OMB for Review Under a few from Canada, the Caribbean, mechanical, or other forms of the Paperwork Reduction Act Central America and South America. information technology. A request to reinstate the information Permits to band in Canada are handled Title: North American Bird Banding collection described below will be by the Canadian Wildlife Service, Bird Program—Encounter Database. submitted to the Office of Management Banding Office. Previous OMB Approval Number: and Budget for approval under the For Further Information Contact: To 1018–0005. provisions of the Paperwork Reduction obtain copies of the survey, contact the Summary: The North American Bird Act (44 U.S.C. chapter 35). Copies of the Bureau clearance officer, U.S. Banding Program receives reports of proposed collection of information may Geological Survey, 807 National Center, banded birds (encounters) from the be obtained by contacting the Bureau 12201 Sunrise Valley Drive, Reston, public via a 1–800 telephone number, clearance officer at the phone number Virginia 20192, telephone (703) 648– web site forms, and letters. These listed below. Comments and suggestions 7313 or see the Web site at http:// reports are submitted voluntarily at the on the proposal should be made within www.pwrc.usgs.gov/bbl. volition of the reporter. The information 60 days directly to the Bureau clearance Dated: August 11, 2003. that is collected (band number, type of officer, U.S. Geological Survey, 807 bird, where and when it was found, how National Center, 12201 Sunrise Valley Ken Williams, found) is computerized and utilized by Drive, Reston, Virginia 20192, telephone Acting Associate Director for Biology. state, provincial, federal and private (703) 648–7313. [FR Doc. 03–21432 Filed 8–20–03; 8:45 am] As required by OMB regulations at 5 agencies as well as by both U.S. and BILLING CODE 4310–Y7–M Canadian researchers. The data on CFR 1320.8(d)(1), the U.S. Geological waterfowl and other game birds are one Survey solicits specific public part of the data set used to help comments as to: DEPARTMENT OF THE INTERIOR managers set hunting regulations. All 1. Whether the collection of information is necessary for the proper data are utilized by both private and Bureau of Indian Affairs performance of the functions on the public agencies and individuals for bureaus, including whether the management and conservation studies. Indian Gaming information will have practical utility; Also, avian researchers throughout 2. The accuracy of the Bureau North America utilize these data in AGENCY: Bureau of Indian Affairs, estimate of the burden of the collection Interior. many of their studies as well as in many of information, including the validity of publications on avian topics. All the methodology and assumptions used; ACTION: Notice of Tribal-State Gaming persons reporting a band encounter 3. The quality, utility, and clarity of Compact Between the State of Arizona receive a Certificate of Appreciation the information to be collected; and and the Yavapai-Prescott Indian Tribe. giving them information on type of bird, 4. How to minimize the burden of the when and where was banded and who collection of information on those who SUMMARY: Pursuant to Section 11 of the banded. For further information on the are to respond, including the use of Indian Gaming Regulatory Act of 1988 North American Banding Program and appropriate, electronic, mechanical, or (IGRA), Pub. L. 100–497, 25 U.S.C 2710, the Encounter Database see our Web site other forms of information technology. the Secretary of the Interior shall (http://www.pwrc.usgs.gov/bbl). Title: North American Bird Banding publish, in the Federal Register, notice Estimated Annual Number of Program—Application for Federal Bird of approved Tribal-State Compacts for Respondents: 85,000. Banding Permit. the purpose of engaging in Class III Previous OMB Approval Number: gaming activities on Indian lands. The Estimated Annual Burden Hours: 1018–0017. 7,083. Summary: In accordance with the Assistant Secretary—Indian Affairs, Affected Public: Primarily U.S. and Migratory Bird Treaty Act and Department of the Interior, through her Canadian citizens. Some citizens of subsequent treaties with other countries, delegated authority, has approved the Mexico, the Caribbean, Central America, the trapping and marking of wild Tribal-State Compact for Class III Middle America, South America, migratory birds must be monitored. To gaming between the State of Arizona Europe, Asia. accomplish this mandate, federal and the Yavapai-Prescott Indian Tribe. The Compact expands the scope of For Further Information Contact: To permits are required to trap and mark. gaming activities authorized under the obtain copies of the survey, contact the The permit is required for persons who Compact, increase wager limits, increase Bureau clearance officer, U.S. trap and mark for research or the number of permitted gaming Geological Survey, 807 National Center, management purposes. Responsibility to devices, and allows the tribe to enter 12201 Sunrise Valley Drive, Reston, evaluate applications and issue permits Virginia 20192, telephone (703) 648– is the responsibility of the USGS Bird into gaming device transfer agreements 7313 or see the Web site at http:// Banding Laboratory. The application with one or more gaming tribes. www.pwrc.usgs.gov/bbl. provides information about the EFFECTIVE DATE: August 21, 2003. applicant that is necessary to assess and Dated: August 11, 2003. evaluate qualifications of the applicant. FOR FURTHER INFORMATION CONTACT: Ken Williams, For further information on the North George T. Skibine, Director, Office of Acting Associate Director for Biology. American Bird Banding Program, see Indian Gaming Management, Bureau of [FR Doc. 03–21431 Filed 8–20–03; 8:45 am] our Web site (http://www.pwrc.usgs.gov/ Indian Affairs, Washington, DC 20240, BILLING CODE 4310–Y7–M bbl). (202) 219–4066.

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Dated: August 11, 2003. Bidders may not modify or withdraw available to assist in locating the blocks Aurene M. Martin, their bids unless the Regional Director, relative to the adjacent areas. The Assistant Secretary—Indian Affairs. Alaska OCS Region receives a written Locator Map is for use in identifying [FR Doc. 03–21464 Filed 8–20–03; 8:45 am] modification or written withdrawal locations of blocks but is not part of the BILLING CODE 4310–4N–P request prior to 10 a.m., Tuesday, official description of blocks available September 23, 2003. Should an for lease. Some of the blocks may be unexpected event such as an earthquake partially encumbered by an existing DEPARTMENT OF THE INTERIOR or travel restrictions be significantly lease, or transected by administrative disruptive to bid submission, the Alaska lines such as the Federal/State Minerals Management Service OCS Region may extend the Bid jurisdictional line. Partial block Submission Deadline. Bidders may call descriptions are derived from Outer Continental Shelf (OCS) Beaufort (907) 271–6010 for information about Supplemental Official OCS Block Sea Alaska, Oil and Gas Lease Sale the possible extension of the Bid Diagrams and OCS Composite Block 186 Submission Deadline due to such an Diagrams, which are available upon AGENCY: Minerals Management Service, event. request at the address, phone number, Interior. Note: Four blocks in the easternmost or internet site given above. ACTION: Final Notice of Sale (NOS) 186, Beaufort Sea area are subject to jurisdictional Lease Terms and Conditions: On Beaufort Sea. claims by both the United States and Canada. February 20, 2003, MMS published a This Notice refers to this area as the Disputed Notice of Availability (68 FR 8306) of SUMMARY: The MMS will open and Portion of the Beaufort Sea. The section on the proposed Notice of Sale for Sale 186, publicly announce bids received for Method of Bidding identifies the four blocks which included proposed lease terms blocks offered in Oil and Gas Lease Sale and describes the procedures for submitting and conditions providing for a bids for them. 186 on September 24, 2003, in minimum bid amount of $62 per hectare accordance with provisions of the OCS Area Offered for Leasing: MMS is and a rental rate of $13 per hectare, Lands Act (43 U.S.C. 1331–1356, as offering for leasing all whole and partial consistent with past OCS sales in the amended) and the implementing blocks listed in the document ‘‘Blocks Alaska OCS Region. After further regulations (30 CFR part 256). Available for Leasing in OCS Oil and consideration, MMS has determined DATES: Public bid reading will begin at Gas Lease Sale 186’’ included in the that the minimum bid levels for Sale 9 a.m. on Wednesday, September 24, FNOS 186 package. All of these blocks 186 should be reduced and rentals set 2003, at the Wilda Marston Theatre, Z. are shown on the following Official on a sliding scale. MMS announced the J. Loussac Public Library, 3600 Denali Protraction Diagrams (which may be intent to make these changes in a Street, Anchorage, Alaska. All times purchased from the Alaska OCS Federal Register notice published July referred to in this document are local Region): 17, 2003, (68 FR 42420) to give potential Anchorage, Alaska times, unless • NR 05–01, Dease Inlet, revised bidders and other interested parties otherwise specified. September 30, 1997 ample time to consider these changes in • ADDRESSES: A FNOS 186 package NR 05–02, Harrison Bay North, preparing for the lease sale. These containing this Notice of Sale and revised September 30, 1997 changes, now adopted do not affect • several supporting and essential NR05–03, Teshekpuk, revised minimum royalty requirements, or documents referenced herein are September 30, 1997 royalty suspension volumes. • available from: Alaska OCS Region, NR 05–04, Harrison Bay, revised Initial Period: Ten years. September 30, 1997 Information Resource Center, Minerals Minimum Bonus Bid Amount: Offer • NR 06–01, Beechey Point North, Management Service, 949 East 36th all blocks in Zone A with a minimum approved February 1, 1996 Avenue, Room 330, Anchorage, Alaska bid of $37.50 per hectare and all blocks • NR 06–03, Beechey Point, revised 99508–4302, Telephone: (907) 271–6438 in Zone B with a minimum bid of $25 September 30, 1997 or 1–800–764–2627. per hectare. Refer to the Beaufort Sea • NR 06–04, Flaxman Island, revised These documents are also available on OCS Oil and Gas Lease Sale 186 Locator September 30, 1997 the MMS Alaska OCS Region Internet Map mentioned above. site at http://www.mms.gov/alaska. • NR 07–03, Barter Island, revised Filing of Bids: Bidders must submit September 30, 1997 Rental Rates: The Lessee shall pay the bids to the Alaska OCS Region, 949 East • NR 07–05, Demarcation Point, Lessor, on or before the first day of each 36th Avenue, Third Floor, Anchorage, revised September 30, 1997 lease year which commences prior to a Alaska 99508, between the hours of 8 • NR 07–06, Mackenzie Canyon, discovery in paying quantities of oil or a.m. and 4 p.m. on normal business revised September 30, 1997 gas on the leased area, a rental as shown days, prior to the Bid Submission Official block descriptions are derived in the table below. deadline of 10 a.m., Tuesday, September from these diagrams; however, not all Minimum Royalty Rates: The Lessee 23, 2003. If bids are mailed, the blocks included on a diagram are being shall pay the Lessor, at the expiration of envelope containing all of the sealed offered. To ascertain which blocks are each lease year which commences after bids must be marked as follows: being offered and the royalty suspension a discovery of oil and gas in paying Attention: Mr. Tom Warren, Contains provisions that apply you must refer to quantities, a minimum royalty of $13 Sealed Bids for Sale 186. the document ‘‘Blocks Available for per hectare, or fraction thereof, until the If bids are received later than the time Leasing in OCS Oil and Gas Lease Sale start of royalty-bearing production. and date specified above, they will be 186.’’ The Beaufort Sea OCS Oil and Gas Royalty Rates: A 121⁄2 percent royalty returned unopened to the bidders. Lease Sale 186 Locator Map is also rate will apply for all blocks.

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SUMMARY TABLE OF MINIMUM BIDS, MINIMUM ROYALTY RATES AND RENTAL RATES

Terms (values per hectare) Zone A Zone B

Royalty Rate ...... 121⁄2% fixed ...... 121⁄2% fixed Minimum Bid ...... $37.50 ...... $25.00 Minimum Royalty ...... $13.00 ...... $13.00 Rental Rates: Year 1 ...... $7.50 ...... $2.50 Year 2 ...... $7.50 ...... $3.75 Year 3 ...... $7.50 ...... $5.00 Year 4 ...... $7.50 ...... $6.25 Year 5 ...... $7.50 ...... $7.50 Year 6 ...... $12.00 ...... $10.00 Year 7 ...... $17.00 ...... $12.00 Year 8 ...... $22.00 ...... $15.00 Year 9 ...... $30.00 ...... $17.00 Year 10 ...... $30.00 ...... $20.00

Royalty Suspension Areas: Royalty the arithmetic average of the daily receives no additional royalty-free suspension provisions apply to first oil closing prices for the nearby delivery production. production. Royalty suspensions on the month on the New York Mercantile (a) The price floor for light sweet production of oil and condensate, Exchange (NYMEX) for oil exceeds the crude oil is set at a fixed $18 per barrel prorated by lease acreage and subject to adjusted product price threshold. with no adjustment for inflation. The price thresholds, will apply to all (a) The adjusted ceiling price comparison with the price floor is based blocks. Royalty suspension volumes threshold for light sweet crude oil in on the arithmetic average of the daily (RSV) are based on 2 zones, Zone A and any year, say t, is determined by closing prices for the ‘‘nearby delivery Zone B, as depicted on the Locator Map inflating an oil price of $28 per barrel month’’ on the NYMEX for light sweet and listed in the document ‘‘Blocks beginning in base year 1994. This base crude oil with no adjustments for Available for Leasing in the Beaufort year price is modified by the percentage inflation. ‘‘The period of assessment’’ Sea OCS Oil and Gas Lease Sale 186.’’ change in the implicit price deflator for for which the average daily prices are More specific details regarding royalty the interval between 1994 and year t, calculated is a quarter of a calendar year suspension eligibility, applicable price resulting in the adjusted oil price with the calendar year quarters being thresholds and implementations are threshold for year t. For example, if the January–March, April–June, July– included in the document ‘‘Royalty deflator from 1994 through 2003 September, and October–December. Suspension Provisions, Sale 186’’ in the indicates that inflation totaled 15 (b) MMS will provide notice in the final NOS 186 package. Minimum percent, then the adjusted price Federal Register or directly to lessees royalty requirements apply during RSV threshold in calendar year 2003 would when the average NYMEX quarterly oil periods. Depending on surface area and become $32.20 per barrel for oil. Royalty price is below $18 per barrel. zone, leases will receive a RSV as on all oil production in calendar year The price ceiling and floor provisions follows: 2003 would be due if the 2003 average expire when aggregate production NYMEX oil price exceeded $32.20 per excluding floor production volumes of Zone A Zone B barrel. million million oil (and condensate) has used up the Hectares barrels barrels (b) MMS will provide notice when lease’s original RSV amount. RSV RSV adjusted price thresholds are exceeded. For purposes of the RSV, a lease (c) In cases where the actual average operating under an approved unit 770 or less ...... 10 15 771Ð1540 ...... 20 30 price for the product exceeds the agreement must have its own qualifying 1541 or above ...... 30 45 adjusted price threshold in any calendar well, as defined in 30 CFR 250.115. year, royalties must be paid in the Otherwise, production allocated to it The RSV only applies to liquid following calendar year. (See 30 CFR from a well in another lease in the unit hydrocarbon production, i.e., oil and 260.122(c) for more detail.) is not eligible for royalty relief. condensates. Natural gas volumes that A fixed oil price floor applies, below Stipulations and Information to leave the lease are subject to original which oil and condensate would be Lessees: The documents entitled ‘‘Lease lease-specified royalties. The market produced both royalty-free except for Stipulations for Oil and Gas Lease Sale value of natural gas will be determined the required minimum royalty of $13 186’’ and ‘‘Information to Lessees for Oil by MMS’s Minerals Revenue per hectare, and would not count and Gas Lease Sale 186’’ contain the text Management (MRM) office. MRM will against the RSV. Until the total RSV of the Stipulations and the Information value the natural gas from Sale 186 allocation is exhausted, if the arithmetic to Lessees that apply to this sale. This based on its potential uses and average of the daily closing oil prices for document is included in the FNOS 186 applicable market characteristics at the the specified time period is below the package. time the gas is produced. price floor, then any oil produced Method of Bidding: Procedures for the The lessee must pay royalty on during that time period would be submission of bids in Sale 186 are production that would otherwise royalty-free and would not be subtracted described in paragraph (a) below. receive royalty suspension from from the lease’s remaining RSV. If the Procedures for the submission bids for automatic relief (in 30 CFR 260), and arithmetic average of the daily closing the four blocks in the Disputed Portion such production will count towards the oil prices falls below the floor price after of the Beaufort Sea will differ as RSV, in any calendar year during which the original RSV is exhausted, the lessee described in paragraph (b) below.

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(a) Submission of Bids. For each block the signed bid to be a legally binding of the United States may also review the bid upon, a bidder must submit a obligation on the part of the bidder(s) to results of the lease sale prior to the separate signed bid in a sealed envelope comply with all applicable regulations, acceptance of bids and issuance of labeled ‘‘Sealed bid for Oil and Gas including paying the one-fifth bonus bid leases. Any bid submitted which does Lease Sale 186, not to be opened until amount on all high bids. A statement to not conform to the requirements of this 9 a.m., Wednesday, September 24, this effect must be included on each bid Notice, the OCS Lands Act, as amended, 2003.’’ The total amount of the bid must (see the document ‘‘Bid Form and and other applicable regulations may be be in whole dollars; any cent amount Envelope’’ contained in the FNOS 186 returned to the person submitting that above the whole dollar will be ignored package). bid by the Regional Director and not by MMS. Details of the information Bonus Bid Deposit: Each bidder considered for acceptance. To ensure required on the bid(s) and the bid submitting an apparent high bid must that the Government receives a fair envelope(s) are specified in the submit a bonus bid deposit to MMS return for the conveyance of lease rights document ‘‘Bid Form and Envelope’’ equal to one-fifth of the bonus bid for this sale, high bids will be evaluated contained in the final NOS 186 package. amount for each such bid submitted for in accordance with MMS bid adequacy (b) Submission of Bids in the Disputed Sale 186. Under the authority granted by procedures. Portion of the Beaufort Sea. Procedures 30 CFR 256.46(b), MMS requires bidders Successful Bidders: As required by for the submission of bids on blocks to use electronic funds transfer (EFT) MMS, each company that has been 6201, 6251, 6301, and 6361 in Official procedures for payment of the one-fifth awarded a lease must execute all copies Protraction Diagram NR 07–06 will bonus bid deposits, following the of the lease (Form MMS–2005 (March differ from procedures in paragraph (a) detailed instructions contained in the 1986) as amended), pay by EFT the above as follows: document ‘‘Instructions for Making EFT balance of the bonus bid amount and Separate, signed bids on these blocks Bonus Payments’’ included in the FNOS the first year’s rental for each lease must be submitted in sealed envelopes 186 package. All payments must be issued in accordance with the labeled only with ‘‘Disputed Portion of electronically deposited into an interest- requirements of 30 CFR 218.155, and the Beaufort Sea,’’ Company Number, bearing account in the U.S. Treasury satisfy the bonding requirements of 30 and a sequential bid number for the (account specified in the EFT CFR 256, subpart I. Each bidder who is company submitting the bid(s). The instruction) by 1 p.m. Eastern Time the a successful high bidder must have on envelope thus would be in the following day following bid reading. Such a file in the Alaska OCS Region a format: Disputed Portion of the Beaufort deposit does not constitute and shall not currently valid certification (Debarment Sea Bid. Company No: 00000. Bid No: be construed as acceptance of any bid Certification Form) certifying that the 1. on behalf of the United States. If a lease bidder is not excluded from On or before September 24, 2008, the is awarded, MMS requests that only one participation in primary covered MMS will determine whether it is in the transaction be used for payment of the transactions under Federal non- best interest of the United States either four-fifths bonus bid amount and the procurement programs and activities. A to open bids for these blocks or to return first year’s rental. certification previously provided to that the bids unopened. The MMS will office remains currently valid until new notify bidders at least 30 days before bid Please Note: Certain bid submitters [i.e., or revised information applicable to that opening. Bidders on these blocks may those that do NOT currently own or operate certification become available. In the an OCS mineral lease OR those that have ever withdraw their bids at any time after event of new or revised applicable such notice and prior to 10 a.m. of the defaulted on a one-fifth bonus payment (EFT or otherwise)] will be required to guarantee information, MMS will require a day before bid opening. If the MMS does (secure) their one-fifth bonus payment prior subsequent certification before lease not give notice by September 24, 2008, to the submission of bids. For those who issuance can occur. Persons submitting the bids will be returned unopened. The must secure the EFT one-fifth bonus such certification should review the MMS reserves the right to return these payment, one of the following options may requirements of 43 CFR, part 12, subpart bids at any time. The MMS will not be provided: (1) A third-party guarantee; (2) D. A copy of the Debarment disclose which blocks received bids or an Amended Development Bond Coverage; Certification Form is contained in the the names of bidders in this area unless (3) a Letter of Credit; or (4) a lump sum FNOS 186 package. the bids are opened. payment in advance via EFT. The EFT Affirmative Action: MMS requests The MMS published a list of instructions specify the requirements for that, prior to bidding, Equal each option. restricted joint bidders, which applies to Opportunity Affirmative Action this sale, in the Federal Register at 68 Withdrawal of Blocks: The United Representation Form MMS 2032 (June FR 22415 on April 28, 2003. Bidders States reserves the right to withdraw 1985) and Equal Opportunity submitting joint bids must state on the any block from this sale prior to Compliance Report Certification Form bid form the proportionate interest of issuance of a written acceptance of a bid MMS 2033 (June 1985) be on file in the each participating bidder, in percent to for the block. Alaska OCS Region. This certification is a maximum of five decimal places, e.g. Acceptance, Rejection, or Return of required by 41 CFR 60 and Executive 33.33333 percent. MMS may require Bids: The United States reserves the Order No. 11246 of September 24, 1965, bidders to submit other documents in right to reject any and all bids. In any as amended by Executive Order No. accordance with 30 CFR 256.46. MMS case, no bid will be accepted, and no 11375 of October 13, 1967. In any event, warns bidders against violation of 18 lease for any block will be awarded to prior to the execution of any lease U.S.C. 1860 prohibiting unlawful any bidder, unless the bidder has contract, both forms are required to be combination or intimidation of bidders. complied with all requirements of this on file in the Alaska OCS Region. Bidders must execute all documents in Notice, including the documents Jurisdiction: The United States claims conformance with signatory contained in the associated final NOS exclusive maritime resource jurisdiction authorizations on file in the Alaska OCS Sale 186 package and applicable over the area offered. Canada claims Region. Partnerships also must submit regulations; the bid is the highest valid such jurisdiction over the four or have on file a list of signatories bid; and the amount of the bid has been easternmost blocks included in the sale authorized to bind the partnership. determined to be adequate by the area. These blocks are located in Official Bidders are advised that MMS considers authorized officer. The Attorney General Protraction Diagram NR 07–06 as block

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numbers 6201, 6251, 6301, and 6361. DEPARTMENT OF THE INTERIOR origin dates the burials to a post- Nothing in this Notice shall affect or European contact time period. prejudice in any manner the position of National Park Service Consultation evidence indicates that the the United States with respect to the region was inhabited by Navajo culture Notice of Inventory Completion: nature or extent of the internal waters, groups at the time of European contact. Phoebe A. Hearst Museum of the territorial sea, the high seas, or The current descendants are the Navajo Anthropology, University of California, sovereign rights or jurisdiction for any Nation, Arizona, Utah, and New Berkeley, Berkeley, CA, and U.S. Mexico. The west bank of Pueblo purpose whatsoever. Bid submission Department of the Interior, Bureau of procedures pertaining to blocks in this Colorado Wash, Cornfields District, Indian Affairs, Washington, DC Apache County, AZ, is within the Disputed Portion of the Beaufort Sea are exterior boundaries of the tribal lands of described in paragraph (b) under AGENCY: National Park Service, Interior. the Navajo Nation, Arizona, Utah, and Method of Bidding. ACTION: Notice. New Mexico. Notice of Bidding Systems: Section Notice is here given in accordance Officials of the U.S. Department of the 8(a)(8) (43 U.S.C. 1337(a)(8)) of the OCS with the Native American Graves Interior, Bureau of Indian Affairs and Lands Act requires that, at least 30 days Protection and Repatriation Act the Phoebe A. Hearst Museum of before any lease sale, a Notice be (NAGPRA), 25 U.S.C. 3003, of the Anthropology have determined that, submitted to Congress and published in completion of an inventory of human pursuant to 25 U.S.C. 3001 (9–10), the human remains described above the Federal Register. This Notice of remains and associated funerary objects represent the physical remains of at Bidding Systems is for Sale 186, in the possession of the Phoebe A. least two individuals of Native Beaufort Sea, scheduled to be held on Hearst Museum of Anthropology, American ancestry. Officials of the U.S. September 24, 2003. University of California, Berkeley, Department of the Interior, Bureau of Berkeley, CA, and in the control of the In Sale 186, all blocks are being Indian Affairs and the Phoebe A. Hearst U.S. Department of the Interior, Bureau offered under a bidding system that uses Museum of Anthropology also havae of Indian Affairs, Washington, DC. The a cash bonus and a fixed royalty of 12 determined that, pursuant to 25 U.S.C. human remains and associated funerary 1/2 percent with a royalty suspension of 3001(3)(A), the one object described objects were removed from the tribal up to 30 million barrels of oil equivalent above is reasonably believed to have lands of the Navajo Nation, Arizona, per lease in Zone A of the sale area or been placed with or near individual Utah, & New Mexico, Apache County, with a royalty suspension of up to 45 human remains at the time of death or AZ. million barrels of oil equivalent per later as part of the death rite or This notice is published as part of the lease in Zone B of the sale area. The ceremony. Lastly, officials of the U.S. National Park Service’s administrative Department of the Interior, Bureau of amount of royalty suspension available responsibilities under NAGPRA, 25 Indian Affairs and the Phoebe A. Hearst on each lease is dependent on the area U.S.C. 3003 (d)(3). The determinations Museum of Anthropology have of the lease and specified in the Sale within this notice are the sole determined that, pursuant to 25 U.S.C. Notice. This bidding system is responsibility of the museum, 3001 (2), there is a relationship of authorized under 30 CFR 260.110(a)(7), institution, or Federal agency that has shared group identity that can be which allows use of a cash bonus bid control of the Native American human reasonably traced between the Native with a royalty rate of not less than 12 remains and associated funerary objects. American human remains and 1/2 percent and with suspension of The National Park Service is not associated funerary object and the royalties for a period, volume, or value responsible for the determinations Navajo Nation, Arizona, Utah, and New of production, and an annual rental. within this notice. Mexico. Analysis performed by MMS indicates An assessment of the human remains, Representatives of any other Indian that use of this system provides an and catalog records and associated tribe that believes itself to be culturally documents relevant to the human incentive for development of this area affiliated with the human remains and remains, was made by Phoebe A. Hearst while ensuring that a fair sharing of associated funerary object should Museum of Anthropology professional revenues will result if major discoveries contact C. Richard Hitchcock, NAGPRA staff in consultation with are made and produced. Coordinator, Phoebe A. Hearst Museum representatives of the Navajo Nation, Specific royalty suspension of Anthropology, University of Arizona, Utah, and New Mexico. provisions for Sale 186 are contained in California, Berkeley, Berkeley, CA In 1924, human remains representing 94720, telephone (510) 642–6096, before the document ‘‘Royalty Suspension at least two individuals were removed September 22, 2003. Repatriation of the Provisions, Sale 186’’ included in the from the ‘‘West bank of Pueblo Colorado human remains and associated funerary FNOS 186 package. Wash,’’ in the Cornfields District, object to the Navajo Nation, Arizona, Dated: August 15, 2003. Apache County, AZ, by Albert B. Utah, and New Mexico may proceed Reagan, who donated the human Thomas A. Readinger, after that date if no additional claimants remains to the Phoebe Hearst Museum Acting Director, Minerals Management come forward. Service. of Anthropology in the same year. No The Phoebe A. Hearst Museum of [FR Doc. 03–21472 Filed 8–20–03; 8:45 am] known individuals were identified. The Anthropology is responsible for one associated funerary object is a BILLING CODE 4310–MR–P notifying the Navajo Nation, Arizona, cotton cloth fragment. Utah, and New Mexico that this notice Based on museum records that has been published. identify the human remains as a ‘‘partial Navajo skeleton’’ and the geographical Dated: July 8, 2003. location of the burials, the human John Robbins, remains are determined to be Native Assistant Director, Cultural Resources. American. The presence of an [FR Doc. 03–21390 Filed 8–20–03; 8:45 am] associated funerary object of European BILLING CODE 4312–50–M

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INTERNATIONAL TRADE the second update in May 1999, and the and Procedure (19 CFR 201.6). All COMMISSION third update in June 2002. written submissions, except for In this fourth update report, the confidential business information, will [Investigation 332–325] Commission will assess the economic be made available in the Office of the The Economic Effects of Significant effects of significant tariff and non-tariff Secretary for inspection by interested U.S. Import Restraints: Fourth Update U.S. import restraints on U.S. parties. To be assured of consideration consumers, on the activities of U.S. by the Commission, written statements AGENCY: United States International firms, on the income and employment relating to the Commission’s report Trade Commission. of U.S. workers, and on the net should be submitted to the Commission ACTION: Notice of fourth update report economic welfare of the United States. at the earliest practical date and should and scheduling of public hearing. The assessment will not include import be received no later than the close of restraints resulting from final business on January 10, 2004. All EFFECTIVE DATE: August 14, 2003. antidumping or countervailing duty submissions should be addressed to the SUMMARY: The Commission has investigations, section 337 and 406 Secretary, United States International announced the schedule for its fourth investigations, or section 301 actions. Trade Commission, 500 E St. SW., update report in investigation No. 332– The initial notice of institution of this Washington, DC 20436. The 325, The Economic Effects of Significant investigation was published in the Commission’s rules do not authorize U.S. Import Restraints, and has Federal Register of June 17, 1992 (57 FR filing submissions with the Secretary by established deadlines for the submission 27063). facsimile or electronic means, except to of requests to appear at the hearing and Public Hearing the extent permitted by section 201.8 of the Commission’s Rules (19 CFR 201.8) for the filing of written submissions as A public hearing in connection with (see Handbook for Electronic Filing set forth below. The investigation was the investigation will be held at the U.S. Procedures, ftp://ftp.usitc.gov/pub/ requested by the Office of the U.S. Trade International Trade Commission reports/electronic_filing_handbook.pdf). Representative (USTR) in May 1992. Building, 500 E Street SW., Washington, Hearing-impaired persons are advised That request called for an initial DC, beginning at 9:30 a.m. on December that information on this matter can be investigation and subsequent updates, 9, 2003. All persons shall have the right obtained by contacting the under section 332(g) of the Tariff Act of to appear, by counsel or in person, to 1930 (19 U.S.C. 1332(g)). present information and to be heard. Commission’s TDD terminal on (202) FOR FURTHER INFORMATION CONTACT: Requests to appear at the public hearing 205–1810. Persons with mobility Soamiely Andriamananjara, Project should be filed with the Secretary, impairments who will need special Leader (202) 205–3252 or Marinos United States International Trade assistance in gaining access to the Tsigas, Deputy Project Leader (202) Commission, 500 E Street SW., Commission should contact the Office 708–3654, Office of Economics, U.S. Washington, DC 20436, no later than of the Secretary at (202) 205–2000. International Trade Commission, 5:15 p.m., November 14, 2003. Any General information concerning the Washington, DC 20436. For information prehearing briefs (original and 14 Commission may be obtained by on the legal aspects of this investigation, copies) should be filed not later than accessing its Internet server (http:// contact William Gearhart of the Office of close of business, November 17, 2003; www.usitc.gov). The public record for the General Counsel (202) 205–3091. the deadline for filing post-hearing this investigation may be viewed on the Hearing impaired individuals are briefs or statements is the close of Commission’s electronic docket (EDIS) advised that information on this matter business, January 10, 2004. In the event at http://edis.usitc.gov. List of Subjects: U.S. Import can be obtained by contacting the TDD that, as of the close of business on Restraints, Nontariff measures (NTM), terminal on (202) 205–1810. Persons November 14, 2003, no witnesses are Tariffs, Imports. with mobility impairments who will scheduled to appear at the hearing, the need special assistance in gaining access hearing will be canceled. Any person By order of the Commission. to the Commission should contact the interested in attending the hearing as an Issued: August 15, 2003. Office of the Secretary at (202) 205– observer or non-participant may call the Marilyn R. Abbott, 2000. General information concerning Secretary to the Commission (202) 205– Secretary. the Commission may also be obtained 2000 after November 20, 2003, to [FR Doc. 03–21455 Filed 8–20–03; 8:45 am] by accessing its Internet server (http:// determine whether the hearing will be BILLING CODE 7020–02–P www.usitc.gov). The public record for held. these investigations may be viewed on the Commission’s electronic docket Written Submissions DEPARTMENT OF JUSTICE (EDIS–ON–LINE) at http:// In lieu of or in addition to dockets.usitc.gov/eol/public. participating in the hearing, interested Notice of Lodging of Consent Decree parties are invited to submit written Under the Clean Air Act Background statements (original and 14 copies) The Commission instituted this concerning the matters to be addressed Pursuant to 28 CFR 50.7 notice is investigation following receipt on May by the Commission in its report on this hereby given that on July 31, 2003, a 15, 1992 of a request from the USTR. investigation. Commercial or financial proposed Consent Decree in United The request asked that the Commission information that a submitter desires the States v. E.F.I. DuPont De Nemours and conduct an investigation assessing the Commission to treat as confidential Company (‘‘DuPont’’), Civil Action No. quantitative economic effects of must be submitted on separate sheets of 5.03CV–175–R, was lodged with the significant U.S. import restraints on the paper, each clearly marked United States District Court for the U.S. economy, and prepare periodic ‘‘Confidential Business Information’’ at Western District of Kentucky. update reports following the submission the top. All submissions requesting The Consent Decree resolves the of the first report. The first report was confidential treatment must conform government’s claims for violations of delivered to the USTR in November with the requirements of section 201.6 the General Duty of Care provisions of 1993, the first update in December 1995, of the Commission’s Rules of Practice the Clean Air Act, 42 U.S.C. 7412(r),

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with respect to DuPont’s fluoroproducts 4–03CV01043SNL, was lodged on July page reproduction costs), payable to the plant in Louisville, Kentucky. 31, 2003, with the United States District U.S. Treasury. The settlement provides for payment Court for the Eastern District of Robert Maher, of $550,000 in civil penalties and Missouri. Assistant Section Chief, Environmental performance of eight Supplemental In this action the United States sought Environmental Projects (‘‘SEPs’’) valued Enforcement Section, Environment and civil penalties and injunctive relief for Natural Resources Division. at $552,000. Under the proposed SEPs, Defendants’ violations of the industrial [FR Doc. 03–21392 Filed 8–20–03; 8:45 am] DuPont will provide emergency refrigerant, repair, testing, record- BILLING CODE 4410–15–M response equipment and training for keeping, and reporting regulations at 40 Local Emergency Planning Committees CFR, part 82, subpart F, §§ 82.156– (‘‘LEPCs’’), provide a green buffer zone 82.166 (‘‘Recycling and Emissions DEPARTMENT OF JUSTICE between its facility and the surrounding Reduction’’), promulgated pursuant to area, and contract with a community subchapter VI of the Act (‘‘Stratospheric Notice of Lodging of Consent Decree group in an environmental justice area Ozone Protection’’), 42 U.S.C. 7671– Under the Clean Air Act to set up a website on environmental 7671q. Under 28 CFR 50.7, notice is hereby issues and ensure that the group can The Consent Decree settles an action given that on August 11, 2003, a continue to run its information center brought under section 113 of the Clean proposed Consent Decree (‘‘Decree’’) in which disseminates information on Air Act, 42 U.S.C. 7413. The Consent United States v. Glencore AG, Civil environmental issues. Decree provides that Earthgrains Baking Action No. 3:03CV1381 (JBA) was The Department of Justice will receive Companies, Inc., et al., will pay the lodged with the United States District for a period of thirty (30) days from the United States $5.25 million in civil Court for the District of Connecticut. date of this publication comments penalties, and perform extensive relating to the Consent Decree. In this action the United States seeks injunctive relief by retrofitting, Comments should be addressed to the civil penalties and injunctive relief to replacing, or retiring a total of 264 Assistant Attorney General, address Glencore’s alleged violations of Industrial Refrigeration Appliances and Environment and Natural Resources the Clean Air Act and its implementing Commercial Refrigeration Appliances Division, PO Box 7611, U.S. Department regulations in 40 CFR part 80 with that presently contain ozone depleting of Justice, Washington, DC 20044–7611, respect to Glencore’s importation, substances with non-ozone depleting and should refer to United States v. refining, distribution and sale of substances (e.g. glycol, water, ammonia, E.I.DuPont De Nemours and Company, reformulated and conventional motor etc). D.J. Ref. 90–5–2–1–2099/2. gasoline within the United States. The The Consent Decree may be examined The Department of Justice will alleged violations include exceedances at U.S. EPA Region 4, 61 Forsyth Street, receive, for a period of thirty (30) days of the regulatory limits for Reid vapor Atlanta, Georgia 30303. During the from the date of this publication, pressure and exhaust benzene levels for public comment period, the Consent comments relating to the proposed certain batches of gasoline, three Decree, may also be examined on the Consent Decree. Comments should be reporting or record keeping violations, following Department of Justice Web addressed to the Assistant Attorney and a tank sampling violation. To site, http://www.usdoj.gov/enrd/ General for the Environment and resolve these alleged violations, the open.html. A copy of the Consent Natural Resources Division, Department Decree requires Glencore to pay a civil Decree may also be obtained by mail of Justice, Washington, D.C. 20530, and penalty of $450,000 to the United States from the Consent Decree Library, PO should refer to United States v. and complete a three-year ‘‘Compliance Box 7611, U.S. Department of Justice, Earthgrains Baking Companies, Inc., et Assurance Program’’ as specified in the Washington, DC 20044–7611 or by al., D.J. Ref. #90–5–2–1–07388. Decree to ensure Glencore’s future faxing or e-mailing a request to Tonia The proposed Consent Decree may be compliance with the Clean Air Act’s Fleetwood ([email protected]), examined at the office of the United programs and regulations concerning fax no. (202) 514–0097, phone States Attorney, Eastern District of reformulated and conventional motor confirmation number (202) 514–1547. In Missouri, Thomas F. Eagleton U.S. gasoline. The Compliance Assurance requesting a copy from the Consent Courthouse, 111 South 10th Street, Program requires Glencore to retain an Decree Library, please enclose a check Room 20.333, St. Louis, Missouri 63102; auditor or consultant to perform certain in the amount of $14.25 (25 cents per the Headquarters Office of the detailed periodic reviews and page reproduction cost) payable to the Environmental Protection Agency, 1200 verification procedures with respect to U.S. Treasury. Pennsylvania Avenue, NW., Glencore’s records, reports and Washington, DC 20460. During the laboratory data concerning its Ellen M. Mahan, public comment period, the Consent compliance with applicable fuel Assistant Section Chief, Environmental Decree may also be examined on the regulations. Enforcement Section. following Department of Justice Web The Department of Justice will receive [FR Doc. 03–21388 Filed 8–20–03; 8:45 am] site, http://www.usdoj.gov/enrd/ for a period of thirty (30) days from the BILLING CODE 4410–15–M open.html. A copy of the Consent date of this publication comments Decree may also be obtained by mail relating to the Decree. Comments should from the Consent Decree Library, P.O. be addressed to the Assistant Attorney DEPARTMENT OF JUSTICE Box 7611, U.S. Department of Justice, General, Environment and Natural Notice of Lodging of Consent Decree Washington, DC 20044–7611, or by Resources Division, P.O. Box 7611, U.S. Pursuant to the Clean Air Act faxing or e-mailing a request to Tonia Department of Justice, Washington, D.C. Fleetwood ([email protected]), 20044–7611, and should refer to United In accordance with Department fax no. (202) 514–0097, phone States v. Glencore AG, Civil Action No. policy, 28 U.S.C. 50.7, notice is hereby confirmation number (202) 514–1547. In 3:03CV1381 (JBA) (D. Conn.), D.J. Ref. given that a proposed Consent Decree in requesting a copy from the Consent 90–5–2–1–2169. United States v. Earthgrains Baking Decree Library, please enclose a check The Decree may be examined at the Companies, Inc., et al., Civil Action No. in the amount of $10.00 (25 cents per Office of the United States Attorney,

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Connecticut Financial Center, 157 relating to the Consent Decree. proposal information collection was Church Street, 23rd Floor, New Haven, Comments should be addressed to the previously published in the Federal CT 06508, and at U.S. EPA Region I, Assistant Attorney General, Register Volume 68, Number 110, on One Congress Street, Suite 1100, Boston Environment and Natural Resources page 34420 on June 9, 2003, allowing for MA 02114–2023. During the public Division, P.O. Box 7611, U.S. a 60-day comment period. comment period, the Decree may also be Department of Justice, Washington, DC The purpose of this notice is to allow examined on the following Department 20044–7611, and should refer to United for an additional 30 days for public of Justice Web site, http:// States v. Robert Dwight Weed, Jr., (No. comment until September 22, 2003. www.usdoj.gov/enrd/open.html. A copy 2:03–CV–72897 (E.D. Mich.) (DOJ Ref. This process is conducted in accordance of the Decree may also be obtained by No. 90–11–3–07511). with 5 CFR 1320.10. mail from the Consent Decree Library, The Consent Decree may be examined Written comments and/or suggestions P.O. Box 7611, U.S. Department of at the Office of the United States regarding the items contained in this Justice, Washington, DC 20044–7611 or Attorney, Eastern District of Michigan, notice, especially the estimated public by faxing or e-mailing a request to Tonia 211 W. Fort Street, Detroit, Michigan burden and associated response time Fleetwood ([email protected]), 48226–3211; and at EPA Region 5, 77 should be directed to the Office of fax no. (202) 514–0097, phone W. Jackson Blvd., Chicago, Illinois Management and Budget, Office of confirmation number (202) 514–1547. In 60604 (contact Sherry L. Estes, Esq., Information and Regulatory Affairs, requesting a copy from the Consent (312) 886–7164). During the public Attention Department of Justice Desk Decree Library, please enclose a check comment period, the Consent Decree Officer, Washington, DC 20503, or in the amount of $5.25 (25 cents per may also be examined on the following facsimile (202) 395–5806. page reproduction cost) payable to the Department of Justice Web site, http:// Written comments and suggestions U.S. Treasury. www.usdoj.gov/enrd/open.html. A copy from the public and affected agencies Ronald Gluck, of the Partial Consent Decree may also concerning the proposed collection of be obtained by mail from the Consent Assistant Chief, Environmental Enforcement information are encouraged. Your Section, Environment and Natural Resources Decree Library, P.O. Box 7611, U.S. comments should address one or more Division. Department of Justice, Washington, DC of the following four points: [FR Doc. 03–21391 Filed 8–20–03; 8:45 am] 20044–7611 or by faxing or e-mailing a —Evaluate whether the proposed request to Tonia Fleetwood BILLING CODE 4410–15–M collection of information is necessary ([email protected]), fax no. for the proper performance of the (202) 514–0097, phone confirmation functions of the agency, including DEPARTMENT OF JUSTICE number (202) 514–1547. In requesting a whether the information will have copy from the Consent Decree Library, practical utility; Notice of Lodging of Consent Decree please refer to United States v. Robert —Evaluate the accuracy of the agency’s Under the Comprehensive Dwight Weed, Jr., (No. 2:03–CV–72897 estimate of the burden of the Environmental Response, (E.D. Mich.) (DOJ Ref. No. 90–11–3– proposed collection of information, Compensation and Liability Act 07511), and enclose a check in the including the validity of the (‘‘CERCLA’’) amount of $5.00 (25 cents per page methodology and assumptions used; reproduction cost) payable to the Pursuant to section 122(d)(2) of —Enhance the quality, utility, and Consent Decree Library. CERCLA, 42 U.S.C. 9622(d)(2), notice is clarity of the information to be hereby given that on July 28, 2003, a William Brighton, collected; and Consent Decree with Robert Dwight Assistant Section Chief, Environmental —Minimize the burden of the collection Weed, Jr. was lodged with the United Enforcement Section, Environment & Natural of information on those who are to States District Court for the Eastern Resources Division. respond, including through the use of District of Michigan in the matter of [FR Doc. 03–21389 Filed 8–20–03; 8:45 am] appropriate automated, electronic, United States v. Robert Dwight Weed, BILLING CODE 4410–15–M mechanical, or other technological Jr., No. 2:03–CV–72897 (E.D. Mich.). collection techniques or other forms In that action the United States seeks of information technology, e.g., to recover from the Defendant pursuant DEPARTMENT OF JUSTICE permitting electronic submission of to sections 107 and 113(g)(2) of the responses. Comprehensive Environmental Drug Enforcement Administration Overview of this information collection: Response, Compensation, and Liability Agency Information Collection Act of 1980, as amended, (‘‘CERCLA’’), (1) Type of Information Collection: Activities: Proposed Collection; Extension of a Currently Approved 42 U.S.C. 9607 and 9613(g)(2), the costs Comments Requested incurred and to be incurred by the Collection. United States in responding to the ACTION: 30-Day notice of information (2) Title of the Form/Collection: release and/or threatened release of collection under review: Report of mail Report of Mail Order Transactions. hazardous substances at and from the order transactions. (3) Agency form number, if any, and Durako Paint Site (or ‘‘Site’’) in Detroit, the applicable component of the Wayne County, Michigan. The Department of Justice (DOJ), Drug department sponsoring the collection: Under the proposed Partial Consent Enforcement Administration (DEA) has Form Number: None. Office of Diversion Decree, Defendant Robert Dwight Weed, submitted the following information Control, Drug Enforcement Jr. Will pay $30,000 to the Hazardous collection request to the Office of Administration, U.S. Department of Substances Superfund in Management and Budget (OMB) for Justice. reimbursement of the costs incurred by review and approval in accordance with (4) Affected public who will be asked the United States at the Site. the Paperwork Reduction Act of 1995. or required to respond, as well as a brief The Department of Justice will receive The proposed information collection is abstract: Primary: business or other for- for a period of thirty (30 days from the published to obtain comments from the profit. Other: None. Abstract: The date of this publication comments public and affected agencies. This Comprehensive Methamphetamine

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Control Act of 1996 (Pub. L. 104–237) proposed information collection was collection permits the Drug Enforcement (MCA) amended the Controlled previously published in the Federal Administration to monitor the volume Substances Act to require that each Register Volume 68, Number 110, and and availability of domestically regulated person who engages in a page 34420 on June 9, 2003, allowing for manufactured listed chemicals. These transaction with a non-regulated person a 60-day comment period. listed chemicals may be subject to which involves ephedrine, The purpose of this notices is to allow diversion for the illicit production of pseudoephedrine, or for an additional 30 days for public controlled substances. This information phenylpropanolamine (including drug comment until September 22, 2003. collection is required by law. products containing these chemicals) This process is conducted in accordance (5) An estimate of the total number of and uses or attempts to use the Postal with 5 CFR 1320.10. respondents and the amount of time Service or any private or commercial Written comments and/or suggestions estimated for an average respondent to carrier shall, on a monthly basis, submit regarding the items contained in this respond: 100 respondents respond a report of each such transaction notice, especially the estimated public annually to this information collection, conducted during the previous month to burden and associated response time with each response estimated to take the Attorney General. should be directed to the Office of four hours. (5) An estimate of the total number of Management and Budget, Office of (6) An estimate of the total public respondents and the amount of time Information and Regulatory Affairs, burden (in hours) associated with this estimated for an average respondent to Attention Department of Justice Desk collection: There is an estimated 400 respond: There are forty estimated Officer, Washington, DC 20503, of annual burden hours associated with respondents for this information facsimile (202) 395–5806. this collection. collection. Thirty-seven respondents Written comments and suggestions If additional information is required respond on paper, taking 1 hour for each from the public and affected agencies contact: Brenda E. Dyer, Deputy response to do so. Three respondents concerning the proposed collection of Clearance Officer, Policy and Planning submit responses electronically, taking information are encouraged. Your Staff, Justice Management Division, 15 minutes to do so. Respondents are comments should address one or more United States Department of Justice, required by law to respond monthly. of the following four points: Patrick Henry Building, Suite 1600, 601 (6) An estimate of the total public —Evaluate whether the proposed D Street NW., Washington, DC 20530. burden (in hours) associated with this collection of information is necessary Dated: August 15, 2003. collection: This collection requires an for the proper performance of the Brenda E. Dyer, estimated total of 453 annual burden functions of the agency, including Department Deputy Clearance Officer, hours. whether the information will have Department of Justice. If additional information is required practical utility; [FR Doc. 03–21411 Filed 8–20–03; 8:45 am] contact: Brenda E. Dyer, Deputy —Evaluate the accuracy of the agency’s BILLING CODE 4410–09–M Clearance Officer, Policy and Planning estimate of the burden of the Staff, Justice Management Division, proposed collection of information, United States Department of Justice, including the validity of the DEPARTMENT OF JUSTICE Patrick Henry Building, Suite 1600, 601 methodology and assumptions used; D Street, NW., Washington, DC 20530. —Enhance the quality, utility, and Office of Justice Programs Dated: August 15, 2003. clarity of the information to be [OJP (OJP)–1381] Brenda E. Dyer, collected; and Deputy Clearance Officer, Department of —Minimize the burden of the collection Meeting of the Global Justice Justice. of information on those who are to Information-Sharing Initiative Federal [FR Doc. 03–21410 Filed 8–20–03; 8:45 am] respond, including through the use of Advisory Committee BILLING CODE 4410–09–M appropriate automated, electronic, mechanical, or other technological AGENCY: Office of Justice Programs collection techniques or other forms (OJP), Bureau of Justice Assistance DEPARTMENT OF JUSTICE of information technology, e.g., (BJA), Justice. permitting electronic submission of ACTION: Notice of meeting. Drug Enforcement Administration responses. SUMMARY: This is an announcement of a Overview of this information Agency Information Collection meeting of the Global Justice collection: Activities: Proposed Collection; Information-Sharing Initiative (Global) (1) Type of Information Collection: Comments Requested Federal Advisory Committee (GAC) to Existing of a Currently Approved discuss the Global Initiative, as ACTION: 30-Day notice of information Collection. described at http://www.it.ojp.gov/ collection Under Review: Annual (2) Title of the Form/Collection: global. Annual Reporting Requirement for Reporting Requirement for DATES: The meeting will take place on manufacturers of Listed Chemicals Manufacturers of Listed Chemicals. (3) Agency form number, if any, and Wednesday, October 8, 2003, from 1 The Department of Justice (DOJ), Drug the applicable component of the p.m. to 5:15 p.m. ET, and Thursday, Enforcement Administration (DEA) has Department sponsoring the collection: October 9, 2003, from 8:30 a.m. to 12 submitted the following information Form Number: None. Office of Diversion Noon ET. collection request to the Office of Control, Drug Enforcement ADDRESSES: The meeting will take place Management and Budget (OMB) for Administration, U.S. Department of at the Sheraton Crystal City Hotel, 1800 review and approval in accordance with Justice. Jefferson Davis Highway, Arlington, VA the Paperwork Reduction Act of 1995. (4) Affected public who will be asked 22202; Phone: (703) 486–1111. The proposed information collection is or required to respond, as well as a brief FOR FURTHER INFORMATION CONTACT: J. published to obtain comments from the abstract: Primary: Business or other for- Patrick McCreary, Global Designated public and affected agencies. This profit. Other: None. This information Federal Employee (DFE), Bureau of

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Justice Assistance, Office of Justice Department of Housing and Urban Department of Labor, Room N–4671, Programs, 810 7th Street, Washington, Development. 200 Constitution Avenue, NW., DC 20531; Phone: (202) 616–0532 [Note: ACTION: Notice of Correction. Washington, DC 20210. Telephone: this is not a toll-free number]; e-mail: (202) 693–2796, (this is not a toll-free [email protected]. SUMMARY: In the FR Vol. 68, No. 138, number). Friday, July 18, 2003 the competition Matters To Be Considered: The agenda SUPPLEMENTARY INFORMATION: This was announced and the SGA printed in meeting is open to the public. Due to will focus on reports from the its entirety. Based on the emergency Committee’s subcommittees on the security measures, however, members of caused by the power outages in the the public who wish to attend this following topics: Northeast quadrant of the United States, • Career Lattice/Credentialing meeting must register with Mr. J. Patrick the preparation and submission of • Education and Outreach McCreary at the above address at least proposals have been adversely affected. • Training/Staff Development (7) days in advance of the meeting. Due to this interruption, the deadline • New and Emerging Industries Registrations will be accepted on a for submission of applications is • Legislative space available basis. Access to the extended. All applications must now be Status: Members of the public are meeting will not be allowed without submitted to the U.S. Department of invited to attend the proceedings. registration. All attendees will be Labor, Procurement Services Center, Individuals with special needs should required to sign in at the meeting Room N–5416, 200 Constitution contact Ms. Marion Winters at (202) registration desk. Please bring photo Avenue, NW., Washington, DC 20210, 693–3786 no later than September 12, identification and allow extra time prior not later than 4:45 p.m. EST, August 25, 2003, if special accommodations are to the meeting. 2003. needed. Anyone requiring special FOR FURTHER INFORMATION CONTACT: Any member of the public who accommodations should notify Mr. wishes to file written data or comments McCreary at least seven (7) days in Cassandra Willis, Department of Labor, Telephone (202) 693–4570. pertaining to the agenda may do so by advance of the meeting. sending them to Mr. Anthony Swoope, Signed at Washington, DC this 19 day of Purpose Administrator, Office of Apprenticeship August, 2003. Training, Employer and Labor Services, The GAC will act as the focal point for Daniel P. Murphy, Employment and Training justice information systems integration Director, Procurement Services Center. Administration, U.S. Department of activities in order to facilitate the [FR Doc. 03–21614 Filed 8–19–03; 3:28 pm] Labor, Room N–4671, 200 Constitution coordination of technical, funding, and BILLING CODE 4510–CX–M Avenue NW., Washington, DC 20210. legislative strategies in support of the Such submissions should be sent by Administration’s justice priorities. September 12, 2003, to be included in The GAC will guide and monitor the DEPARTMENT OF LABOR the record for the meeting. development of the Global information Any member of the public who sharing concept. It will advise the Employment and Training wishes to speak at the meeting should Assistant Attorney General, OJP; the Administration indicate the nature of the intended Attorney General; the President presentation and the amount of time Public Meeting of the Advisory (through the Attorney General); and needed by furnishing a written Committee on Apprenticeship (ACA) local, state, tribal, and federal statement to the Designated Federal policymakers in the executive, AGENCY: Employment and Training Official, Mr. Anthony Swoope, by legislative, and judicial branches. The Administration, Labor. September 12, 2003. The Chairperson GAC will also advocate for strategies for ACTION: Notice of open meeting. will announce at the beginning of the accomplishing a Global information- meeting the extent to which time will sharing capability. SUMMARY: Pursuant to section 10 of the permit the granting of such requests. Interested persons whose registrations Federal Advisory Committee Act (Pub. have been accepted may be permitted to Signed at Washington, DC, this 15 day of L. 92–463; 5 U.S.C. APP. 1), notice is August, 2003. participate in the discussions at the hereby given of a meeting of the Emily Stover DeRocco, discretion of the meeting chairman and Advisory Committee on Apprenticeship with approval of the DFE. (ACA). Assistant Secretary for Employment and Time and Date: The meeting will Training Administration. J. Patrick McCreary, begin at 8:30 a.m. on Tuesday, [FR Doc. 03–21404 Filed 8–20–03; 8:45 am] Global DFE, Bureau of Justice Assistance, September 16, and continue until BILLING CODE 4510–30–P Office of Justice Programs. approximately 5 p.m. The meeting will [FR Doc. 03–21468 Filed 8–20–03; 8:45 am] reconvene at 8:30 a.m. on Wednesday, BILLING CODE 4410–18–P September 17, and continue until 4 p.m. NATIONAL ARCHIVES AND RECORDS Place: Donald E. Stephens Convention ADMINISTRATION Center, 5555 N. River Road, Rosemont, DEPARTMENT OF LABOR Illinois; Telephone: (847) 692–2220. Agency Information Collection The agenda is subject to change due Activities: Submission for OMB Office of Disability Employment Policy to time constraints and priority items Review; Comment Request which may come before the Committee Solicitation for Grant Applications AGENCY: National Archives and Records between the time of this publication and (SGA) 03–15; Ending Chronic Administration (NARA). the scheduled date of the ACA meeting. Homelessness Through Employment ACTION: Notice. and Housing FOR FURTHER INFORMATION CONTACT: Mr. Anthony Swoope, Administrator, Office SUMMARY: NARA is giving public notice AGENCY: Office of Disability of Apprenticeship Training, Employer that the agency has submitted to OMB Employment Policy, U.S. Department of and Labor Services, Employment and for approval the information collection Labor; and Office of Special Needs, U.S. Training Administration, U.S. described in this notice. The public is

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invited to comment on the proposed standard forms that promote the I. Introduction information collection pursuant to the implementation of the Government’s The U.S. Nuclear Regulatory Paperwork Reduction Act of 1995. security classification program. These Commission (NRC) is considering DATES: Written comments must be forms promote consistency and issuance of a license amendment to submitted to OMB at the address below uniformity in the protection of classified Fansteel, Inc.’s (Fansteel) materials on or before September 22, 2003 to be information. license SMB–911 to authorize transfer of assured of consideration. The Financial Disclosure Form will its license to MRI, Inc. License SMB– ADDRESSES: Comments should be sent contain information that will be used to 911 was issued to Fansteel under 10 to: Office of Information and Regulatory make personnel security CFR part 40 and authorizes Fansteel to Affairs, Office of Management and determinations, including whether to possess up to 400 tons of natural Budget, Attn: Mr. Jonathan Womer, grant a security clearance; to allow uranium and thorium in any form. The Desk Officer for NARA, Washington, DC access to classified information, material at the Muskogee site is in the 20503. sensitive areas, and equipment; or to form of uranium, thorium, radium, and permit assignment to sensitive national FOR FURTHER INFORMATION CONTACT: decay-chain products in process security positions. The data may later be Requests for additional information or equipment and buildings, soil, sludge, used as a part of a review process to copies of the proposed information and groundwater. evaluate continued eligibility for access collection and supporting statement On July 24, 2003, Fansteel submitted to classified information or as evidence should be directed to Tamee Fechhelm a request for authorization to transfer in legal proceedings. at telephone number 301–837–1694 or the current license with an amended The Financial Disclosure Form will fax number 301–837–3213. Decommissioning Plan (currently under help law enforcement obtain pertinent review and the subject of Federal SUPPLEMENTARY INFORMATION: Pursuant information in the preliminary stages of to the Paperwork Reduction Act of 1995 Register notice 68 FR 47621, which potential espionage and counter provides an opportunity to provide (Pub. L. 104–13), NARA invites the terrorism cases. The Policy Coordinating general public and other Federal comments and/or to request a hearing Committee on Records Access and on that action) to MRI, Inc., a agencies to comment on proposed Information Security forwarded the information collections. NARA corporation to be formed under current form to the Information Security Delaware law as part of Fansteel’s exit published a notice of proposed Oversight Office for issuance. The Office collection for this information collection from bankruptcy. In conjunction with of Management and Budget is aware of this request, Fansteel submitted with its on June 10, 2003 (68 FR 34653 and the form. 34654). No comments were received. request, a ‘‘Joint Reorganization Plan of NARA has submitted the described Dated: August 14, 2003. Fansteel, Inc. and Subsidiaries’’ and a information collection to OMB for L. Reynolds Cahoon, ‘‘Disclosure Statement with Respect to approval. Assistant Archivist for Human Resources and Joint Reorganization Plan of Fansteel, In response to this notice, comments Information Services. Inc. Et Al.’’ to the United States and suggestions should address one or [FR Doc. 03–21419 Filed 8–20–03; 8:45 am] Bankruptcy Court for the District of more of the following points: (a) BILLING CODE 7515–01–P Delaware. Whether the proposed information Pursuant to 10 CFR 40.46, no license collection is necessary for the proper issued or granted under the regulations performance of the functions of NARA; in Part 40, shall be transferred, assigned, (b) the accuracy of NARA’s estimate of NUCLEAR REGULATORY or in any manner disposed of, either the burden of the proposed information COMMISSION voluntarily or involuntarily, directly or collection; (c) ways to enhance the indirectly, through transfer of control of quality, utility, and clarity of the [Docket No. 40–7580] any license to any person unless the Commission, after securing full information to be collected; and (d) Notice of Consideration of a License ways to minimize the burden of the information that the transfer is in Amendment Request by Fansteel, Inc., accordance with the provisions of the collection of information on for Approval of Transfer of its respondents, including the use of Atomic Energy Act of 1954, as amended Muskogee, OK Facility License, and (AEA), gives its consent in writing. information technology. In this notice, Opportunity to Request a Hearing NARA is soliciting comments Therefore, before the issuance of an concerning the following information AGENCY: Nuclear Regulatory amendment, the NRC will have made collection: Commission. the findings required by the AEA, and NRC’s regulations. These findings will Title: Financial Disclosure Form. ACTION: Notice of consideration of an OMB number: 3095–NEW. be documented in a Safety Evaluation amendment request to authorize transfer Report. An Environmental Assessment Agency form number: Standard Form of a license, and opportunity to provide NEW. (EA) will not be performed because, written comments or to request a pursuant to 10 CFR 51.22(c)(21), this Type of review: Regular. hearing. Affected public: Business or other for- action is categorically excluded from the requirement to perform an EA. profit, Federal government. FOR FURTHER INFORMATION CONTACT: J.C. Estimated number of respondents: Shepherd, Decommissioning Branch, II. Opportunity to Provide Written 25,897. Division of Waste Management, Office Comments Estimated time per response: 2 hours. of Nuclear Material Safety and Frequency of response: On occasion. In accordance with 10 CFR 2.1305, Estimated total annual burden hours: Safeguards, U.S. Nuclear Regulatory the NRC is providing notice that, as an 51,794 hours. Commission, Washington, DC 20555– alternative to requests for hearings and Abstract: Executive Order 12958 as 0001. Telephone: (301) 415–6712; Fax: petitions to intervene, persons may amended, ‘‘Classified National Security (301) 415–5398; and/or by email: submit written comments regarding Information’’ authorizes the Information [email protected]. license transfer applications; however, Security Oversight Office to develop SUPPLEMENTARY INFORMATION: such comments will not constitute part

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of the decisional record. Comments 1. The NRC staff, by delivery to the Federal Register and served on the should be submitted within 30 days Office of the General Counsel, U.S. parties to the hearing. after notice of receipt is published in the Nuclear Regulatory Commission, One IV. Further Information Federal Register, by mail, telegram, or White Flint North, 11555 Rockville facsimile, addressed to the Secretary, Pike, Rockville, MD 20852–2738, In accordance with 10 CFR 2.790 of U.S. Nuclear Regulatory Commission, between 7:45 am and 4:15 pm Federal the NRC’s ‘‘Rules of Practice,’’ details Washington, DC 20555–0001. Attention: workdays, or by mail, addressed to the with respect to this action, including the Rulemaking and Adjudications Staff. Office of the General Counsel, U.S. application for amendment and Because of continuing disruptions in the Nuclear Regulatory Commission, supporting documentation, are available delivery of mail to United States Washington, DC 20555–0001. Because electronically for public inspection and Government offices, it is requested that of continuing disruptions in the copying from the Publicly Available written comments also be transmitted to delivery of mail to United States Records (PARS) component of NRC’s the Secretary of the Commission either Government offices, it is requested that document system (ADAMS). ADAMS is by means of facsimile transmission to requests for hearing also be transmitted accessible from the NRC Web site at (301) 415–1101, or by e-mail to to the Office of the General Counsel http://www.nrc.gov/reading-rm.html. [email protected]. either by means of facsimile These documents may also be examined, and/or copied for a fee, at the III. Opportunity to Request a Hearing transmission to (301) 415–3725, or by e- mail to [email protected]. NRC Public Document Room (PDR), NRC hereby also provides notice that In addition to meeting other located at One White Flint North, 11555 this is a proceeding on an application applicable requirements of 10 CFR part Rockville Pike, Rockville, Maryland for an amendment of a license falling 2 of NRC’s regulations, hearing requests 20852. within the scope of Subpart M, ‘‘Public and intervention petitions must: Dated at Rockville, Maryland, this 15th day Notification, Availability of Documents 1. State the name, address, and of August, 2003. and Records, Hearing Requests and telephone number of the requestor or For the Nuclear Regulatory Commission. Procedures for Hearing on License petitioner; Transfer Applications,’’ of NRC’s rules Daniel M. Gillen, 2. Set forth the issues sought to be Chief, Decommissioning Branch, Division of of practice for domestic licensing raised, and proceedings in 10 CFR part 2. Pursuant Waste Management, Office of Nuclear (a) demonstrate that such issues are Material Safety and Safeguards. to § 2.1306(a), any person whose interest within the scope of the proceeding on may be affected by this action may file [FR Doc. 03–21418 Filed 8–20–03; 8:45 am] the license transfer application, BILLING CODE 7590–01–P a request for a hearing or petition for (b) demonstrate that such issues are leave to intervene in accordance with relevant to the findings the NRC must § 2.1306(b). Pursuant to § 2.1306(c), to make to grant the application for license POSTAL RATE COMMISSION be timely, hearing requests and transfer, intervention petitions must be filed not (c) provide a concise statement of the Sunshine Act Meetings later than 20 days after notice of receipt alleged facts or expert opinions which is published in the Federal Register. support the petitioner’s position on the NAME OF AGENCY: Postal Rate In accordance with 10 CFR issues and on which the petitioner Commission. 2.1306(b)(4) and 2. 1313(b), the request intends to rely at hearing, together with for a hearing or intervention petition TIME AND DATE: Thursday, August 21, references to the specific sources and must be filed with: 2003 at 10:30 a.m. 1. The applicant, Fansteel, Inc., documents on which the petitioner PLACE: Commission conference room, Number One Tantalum Place, North intends to rely to support its position on 1333 H Street, NW., Suite 300, Chicago, IL 60064 Attention: Mr. Gary the issues, and Washington, DC 20268–0001. (d) provide sufficient information to Tessitore, and; STATUS: Open. show that a genuine dispute exists with 2. The Office of the Secretary either: MATTERS TO BE CONSIDERED: Further (a) By delivery to Secretary, U.S. the applicant on a material issue of law consideration of fiscal year 2004 budget. Nuclear Regulatory Commission, One or fact; White Flint North, 11555 Rockville 3. Specify both the facts pertaining to FOR FURTHER INFORMATION CONTACT: Pike, Rockville, MD 20852–2738, the petitioner’s interest and how that Stephen L. Sharfman, General Counsel, between 7:45 a.m. and 4:15 p.m. Federal interest may be affected with particular at 202–789–6820. workdays; or reference to the factors in 2.1308(a). Dated: August 19, 2003. (b) By mail, telegram, or facsimile, Untimely requests and petitions may Garry J. Sikora, addressed to the Secretary, U.S. Nuclear be denied, as provided in 10 CFR Acting Secretary. 2.1308(b), unless good cause for failure Regulatory Commission, Washington, [FR Doc. 03–21544 Filed 8–19–03; 11:37 am] D.C. 20555–0001. Attention: to file on time is established. In BILLING CODE 7710–FW–M Rulemaking and Adjudications Staff. addition, an untimely request or Because of continuing disruptions in the petition should address the factors that delivery of mail to United States the Commission will also consider, in RAILROAD RETIREMENT BOARD Government offices, it is requested that reviewing untimely requests or requests for hearing also be transmitted petitions, set forth in 10 CFR Proposed Collection; Comment to the Secretary of the Commission 2.1308(b)(1)–(2). Request either by means of facsimile The Commission will issue a notice or transmission to (301) 415–1101, or by e- order granting or denying a hearing SUMMARY: In accordance with the mail to [email protected]. , and; request or intervention petition, requirement of section 3506(c)(2)(A) of In accordance with 10 CFR 2.1313(b), designating the issues for any hearing the Paperwork Reduction Act of 1995 each hearing request or intervention that will be held and designating the which provides opportunity for public petition must also be served, by Presiding Officer. A notice granting any comment on new or revised data delivering it personally or by mail, to: such hearing will be published in the collections, the Railroad Retirement

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Board (RRB) will publish periodic Title and Purpose of information eligible for benefits under the RRA but summaries of proposed data collections. collection: Evidence for Application of would be eligible for benefits under the Comments are invited on: (a) Whether Overall Minimum: OMB 3220–0083. Social Security Act if the employee’s the proposed information collection is Under section 3(f)(3) of the Railroad railroad service had been covered by necessary for the proper performance of Retirement Act (RRA), the total monthly that Act. The RRB obtains the required the functions of the agency, including benefits payable to a railroad employee information by the use of forms G–319 whether the information has practical and his/her family are guaranteed to be (Statement Regarding Family and utility; (b) the accuracy of the RRB’s no less than the amount which would Earnings for Special Guaranty estimate of the burden of the collection be payable if the employee’s railroad Computation) and G–320 (Statement by of the information; (c) ways to enhance service had been covered by the Social Employee Annuitant Regarding Student the quality, utility, and clarity of the Security Act. The Social Security information to be collected; and (d) Overall Minimum Guarantee is Age 18–19). One form is completed by ways to minimize the burden related to prescribed in 20 CFR part 229. To each respondent. The RRB proposes no the collection of information on administer this provision, the Railroad changes to Form G–319 or Form G–320. respondents, including the use of Retirement Board (RRB) requires Estimate of annual respondent automated collection techniques or information about a retired employee’s burden: The estimated annual other forms of information technology. spouse and child(ren) who would not be respondent burden is as follows:

Annual re- Time Burden Form #(s) sponses (Min) (Hrs)

GÐ319 Employee Completed: With assistance ...... 95 26 41 Without assistance ...... 5 55 5 GÐ319 Spouse Completed: With assistance ...... 95 30 48 Without assistance ...... 5 60 5 GÐ320: With assistance ...... 86 10 14 Without assistance ...... 4 26 2 Total ...... 290 ...... 115

Additional Information or Comments: utility; (b) the accuracy of the RRB’s certification of a student’s full-time To request more information or to estimate of the burden of the collection school attendance. It also obtains obtain a copy of the information of the information; (c) ways to enhance information on a student’s marital collection justification, forms, and/or the quality, utility, and clarity of the status, Social Security benefits, and supporting material, please call the RRB information to be collected; and (d) employment which are needed to Clearance Office at (312) 751–3363. ways to minimize the burden related to determine entitlement or continued Comments regarding the information the collection of information on entitlement to benefits under the RRA. collection should be addressed to respondents, including the use of Form G–315a, Statement by School Ronald J. Hodapp, Railroad Retirement automated collection techniques or Official of Student’s Full-time Board, 844 N. Rush Street, Chicago, other forms of information technology. Attendance, is used to obtain Illinois 60611–2092. Written comments Title and purpose of information verification from a school that a student should be received within 60 days of collection: Student Beneficiary attends school full-time and provides this notice. Monitoring; OMB 3220–0123. their expected graduation date. Form G– Under provisions of the Railroad 315a.1, Notice of Cessation of Full-Time Chuck Mierzwa, Retirement Act (RRA), there are two Attendance, is used by a school to notify Clearance Officer. types of benefits whose payment is the RRB that a student has ceased full- [FR Doc. 03–21405 Filed 8–20–03; 8:45 am] based upon the status of a child being time school attendance. Completion is BILLING CODE 7905–01–M a full-time student, a survivor benefit required to obtain or retain a benefit. under section 2 and an increased One response is requested of each retirement benefit under section 3(f)(3). respondent. RAILROAD RETIREMENT BOARD A survivor benefit is paid directly to The RRB proposes no changes to the student unless there is a Proposed Collection; Comment Forms G–315, G–315a, or G–315a.1. The representative payee. The benefit for a Request completion time for the G–315 is student in a life case is paid by estimated at seven minutes per SUMMARY: In accordance with the increasing the retired parent’s annuity response. The completion time for the requirement of section 3506(c)(2)(A) of rate under the overall minimum G–315a and G–315a.1 is estimated at the Paperwork Reduction Act of 1995 guaranty. The requirements for two minutes. The RRB estimates that which provides opportunity for public obtaining benefits based on full-time approximately 960 Form G–315’s, 210 comment on new or revised data student status are prescribed in 20 CFR Form G–315a’s and 60 Form G–315a.1’s collections, the Railroad Retirement 219.54 and 219.55. are received annually. Board (RRB) will public periodic The RRB requires evidence of full- Additional information or comments: summaries of proposed data collections. time school attendance in order to To request more information or to Comment are invited on: (a) Whether determine that a child is entitled to obtain a copy of the information the proposed information collection is student benefits. The RRB utilizes the collection justification, forms, and/or necessary for the proper performance of following forms to conduct its student supporting material, please call the RRB the functions of the agency, including monitoring program. Form G–315, Clearance Officer at (312) 751–3363. whether the information has practical Student Questionnaire, obtains Comments regarding the information

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collection should be addressed to operated to, among other things, shares of the series to occur at Ronald J. Hodapp, Railroad Retirement ‘‘alleviate the current disruptions in negotiated prices; and (c) affiliated Board, 844 North Rush Street, Chicago, electric transmission service.’’ persons of the series to deposit Illinois 60611–2092. Written comments Department of Energy Order No. 202– securities into, and receive securities should be received within 60 days of 03–1 (Aug. 14, 2003) (‘‘DOE Order’’). from, the series in connection with the this notice. Based upon these circumstances, we purchase and redemption of hereby grant the application of Hydro- aggregations of the series’ shares (‘‘Prior Chuck Mierzwa, Quebec et al. for the limited purpose of Order’’).1 Applicants seek to amend the Clearance Officer. complying with the DOE Order.2 Our Prior Order in order to offer additional [FR Doc. 03–21406 Filed 8–20–03; 8:45 am] grant of the application for these limited series based on different fixed-income BILLING CODE 7905–01–M purposes is without prejudice to our securities indices. ability to take any action with respect to APPLICANTS: Barclays Global Fund this Order or the application following Advisors (‘‘Adviser’’), iShares Trust SECURITIES AND EXCHANGE the conclusion of the notice period. (‘‘Trust’’) and SEI Investments COMMISSION The necessity for immediate action of Distribution Co. (‘‘Distributor’’). the Commission does not permit prior [Release No. 35–27713; 70–10083] FILING DATES: The application was filed notice of the Commission’s action. CF. on August 15, 2003. Holding Co. Act Release No. 35–27502 Hydro-Quebec, et al.; Order Granting HEARING OR NOTIFICATION OF HEARING: (Mar. 18, 2002). An Limited Approval to Application of order granting the requested relief will Hydro Quebec, et al. Accordingly, it is ordered, pursuant to sections 3, 9(a)(2), 10 and 20 of the be issued unless the Commission orders On July 30, 2003, we issued notice of Public Utility Holding Company Act of a hearing. Interested persons may an application by Hydro-Quebec and 1935 that the application of Hydro- request a hearing by writing to the certain of its subsidiaries under sections Quebec et al. is granted for the limited Commission’s Secretary and serving 9(a)(2) and 10 of the Act to acquire an purpose of complying with Department applicants with a copy of the request, interest in Cross-Sound Cable Company of Energy Order 202–03–1. personally or by mail. Hearing requests should be received by the Commission (New York) LLC (‘‘CSC NY’’). See By the Commission. Holding Co. Act Release 27703 (July 30, by 5:30 p.m. on September 5, 2003 and 2003.1 The application also seeks Margaret H. McFarland, should be accompanied by proof of exemptions for Hydro-Quebec and Deputy Secretary. service on applicants, in the form of an certain of its subsidiaries under sections [FR Doc. 03–21401 Filed 8–20–03; 8:45 am] affidavit or, for lawyers, a certificate of 3(a)(5) and 3(a)(1) of the Act. As BILLING CODE 8010–01–P service. Hearing requests should state described in the notice, CSNY is the nature of the writer’s interest, the constructing a transmission line (the reason for the request, and the issues ‘‘Cross Sound Cable’’) between New SECURITIES AND EXCHANGE contested. Persons may request York and Connecticut. The transmission COMMISSION notification of a hearing by writing to the Commission’s Secretary. line has not yet entered into commercial [Investment Company Act Release No. operation. The notice period for filing 26151; 812–13003] ADDRESSES: Secretary, Commission, 450 comments or requests for hearing with 5th Street, NW., Washington, DC 20549– respect to the application runs through Barclays Global Fund Advisors, et al.; 0609. Applicants: Richard F. Morris, August 25, 2003. Notice of Application Esq., Barclays Global Fund Advisors, On August 14, 2003, in response to a c/o Barclays Global Investors, N.A., 45 August 15, 2003. sudden black-out affecting large parts of Fremont Street, San Francisco, CA AGENCY: Securities and Exchange the eastern and midwestern sections of 94105; Susan C. Mosher, Esq., iShares Commission (‘‘Commission’’). the United States, the Department of Trust, c/o Investors Bank & Trust Energy issued an order pursuant to ACTION: Notice of an application to Company, 200 Clarendon Street, Boston, section 202(c) of the Federal Power Act amend a prior order under section 6(c) MA 02116; and William E. Zitelli, Esq., requiring that the Cross Sound Cable be of the Investment Company Act of 1940 SEI Investments Distribution Co., One (‘‘Act’’) granting an exemption from Freedom Valley Drive, Oaks, PA 19456. 1 Specifically, Hydro-Que´bec (‘‘HQ’’), 75 Rene´- sections 2(a)(32), 5(a)(1), and 22(d) of FOR FURTHER INFORMATION CONTACT: Le´vesque Blvd. West, Montre´al, Que´bec H2Z 1A4 the Act and rule 22c–1 under the Act, Laura J. Riegel, Senior Counsel, at (202) Canada, a corporation wholly owned by the and under sections 6(c) and 17(b) of the 942–0567, or Michael W. Mundt, Senior government of Que´bec and a public-utility holding Act granting an exemption from sections company that claims exemption under the Act Special Counsel, at (202) 942–0564 under rule 10, and its subsidiaries, TransEnergie 17(a)(1) and (a)(2) of the Act. (Division of Investment Management). HQ, Inc. (‘‘TEI’’), 740 rue Noˆtre-Dame Ouest, SUPPLEMENTARY INFORMATION: The Bureau 800, Montre´al, Que´bec, H3C 3X6 Canada, a SUMMARY OF APPLICATION: Applicants Canadian corporation, TransEnergie U.S. Ltd. request an order to amend a prior order following is a summary of the (‘‘TEUS’’), a Delaware corporation and Cross-Sound that permits: (a) An open-end application. The complete application Cable Company (New York), LLC (‘‘CSC NY’’), a management investment company, may be obtained for a fee at the New York limited liability company, both located Commission’s Public Reference Branch, at 110 Turnpike Road, Westborough, MA 01581 whose series are based on certain fixed- (collectively, ‘‘Applicants’’) have filed an income securities indices, to issue 450 5th Street, NW., Washington, DC application under sections 3(a)(1), 3(a)(5), 9(a)(2) shares of limited redeemability; (b) 20549–0102 (tel. 202–942–8090). and 10 of the Act in connection with a proposed acquisition of interests in CSC NY (the secondary market transactions in the Applicants’ Representations ‘‘Transaction’’). 1. The Trust is an open-end Applicants request an order under sections 9(a)(2) 2 The Commission has, in the past, issued orders and 10 of the Act authorizing HQ through TEI and in response to crises in the energy sector while at management investment company TEUS to acquire interests in CSC NY; an order the same time retaining its authority to reconsider exempting TEUS from registration under section the matter at an appropriate time. See Union 1 Barclays Global Fund Advisors, et al., 3(a)(1); and an order exempting HQ from Electric Co., Holding Co. Act Release No. 18368 Investment Company Act Release Nos. 25594 (May registration under section 3(a)(5). (Apr. 10, 1974). 29, 2002) (notice) and 25622 (June 25, 2002) (order).

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registered under the Act and established for existing series of the Trust. The New identical to the economic characteristics in the state of Delaware. The Trust is Fund that would track the Aggregate of the component securities of its organized as a series fund with multiple Index (‘‘Aggregate Fund’’) intends to use Underlying Index (i.e., the TBAs, as series. The Adviser, an investment ‘‘to-be-announced’’ (‘‘TBA’’) discussed above). Applicants expect adviser registered under the Investment transactions to track the United States that each New Fund will have a tracking Advisers Act of 1940, will serve as agency mortgage pass-through securities error relative to the performance of its investment adviser to each New Fund. in the Aggregate Index.4 Applicants respective Underlying Index of no more The Distributor, a broker-dealer state that information about the intraday than 5 percent. unaffiliated with the Adviser and prices for the fixed income securities 6. Applicants state that all discussions registered under the Securities held by the New Funds (and TBAs held contained in the application for the Exchange Act of 1934, serves as the by the Aggregate Fund) is readily Prior Order are equally applicable to the principal underwriter for the Trust. available to the marketplace. New Funds, except as specifically noted 2. The Trust is currently permitted to 5. The investment objective of each by applicants (as summarized above). offer seven series based on fixed-income New Fund will be to provide investment Applicants agree that the amended securities indices in reliance on the results that correspond generally to the order will subject applicants to the same Prior Order. Applicants seek to amend price and yield performance of its conditions as imposed by the Prior the Prior Order to permit the Trust to relevant Underlying Index. Each New Order. Applicants believe that the offer 11 new series based on fixed- Fund will utilize as an investment requested relief continues to meet the income securities indices (each, a ‘‘New approach a representative sampling necessary exemptive standards. Fund’’) that, except as described in the strategy where each New Fund will seek For the Commission, by the Division of application, would operate in a manner to hold a representative sample of the Investment Management, pursuant to identical to the existing series of the component securities of the Underlying delegated authority. Trust that are subject to the Prior Index. Except for the Aggregate Fund Margaret H. McFarland, 2 Order. and the New Funds that track the GS 5- Deputy Secretary. 3. Each New Fund will invest in a Year Index (‘‘GS 5-Year Fund’’) and the [FR Doc. 03–21447 Filed 8–20–03; 8:45 am] portfolio of securities generally GS 10-Year Index (‘‘GS 10-Year Fund’’), BILLING CODE 8010–01–P consisting of the component securities each New Fund will invest at least 90% of a specified fixed income securities of its assets in the component securities index (each, an ‘‘Underlying Index’’).3 of its Underlying Index and may invest SECURITIES AND EXCHANGE No entity that creates, compiles, the remainder of its assets in certain COMMISSION sponsors, or maintains an Underlying futures, options, and swap contracts, Index is or will be an affiliated person, cash and cash equivalents, and in bonds [Release No. 35–27712] as defined in section 2(a)(3) of the Act, not included in its Underlying Index Filings Under the Public Utility Holding or an affiliated person of an affiliated which the Adviser believes will help the Company Act of 1935, as Amended person, of the Trust, the Adviser, the New Fund track its Underlying Index. (‘‘Act’’) Distributor, or a promoter of a New Each of the GS 5-Year Fund and the GS Fund. 10-Year Fund generally will invest 90% August 15, 2003. 4. Except for the TIPS Index and the of its assets in the component securities Notice is hereby given that the Aggregate Index, all of the Underlying of its Underlying Index, though at times following filing(s) has/have been made Indices contain fixed-income securities each of those New Funds may invest up with the Commission under provisions that are eligible for inclusion in the to 20% of its assets in certain futures, of the Act and rules promulgated under underlying indices for the existing options and swap contracts, cash and the Act. All interested persons are series of the Trust that are subject to the cash equivalents, as well as in bonds not referred to the application(s) and/or Prior Order. The TIPS Index represents included in its Underlying Index in declaration(s) for complete statements of all of the inflation protected public order to manage prospective changes to the proposed transaction(s) summarized obligations of the United States the indices.5 The Aggregate Bond Fund below. The application(s) and/or Treasury. The Aggregate Bond Index will have at least 90% of its net assets declaration(s) and any amendment(s) is/ includes United States agency mortgage invested in: (a) Component securities of are available for public inspection pass-through securities, in addition to its Underlying Index and (b) through the Commission’s Branch of fixed-income securities that are investments that have economic Public Reference. included in certain underlying indices characteristics that are substantially Interested persons wishing to comment or request a hearing on the 2 If the amended order is granted, the New Funds 4 A TBA transaction essentially is a purchase or application(s) and/or declaration(s) would also be able to rely on an exemptive order sale of a United States agency mortgage pass- granting certain relief from section 24(d) of the Act through security for future settlement at an agreed should submit their views in writing by to the existing series of the Trust that are subject upon date. Applicants state that 90% of United September 10, 2003, to the Secretary, to the Prior Order. See iShares, Inc., et al., States agency mortgage pass-through securities are Securities and Exchange Commission, Investment Company Act Release Nos. 25595 (May executed as TBA trades. Applicants state that TBA Washington, DC 20549–0609, and serve 29, 2002) (notice) and 25623 (June 25, 2002) (order). transactions increase the liquidity and pricing 3 The Underlying Indices for the New Funds are efficiency of transactions in United States agency a copy on the relevant applicant(s) and/ Lehman Brothers Short U.S. Treasury Index, mortgage pass-through securities since they permit or declarant(s) at the address(es) Lehman Brothers 3–7 Year U.S. Treasury Index, similar United States agency mortgage pass-through specified below. Proof of service (by Lehman Brothers 10–20 Year U.S. Treasury Index, securities to be traded interchangeably pursuant to affidavit or, in the case of an attorney at Lehman Brothers U.S. Treasury Inflation Notes commonly observed settlement and delivery Index (‘‘TIPS Index’’), Lehman Brothers U.S. Credit requirements. law, by certificate) should be filed with Index, Lehman Brothers Intermediate U.S. Credit 5 The bonds will be bonds that the Adviser the request. Any request for hearing Index, Lehman Brothers Intermediate U.S. believes will help the New Fund track its should identify specifically the issues of Government/Credit Index, Lehman Brothers U.S. Underlying Index and which are either: (a) included facts or law that are disputed. A persons Aggregate Index (‘‘Aggregate Index’’), Credit Suisse in the broader index upon which such Underlying First Boston Liquid U.S. Agency Index, GS $ Index is based; or (b) new issues entering or about who so requests will be notified of any InvesTop 5-Year Index (‘‘GS 5-Year Index’’) and GS to enter the Underlying Index or the broader index hearing, if ordered, and will receive a $ InvesTop 10-Year Index (‘‘GS 10-Year Index’’). upon which such Underlying Index is based. copy of any notice or order is issued in

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the matter. After September 10, 2003, (‘‘Act’’),1 and Rule 19b–4 thereunder,2 percent or more of his or her the application(s) and/or declaration(s), notice is hereby given that on June 12, professional work, in the last 2 years, to as filed or as amended, may be granted 2003, the National Association of clients who are engaged in any of the and/or permitted to become effective. Securities Dealers, Inc. (‘‘NASD’’), business activities listed in through its wholly owned subsidiary, subparagraph (4)(A); or Northeast Utilities, et al. (70–9343) NASD Dispute Resolution, Inc. (‘‘NASD (D) Is an employee of a bank or other Northeast Utilities (‘‘NU’’), 174 Brush Dispute Resolution’’) filed with the financial institution and effects Hill Avenue, West Springfield, Securities and Exchange Commission transactions in securities, including Massachusetts 01090–0010, a registered (‘‘SEC’’ or ‘‘Commission’’) the proposed government or municipal securities, and holding company, NU’s wholly-owned rule change as described in Items I, II, commodities futures or options or nonutility subsidiary, NU Enterprises, and III below, which Items have been supervises or monitors the compliance Inc. (‘‘NUEI’’), and Northeast Utilities prepared by the NASD. The with the securities and commodities Service Company, both located at 107 Commission is publishing this notice to laws of employees who engage in such Selden Street, Berlin, Connecticut solicit comments on the proposed rule activities. 06037, (collectively, the ‘‘Applicants’’) change from interested persons. (5) ‘‘public arbitrator’’ have filed a post effective amendment to I. Self-Regulatory Organization’s (A) The term ‘‘public arbitrator’’ their application-declaration under Statement of the Terms of Substance of means a person who is otherwise section 12(b) and rules 45 and 54 under the Proposed Rule Change qualified to serve as an arbitrator and [is the Act. not]: By order dated November 12, 1998 The NASD proposes to amend Rules (i) Is not engaged in the conduct or (HCAR No. 26939) (‘‘Prior Order’’), the 10308 and 10312 of the NASD Code of activities described in paragraphs (a)(4) Commission Authorized NU and NUEI Arbitration Procedure (‘‘Code’’) to (A) through (D); [or] to, among other things, issue guarantees provide additional assurance that (ii) Was not engaged in the conduct or or provide similar forms of credit individuals with significant ties to the activities described in paragraphs (a)(4) support or enhancements (collectively, securities industry may not serve as (A) through (D) for a total of 20 years ‘‘Guarantees’’), to, or for the benefit of public arbitrators in NASD arbitrations. or more; NUEI, NUEI’s nonutility subsidiaries, or Below is the text of the proposed rule (iii) Is not an investment adviser; NU’s other to-be-formed direct or change. Proposed new language is in (iv) Is an attorney, accountant, or indirect energy-related companies, as italics; proposed deletions are in other professional whose firm derived defined in rule 58 of the Act. The brackets. 10 percent or more of its annual revenue Commission, through subsequent orders * * * * * in the past 2 years from any persons or in this file, authorized an increase in 10100. Code of Arbitration Procedure entities listed in paragraph (a)(4)(A); this Guarantee authority to $500 million and and the extension of the date through * * * * * (v) Is not the spouse or an immediate which Guarantees may be provided Rule 10308. Selection of Arbitrators family member of a person who is through September 30, 2003, under the engaged in the conduct or activities This Rule specifies how parties may terms and conditions of the Prior Order. described in paragraphs (a)(4)(A) select or reject arbitrators, and who can Applicants request in this filing to through (D). be a public arbitrator. maintain the Guarantee authority at (B) For the purpose of this Rule, the $500 million and to extend the date (a) Definitions. term ‘‘immediate family member’’ through which the Guarantees may be (1)–(3) Unchanged. means: provided through June 30, 2004, under (i) The parent, stepparent, child, or * * * * * the terms and conditions of the Prior (4) ‘‘non-public arbitrator’’ stepchild, of a person engaged in the Order. The term ‘‘non-public arbitrator’’ conduct or activities described in paragraphs (a)(4)(A) through (D); For the Commission, by the Division of means a person who is otherwise Investment Management, under delegated qualified to serve as an arbitrator and: (ii) A member of the household of authority. (A) is, or within the past 5 [three] [family member who shares a home Margaret H. McFarland, years, was: with] a person engaged in the conduct or activities described in paragraphs Deputy Secretary. (i) associated with a broker or a dealer (including a government securities (a)(4)(A) through (D); [FR Doc. 03–21400 Filed 8–20–03; 8:45 am] broker or dealer or a municipal (iii) A person who receives financial BILLING CODE 8010–01–P securities dealer); support of more than 50 percent of his (ii) registered under the Commodity or her annual income from a person Exchange Act; engaged in the conduct or activities SECURITIES AND EXCHANGE (iii) a member of a commodities described in paragraphs (a)(4)(A) COMMISSION exchange or a registered futures through (D); or [Release No. 34–48347; File No. SR–NASD– association; or (iv[iii]) A person who is claimed as a 2003–95] (iv) associated with a person or firm dependent for federal income tax registered under the Commodity purposes by a person engaged in the Self-Regulatory Organizations; Notice Exchange Act; conduct or activities described in of Filing of Proposed Rule Change by (B) is retired from, or spent a paragraphs (a)(4)(A) through (D). the National Association of Securities substantial part of a career, engaging in * * * * * Dealers, Inc. Relating to Arbitrator any of the business activities listed in Remainder of (a) through (c) Classification and Disclosure in NASD subparagraph (4)(A); unchanged. Arbitration (C) Is an attorney, accountant, or other professional who has devoted 20 * * * * * August 14, 2003. (d) Disqualification and Removal of Pursuant to section 19(b)(1) of the 1 15 U.S.C. 78s(b)(1). Arbitrator Due to Conflict of Interest or Securities Exchange Act of 1934 2 17 CFR 240.19b–4. Bias

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(1) Disqualification by Director that are likely to affect impartiality or comments it received on the proposed After the appointment of an arbitrator might reasonably create an appearance rule change. The text of these statements and prior to the commencement of the of partiality or bias. Persons requested may be examined at the places specified earlier of (A) the first pre-hearing to serve as arbitrators must [should] in Item IV below. The NASD has conference or (B) the first hearing, if the disclose any such relationships or prepared summaries, set forth in Director or a party objects to the circumstances that they have with any Sections (A), (B), and (C) below, of the continued service of the arbitrator, the party or its counsel, or with any most significant aspects of such Director shall determine if the arbitrator individual whom they have been told statements. should be disqualified. If the Director will be a witness. They must [should] sends a notice to the parties that the also disclose any such relationship or (A) Self-Regulatory Organization’s arbitrator shall be disqualified, the circumstances involving members of Statement of the Purpose of, and arbitrator will be disqualified unless the their families or their current Statutory Basis for, the Proposed Rule parties unanimously agree otherwise in employers, partners, or business Change writing and notify the Director not later associates. 1. Purpose than 15 days after the Director sent the (b) Persons who are requested to The NASD represents that the notice. accept appointment as arbitrators must (2) Removal by Director [should] make a reasonable effort to proposed rule change would amend After the commencement of the inform themselves of any interests, Rules 10308 and 10312 of the Code to: earlier of (A) the first pre-hearing relationships or circumstances (1) Modify the definitions of public and conference or (B) the first hearing, the described in paragraph (a) above. non-public arbitrators to further ensure Director may remove an arbitrator based (c) The obligation to disclose that individuals with significant ties to only on information that is required to interests, relationships, or the securities industry are not able to be disclosed pursuant to Rule 10312 and circumstances that might preclude an serve as public arbitrators; (2) provide that was not previously disclosed. arbitrator from rendering an objective specific standards for deciding (3) The Director will grant a party’s and impartial determination described challenges to arbitrators for cause; and request to disqualify an arbitrator if it is in paragraph (a) is a continuing duty (3) clarify that compliance with reasonable to infer, based on that requires a person who accepts arbitrator disclosure requirements is information known a the time of the appointment as an arbitrator to disclose, mandatory. request, that the arbitrator is biased, at any stage of the arbitration, any such Background lacks impartiality, or has an interest in interests, relationships, or the outcome of the arbitration. The circumstances that arise, or are recalled In July 2002, the SEC retained interest or bias must be direct, definite, or discovered. Professor Michael Perino to assess the adequacy of NASD (and New York and capable of reasonable (d) Removal by Director demonstration, rather than remote or Stock Exchange) arbitrator disclosure speculative. (1) The Director may remove an requirements, and to evaluate the arbitrator based on information that is impact of the recently adopted (e) Discretionary Authority required to be disclosed pursuant to this California Ethics Standards 3 on the The Director may exercise Rule. current conflict disclosure rules of the discretionary authority and make any (2) After the commencement of the self-regulatory organizations (SROs). decision that is consistent with the earlier of (A) the first pre-hearing The SEC released professor Perino’s purposes of this Rule and the Rule conference or (B) the first hearing, the report, Report to the Securities and 10000 Series to facilitate the Director may remove an arbitrator based Exchange Commission Regarding appointment of arbitration panels and only on information not known to the Arbitrator Conflict Disclosure the resolution of arbitration disputes. parties when the arbitrator was selected. Requirements in NASD and NYSE The Director’s authority under this Securities Arbitrations (Perino Report), (f) Challenges by Customers subparagraph (2) may be exercised only on November 4, 2002. In cases involving public customers, by the Director or the President of The Perino Report concluded that any close questions regarding arbitrator NASD Dispute Resolution. undisclosed conflicts of interest were classification or challenges for cause (3) The Director will grant a party’s not a significant problem in SRO- brought by a customer will be resolved request to disqualify an arbitrator if it is sponsored arbitrations. Specifically, the in favor of the customer. reasonable to infer, based on Perino Report concluded that adoption * * * * * information known at the time of the of the California Ethics Standards by request, that the arbitrator is biased, SROs would yield very few benefits to Rule 10312. Disclosures Required of lacks impartiality, or has an interest in parties, but would impose significant Arbitrators and Director’s Authority to the outcome of the arbitration. The costs and could have significant Disqualify interest or bias must be direct, definite, unintended consequencies that might (a) Each arbitrator shall be required to and capable of reasonable reduce investors’ perception of the disclose to the Director of Arbitration demonstration, rather than remote or fairness of SRO arbitrations. However, any circumstances which might speculative. the Perino Report recommended several preclude such arbitrator from rendering * * * * * amendments to SRO arbitrator an objective and impartial II. Self-Regulatory Organization’s classification and disclosure rules that, determination. Each arbitrator shall Statement of the Purpose of, and according to the Perino Report, might disclose: ‘‘provide additional assurance to (1) Any direct or indirect financial or Statutory Basis for, the Proposed Rule Change investors that arbitrations are in fact personal interest in the outcome of the neutral and fair.’’ arbitration; In its filing with the Commission, the (2) Any existing or past financial, NASD included statements concerning 3 California Rules of Court, Division VI of the business, professional, family, social, or the purpose of, and basis for, the Appendix, entitled, ‘‘Ethics Standards for Neutral other relationships or circumstances proposed rule change and discussed any Arbitrators in Contractual Arbitration.’’

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This rule change would implement arbitrators, as well as family members ‘‘immediate family member’’ to also those recommendations, as well as who share a home with, receive include anyone, related or not, who is several other related changes to the substantial financial support from, or a member of the household of a non- definition of public and non-public are declared as dependents for federal public arbitrator. arbitrators that are consistent with the income tax purposes by, non-public Standard for Deciding Challenges for Perino Report recommendations. arbitrators. The proposed rule change would Cause Definition of Public and Non-Public amend these definitions in several ways Rules 10308(d) and 10312(d) of the Arbitrators to further ensure that individuals with Code provide that under certain The Code classifies arbitrators as significant ties to the securities industry circumstances, the Director of NASD public or non-public (i.e., ‘‘industry’’). are not able to serve as public Dispute Resolution may remove an When investors have a dispute with arbitrators. Specifically, the proposed arbitrator upon request of a party or member firms or associated persons in rule change would amend the definition under the Director’s own initiative. Rule NASD arbitration, they are entitled to of non-public arbitrator in Rule 10308(d)(1) of the Code provides that, have their cases heard by a panel 10308(a)(4) of the Code to: before the first hearing session, if a party consisting of either a single public • Increase from three years to five objects to the continued service of an arbitrator, or a majority public panel years the period for transitioning from arbitrator, the Director may disqualify consisting of two public arbitrators and an industry to public arbitrator; and an arbitrator if the Director determines • one non-public arbitrator, depending on Clarify that the term ‘‘retired’’ from that the arbitrator should be the amount of the claim. the industry includes anyone who spent disqualified. Rule 10312(d)(1) of the Rule 10308(a)(5) of the Code defines a substantial part of his or her career in Code provides that the Director may ‘‘public’’ arbitrators as persons who are the industry. remove an arbitrator from a panel based qualified to serve as arbitrators and who In addition, the proposed rule change on information that must be disclosed are not either personally engaged in would amend the definition of public pursuant to the rule. Under both rules, certain activities that would make them arbitrator in Rule 10308(a)(5)(A) of the once the first hearing session has begun, Code to: non-public, or the immediate family • the Director may only remove an member of a person engaged in such Prohibit anyone who has been arbitrator based on information that was activities. Specifically, under Rule associated with the industry for at least required to be disclosed under Rule 10308(a)(4) of the Code, a person is 20 years from ever becoming a public 10312 of the Code but was not currently classified as a non-public arbitrator, regardless of how may years previously disclosed. ago the association ended; arbitrator if he or she: • The Code does not provide a specific (A) Is, or within the past three years, Exclude from the definition of standard for deciding whether an was: public arbitrator attorneys, accountants, arbitrator should be removed under • Associated with a broker or a dealer and other professionals whose firms these provisions. However, the NASD (including a government securities have derived 10 percent or more of their Arbitrator’s Manual states that such broker or dealer or a municipal annual revenue, in the last two years, challenges: securities dealer); from clients involved in the activities • defined in the definition of non-public will be granted where it is reasonable to infer Registered under the Commodity an absence of impartiality, the presence of Exchange Act; arbitrator; and • • Provide that investment advisers bias, or the existence of some interest on the A member of a commodities part of the arbitrator in the outcome of the exchange or a registered futures may not serve as public arbitrators, and arbitration as it affects one of the parties. The association; or many only serve as non-public interest or bias must be direct, definite, and • Associated with a person or firm arbitrators if they otherwise qualify capable of reasonable demonstration, rather registered under the Commodity unde Rule 10308(a)(4) of the Code. than remote or speculative.4 The proposed rule change would also Exchange Act; The Perino Report noted that significantly amend the definition of (B) Is retired from engaging in any of including this standard in the Code ‘‘immediate family member’’ in Rule the business activities listed in would provide greater transparency 10308(a)(5)(B) of the Code to further subparagraph (4)(A). with respect to challenges for cause, and ensure that individuals with significant, (C) Is an attorney, accountant, or other would enhance the parties’ confidence albeit indirect, tries to the securities professional who has devoted 20 that all challenges for cause will be industry may not serve as public percent or more of his or her granted or denied on the same basis. arbitrators. The Perino Report professional work, in the last two years, Therefore, NASD is amending Rule recommended that NASD expand the to clients who are engaged in any of the 10308(d) of the Code and Rule 10312(d) definition of ‘‘immediate family business activities listed in of the Code to provide that in deciding member’’ to include parents and subparagraph (4)(A); challenges for cause, the Director will children, even if the parent or child (D) Is an employee of a bank or other apply the standard described above. does not share a home with or receive financial institution and effects In addition, based on the substantial support from, a non-public transactions in securities, including recommendation of the Perino Report, arbitrator. Although the Perino Report government or municipal securities, and NASD is amending Rule 10308 of the referred only to parents and children, commodities futures or options or Code to add a new paragraph (f) NASD believes that the same rationale supervises or monitors the compliance providing that, consistent with both applies to stepparents and stepchildren, with the securities and commodities NASD current practice and the New and therefore recommends including laws of employees who engage in such York Stock Exchange’s Guidelines for such relationships in the definition as activities; or Classifying Arbitrators, close questions well. And, although the Perino Report (E) Is the immediate family member of regarding arbitrator classification or anyone who meets the criteria above. did not address the issue, NASD Rule 10308(a)(5) of the Code currently believes that it is consistent with the 4 As the Perino Report noted, this is essentially defines ‘‘immediate family member’’ to Perino Report recommendations to the same standard followed by the New York Stock include spouses of non-public amend the definition of the term Exchange.

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challenges for cause brought by a public (B) Self-Regulatory Organization’s For the Commission, by the Division of customer will be resolved in favor of the Statement on Burden on Competition Market Regulation, pursuant to delegated 6 customer. authority. NASD does not believe that the Margaret H. McFarland, Arbitrator Duty To Disclose and Update proposed rule change will result in any Deputy Secretary. Conflict Information burden on competition that is not [FR Doc. 03–21402 Filed 8–20–03; 8:45 am] necessary or appropriate in furtherance Rule 10312(a) of the Code currently BILLING CODE 8010–01–P of the purposes of the Act. provides that arbitrators ‘‘shall be required to disclose’’ any circumstances (C) Self-Regulatory Organization’s which might preclude an arbitrator from Statement on Comments on the SECURITIES AND EXCHANGE rendering an objective and impartial Proposed Rule Change Received From COMMISSION determination, and enumerates specific Members, Participants, or Others [Release No. 34–48358; File No. SR–NASD– personal, and professional and financial 2003–111] information that ‘‘should’’ be disclosed Written comments were neither under the rule. Rule 10312(b) of the solicited nor received. Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change and Code provides that arbitrators ‘‘should’’ III. Date of Effectiveness of the Amendment No. 1 Thereto by National make a reasonable effort to inform Proposed Rule Change and Timing for Association of Securities Dealers, Inc. themselves of any such conflicts. Rule Commission Action 10312(c) of the Code provides that the Relating to Charges for ViewSuite Services Set Forth in NASD Rule duties imposed by paragraphs (a) and Within 35 days of the date of 7010(q) (b) are ongoing, and that arbitrators publication of this notice in Federal must disclose at any stage of the Register or within such longer period (i) August 15, 2003. proceeding any such information that as the Commission may designate up to Pursuant to section 19(b)(1) of the arises, is recalled or discovered. 90 days of such date if it finds such Securities Exchange Act of 1934 longer period to be appropriate and 1 2 While NASD has always interpreted (‘‘Act’’), and Rule 19b–4 thereunder, publishes its reasons for so finding or Rule 10312 of the Code to impose a notice is hereby given that on July 17, (ii) as to which the self-regulatory mandatory duty on arbitrators to 2003, the National Association of organization consents, the Commission disclose the required information, and Securities Dealers, Inc. (‘‘NASD’’), will: to update their disclosure, the Perino through its subsidiary, The Nasdaq Report noted that the use of the term A. by order approve such proposed Stock Market, Inc. (‘‘Nasdaq’’), filed with the Securities and Exchange ‘‘should’’ in paragraphs (a) and (b) of the rule change, or Commission (‘‘SEC’’ or ‘‘Commission’’) Rule may create the misimpression that B. institute proceedings to determine the proposed rule change as described disclosing and updating the information whether the proposed rule change in Items I, II, and III below, which Items are merely recommended, but not should be disapproved. have been prepared by Nasdaq. On required. Therefore, to eliminate any IV. Solicitation of Comments August 11, 2003, Nasdaq filed possible misunderstanding or Amendment No. 1 that entirely replaced confusion, NASD is amending Rule Interested persons are invited to the original rule filing.3 The 10312(a) and (b) of the Code to clarify submit written data, views, and Commission is publishing this notice, as that arbitrators ‘‘must’’ disclose the arguments concerning the foregoing, amended, to solicit comments on the required information and ‘‘must’’ make including whether the proposed rule proposed rule change from interested reasonable efforts to inform themselves change is consistent with the Act. persons. of potential conflicts and update their Persons making written submissions disclosures as necessary. I. Self-Regulatory Organization’s should file six copies thereof with the Statement of the Terms of the Substance 2. Statutory Basis Secretary, Securities and Exchange of the Proposed Rule Change Commission, 450 Fifth Street, NW., NASD believes that the proposed rule Washington, DC 20549–0609. Copies of Nasdaq is proposing a pilot program change is consistent with the provisions the submission, all subsequent for a one-year period to reduce the price of section 15A(b)(6) of the Act5, which amendments, all written statements and simplify the structure of the fees assessed for the Nasdaq ViewSuite requires, among other things, that the with respect to the proposed rule products under Rule 7010(q). Nasdaq Association’s rules must be designed to change that are filed with the proposes to implement this rule change prevent fraudulent and manipulative Commission, and all written effective as of September 15, 2003. communications relating to the acts and practices, to promote just and Proposed new language is italicized.4 equitable principles of trade, and, in proposed rule change between the * * * * * general, to protect investors and the Commission and any person, other than those that may be withheld from the public interest. NASD believes that, by 6 17 CFR 200.30–3(a)(12). providing further assurance to parties public in accordance with the 1 15 U.S.C. 78s(b)(1). that individuals with significant ties to provisions of 5 U.S.C. 552, will be 2 17 CFR 240.19b–4. the securities industry are not able to available for inspection and copying in 3 See Letter from Mary M. Dunbar, Vice President serve as public arbitrators in NASD the Commission’s Public Reference and Deputy General Counsel, Nasdaq, to Katherine Room. Copies of such filing will also be A. England, Assistant Director, Division of Market arbitrations, the proposed rule change Regulation (‘‘Division’’), Commission, dated August will enhance investor confidence in the available for inspection and copying at 8, 2003. fairness and neutrality of NASD’s the principal office of the NASD. All 4 The Commission made certain edits to the arbitration forum. submissions should refer to File No. notice submitted by Nasdaq as part of Amendment SR–NASD–2003–95 and should be No. 1 to conform it to the changes made to the Form 19b–4. Telephone conversation between Eleni 5 15 U.S.C. 78o–3(b)(6). submitted by September 11, 2003. Constantine, Office of General Counsel, Nasdaq and

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Rule 7010. Charges for Services and the purpose of, and basis for, the of both products to professional and Equipment proposed rule change and discussed any non-professional subscribers).7 (a)–(p) No Change comments it received on the proposed PowerView is offered through (q) Nasdaq Data Entitlement Packages rule change. The text of these statements distributors to professional subscribers This subsection (q) sets out the may be examined at the places specified for $75 per month per controlled device charges for the data entitlement in Item IV below. Nasdaq has prepared and to non-professional subscribers for packages collectively known as summaries, set forth in sections A, B, $29 per month per controlled device, ViewSuite. Subsections (q)(1) and (q)(2) and C below, of the most significant plus $1,000 per month per distributor. describe the data entitlement packages aspects of such statements. TotalView is offered through distributors to professional subscribers and set out the regular charges for each. A. Self-Regulatory Organization’s for $150 per month per controlled Subsection (q)(3) describes the Statement of the Purpose of, and device and to non-professional Enterprise License Program, a optional Statutory Basis for, the Proposed Rule subscribers for $150 per month per pilot program that modifies the regular Change charges for participants as set out controlled device, plus $7,500 per therein. Subsection (q)(4) describes the 1. Purpose month per distributor (a single ViewSuite entitlement, a second pilot The launch of SuperMontage, TotalView distributor payment covers program that suspends the regular Nasdaq’s integrated quotation and distribution of DepthView, PowerView, charges set out in (q)(1) and (q)(2) execution system, vastly expanded and TotalView to professional and non- during its operation. Thus, the monthly Nasdaq’s ability to offer market data to professional subscribers). charges set out in (q)(1) and (q)(2) below market participants that choose to It is important to note, however, that are not in effect during the length of the display trading interest on Nasdaq that the total fees, described above, include pilot program set out in (q)(4). goes beyond the best bid and offer: fees for NQDS. The NQDS-only fees (1) No Change Nasdaq DepthView, PowerView, and (incremental to the Level 1 charges) are (2) No Change $30 for professional users and $9 for (3) No Change TotalView, collectively referred to as the ‘‘ViewSuite’’ products, offer a wide non-professional users.8 There is no (4) For a one-year pilot period distributor fee for the NQDS service. commencing on September 15, 2003, the array of quotation information to market DepthView, PowerView and TotalView data vendors and broker/dealer To encourage the broadest possible entitlements described above in (1) and distributors. DepthView shows the display of the SuperMontage data (2) of this subsection (q) shall be offered aggregate size, by price level, of all contained in the ViewSuite products, as a single entitlement, ‘‘the ViewSuite Nasdaq market participants’ attributed Nasdaq then proposed an optional pilot and unattributed quotations/orders that program to offer an enterprise-wide entitlement,’’ and not offered separately. 9 The ViewSuite entitlement shall allow a are in the top five price levels in license to distributors. This pilot subscriber to see all of the data in SuperMontage. PowerView bundles the allows each distributor to provide a DepthView, PowerView and TotalView Nasdaq Quotation Dissemination ViewSuite product to large numbers of including the ADAP data feed Service or ‘‘NQDS’’ and DepthView. subscribers for a fixed rate based upon (aggregated depth at the top five price TotalView offers the PowerView a multiple of (1) The incremental cost of levels), the NQDS feed, and Prime services plus all Nasdaq market the ViewSuite product and (2) the size (aggregated quotes of all participants in participants’ attributed quotations/ of that distributor’s reported subscriber the top five price levels). orders that are in the top five price base for NQDS (in the case of (A)(i) Except as provided in (4)(A)(ii) levels in SuperMontage, in addition to PowerView and TotalView) or for Level below, for the ViewSuite entitlement the aggregate size of all unattributed 1 (in the case of DepthView) for there shall be a $70 monthly charge for quotes/orders at each of the top five December 2002. The fee for an each controlled device, as defined in price levels. Enterprise License will remain the same subsection (q)(1)(A)(i) above. On November 20, 2002, the Securities throughout the pilot, even if its NQDS (ii) A non-professional subscriber, as and Exchange Commission approved a subscriber base increases or decreases. defined in subsection (q)(1)(A)(ii) above, rule proposal that established fees This Enterprise License Pilot does not shall pay $14 per month for each assessed for the ViewSuite products, apply to the Level 1 or NQDS data controlled device. which are offered exclusively through services. (B) The pilot ViewSuite entitlement distributors.5 DepthView is offered shall not affect the distributor charges through distributors to professional 7 To comply with the SEC Vendor Display Rule, for ADAP data or Prime data set out in subscribers for $50 per month per 17 CFR 240.11Ac1–2, distributors must also provide 6 their controlled devices with the Level 1 subsections (q)(1)(C) and (q)(2)(A) controlled device and to non- entitlement service, separately priced at $20 per respectively. Those distributors who are professional subscribers for $25 per professional user and capped at $1 per non- presently receiving only aggregate data month per controlled device, plus professional user. The Level 1 entitlement includes may at their option continue to receive $1,000 per distributor per month (a the UTP Quotation Data Feed (UQDF), the UTP Trade Data Feed (UTDF), and the Level 1 that feed at the ADAP distributor charge single DepthView/PowerView proprietary feed. The Level 1 charges are not set out in subsection (q)(1)(C) above. distributor payment covers distribution included in the fees discussed in this filing. * * * * * 8 NQDS fees are separately administered and 5 See Securities Exchange Act Release No. 46843 accounted for within Nasdaq in order to maintain II. Self-Regulatory Organization’s (Nov. 18, 2002), 67 FR 70471 (Nov. 22, 2002). The its obligations as Administrator to the UTP Plan. As Statement of the Purpose of, and term ‘‘distributor’’ is defined in footnote six of Rule a result, the $30 per user attributed to NQDS is Statutory Basis for, the Proposed Rule 7010(q). included in the gross NQDS revenue calculation for 6 A ‘‘controlled device’’ is defined, in footnote UTP revenue sharing. Change one of Rule 7010(q), as any device that a distributor 9 See Securities Exchange Act Release No. 47477 In its filing with the Commission, of the Nasdaq Data Entitlement Package(s) permits (March 10, 2003), 68 FR 13747 (March 20, 2003). to: (a) access the information in the Nasdaq Data This pilot program was effective as of April 2003 Nasdaq included statements concerning Entitlement Package(s); or (b) communicate with and is in effect through December 2003. To the distributor so as to cause the distributor to participate, a distributor must have purchased an Leah Mesfin, Attorney, Division, Commission on access the information in the Nasdaq Data Enterprise License in the first two months of the August 14, 2003. Entitlement Package(s). program.

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Nasdaq believes that the originally 2. Statutory Basis Commission, and all written approved ViewSuite pricing is Nasdaq believes that the proposed communications relating to the reasonably related to the costs of rule change is consistent with the proposed rule change between the creating and operating the product and provisions of section 15A of the Act,11 Commission and any person, other than reflects its eventual value to subscribers. in general and with section 15A(b)(5) of those that may be withheld from the As SuperMontage becomes established the Act,12 in particular, in that the public in accordance with the and understood by investors and the proposal provides for the equitable provisions of 5 U.S.C. 552, will be trading community, Nasdaq believes allocation of reasonable dues, fees, and available for inspection and copying in that the existing pricing will be other charges among members and the Commission’s Public Reference appropriate for the ViewSuite product. issuers and other persons using any Room. Copies of such filing will also be At present, because SuperMontage and facility or system which the NASD available for inspection and copying at ViewSuite are still new products, operates or controls. Nasdaq represents the principal office of the NASD. All Nasdaq is seeking to maximize adoption that the proposed pilot programs are submissions should refer to file number of the products through lower prices available to all distributors of the SR–NASD–2003–111 and should be and by simplifying user entitlements for ViewSuite products. submitted by September 11, 2003. potential new subscribers. To support broad dissemination of the For the Commission, by the Division of B. Self-Regulatory Organization’s Market Regulation, pursuant to delegated data and understanding by its Statement on Burden on Competition authority.13 customers, Nasdaq proposes to simplify Nasdaq does not believe that the Margaret H. McFarland, and reduce the pricing for ViewSuite on proposed rule change will result in any Deputy Secretary. a pilot basis. The pilot would be for one burden on competition that is not year. The sole ViewSuite entitlement [FR Doc. 03–21448 Filed 8–20–03; 8:45 am] necessary or appropriate in furtherance BILLING CODE 8010–01–P would include ADAP, Prime, and NQDS of the purposes of the Act, as amended. service, as those products are defined in Rule 7010(q). Nasdaq does not believe C. Self-Regulatory Organization’s that it is appropriate to offer a stand- Statement on Comments on the SECURITIES AND EXCHANGE alone data package of the incremental Proposed Rule Change Received From COMMISSION ViewSuite data that is not contained in Members, Participants, or Others NQDS. This is because the incremental Written comments were neither [Release No. 34–48353; File No. SR–NASD– 2003–126] information consists of supplemental solicited nor received on the proposed quotation and order information (NQDS rule change. Self-Regulatory Organizations; Notice contains all market participants’ best of Filing and Immediate Effectiveness quotes) that might be misleading to III. Date of Effectiveness of the of Proposed Rule Change by the subscribers as a stand-alone package. Proposed Rule Change and Timing for As with the existing ViewSuite Commission Action National Association of Securities Dealers, Inc. To Extend the Pilot Period pricing, both professional and non- Within 35 days of the date of for Rules Relating to Bond Fund professional fees would be offered. publication of this notice in the Federal Volatility Ratings Monthly controlled device fees for Register or within such longer period (i) existing ViewSuite subscribers would be as the Commission may designate up to August 15, 2003. reduced, with the exception of 90 days of such date if it finds such Pursuant to section 19(b)(1) of the professional subscribers to DepthView. longer period to be appropriate and Securities Exchange Act of 1934 10 Nasdaq believes that the impact of the publishes its reasons for so finding or (‘‘Act’’),1 and Rule 19b–4 thereunder,2 effective increase in the fees to (ii) as to which the self-regulatory notice is hereby given that on August 7, professional DepthView users will be organization consents, the Commission 2003, the National Association of minimal; Nasdaq’s research suggests will: Securities Dealers, Inc. (‘‘NASD’’) filed that, in general, these users will A. by order approve such proposed with the Securities and Exchange willingly purchase the additional rule change, or Commission (‘‘Commission’’) the B. institute proceedings to determine information contained in the ViewSuite proposed rule change as described in whether the proposed rule change entitlement once the charge for this Items I and II below, which Items have should be disapproved. information is reduced. been prepared by the NASD. The NASD Nasdaq would continue to distribute IV. Solicitation of Comments filed the proposal pursuant to section both detailed and aggregate data from 19(b)(3)(A) of the Act,3 and Rule 19b– SuperMontage but decisions on how to Interested persons are invited to 4(f)(6) thereunder,4 which renders the display the data would be left to submit written data, views, and proposal effective upon filing with the vendors’ discretion (subject to the SEC arguments concerning the foregoing, Commission.5 The Commission is Vendor Display Rule). Any Enterprise including whether the proposed rule publishing this notice to solicit License Agreements will remain in change, as amended, is consistent with effect for their specified term. the Act. Persons making written submissions should file six copies 13 1917 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 10 thereof with the Secretary, Securities Fees would be generally reduced, as follows: 2 ¥ 17 CFR 240.19b–4. TotalView Professional: $80 and Exchange Commission, 450 Fifth 3 ¥ 15 U.S.C. 78s(b)(3)(A). TotalView Non-Professional: $136 Street, NW., Washington, DC 20549– 4 ¥ 17 CFR 240.19b–4(f)(6). PowerView Professional: $5 0609. Copies of the submission, all 5 ¥ The NASD provided written notice of its PowerView Non-Professional: $15 subsequent amendments, all written intention to file the proposed rule change on DepthView Professional: +$20 August 5, 2003. The Commission reviewed the ¥ statements with respect to the proposed DepthView Non-Professional: $11 rule change that are filed with the NASD’s submission, and told the NASD it was Nasdaq believes that the increase in Depth View acceptable to file the proposed rule change pricing reflects the addition of NQDS, which cannot immediately. The NASD asked the Commission to be discounted because it is part of the UTP Plan, 11 15 U.S.C. 78o–3. waive the 30-day operative delay. See Rule 19b– as described above. 12 15 U.S.C. 78o–3(b)(5). 4(f)(6)(iii). 17 CFR 240.19b–4(f)(6)(iii).

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comments on the proposed rule change ratings. Previously, the NASD staff information to investors, and whether it from interested persons. interpreted NASD rules to prohibit the had prevented the dissemination of use of bond fund volatility ratings in inappropriate and misleading I. Self-Regulatory Organization’s sales material. information.9 During the initial 18- Statement of the Terms of Substance of IM–2210–5 permits the use of bond month pilot period, the Department the Proposed Rule Change fund volatility ratings only in received very few filings that contained The NASD proposes to extend the supplemental sales literature and only if bond fund volatility ratings. Although expiration date of the pilot period for certain conditions are met: these filings generally met the rule’s the NASD’s rules concerning bond • The word ‘‘risk’’ may not be used to requirements, the staff did not believe mutual fund volatility ratings. The describe the rating. that it had received a sufficient number current pilot is scheduled to expire on • The rating must be the most recent of filings to adequately evaluate the August 31, 2003. The proposed rule available and be current to the most rule’s effectiveness. Accordingly, in July change extends the pilot period until recent calendar quarter ended prior to 2001, the NASD Regulation, Inc. Board August 31, 2005. The text of the use. of Directors authorized a rule filing with proposed rule change is below. • The rating must be based the Commission to extend the pilot for Proposed new language is in italics; exclusively on objective, quantifiable two years. The NASD subsequently filed proposed deletions are in brackets. factors. with the Commission a proposed rule • IM–2210–5. Requirements for the Use of The entity issuing the rating must change, which was effective upon filing, Bond Mutual Fund Volatility Ratings provide detailed disclosure on its rating to extend the pilot period until August methodology to investors through a toll- 31, 2003.10 (This rule and Rule 2210(c)(3) will free telephone number, a web site, or Since August 2001, the Department expire on August 31, [2003] 2005, both. has continued to receive very few filings unless extended or permanently • A disclosure statement containing under this rule. During the entire period approved by [the Association] NASD at all of the information required by the from February 2000, when the rule was or before such date.) rule must accompany the rating. The first approved, until the present, the (a) through (c) No change. statement must include such NASD has received a total of 41 * * * * * information as the name of the entity submissions from three NASD members. II. Self-Regulatory Organization’s issuing the rating, the most current In general, these filings met the Statement of the Purpose of, and rating and the date it was issued, and a requirements of IM–2210–5. However, Statutory Basis for, the Proposed Rule description of the rating in narrative the staff does not believe that it has Change form containing certain specified received a sufficient number of filings to disclosures. adequately evaluate the rule’s In its filing with the Commission, the Rule 2210(c)(3) requires members to effectiveness. NASD included statements concerning file bond mutual fund sales literature In particular, the NASD believes that, the purpose of and basis for the that includes or incorporates volatility because of the low interest rates over the proposed rule change and discussed any ratings with the Advertising Regulation last two years, bond mutual funds have comments it received on the proposed Department of the NASD had little reason to distribute sales rule change. The text of these statements (‘‘Department’’) at least 10 days prior to material that contains volatility ratings. may be examined at the places specified use for Department approval. If the The NASD believes that it needs to in Item IV below. The NASD has Department requests changes to the review the rule in an environment in prepared summaries, set forth in material, the material must be withheld which there is greater demand for sales Sections A, B, and C below, of the most from publication or circulation until the literature that includes bond mutual significant aspects of such statements. requested changes have been made or fund volatility ratings to determine the A. Self-Regulatory Organization’s the material has been refiled and rule’s effectiveness. The NASD believes Statement of the Purpose of, and approved. there is a reasonable probability that Statutory Basis for, the Proposed Rule IM–2210–5 and the new Rule such environment will exist over the Change 2210(c)(3) initially were approved on an next two years. 18-month trial basis that was scheduled Accordingly, the NASD proposes to 1. Purpose to expire on August 31, 2001.7 On extend the expiration date of IM–2210– Background and Description of the August 10, 2001, the NASD filed with 5 and Rule 2110(c)(3) for an additional NASD’s Rules on Bond Mutual Fund the Commission a proposed rule change two years, until August 31, 2005, to Volatility Ratings. On February 29, that was effective upon filing that allow more filings to be made. Before 2000, the Commission approved the extended the effectiveness of IM–2210– this period expires, the staff will adoption of NASD Interpretive Material 5 and Rule 2210(c)(3) an additional two evaluate the rule and determine whether 2210–5, which permits members and years until August 31, 2003.8 to recommend that the rule be their associated persons to include bond Proposed Rule Change to Extend the eliminated, modified, or permanently fund volatility ratings in supplemental Expiration Date of IM–2210–5 and Rule approved as is. The proposal contains sales literature (mutual fund sales 2210(c)(3). As indicated in the no substantive changes to the way in material that is accompanied or Commission’s order approving IM– which the pilot has operated during the preceded by a fund prospectus).6 The 2210–5 and Rule 2210(c)(3), the NASD past two years; it only extends the pilot Commission also approved at that time requested the 18-month trial period to period by an additional two years. new NASD Rule 2210(c)(3), which sets provide an opportunity to assess 2. Statutory Basis forth the filing requirements and review whether the rule had facilitated the procedures applicable to sales literature dissemination of useful, understandable The NASD believes that the proposed containing bond mutual fund volatility rule change is consistent with the 7 Id. provisions of section 15A(b)(6) of the 6 See Securities Exchange Act Release No. 42476 8 See Securities Exchange Act Release No. 44737 (February 29, 2000), 65 FR 12305 (March 8, 2000) (August 22, 2001), 66 FR 45350 (August 28, 2001) 9 See footnote 6, supra. (SR–NASD–97–89). (SR–NASD–2001–49). 10 See footnote 8, supra.

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Act,11 which requires, among other IV. Solicitation of Comments Baghdad, most of which pertain to the things, that the NASD’s rules be Interested persons are invited to Jewish community, imported from designed to prevent fraudulent and submit written data, views, and abroad for temporary exhibition in the manipulative acts and practices, arguments concerning the foregoing, United States, including restoration promote just and equitable principles of including whether the proposal is necessary thereto, are of cultural trade, and, in general, protect investors consistent with the Act. Persons making significance. The objects are imported and the public interest. The NASD written submissions should file six pursuant to an agreement with the believes that extending the expiration copies thereof with the Secretary, foreign owner or custodian. I also date of IM–2210–5 and Rule 2210(c)(3) Securities and Exchange Commission, determine that their temporary will provide the additional experience 450 Fifth Street, NW., Washington, DC exhibition or display by the National necessary to fully analyze and evaluate 20549–0609. Copies of the submission, Archives and Records Administration, the provisions. all subsequent amendments, all written or another educational or cultural B. Self-Regulatory Organization’s statements with respect to the proposed institution, is in the national interest. Statement on Burden on Competition rule change that are filed with the Public Notice of these Determinations is Commission, and all written ordered to be published in the Federal The NASD does not believe that the Register. proposed rule change will result in any communications relating to the FOR FURTHER INFORMATION CONTACT: For burden on competition that is not proposed rule change between the further information, including available necessary or appropriate in furtherance Commission and any person, other than descriptive materials, contact Lorie J. of the purposes of the Act, as amended. those that may be withheld from the public in accordance with the Nierenberg, Assistant Legal Adviser for C. Self-Regulatory Organization’s provisions of 5 U.S.C. 552, will be Public Diplomacy and Public Affairs, Statement on Comments on the available for inspection and copying in Office of the Legal Adviser, U.S. Proposed Rule Change Received from the Commission’s Public Reference Department of State (telephone: (202) Members, Participants, or Others Room. Copies of such filing will also be 619–5078). The address is U.S. Written comments were neither available for inspection and copying at Department of State, SA–44, 301 4th solicited nor received. the principal office of the NASD. All Street, SW., Room 700, Washington, DC submissions should refer to file number 20547–0001. III. Date of Effectiveness of the SR–NASD–2003–126 and should be Dated: August 18, 2003 Proposed Rule Change and Timing for submitted by September 11, 2003. Commission Action Patricia S. Harrison, For the Commission, by the Division of Assistant Secretary for Educational and Because the foregoing proposed rule Market Regulation, pursuant to delegated Cultural Affairs, Department of State. change does not: authority.15 [FR Doc. 03–21573 Filed 8–20–03; 8:45 am] (i) Significantly affect the protection Margaret H. McFarland, BILLING CODE 4710–08–P of investors or the public interest; Deputy Secretary. (ii) impose any significant burden on [FR Doc. 03–21449 Filed 8–20–03; 8:45 am] competition; and DEPARTMENT OF STATE (iii) become operative for 30 days BILLING CODE 8010–01–P from the date on which it was filed, or [Public Notice 4453] such shorter time as the Commission may designate, it has become effective DEPARTMENT OF STATE Bureau of Political—Military Affairs: Directorate of Defense Trade Controls; pursuant to section 19(b)(3)(A) of the [Public Notice 4454] Act 12 and Rule 19b–4(f)(6) Notifications to the Congress of thereunder.13 At any time within 60 Culturally Significant Objects Imported Proposed Commercial Export Licenses days of the filing of the proposed rule for Exhibition Determinations: Cultural AGENCY: Department of State. change, the Commission may summarily Artifacts From Iraq ACTION: abrogate such rule change if it appears Notice. AGENCY: Department of State. to the Commission that such action is SUMMARY: Notice is hereby given that ACTION: Notice. necessary or appropriate in the public the Department of State has forwarded interest, for the protection of investors, SUMMARY: Notice is hereby given of the the attached Notifications of Proposed or otherwise in furtherance of the following determinations: Pursuant to Export Licenses to the Congress on the purposes of the Act. dates shown on the attachments The NASD has asked the Commission the authority vested in me by the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. pursuant to sections 36(c) and 36(d) and to waive the 30-day operative delay. The in compliance with section 36(f) of the Commission believes waiving the 30- 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and Arms Export Control Act (22 U.S.C. day operative delay is consistent with 2776). the protection of investors and the Restructuring Act of 1998 (112 Stat. public interest. Such waiver will allow 2681, et seq.; 22 U.S.C. 6501 note, et EFFECTIVE DATE: As shown on each of the pilot to operate without interruption seq.), Delegation of Authority No. 234 of the twenty-eight letters. October 1, 1999, and Delegation of through August 31, 2005. For these FOR FURTHER INFORMATION CONTACT: Mr. Authority No. 236 of October 19, 1999, reasons, the Commission designates the Peter J. Berry, Director, Office of Defense as amended, I hereby determine that the proposal to be effective and operative Trade Controls Licensing, Directorate of historic and modern books, documents, upon filing with the Commission.14 Defense Trade Controls, Bureau of parchment scrolls, and other items Political-Military Affairs, Department of discovered in early May 2003 in the 11 15 U.S.C. 78o–3(b)(6). State (202 663–2700). 12 basement of the Mukhabahrat in 15 U.S.C. 78s(b)(3)(A). SUPPLEMENTARY INFORMATION: Section 13 17 CFR 240.19b–4(f)(6). 14 For purposes only of accelerating the operative efficiency, competition, and capital formation. 15 36(f) of the Arms Export Control Act date of this proposal, the Commission has U.S.C. 78c(f). mandates that notifications to the considered the proposed rule’s impact on 15 17 CFR 200.30–3(a)(12). Congress pursuant to sections 36(c) and

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36(d) must be published in the Federal unclassified, contains business information Sincerely, Register when they are transmitted to submitted to the Department of State by the Paul V. Kelly, Congress or as soon thereafter as applicant, publication of which could cause Assistant Secretary, Legislative Affairs. competitive harm to the United States firm Enclosure: Transmittal No. DDTC 035–03 practicable. concerned. Dated: August 11, 2003. Sincerely, United States Department of State Terry L. Davis, Paul V. Kelly, Washington, D.C. 20520 June 23, 2003. Acting Director, Office of Defense Trade Assistant Secretary, Legislative Affairs. Enclosure: Transmittal No. DDTC 012–03 The Honorable J. Dennis Hastert, Speaker of Controls Licensing, Directorate of Defense the House of Representatives. Trade Controls, Bureau of Political—Military United States Department of State Affairs, Department of State. (TG) Dear Mr. Speaker: Pursuant to Section Washington, D.C. 20520 36(c) of the Arms Export Control Act, I am United States Department of State June 23, 2003. transmitting, herewith, certification of a The Honorable J. Dennis Hastert, Speaker of Washington, DC 20520 proposed license for the export of defense the House of Representatives. June 23, 2003. articles or defense services sold The Honorable J. Dennis Hastert, Speaker of Dear Mr. Speaker: Pursuant to Section commercially under a contract in the amount the House of Representatives. 36(c) and (d) of the Arms Export Control Act, of $100,000,000 or more. I am transmitting, herewith, certification of a Dear Mr. Speaker: Pursuant to Section The transaction contained in the attached proposed manufacturing license agreement certification involves the export of technical 36(c) of the Arms Export Control Act, I am for the manufacture of significant military transmitting, herewith, certification of a information, hardware and services to Japan equipment abroad and the export of defense to support the manufacture, test and interface proposed license for the export of defense articles or defense services in the amount of articles or defense services sold of the JQ–70 console for use by the Japanese $50,000,000 or more. Defense Agency on Japanese military ships. commercially under a contract in the amount The transaction contained in the attached of $100,000,000 or more. The United States Government is prepared certification involves the export of defense to license the export of these items having The transaction contained in the attached services, technical data and defense articles certification involves the export of technical taken into account political, military, to South Korea to support the manufacture, economic, human rights and arms control data and defense services to Belgium, assembly and testing of six (6) Mk 45 Mod Canada, Denmark, France, Germany, Ireland, considerations. 4 Naval Gun Mounts for the Government of More detailed information is contained in Italy, Norway and the United Kingdom the Republic of Korea. related to an improved Air Defense Ground the formal certification which, though The United States Government is prepared unclassified, contains business information Environment (ADGE) System for use by to license the export of these items having NATO. submitted to the Department of State by the taken into account political, military, applicant, publication of which could cause The United States Government is prepared economic, human rights and arms control to license the export of these items having competitive harm to the United States firm considerations. concerned. taken into account political, military, More detailed information is contained in economic, human rights and arms control Sincerely, the formal certification which, though Paul V. Kelly, considerations. unclassified, contains business information More detailed information is contained in Assistant Secretary, Legislative Affairs. submitted to the Department of State by the Enclosure: Transmittal No. DDTC 036–03 the formal certification which, though applicant, publication of which could cause unclassified, contains business information competitive harm to the United States firm United States Department of State submitted to the Department of State by the concerned. Washington, D.C. 20520 applicant, publication of which could cause Sincerely, June 23, 2003. competitive harm to the United States firm Paul V. Kelly, The Honorable J. Dennis Hastert, Speaker of concerned. Assistant Secretary, Legislative Affairs. the House of Representatives. Sincerely, Enclosure: Transmittal No. DDTC 034–03 Paul V. Kelly, Dear Mr. Speaker: Pursuant to Section Assistant Secretary, Legislative Affairs. United States Department of State 36(c) of the Arms Export Control Act, I am Enclosure: Transmittal No. DDTC 010–03 Washington, D.C. 20520 transmitting, herewith, certification of a June 23, 2003. proposed license for the export of defense United States Department of State The Honorable J. Dennis Hastert, Speaker of articles or defense services sold Washington, DC 20520 the House of Representatives. commercially under a contract in the amount June 23, 2003. Dear Mr. Speaker: Pursuant to Section of $100,000,000 or more. The Honorable J. Dennis Hastert, Speaker of 36(c) of the Arms Export Control Act, I am The transaction contained in the attached the House of Representatives. transmitting, herewith, certification of a certification involves the export of technical Dear Mr. Speaker: Pursuant to Section proposed license for the export of defense data, defense services and defense hardware 36(d) of the Arms Export Control Act, I am articles or defense services sold to Japan to support the manufacture of non- transmitting, herewith, certification of a commercially under the contract in the significant military equipment including the proposed manufacturing license agreement amount of $100,000,000 or more. AN/ASQ–212/CP–2044 Data Processing for the manufacture of significant military The transaction contained in the attached System for the Japan Defense Agency’s P–3C equipment abroad. certification involves the export of technical Transition Program. The transaction described in the attached information, hardware and services to Japan The United States Government is prepared certification involves the transfer of technical to support the manufacture, test and interface to license the export of these items having data and assistance to Canada for the of the JQ–70 console for use by the Japanese taken into account political, military, manufacture of Optomechanical major Defense Agency on Japanese military ships. economic, human rights and arms control assemblies components and sub-assemblies The United States Government is prepared considerations. for the Stringer Missile Weapons System to license the export of these items having More detailed information is contained in Launch Tube Assembly. The Optomechanical taken into account political, military, the formal certification which, though assemblies will be for end-use in the United economic, human rights and arms control unclassified, contains business information States. considerations. submitted to the Department of State by the The United States Government is prepared More detailed information is contained in applicant, publication of which could cause to license the export of these items having the formal certification which, though competitive harm to the United States firm taken into account political, military, unclassified, contains business information concerned. economic, human rights and arms control submitted to the Department of State by the Sincerely, considerations. applicant, publication of which could cause Paul V. Kelly, More detailed information is contained in competitive harm to the United States firm Assistant Secretary, Legislative Affairs. the formal certification which, though concerned. Enclosure: Transmittal No. DDTC 037–03

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United States Department of State The Honorable J. Dennis Hastert, Speaker of Dear Mr. Speaker: Pursuant to Section Washington, D.C. 20520 the House of Representatives. 36(c) of the Arms Export Control Act, I am June 23, 2003. Dear Mr. Speaker: Pursuant to Section transmitting, herewith, certification of a The Honorable J. Dennis Hastert, Speaker of 36(c) of the Arms Export Control Act, I am proposed license for the export of defense the House of Representatives. transmitting, herewith, certification of a articles or defense services sold proposed license for the export of defense commercially under a contract in the amount Dear Mr. Speaker: Pursuant to Section services, technical data and defense articles of $100,000,000 or more. 36(c) of the Arms Export Control Act, I am sold commercially under a contract in the The transaction contained in the attached transmitting, herewith, certification of a amount of $50,000,000 or more. certification involves the export to Greece of proposed technical assistance agreement for The transaction contained in the attached F–16 Block–52 Advanced Self Protection the export of defense articles or defense certification involves the export to South Integrated Suites (ASPIS), AN/ALQ–187 services sold commercially under a contract Korea of tooling and kits to support the Jammers and the retrofit of previously in the amount of $50,000,000 or more. manufacture, assembly and repair abroad of exported AN/ALQ–187 Jammers to Digital RF The transaction contained in the attached non-significant military equipment Memory configuration in support of the certification involves the export of technical associated with the AH–64 Apache Greek F–16 upgrade program. information, hardware and services to Israel helicopter fuselage, fuselage components and The United States Government is prepared to support the development of the Israeli spare parts, which will be re-exported back to license the export of these items having Arrow Weapon System (AWS) Program and to the United States. taken into account political, military, Modified Arrow Radar Seeker (MARS) The United States Government is prepared economic, human rights and arms control Program. to license the export of these items having considerations. The United States Government is prepared taken into account political, military, More detailed information is contained in to license the export of these items having economic, human rights and arms control the formal certification which, though taken into account political, military, considerations. unclassified, contains business information economic, human rights and arms control More detailed information is contained in submitted to the Department of State by the considerations. the formal certification which, though applicant, publication of which could cause More detailed information is contained in unclassified, contains business information competitive harm to the United States firm the formal certification which, though submitted to the Department of State by the concerned. unclassified, contains business information applicant, publication of which could cause Sincerely, submitted to the Department of State by the competitive harm to the United States firm Paul V. Kelly, applicant, publication of which could cause concerned. Assistant Secretary, Legislative Affairs. competitive harm to the United States firm Sincerely, concerned. Paul V. Kelly, Enclosure: Transmittal No. DDTC 054–03 Sincerely, Assistant Secretary, Legislative Affairs. United States Department of State Paul V. Kelly, Enclosure: Transmittal No. DDTC 043–03 Washington, D.C. 20520 Assistant Secretary, Legislative Affairs. United States Department of State July 7, 2003. Enclosure: Transmittal No. DDTC 038–03 Washington, DC 20520 The Honorable J. Dennis Hastert, Speaker of United States Department of State July 7, 2003. the House of Representatives. Washington, D.C. 20520 The Honorable J. Dennis Hastert, Speaker of Dear Mr. Speaker: Pursuant to Section June 23, 2003. the House of Representatives. 36(c) of the Arms Export Control Act, I am The Honorable J. Dennis Hastert, Speaker of Dear Mr. Speaker: Pursuant to Section transmitting, herewith, certification of a the House of Representatives. 36(c) of the Arms Export Control Act, I am proposed license for the export of defense transmitting, herewith, certification of a Dear Mr. Speaker: Pursuant to Section articles that are firearms controlled under proposed technical assistance agreement for 36(c) of the Arms Export Control Act, I am Category I of the United States Munitions List the export of defense services, technical data transmitting, herewith, certification of a sold commercially under a contract in the and defense articles in the amount of proposed license for the export of defense amount of $1,000,000 or more. $100,000,000 or more. The transaction contained in the attached articles or defense services sold The transaction contained in the attached commercially under a contract in the amount certification involves the export of 2,500 certification involves the export to the NATO 9mm pistols and associated equipment to the of $100,000,000 or more. AEW&C Programme Management The transaction contained in the attached National Police of Ecuador. Organization (NAPMO) in The Netherlands The United States Government is prepared certification involves the export of of defense services, technical data and production, manufacturing hardware and to license the export of these items having defense articles required to upgrade the taken into account political, military, services to Japan to add one additional ship NATO E–3A fleet with new or enhanced set of the MK 41 Vertical Launching Systems economic, human rights and arms control capabilities. considerations. (VLS) to the new Japanese Navy Guided The United States Government is prepared Missile Destroyer, DDG2317. More detailed information is contained in to license the export of these items having the formal certification which, though The United States Government is prepared taken into account political, military, to license the export of these items having unclassified, contains business information economic, human rights and arms control submitted to the Department of State by the taken into account political, military, considerations. economic, human rights and arms control applicant, publication of which could cause More detailed information is contained in competitive harm to the United States firm considerations. the formal certification which, though More detailed information is contained in concerned. unclassified, contains business information Sincerely, the formal certification which, though, submitted to the Department of State by the unclassified contains business information Paul V. Kelly, applicant, publication of which could cause Assistant Secretary, Legislative Affairs. submitted to the Department of State by the competitive harm to the United States firm Enclosure: Transmittal No. DDTC 056–03 applicant, publication of which could cause concerned. competitive harm to the United States firm Sincerely, United States Department of State concerned. Paul V. Kelly, Washington, D.C. 20520 Sincerely, Assistant Secretary, Legislative Affairs. July 9, 2003. Paul V. Kelly, Enclosure: Transmittal No. DDTC 045–03 Assistant Secretary, Legislative Affairs. The Honorable J. Dennis Hastert, Speaker of Enclosure: Transmittal No. DDTC 039–03 United States Department of State the House of Representatives. Washington, DC 20520 Dear Mr. Speaker: Pursuant to Section United States Department of State July 7, 2003. 36(c) of the Arms Export Control Act, I am Washington, DC 20520 The Honorable J. Dennis Hastert, Speaker of transmitting, herewith, certification of a June 23, 2003. the House of Representatives. proposed license for the export of major

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defense equipment and defense articles in The United States Government is prepared More detailed information is contained in the amount of $25,000,000 or more. to license the export of these items having the formal certification which, though The transaction contained in the attached taken into account political, military, unclassified, contains business information certification involves the export to Denmark economic, human rights and arms control submitted to the Department of State by the of three C–130J–30 aircraft, a basic logistics considerations. applicant, publication of which could cause support program, spare parts and ground More detailed information is contained in competitive harm to the United States firm support equipment. the formal certification which, though concerned. The United States Government is prepared unclassified, contains business information Sincerely, to license the export of these items having submitted to the Department of State by the Paul V. Kelly, taken into account political, military, applicant, publication of which could cause Assistant Secretary, Legislative Affairs. economic, human rights and arms control competitive harm to the United States firm Enclosure: Transmittal No. DDTC 052–03 considerations. concerned. More detailed information is contained in Sincerely, United States Department of State the formal certification which, though Paul V. Kelly, Washington, D.C. 20520 unclassified, contains business information Assistant Secretary, Legislative Affairs. July 11, 2003. submitted to the Department of State by the Enclosure: Transmittal No. DDTC 047–03 The Honorable J. Dennis Hastert, Speaker of applicant, publication of which could cause the House of Representatives. United States Department of State competitive harm to the United States firm Dear Mr. Speaker: Pursuant to Section concerned. Washington, DC 20520 36(d) of the Arms Export Control Act, I am Sincerely, July 9, 2003. transmitting, herewith, certification of a Paul V. Kelly, The Honorable J. Dennis Hastert, Speaker of proposed manufacturing license agreement Assistant Secretary, Legislative Affairs. the House of Representatives. for the manufacture of significant military Enclosure: Transmittal No. DDTC 044–03 Dear Mr. Speaker: Pursuant to Section equipment abroad. United States Department of State 36(c) of the Arms Export Control Act, I am The transaction contained in the attached transmitting, herewith, certification of a certification involves the export of defense Washington, D.C. 20520 proposed technical assistance agreement for services, technical data and defense articles July 9, 2003. the export of defense articles or defense to the United Kingdom to support the The Honorable J. Dennis Hastert, Speaker of services sold commercially under a contract manufacture and assembly of the Javelin the House of Representatives. in the amount of $100,000,000 or more. missile seeker system as part of the United Dear Mr. Speaker: Pursuant to Section The transaction contained in the attached Kingdom Ministry of Defence’s Light Forces 36(c) of the Arms Export Control Act, I am certification involves the export of technical Anti-Tank Guided Weapon system program. transmitting, herewith, certification of a data and assistance in the manufacture of The United States Government is prepared proposed license for the export of defense AGM–65 Maverick Weapon System in the to license the export of these items having articles that are firearms controlled under United Kingdom for end-use by the United taken into account political, military, Category I of the United States Munitions List Kingdom Ministry of Defense. economic, human rights and arms control sold commercially under a contract in the The United States Government is prepared considerations. amount of $1,000,000 or more. to license the export of these items having More detailed information is contained in The transaction contained in the attached taken into account political, military, the formal certification which, though certification involves the export of 472 M240 economic, human rights and arms control unclassified, contains business information 7.62mm caliber machine guns and consideration. submitted to the Department of State by the supporting equipment to the Israeli Ministry More detailed information is contained in applicant, publication of which could cause of Defense for use by the Israeli Armed the formal certification which, though competitive harm to the United States firm Forces. unclassified, contains business information concerned. The United States Government is prepared submitted to the Department of State by the Sincerely, to license the export of these items having applicant, publication of which could cause Paul V. Kelly, taken into account political, military, competitive harm to the United States firm economic, human rights and arms control Assistant Secretary, Legislative Affairs. considerations. concerned. Enclosure: Transmittal No. DDTC 067–03 Sincerely, More detailed information is contained in United States Department of State the formal certification which, though Paul V. Kelly, Washington, D.C. 20520 unclassified, contains business information Assistant Secretary, Legislative Affairs. submitted to the Department of State by the Enclosure: Transmittal No. DDTC 049–03 July 14, 2003. The Honorable J. Dennis Hastert, Speaker of applicant, publication of which could cause United States Department of State competitive harm to the United States firm the House of Representatives. concerned. Washington, DC 20520 Dear Mr. Speaker: Pursuant to Section Sincerely, July 9, 2003. 36(c) of the Arms Export Control Act, I am Paul V. Kelly, The Honorable J. Dennis Hastert, Speaker of transmitting, herewith, certification of a Assistant Secretary, Legislative Affairs. the House of Representatives. proposed license for the export of defense Enclosure: Transmittal No. DDTC 046–03 Dear Mr. Speaker: Pursuant to Section articles or defense services sold 36(c) of the Arms Export Control Act, I am commercially under a contract in the amount United States Department of State transmitting, herewith, certification of a of $50,000,000 or more. Washington, DC 20520 proposed amendment to a license for the The transaction contained in the attached July 9, 2003. export of defense services, technical data and certification involves the export of technical The Honorable J. Dennis Hastert, Speaker of defense articles abroad in the amount of information, hardware and defense services the House of Representatives. $100,000,000 or more. to Saudi Arabia, Norway and France to Dear Mr. Speaker: Pursuant to Section The transaction contained in the attached support the development of the Saudi 36(c) of the Arms Export Control Act, I am certification involves the export of United Ministry of Defense and Aviation (MODA) transmitting, herewith, certification of a Kingdom of defense services, technical data Command, Control, Communications, proposed license for the export of defense and defense articles related to the integration Computers and Intelligence (C4I) System articles or defense services sold of weapon systems in a Tactical Command (Project Al Diriyah). commercially under a contract in the amount and Sensor System for the MRA4 Maritime The United States Government is prepared of $50,000,000 or more. Patrol Aircraft. to license the export of these items having The transaction contained in the attached The United States Government is prepared taken into account political, military, certification involves the export of technical to license the export of these items having economic, human rights and arms control data and assistance for the manufacture of taken into account political, military, considerations. Infrared Detecting Sets in Japan for end-use economic, human rights and arms control More detailed information is contained in by the Japanese Defense Agency. considerations. the formal certification which, though

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unclassified, contains business information taken into account political, military, unclassified, contains business information submitted to the Department of State by the economic, human rights and arms control submitted to the Department of State by the applicant, publication of which could cause considerations. applicant, publication of which could cause competitive harm to the United States firm More detailed information is contained in competitive harm to the United States firm concerned. the formal notification that, though concerned. Sincerely, unclassified, contains business information Sincerely, Paul V. Kelly, ;submitted to the Department of State by the Paul V. Kelly, Assistant Secretary, Legislative Affairs. applicant, publication of which could cause Assistant Secretary, Legislative Affairs. Enclosure: Transmittal No. DDTC 016–03 competitive harm to the United States firm Enclosure: Transmittal No. DDTC 032–03 concerned. United States Department of State United States Department of State Sincerely, Washington, D.C. 20520 Paul V. Kelly, Washington, D.C. 20520 July 14, 2003. Assist Secretary, Legislative Affairs. July 17, 2003. The Honorable J. Dennis Hastert, Speaker of Enclosure: Transmittal No. DTC 01IZ–03 The Honorable J. Dennis Hastert, Speaker of the House of Representatives. the House of Representatives. Dear Mr. Speaker: Pursuant to Section United States Department of State Dear Mr. Speaker: Pursuant to Section 36(c) of the Arms Export Control Act, I am Washington, D.C. 20520 36(c) of the Arms Export Control Act, I am transmitting, herewith, certification of a July 15, 2003. transmitting, herewith, certification of a proposed license for the export of defense The Honorable J. Dennis Hastert, Speaker of proposed license for the export of defense articles that are firearms controlled under the House of Representatives. articles or defense services sold category I of the United States Munitions List Dear Mr. Speaker: Pursuant to Section commercially under a contract in the amount sold commercially under a contract in the 36(c) of the Arms Export Control Act, I am of $50,000,000 or more. amount of $1,000,000 or more. transmitting, herewith, certification of a The transaction contained in the attached The transaction contained in the attached proposed license for the export of defense certification involves the export to Malaysia certification involves the export of 267 .50 articles that are firearms controlled under of one MEASAT–3 Commercial caliber M82A1 Rifle Systems and associated category I of the United States Munitions List Communications Satellite. equipment to the Norwegian Armed Forces sold commercially under a contract in the The United States Government is prepared for use by the Norwegian Army. amount of $1,000,000 or more. to license the export of these items having The United States Government is prepared The transaction contained in the attached taken into account political, military, to license the export of these items having certification involves the export of 10,000 economic, human rights and arms control taken into account political, military, M4, 5.56MM caliber, semi-/full automatic considerations. economic, human rights, and arms control carbines and minor associated equipment to More detailed information is contained in considerations. the U.A.E. Armed Forces. the formal certification which, though More detailed information is contained in The United States Government is prepared unclassified, contains business information the formal certification which, though to license the export of these items having submitted to the Department of State by the unclassified, contains business information taken into account political, military, applicant, publication of which could cause submitted to the Department of State by the economic, human rights and arms control competitive harm to the United States firm applicant, publication of which could cause considerations. concerned. competitive harm to the United States firm More detailed information is contained in Sincerely, concerned. the formal certification which, though Paul V. Kelly, Sincerely, unclassified, contains business information Assistant Secretary, Legislative Affairs. Paul V. Kelly, submitted to the Department of State by the Enclosure: Transmittal No. DDTC 051–03 Assistant Secretary, Legislative Affairs. applicants, publication of which could cause Enclosure: Transmittal No. DDTC 055–03 competitive harm to the United States firm United States Department of State United States Department of State concerned. Washington, D.C. 20520 Sincerely, July 18, 2003. Washington, D.C. 20520 Paul V. Kelly, The Honorable: J. Dennis Hastert, Speaker of July 14, 2003. Assistant Secretary, Legislative Affairs. the House of Representatives. The Honorable J. Dennis Hastert, Speaker of Enclosure: Transmittal No. DDTC 065–03 Dear Mr. Speaker: Pursuant to Section the House of Representatives. United States Department of State 36(c) of the Arms Export Control Act, I am Dear Mr. Speaker: Pursuant to Section 1504 transmitting, herewith, certification of a of the Emergency Wartime Supplemental Washington, D.C. 20520 proposed license for the export of defense Appropriations Act, 2003, P.L. 108–11, I am July 17, 2003. articles that are firearms controlled under transmitting, herewith, notification that the The Honorable J. Dennis Hastert, Speaker of category I of the United States Munitions List Deputy Secretary of State (as delegated by the the House of Representatives. Sold commercially under a contract in the Secretary of State) has determined that the Dear Mr. Speaker: Pursuant to Section amount of $1,000,000 or more. export to Iraq of the certain body armor, 36(c) of the Arms Export Control Act, I am The transaction contained in the attached nuclear, biological and chemical protective transmitting, herewith, certification of a certification involves the export of 5,344 equipment, and military equipment (such as proposed license for the export of defense Model 37, .38 caliber revolvers to the small arms and ammunition) for use in articles or defense services sold National Polices Agency of Japan. reconstituting the Iraqi military or police commercially under a contract in the amount The United States Government is prepared forces (or interim forces), is in the national of $50,000,000 or more. to license the export of these items having interest of the United States. The transaction contained in the attached taken into account political, military, The exports described in the attached certification involves the export of technical eoncomic, human rights and arms control notification represent the category of exports data, defense services and defense articles to considerations. for which this notification applies. It Jordan for the installation and maintenance More detailed information is contained in includes the specific exports to Iraq of of the Integrated Fire Control System (IFCS) the formal certification which, though equipment that consists of protective gear for the AB9B1 M60 Tank Upgrade Program unclassified, contains business information under a Department of State contract to help for use by the Jordanian Armed Forces. submitted to the Department of State by the organize effective Iraqi civilian law The United States Government is prepared applicant, publication of which could cause enforcement, judicial and correctional to license the export of these items having competitive harm to the United States firm agencies and small arms and ammunition for taken into account political, military, concerned. use in reconstituting Iraqi military or police economic, human rights and arms control Sincerely, forces. considerations. Paul V. Kelly, The United States Government is prepared More detailed information is contained in Assistant Secretary Legislative Affairs. to license the export of such items having the formal certification which, though Enclosure: Transmittal No. DDTC 084–03

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United States Department of State proposed license for the export of defense students who can demonstrate the Washington, D.C. 20520 articles or defense services sold ability to work independently. The July 21, 2003. commercially under a contract in the amount Educational Partnerships Program is not The Honorable J. Dennis Hastert, Speaker of of $50,000,000 or more. designed to support study abroad the House of Representatives. The transaction contained in the attached certification involves the export of technical activities for undergraduate students or Dear Mr. Speaker: Pursuant to Section data, technical assistance, and hardware to less advanced graduate students. 36(c) of the Arms Export Control Act, I am Egypt related to the refurbishment, Applicants are strongly encouraged to transmitting, herewith, certification of a maintenance, and operating of Chaparral Air discuss their project ideas during the proposed license for the export of defense Defense Missile Launch Stations and vehicles proposal development process with the articles or defense services sold for ultimate end use by the Arab Republic of relevant Bureau program officer for commercially under a contract in the amount Egypt Government. guidance. (Please see ‘‘For further of $100,000,000 or more. The United States Government is prepared The transaction contained in the attached information’’ section for contact details.) to license the export of these items having certification concerns exports of technical U.S. and foreign colleges and taken into account political, military, data and defense services for delivery of the universities that have hosted, enrolled, economic, human rights and arms control JCSAT–9 commercial communications or employed State Department considerations. satellite to Japan. More detailed information is contained in sponsored grantees or alumni as The United States Government is prepared the formal certification which, though professors, students, or administrators to license the export of these items having unclassified, contains business information are especially encouraged to develop taken into account political, military, submitted to the Department of State by the proposals that build on the economic, human rights, and arms control applicant, publication of which could cause considerations. achievements of these individual competitive harm to the United States firm More detailed information is contained in grantees and extend their impact. concerned. the formal certification which, though A separate Request for Grant Sincerely, unclassified, contains business information Proposals under the Freedom Support Paul V. Kelly, submitted to the Department of State by the Educational Partnerships Program with Assistant Secretary, Legislative Affairs. applicant, publication of which could cause Eurasia has been issued for Fiscal Year competitive harm to the United States firm Enclosure: Transmittal No. DDTC 064–03 2004 and is accessible on the State concerned. [FR Doc. 03–21436 Filed 8–20–03; 8:45 am] Department Web site at http:// Sincerely, exchanges.state.gov/education/rfgps. Paul V. Kelly, BILLING CODE 4710–25–P Assistant Secretary, Legislative Affairs. For information about the Freedom Enclosure: Transmittal No. DDTC 063–03 Support Educational Partnerships DEPARTMENT OF STATE Program with Eurasia, which supports United States Department of State [Public Notice 4452] partnerships with countries previously Washington, D.C. 20520 recognized as belonging to the Soviet July 21, 2003. Bureau of Educational and Cultural Union, contact the Humphrey The Honorable J. Dennis Hastert, Speaker of Affairs Request for Grant Proposals Fellowships and Institutional Linkages the House of Representatives. (RFGPs): FY2004 Educational Branch, Office of Global Educational Dear Mr. Speaker: Pursuant to Section Partnerships Program Programs (ECA/A/S/U), Room 349, U.S. 36(c) of the Arms Export Control Act, I am Department of State, State Annex 44, transmitting, herewith, certification of a SUMMARY: The Office of Global proposed license for the export of defense 301 4th Street, SW., Washington, DC Educational Programs of the Bureau of 20547, phone: (202) 619–5289, fax: (202) articles in the amount of $25,000,000 or Educational and Cultural Affairs more. 401–1433. The transaction contained in the attached announces an open competition for the Additional RFGPs for educational certification involves the export of a Educational Partnerships Program. partnerships to be funded in FY2004 commercial communications satellite to be Accredited U.S. post-secondary with specific world regions may be launched from an Ariane 5 launch vehicle educational institutions meeting the published later this year or early in 2004 from Kourou, French Guiana. provisions described in Internal and will be accessible on the State The United States Government is prepared Revenue Code section 26 U.S.C. Department Web site at http:// to license the export of these items having 501(c)(3) may submit proposals to exchanges.state.gov/education/rfgps. taken into account political, military, support the Program’s goals of economic, human rights and arms control encouraging mutual understanding, Foreign Country and Location considerations. Eligibility More detailed information is contained in educational reform, economic the formal certification which, though development, and civil society through The eligibility of foreign countries unclassified, contains business information educational cooperation in higher and locations is limited and varies from submitted to the Department of State by the education with targeted countries and year to year. Proposals to increase the applicant, publication of which could cause regions that are of high priority to the understanding of the United States in competitive harm to the United States firm Department of State. countries and societies with significant concerned. Muslim populations are especially Program Overview Sincerely, encouraged, as are proposals to increase Paul V. Kelly, To encourage mutual understanding, the understanding of these countries Assistant Secretary, Legislative Affairs. educational reform, economic and societies in the United States. Enclosure: Transmittal No. DDTC 064–03 development, and civil society in the Except as noted below for the Western United States Department of State targeted countries, the Educational Hemisphere and for North Africa and Washington, D.C. 20520 Partnerships Program enables U.S. the Middle East, a proposal may not July 21, 2003. colleges and universities and foreign include more than one of the foreign The Honorable J. Dennis Hastert, Speaker of counterpart institutions to pursue countries or locations listed below. the House of Representatives. objectives cooperatively through (1) East Asia and the Pacific Dear Mr. Speaker: Pursuant to Section exchange visits of faculty, 36(c) of the Arms Export Control Act, I am administrators, highly advanced foreign Eligible for FY 2004: Indonesia, transmitting, herewith, certification of a students, and advanced U.S. graduate Malaysia, Philippines.

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We encourage projects that will and media studies. Proposals for the objectives within a three-year period, increase the U.S. understanding of Caribbean basin may include more than and should describe a process for cultures and societies with significant one eligible country. evaluating the results of project Muslim populations in eligible East implementation. The design should also (5) South Asia Asian countries, and the understanding provide for the effective administration of U.S. culture and society in East Asia. Eligible for FY 2004: Afghanistan, of the project. We also encourage projects that will Bangladesh, India, and Statement of Need encourage good governance and Pakistan. We encourage projects that responsible administrative practices, will increase the U.S. understanding of To justify a request for support, and that will provide wider access to South Asian cultures and societies with proposals should demonstrate the need education, strengthen civil society, or significant Muslim populations, and the of the participating institutions for the help to create more transparent, market- South Asian understanding of U.S. project that they are proposing. oriented economies. culture and society. We also encourage Proposals should explain how each projects that will promote the participating department and institution (2) North Africa and the Middle East development of good governance and will utilize the project to address the Eligible for FY 2004: Algeria, Jordan, responsible administrative practices in institution’s needs as well as larger Kuwait, Lebanon, Morocco, Oman, either the public sector or the private needs in its country and society. Saudi Arabia, Syria, Tunisia, United sector in an eligible country; that will If the proposed partnership would Arab Emirates. We encourage projects provide wider access to education; or occur within the context of a previous that will increase the U.S. that will address issues of social or or ongoing project, the proposal should understanding of Muslim cultures and religious diversity. outline distinct objectives and outcomes societies in North Africa and the Middle for the new project and should explain (6) Europe and Eurasia East, and the understanding of U.S. how new Bureau funding would build culture and society in the region. We Eligible for FY 2004: Bosnia and upon the previously funded activities. also encourage projects that will Herzegovina, Serbia and Montenegro, Proposals should describe the amounts strengthen civil society in eligible Turkey, and the United Kingdom as and sources of support for the earlier foreign countries, that will support noted below. In addition, please consult projects as well as the results to date. the Request for Grant Proposals for the educational reform through curriculum Project Objectives development or teacher training, or that FY2004 Freedom Support Educational will encourage economic development Partnerships Program with Eurasia. Proposals should explain in detail or responsible, transparent Eligible for special funding in FY how the project will enable the administration in the public sector. 2004 in designated fields and locations participating institutions to achieve Tunisia is eligible for special funding in are Bosnia and Herzegovina specific institutional or departmental FY2004 for projects supporting (comparative religious studies or changes that will support the goals of modernization in higher education or American Studies, maximum request the Educational Partnerships Program. the economy (maximum award $195,000); Montenegro (university Proposals should outline a series of $195,000). Proposals for North Africa administration or social sciences activities for meeting specific objectives and the Middle East may include more curriculum reform, maximum request for each participating institution and than one eligible country. $150,000); and Serbia (journalism society. The benefits of the project to curriculum reform, maximum request each of the participating institutions (3) Sub-Saharan Africa $195,000). may differ significantly in nature and Eligible for FY2004: Botswana, For Turkey, we encourage proposals scope based on their respective needs Ethiopia, Nigeria, Senegal, in the field of comparative law with a and resource bases. Project objectives Tanzania, Uganda. We encourage focus on Muslim and Western legal may include the development or projects that will increase the U.S. traditions and with particular reference revision of courses, curricula, and understanding of Muslim cultures and to the approaches to human rights and programs of study and outreach at societies in sub-Saharan Africa, and the fair judicial procedures in these participating institutions to support African understanding of U.S. culture traditions. mutual understanding, educational and society. We also encourage projects For the United Kingdom, eligibility is reform, economic development, or civil that will strengthen the role of African limited to projects that will study inter- society. Proposals may outline the institutions of higher education in an ethnic or inter-religious relations and parameters and possible content of new eligible country’s development and that that promote cooperation with courses; new teaching specializations or will encourage increased involvement of immigrant and minority populations in methodologies; new or revised African universities with other local and the United Kingdom. curricula; and new programs for outreach to educators, professional international institutions that contribute Project Design to African social, political or economic groups, or the general public. Proposals development. The project should be designed to may also describe strategies to promote focus on specific institutional objectives administrative reform through faculty or (4) The Western Hemisphere that will support the Program’s goals of staff development. Eligible for FY 2004: Barbados, encouraging mutual understanding, In most cases a limited number of Dominican Republic, Haiti, educational reform, economic related thematic objectives at each Jamaica, Trinidad and Tobago. We development, and civil society with institution will be more feasible to encourage projects for the Caribbean special reference to the regional needs achieve than a larger number of basin that will strengthen civil society and U.S. foreign policy priorities unrelated objectives. or effective administration in the public described in this document under the The following fields are eligible if or the private sectors, with special heading ‘‘Foreign Country and Location they support the foreign policy goals interest in economic development, Eligibility.’’ The design should include previously described under the heading environmental studies, educational a series of exchange visits that will lead ‘‘Foreign Country and Location reform and teacher training, journalism, to the achievement of the project’s Eligibility’’:

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—The social, political, and economic proposals with advanced foreign specific reference to project objectives; sciences; students or advanced U.S. graduate formative evaluation to allow for mid- —business administration; students as exchange participants are course revisions in the implementation —journalism and media studies; encouraged to contact the program strategy; and, at the conclusion of the —law; office to discuss the rationale for their project, summative evaluation of the —public administration and public participation. degree to which the project’s objectives policy analysis; Foreign participants must be both have been achieved. The proposal —library science; qualified to receive U.S. J–1 visas and should discuss how the issues raised —education, continuing education, willing to travel to the U.S. under the throughout the formative evaluation and educational administration, provisions of a J–1 visa during the process will be assessed and addressed. including Teaching English as a Foreign exchange visits funded by this Program. The summative evaluation should Language; Foreign participants may not be U.S. describe the project’s influence on the —religious studies; citizens. participating institutions and their —health policy and administration; surrounding communities or societies. —environmental studies. Material and Technical Support for Projects in the physical, technical, Exchange Activities The summative evaluation should also and medical sciences are not eligible include recommendations about how to To increase the feasibility and impact build upon project achievements. except when pertaining directly to of the project’s exchange activities, a health policy and administration. Evaluative observations by external proposal may include a request for consultants with appropriate subject, Exchange Activities and Project funding for educational materials cultural, and regional expertise are Implementation (including books and periodical especially encouraged. Copies of subscriptions) and technical Proposals should demonstrate that a evaluation reports must be provided to components (including the the Department of State. project’s objectives are feasible to establishment or maintenance of achieve within a three-year period In addition to the formally scheduled Internet and/or electronic mail facilities reports, the evaluation strategy should through a series of exchange activities and of interactive technology-based that take into account prevailing include a mechanism for promptly distance-learning programs). The providing the Bureau with information conditions in the participating funding requested for educational and countries. For example, projects that will equip the Department of State technical materials should supplement to summarize and illustrate project focusing on curricular reform should the project’s exchange activities by describe the existing curriculum and the activities and achievements as they reinforcing their impact on project occur. courses targeted for revision, and should objectives. Proposals with distance explain how exchange activities will learning components should describe Project Administration result in the restructuring of the current pertinent course delivery methods, Proposals should explain how project content to incorporate the new audiences, and technical requirements. activities will be administered both in academic themes. The proposal should Proposals that include the introduction the U.S. and overseas in ways that will describe the topics and content of any of Internet, electronic mail, and other ensure that the project maintains a focus new courses or educational materials interactive technologies for long-term on its objectives while adjusting to that will be developed and introduced, use in countries where these changing conditions, assessments, and and should identify those persons who technologies are not easily maintained opportunities. will be responsible for developing the or financed should discuss how the Institutional Commitment new courses and for teaching them. If foreign partner institution will cover the project proposes to develop a new their costs after the project ends. A U.S. college or university must degree or certificate program, the Applicants may propose other project submit the proposal and must serve as proposal should outline the steps being components not specifically mentioned the grant recipient with responsibility taken to secure approval for the new in this solicitation document if the for project coordination. Proposals must program from the institution itself and activities will increase the impact on include letters of commitment from all from all relevant educational project objectives. institutional partners including the authorities. The proposal should also institution submitting the proposal. An describe the composition and size of the Project Duration official who is authorized to commit student population and any other group Pending the availability of funds, institutional resources to the project that will benefit from the innovations to grant activities should begin on or about must sign the letter of support. The be introduced through the project. September 1, 2004 for a three-year letters of support as well as the proposal Except for translators, interpreters, period. Grant activities are expected to as a whole should demonstrate that the and outside evaluators, participation in be completed within the three-year participating institutions understand the exchange visits is limited to timeframe. one another and are committed to teachers, researchers, advanced foreign Project Evaluation mutual support and cooperation in students, advanced U.S. graduate project implementation. students, and administrators from the Proposals should describe and budget participating institution(s). Advanced for a methodology for project Eligible Institutions graduate students at the U.S. evaluation. Institutions that are awarded The lead institution and grant institution(s) are eligible to participate partnership grants must formally submit recipient in the project must be an as visiting instructors at a foreign periodic reports to the Bureau on the accredited U.S. college or university. partner institution. Advanced foreign project’s activities in relation to its Applications from community students are eligible to participate in objectives. The formal evaluation colleges, institutions serving significant exchange visits if they have teaching or reports should include an assessment of minority populations, undergraduate research responsibilities or are the current status of each participating liberal arts colleges, comprehensive preparing for such responsibilities. department’s and institution’s needs at universities, research universities, and Applicants planning to submit the time of program inception with combinations of these institutions are

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eligible. The lead U.S. organization in a Pending the availability of FY 2004 Prospective applicants are strongly consortium or other combination of funds, the maximum award in the FY encouraged to communicate about their cooperating institutions is responsible 2004 competition will be $150,000 for a proposals with one of the following for submitting the application. Each three-year period with the exceptions regional program officers: for North application must document the lead noted under the heading ‘‘Foreign Africa and the Middle East, Michelle organization’s authority to represent all Country and Location Eligibility.’’ Johnson, phone: (202) 205–8434, (e-mail U.S. cooperating partners. Secondary Requests for amounts smaller than the [email protected]); for the United U.S. partners may include governmental maximum are eligible. Budgets and Kingdom, Paul Schelp, phone: (202) or non-governmental organizations at budget notes should carefully justify the 205–8266 (e-mail: the federal, state, or local levels as well amounts requested. Grants awarded to [email protected]); for the Balkans as non-profit service, community, and organizations with less than four years and the Western Hemisphere, Maria professional organizations. of experience in conducting Urbina, phone: (202) 260–6797 (e-mail Foreign institutional partners may be international exchange programs will be [email protected]); for Turkey, recognized institutions of post- limited to $60,000. Jonathan Cebra, phone: (202) 205–8379 secondary education, state-supported The response to Requests for Grant (e-mail [email protected]); and for universities, independent universities, Proposals for the support of sub-Saharan Africa, East Asia, and research institutes, relevant educational partnerships in higher education has authorities, and other public or private South Asia, Joan Zaffarano, phone: (202) been unusually strong in recent years. In 401–1323 (e-mail [email protected]). non-profit organizations with project- FY 2002, 99 eligible proposals were related educational missions. submitted to the Educational Please read the complete Solicitation Package before sending inquiries or Costs and Cost-Sharing Partnerships Program, and 17 awards were made. Special FY 2004 funding submitting proposals. Once the RFGP The commitment of all partner with higher grant maximums and more deadline has passed, Bureau staff may institutions to the proposed project favorable grant-to-application ratios is not discuss this competition with should be reflected in the cost-sharing expected for projects in Bosnia and applicants until the proposal review which they offer in the context of their Herzegovina, Serbia and Montenegro, process has been completed. respective institutional capacities. and Tunisia as noted previously under Although the contributions offered by To Download a Solicitation Package the heading ‘‘Foreign Country and institutions with relatively few Via Internet Location Eligibility.’’ resources may be less than those offered by applicants with greater resources, all Ineligibility The Solicitation Package includes more detailed award criteria, all participating institutions should A proposal will be deemed identify appropriate contributions. application forms, and guidelines for technically ineligible for consideration preparing proposals, including specific These costs may include estimated in- if: kind contributions. U.S. institutions are criteria for preparation of the proposal (1) It does not fully adhere to the budget. The Solicitation Package encouraged to contribute to the guidelines established in this document includes the POGI and the Proposal international travel expenses of U.S. and in the Solicitation Package; Submission Instructions (PSI). The participants as part of their institutional (2) It is not received by the deadline; cost-share. Proposed cost-sharing will (3) It is not submitted by the U.S. entire Solicitation Package may be be considered an important indicator of partner; downloaded from the Bureau’s Web site the applicant institution’s commitment (4) The U.S. applicant organization is at: http://exchanges.state.gov/ to the project. ineligible; education/rfgps. Please read all The Bureau’s support may be used to (5) The foreign country or geographic information before downloading. assist with the costs of the exchange location is ineligible. Deadline for Proposals visits as well as the costs of the Projects must conform with the administration of the project by the U.S. Bureau’s requirements and guidelines All proposal copies must be received grantee institution, as explained in outlined in the solicitation package for at the Bureau of Educational and additional detail in the associated this RFGP. Proposals that do not follow Cultural Affairs by 5 p.m. Washington, document entitled ‘‘Project Objectives, RFGP requirements and the guidelines DC, time on Friday, December 12, 2003. Goals, and Implementation’’ (POGI). appearing in the POGI and PSI will be Faxed documents are not acceptable, U.S. administrative costs that may be excluded from consideration due to with the exception of letters of covered by the Bureau, with certain technical ineligibility. endorsement that are submitted as part limitations, include administrative of the proposal. Documents postmarked salaries, faculty replacement costs, other Announcement Title and Number with the due date but received on a later direct administrative costs, and partial All correspondence with the Bureau date will not be accepted. Applicants indirect costs. The cost of administering concerning this RFGP should reference the project at the foreign partner must ensure that their proposals are the above title and number ECA/A/S/U– received by the above deadline. organization(s) is also eligible for the 04–03. Bureau’s support. Although each grant Applicants must follow all will be awarded to a single U.S. For Further Information instructions in the Solicitation Package. institutional partner, the proposal For further information, contact the The original and 10 copies of the should make adequate provision for the Humphrey Fellowships and complete application should be sent by administrative costs of all partner Institutional Linkages Branch; Office of the project’s lead U.S. college or institutions, including the foreign Global Educational Programs; Bureau of university to: U.S. Department of State, partner(s), especially if a foreign partner Educational and Cultural Affairs; ECA/ SA–44, Bureau of Educational and has relatively few resources. See the A/S/U, Room 349; U.S. Department of Cultural Affairs, Ref.: ECA/A/S/U–04– POGI for additional information on the State; SA–44, 301 4th Street, SW.; 03, Program Management, ECA/EX/PM, restrictions and maximum amounts that Washington, DC 20547; phone: (202) Room 534, 301 4th Street, SW., apply to certain budget categories. 619–5289, fax: (202) 401–1433. Washington, DC 20547.

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Submission of Electronic Copies Adherence to All Regulations agreements) will reside with the Governing the J Visa Bureau’s grants officer. No later than one week after the Proposals will be deemed ineligible if deadline for receipt of the grant The Bureau of Educational and they do not fully adhere to the proposal, applicants must also submit Cultural Affairs is placing renewed guidelines stated herein and in the the ‘‘Proposal Title Page’’ described in emphasis on the secure and proper Solicitation Package. the Project Objectives, Goals, and administration of Exchange Visitor (J Review Criteria Implementation document with visa) Programs and adherence by attachments (the resumes for the U.S. grantees and sponsors to all regulations All reviewers will use the criteria and foreign project directors only and governing the J visa. Therefore, below to reach funding the Participants Statistics Page), the proposals should demonstrate the recommendations and decisions. ‘‘Executive Summary,’’ and ‘‘Proposal applicant’s capacity to meet all Technically eligible applications will be Narrative,’’ sections of the proposal as e- requirements governing the reviewed competitively according to mail attachments in Microsoft Word administration of Exchange Visitor these criteria, which are not rank- (preferred) or WordPerfect files to the Programs as set forth in 22 CFR 6Z, ordered or weighted. following e-mail address: including the oversight of Responsible (1) Broad and Enduring Significance of Institutional Objectives: Project [email protected]. In the e-mail Officers and Alternate Responsible objectives should have significant and message subject line, include the Officers, screening and selection of ongoing impact on the participating following: ECA/A/S/U–04–03 and the program participants, provision of pre- institutions and their surrounding country or countries of the foreign arrival information and orientation to participants, monitoring of participants, societies, communities, or countries by partner(s) together with the names of the proper maintenance and security of providing a deepened understanding of U.S. and foreign partner institutions. To forms, record-keeping, reporting, and critical issues in one or more of the reduce the time needed to obtain other requirements. eligible fields. Project objectives should advisory comments from the Public The Grantee will be responsible for relate clearly to institutional and Affairs Sections of U.S. Embassies societal needs as well as to U.S. foreign overseas and Fulbright Commissions, issuing DS–2019 forms to participants in this program. A copy of the complete policy goals. the Bureau will transmit these files (2) Feasibility and Effectiveness of electronically to these offices. regulations governing the administration of Exchange Visitor (J) Strategy to Achieve Project Objectives: Diversity, Freedom and Democracy programs is available at http:// Strategies to achieve project objectives Guidelines exchanges.state.gov or from: United should be feasible and realistic within States Department of State, Office of the projected budget and timeframe. Pursuant to the Bureau’s authorizing Exchange Coordination and Proposals should contain detailed legislation, programs must maintain a Designation, ECA/EC/ECD–SA–44, information on specific exchange non-political character and should be Room 734, 301 4th Street, SW., activities and outline the methodology balanced and representative of the Washington, DC 20547, Telephone: and timeframe for achieving project diversity of American political, social, (202) 401–9810, FAX: (202) 401–9809. goals. and cultural life. ‘‘Diversity’’ should be (3) Institutional Commitment to interpreted in the broadest sense and Review Process Cooperation: Proposals should encompass differences including, but demonstrate significant understanding The Bureau will acknowledge receipt by each institution of its own needs and not limited to ethnicity, race, gender, of all proposals and will review them religion, geographic location, socio- capacities and of the needs and for technical eligibility. All eligible capacities of its proposed partner(s), economic status, and physical proposals will be evaluated by challenges. Applicants are strongly together with a strong commitment by independent external reviewers. These the partner institutions, during and after encouraged to adhere to the reviewers, who will be professional, advancement of this principle both in the period of grant activity, to cooperate scholarly, or educational experts with with one another in the mutual pursuit program administration and in program appropriate regional and thematic of institutional objectives. content. Please refer to the review knowledge, will provide (4) Project Evaluation: Proposals criteria under the ‘‘Support for recommendations and assessments for should describe a methodology for Diversity’’ section for specific consideration by the Bureau. The determining the degree to which a suggestions on incorporating diversity Bureau will consider for funding only project meets its objectives, both while into the total proposal. Public Law 104– those proposals which are the project is underway and at its 319 provides that ‘‘in carrying out recommended for funding by the conclusion. The final project evaluation programs of educational and cultural independent external reviewers. should include an external component exchange in countries whose people do Proposals may be reviewed by the and should provide observations about not fully enjoy freedom and Office of the Legal Advisor or by other the project’s influence within the democracy,’’ the Bureau ‘‘shall take offices of the U.S. Department of State. participating institutions as well as their appropriate steps to provide In addition, U.S. Embassy or binational surrounding communities or societies. opportunities for participation in such Fulbright Commission officers may (5) Cost-effectiveness: Administrative programs to human rights and provide advisory comment. Final and program costs should be reasonable democracy leaders of such countries.’’ funding decisions are at the discretion and appropriate with cost-sharing Public Law 106—113 requires that the of the Department of State’s Assistant provided by all participating governments of the countries described Secretary for Educational and Cultural institutions within the context of their above do not have inappropriate Affairs. Proposals must also be respective capacities. The Bureau views influence in the selection process. approved by the J. William Fulbright cost-sharing as a reflection of Proposals should reflect advancement of Foreign Scholarship Board. Final institutional commitment to the project. these goals in their program contents, to technical authority for assistance Contributions should not be limited to the full extent deemed feasible. awards (grants or cooperative indirect costs.

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(6) Support of Diversity: Proposals Congress, allocated and committed thematic areas, subject to the number should demonstrate substantive support through internal Bureau procedures. and quality of proposals received and of the Bureau’s policy on diversity by Dated: August 13, 2003. the availability of funding. explaining how issues of diversity are Patricia S. Harrison, Applicant institutions must included in project objectives for all demonstrate expertise in conducting institutional partners. Issues resulting Assistant Secretary for Educational and Cultural Affairs, Department of State. post-graduate programs for foreign from differences of race, ethnicity, educators, and must have a minimum of [FR Doc. 03–21435 Filed 8–20–03; 8:45 am] gender, religion, geography, socio- four years experience in conducting economic status, or physical challenge BILLING CODE 4710–05–P international exchange programs. should be addressed during project Bureau guidelines stipulate that grants implementation. In addition, project DEPARTMENT OF STATE to organizations with less than four participants and administrators should years experience in conducting reflect the diversity within the societies, [Public Notice 4451] international exchanges are limited to which they represent (see the section of $60,000. As it is expected that the this document on ‘‘Diversity, Freedom, Bureau of Educational and Cultural budget for these programs will exceed and Democracy Guidelines’’). Proposals Affairs Request for Grant Proposals $60,000, organizations that can not should also discuss how the various (RFGPs): Fulbright American Studies demonstrate at least four years institutional partners approach diversity Institutes for Foreign University experience will not be eligible to apply issues in their respective communities Faculty and Secondary Educators; under this competition. Notice or societies. The project director or one of the key Authority SUMMARY: The Study of the U.S. Branch, program staff responsible for the academic program must have an Overall grant making authority for Office of Academic Exchange Programs, advanced degree in one of the fields this program is contained in the Mutual Bureau of Educational and Cultural listed above. Staff escorts traveling Educational and Cultural Exchange Act Affairs, announces an open competition under the cooperative agreement must of 1961, Public Law 87–256, as for three (3) assistance awards. Public have demonstrated qualifications for amended, also known as the Fulbright- and private non-profit organizations this service. Programs must conform Hays Act. The purpose of the Act is ‘‘to meeting the provisions described in with Bureau requirements and enable the Government of the United Internal Revenue Code section 26 U.S.C. guidelines outlined in the Solicitation States to increase mutual understanding 501(C)(3) may apply to develop and Package. Bureau programs are subject to between the people of the United States implement one of the following three the availability of funds. and the people of other countries * * *; post-graduate level Fulbright American to strengthen the ties which unite us Studies Institute programs designed for Program Information with other nations by demonstrating the multinational groups of either 18 or 30 Overview and Objectives: Fulbright educational and cultural interests, experienced foreign university faculty American Studies Institutes are developments, and achievements of the and secondary educators: intended to offer foreign scholars and people of the United States and other A. American Civilization teachers whose professional work nations * * * and thus to assist in the B. U.S. Political Economy and the focuses on the United States the development of friendly, sympathetic Global Economic System opportunity to deepen their and peaceful relations between the C. American Studies for Foreign understanding of American society, United States and the other countries of Secondary School Educators culture and institutions. Their ultimate the world.’’ The funding for Balkan These programs are intended to goal is to strengthen curricula and to countries eligible in FY 2004 has provide participants with a deeper improve the quality of teaching about previously been provided through SEED understanding of American life and the U.S. in institutions of higher legislation. The President’s budget institutions, past and present, in order learning and secondary school systems request for Educational and Cultural to strengthen curricula and to improve abroad. Exchanges for Fiscal Year 2004 includes the quality of teaching about the United Programs should be six weeks in funding for this purpose. States at universities abroad. Programs should therefore be designed to length and must include an academic Notice elucidate the topic or theme of the residency segment of at least four weeks The terms and conditions published Institute as well as American duration at a U.S. college or university in this RFGP are binding and may not civilization as a whole. campus (or other appropriate location). be modified by any Bureau Programs are six weeks in length and A study tour segment of not more than representative. Explanatory information will be conducted during the Summer of two weeks should also be planned and provided by the Bureau that contradicts 2004. should directly complement the published language will not be binding. The Bureau is seeking detailed academic residency segment; the study Issuance of the RFGP does not proposals from colleges, universities, tour should include visits to one or two constitute an award commitment on the consortia of colleges and universities, additional regions of the United States. part of the Government. The Bureau and other not-for-profit academic All institutes should be designed as reserves the right to reduce, revise, or organizations that have an established intensive, academically rigorous increase proposal budgets in accordance reputation in one or more of the seminars intended for an experienced with the needs of the program and the following fields: political science, group of fellow scholars from outside availability of funds. Awards made will international relations, law, history, the United States. The institutes should be subject to periodic reporting and sociology, literature, American studies, be organized through an integrated evaluation requirements. and/or other disciplines or sub- series of lectures, readings, seminar disciplines related to the program discussions, regional travel and site Notification themes. visits, and they should also include Final awards cannot be made until It is the Bureau’s intention to fund some opportunity for limited but well- funds have been appropriated by one institute in each of the above three directed independent research.

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Applicants are encouraged to design The complexity and heterogeneous international spillover effects), and U.S. thematically coherent programs in ways nature of American society should be foreign/development assistance policy. that draw upon the particular strengths, highlighted, as should the institutions C. American Studies for Foreign faculty and resources of their and values that enable the nation to Secondary School Educators institutions as well as upon the accommodate that diversity. nationally recognized expertise of The program should be designed to This Fulbright American Studies scholars and other experts throughout assist foreign university faculty who are Institute should provide a multinational the United States. All Fulbright attempting to develop or enhance group of up to 30 experienced foreign American Studies Institute programs, courses focusing on the United States at secondary school educators (including regardless of their particular thematic their home institutions. teacher trainers, curriculum developers focus, should seek to: The program should draw from a and education ministry officials) with a 1. Provide participants with a view of diverse disciplinary base, and should deeper understanding of U.S. society contemporary scholarship within the itself be a model of how a foreign and culture, past and present. The institute’s governing academic university might approach the study of institute should be organized around a discipline, delineating the current the United States. central theme or themes in U.S. scholarly debates within the field. In civilization and should have a strong this regard, the seminar should indicate B. U.S. Political Economy and the contemporary component. Through a how prevailing academic practice in the Global Economic System combination of traditional, multi- discipline represents both a The Fulbright American Studies disciplinary and interdisciplinary continuation of and a departure from Institute on U.S. Political Economy and approaches, program content should be past scholarly trends and practices. It is the Global Economic System should imaginatively integrated in order to therefore critical that a variety of provide 18 experienced foreign elucidate the history and evolution of scholarly viewpoints be represented, university faculty and practitioners with U.S. institutions and values, broadly including bringing in presenters from a deeper understanding of the domestic defined. The program should also serve other institutions, as appropriate. Please political context of and influences on to illuminate the contemporary note that the ways these alternative U.S. economic policymaking, as well as political, social, and economic debates schools of thought will be presented the substance of U.S. domestic and in American society. The program’s should be clearly described in the foreign economic policy. ultimate goal is to promote the proposal; Prospective topics to be treated development and improvement of 2. Bring an interdisciplinary or multi- include: philosophical assumptions and courses and teaching about the U.S. at disciplinary focus to bear on the social norms underpinning the U.S.’s secondary schools and teacher training program content if appropriate; democratic market system; the evolution institutions abroad. 3. Give participants a multi- of post-war American economic thought Program Dates: Ideally, the programs dimensional examination of U.S. society on the role of the market and the state should be 44 days in length (including and institutions that reflects a broad and in society (different schools or participant arrival and departure days) balanced range of perspectives and approaches); roles of Congress and and should begin in late June or early responsible views. Programs should executive branch department and July, 2004. include the views not only of scholars, agencies (including e.g. the White Participants: As specified in the cultural critics and public intellectuals, House, the departments of Commerce, Project Objectives, Goals and but also those of other professionals Treasury and State, Office of the U.S. Implementation (POGI) guidelines in outside the university such as Trade Representative), and the U.S. the solicitation package, programs government officials, journalists and Federal Reserve, in the formation of U.S. should be designed for highly-motivated others who can substantively contribute economic policy; role of private and experienced multinational groups to the topics at issue; and, corporations, interest groups, trade of either 18 foreign university faculty 4. Ensure access to library and associations, lobbying organizations, and scholars (for programs A and B material resources that will enable think tanks and research institutes, and above) or 30 secondary educators, grantees to continue their research, other actors in economic policymaking; including teachers, teacher trainers, study and curriculum development regulation of the economy, and curriculum developers and education upon returning to their home economic consequences of ministry officials (for program C above). institutions. governmental interventions in pursuit of Participants will be interested in Program Descriptions environmental, health and safety, and participating in an intensive seminar on other policy concerns; impact of cross- aspects of U.S. civilization as a means A. American Civilization border flows of direct investment, to develop or improve courses and The Fulbright American Studies technology and skilled labor on the teaching about the United States at their Institute on American Civilization American economy and politics; role of home institutions and school systems. should provide 18 foreign university U.S.-based multinational corporations Participants will be varied in terms of faculty and scholars with a deeper in the global economic system; role of age, professional position, and travel understanding of U.S. society, culture, the United States in regional economic experience abroad. Participants can be values and institutions. While the institutions (including, e.g., NAFTA and expected to come from educational program will likely examine some of the the proposed Free Trade Area of the institutions where the study of the U.S. critical historical epochs, movements, Americas) and in multilateral economic is relatively well-developed as well as issues and conflicts that have institutions (e.g., the IMF, World Bank from institutions that are just beginning influenced the development of the and WTO); and, current U.S. negotiating to introduce courses and programs nation and its people, it should also strategies in the international economy. focusing on the United States. While include a strong contemporary Specific areas of economic policy to participants may not have in-depth component, particularly current be examined should include knowledge of the particular institute political, social, and economic issues international trade and finance, U.S. program theme, they will likely have and debates. fiscal and monetary policy (especially had exposure to the relevant discipline

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and some experience teaching about the budgets in accordance with the needs of will NOT be accepted, nor will United States. the program, and availability of U.S. documents postmarked November 24, Participants will be drawn from all government funding. 2003 but received at a later date. It is the regions of the world and will be fluent Please refer to the ‘‘POGI’’ in the responsibility of each applicant to in the English language. Solicitation Package for complete ensure that proposal submissions arrive Participants will be nominated by institute budget guidelines and by the deadline. Fulbright Commissions and by U.S. formatting instructions. Submissions: Applicants must follow Embassies abroad. Nominations will be Announcement Name and Number: all instructions in the Solicitation reviewed by the Study of the U.S. All communications with the Bureau Package. The original and 13 copies of Branch at the Department of State. Final concerning this announcement should the complete application should be sent selection of grantees will be made by the refer to the following titles and to: U.S. Department of State, Bureau of Fulbright Foreign Scholarship Board. reference numbers: Educational and Cultural Affairs, Program Guidelines: While the Fulbright American Studies Institute on Reference: (insert appropriate reference conception and structure of the institute ‘‘American Civilization’’—(ECA/A/E/ number from above, e.g. ECA/A/E/USS– program is the responsibility of the USS–04–02A–Taylor) 04–02x–Taylor), Program Management organizers, it is critically important that Fulbright American Studies Institute on Staff, ECA/EX/PM, Room 534, State proposals provide a full, detailed and ‘‘U.S. Political Economy and the Annex 44, 301 4th Street, SW., comprehensive narrative describing the Global Economic System’’—(ECA/A/ Washington, DC 20547. objectives of the institute; the title, E/USS–04–02B–Benda) Applicants should also submit the scope and content of each session; and, Fulbright American Studies Institute for ‘‘Executive Summary’’ and ‘‘Proposal how each session relates to the overall Foreign Secondary School Narrative’’ sections of the proposal in institute theme. The syllabus must Educators—(ECA/A/E/USS–04–02C– text (.txt) format on a PC-formatted disk. therefore indicate the subject matter for Taylor) If possible, please also include on the each lecture or panel discussion, disk any program calendar or syllabus confirm or provisionally identify FOR FURTHER INFORMATION CONTACT: To addendum to the proposal. proposed lecturers and discussants, and request a Solicitation Package clearly show how assigned readings will containing more detailed program Diversity, Freedom and Democracy support each session. A calendar of all information, award criteria, required Guidelines activities for the program must also be application forms, specific budget Pursuant to the Bureau’s authorizing included. Overall, proposals will be instructions, and standard guidelines for legislation, programs must maintain a reviewed on the basis of their fullness, proposal preparation, applicants should non-political character and should be coherence, clarity, and attention to contact: U.S. Department of State, balanced and representative of the detail. Bureau of Educational and Cultural diversity of American political, social, Programs must comply with J–1 visa Affairs, Office of Academic Exchange and cultural life. ‘‘Diversity’’ should be regulations. Please refer to the Programs, Study of the U.S. Branch, interpreted in the broadest sense and Solicitation Package for further details State Annex 44, ECA/A/E/USS—Room encompass differences including, but on program design and implementation, 252, 301 4th Street, SW., Washington, not limited to ethnicity, race, gender, as well as additional information on all DC 20547, Attention: Richard Taylor, religion, geographic location, socio- other requirements. Telephone number: (202) 619–4578, Fax economic status, and physical Budget Guidelines: Based on groups number: (202) 619–6790, Internet challenges. Applicants are strongly of 18 participants, the total Bureau- address: [email protected]. encouraged to adhere to the funded budget (program and The Study of the U.S. Branch is advancement of this principle both in administrative) for programs (A) and (B) willing to consult with potential program administration and in program above should be up to approximately applicants regarding proposal content content. Please refer to the review $220,000, and Bureau-funded and preparation. Please specify Senior criteria under the ‘‘Support for administrative costs as defined in the Program Officer Richard Taylor on all Diversity’’ section for specific budget details section of the solicitation inquiries and correspondence. suggestions on incorporating diversity package should be up to approximately Interested applicants should read the into the total proposal. Pub. L. 104–319 $80,000. complete Federal Register provides that ‘‘in carrying out programs Based on a group of 30 participants, announcement before addressing of educational and cultural exchange in the total Bureau-funded budget inquiries to the office listed above or countries whose people do not fully (program and administrative) for submitting their proposals. Once the enjoy freedom and democracy,’’ the program (C) above should be up to RFGP deadline has passed, Bureau staff Bureau ‘‘shall take appropriate steps to approximately $300,000, and Bureau- may not discuss this competition in any provide opportunities for participation funded administrative costs as defined way with applicants until after the in such programs to human rights and in the budget details section of the proposal review process has been democracy leaders of such countries.’’ solicitation package should be up to completed. Pub. L. 106–113 requires that the approximately $85,000. To Download a Solicitation Package governments of the countries described Justifications for any costs above these Via Internet: The entire Solicitation above do not have inappropriate amounts must be clearly indicated in Package may be downloaded from the influence in the selection process. the proposal submission. Proposals Bureau’s Web site at http:// Proposals should reflect advancement of should try to maximize cost-sharing in exchanges.state.gov/education/RFGPS/. these goals in their program contents, to all facets of the program and to Please read all information before the full extent deemed feasible. stimulate U.S. private sector, including downloading. foundation and corporate, support. Deadline for Proposals: All proposal Adherence to All Regulations Applicants must submit a copies must be received at the Bureau Governing the J Visa comprehensive budget for the entire of Educational and Cultural Affairs by 5 The Bureau of Educational and program. The Bureau reserves the right p.m. Washington, DC time on Monday, Cultural Affairs is placing renewed to reduce, revise, or increase proposal November 24, 2003. Faxed documents emphasis on the secure and proper

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administration of Exchange Visitor (J the continuity of the American Educational and Cultural Exchange Act of visa) Programs and adherence by experience as well as the diversity and 1961, Pub. L. 87–256, as amended, also grantees and sponsors to all regulations dynamism inherent in it. known as the Fulbright-Hays Act. The governing the J visa. Therefore, 2. Program Planning and purpose of the Act is ‘‘to enable the proposals should demonstrate the Government of the United States to increase Administration: Proposals should mutual understanding between the people of applicant’s capacity to meet all demonstrate careful planning. The the United States and the people of other requirements governing the organization and structure of the countries * * *; to strengthen the ties which administration of Exchange Visitor institute should be clearly delineated unite us with other nations by demonstrating Programs as set forth in 22 CFR 6Z, and be fully responsive to all program the educational and cultural interests, including the oversight of Responsible objectives. A program syllabus (noting developments, and achievements of the Officers and Alternate Responsible specific sessions and topical readings people of the United States and other nations Officers, provision of pre-arrival supporting each academic unit) should * * * and thus to assist in the development information and orientation to be included, as should a calendar of of friendly, sympathetic and peaceful participants, monitoring of participants, relations between the United States and the activities. The travel component should other countries of the world.’’ proper maintenance and security of not simply be a tour, but should be an forms, record-keeping, reporting and integral and substantive part of the Notice: The terms and conditions other requirements. ECA will be program, reinforcing and published in this RFGP are binding and may responsible for issuing DS–2019 forms not be modified by any Bureau complementing the academic segment. representative. Explanatory information to participants in this program. Proposals should provide evidence of A copy of the complete regulations provided by the Bureau that contradicts continuous administrative and published language will not be binding. governing the administration of managerial capacity as well as the Issuance of this RFGP does not constitute an Exchange Visitor (J) programs is means by which program activities and award commitment on the part of the available at http://exchanges.state.gov logistical matters will be implemented. Government. The Bureau reserves the right to or from: United States Department of 3. Institutional Capacity: Proposed reduce, revise, or increase proposal budgets State, Office of Exchange Coordination personnel, including faculty and in accordance with the needs of the program and Designation, ECA/EC/ECD—SA–44, administrative staff as well as outside and the availability of funds. Awards made Room 734, 301 4th Street, SW., will be subject to periodic reporting and presenters, should be fully qualified to evaluation requirements. Washington, DC 20547, Telephone: achieve the project’s goals. Library and (202) 401–9810, FAX: (202) 401–9809. meeting facilities, housing, meals, Notification: Final awards cannot be Review Process: The Bureau will transportation and other logistical made until funds have been acknowledge receipt of all proposals arrangements should fully meet the appropriated by Congress, and allocated and will review them for technical needs of the participants. and committed through internal Bureau eligibility. Proposals will be deemed 4. Support for Diversity: Substantive procedures. ineligible if they do not fully adhere to support of the bureau’s policy on the guidelines stated herein and in the Dated: August 13, 2003. diversity should be demonstrated. Solicitation Package. All eligible Patricia S. Harrison, This can be accomplished through proposals will be reviewed by the Assistant Secretary for Educational and documentation, such as a written program office. Eligible proposals will Cultural Affairs, Department of State. statement, summarizing past and/or on- then be forwarded to panels of senior [FR Doc. 03–21434 Filed 8–20–03; 8:45 am] going activities and efforts that further Bureau officers for advisory review. BILLING CODE 4710–05–P the principle of diversity within the Proposals may also be reviewed by the organization and its activities. Program Department of State’s Office of the Legal Advisor, by other Bureau elements, or activities that address this issue should DEPARTMENT OF STATE be highlighted. by outside experts and/or academics. [Public Notice 4410] Final funding decisions are at the 5. Experience: Proposals should discretion of the Department of State’s demonstrate an institutional record of successful exchange program activity, Shipping Coordinating Committee; Assistant Secretary for Educational and Notice of Meeting Cultural Affairs. Final technical indicating the experience that the authority for assistance awards organization and its professional staff The Shipping Coordinating (cooperative agreements) resides with have had in working with foreign Committee (SHC) will conduct an open the Bureau’s Grants Officer. educators. meeting at 1 PM on Tuesday, September Review Criteria: Technically eligible 6. Evaluation and Follow-up: A plan 9, 2003, in Room 4400 of the applications will be competitively for evaluating activities during the Department of Transportation reviewed according to the criteria stated Institute and at its conclusion should be Headquarters, 400 Seventh Street SW., below. More weight will be given to included. Proposals should discuss Washington, DC 20590–0001. The items one and two, and all remaining provisions made for follow-up with primary purpose of the meeting is to criteria will be evaluated equally. returned grantees as a means of prepare for the Eighth Session of the 1. Overall Quality: Proposals should establishing longer-term individual and International Maritime Organization exhibit originality and substance, institutional linkages. (IMO) Sub-Committee on Dangerous consonant with the highest standards of 7. Cost Effectiveness: Proposals Goods, Solid Cargoes and Containers to American teaching and scholarship. should maximize cost-sharing through be held at the IMO Headquarters in Program design should reflect the main direct institutional contributions, in- London, England from September 22 to currents as well as the debates within kind support, and other private sector September 26, 2003. the subject discipline of each institute. support. Overhead and administrative The primary matters to be considered Program elements should be coherently components, including salaries and include: and thoughtfully integrated. Lectures, honoraria, should be kept as low as • Amendments to the International panels, field visits and readings, taken possible. Maritime Dangerous Goods (IMDG) as a whole, should offer a balanced Authority: Overall grant making authority Code and Supplements including presentation of issues, reflecting both for this program is contained in the Mutual harmonization of the IMDG Code with

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the United Nations Recommendations FOR FURTHER INFORMATION CONTACT: (emphasis added). In determining who on the Transport of Dangerous Goods, Lorelei Peter, Operations and Air Traffic qualifies as a limited incumbent carrier, and review of Annex III of the Marine Law Branch, Regulations Division, the definition requires that we exclude Pollution Convention (MARPOL 73/78), Office of the Chief Counsel, Federal international slots, Essential Air Service as amended. Aviation Administration, 800 Program slots, or slots allocated at DCA • Review of the Code of Safe Practice Independence Avenue, SW., between the local hours of 2200 and for Solid Bulk Cargoes (BC Code), Washington, DC 20591; telephone 0659. A carrier that holds or operates 12 including evaluation of properties of number (202) 267–3134. or more slots at an airport is an solid bulk cargoes. SUPPLEMENTARY INFORMATION: incumbent carrier. • Cargo securing manual. There are two carriers requesting to • Casualty and incident reports and Background participate in the lottery that do not analysis. On July 9, 2003, the FAA published hold slots at DCA, but have a presence • Development of a manual on in the Federal Register a notice of at the airport, and in fact, conduct loading and unloading of solid bulk lottery and allocation procedures for a operations at DCA. Chautauqua and cargoes for terminal representatives. limited number of air carrier and Atlantic Coast Airlines operate slots, • Guidance on serious structural commuter slots at Reagan National which are actually held by larger, deficiencies in containers. Airport (DCA) (68 FR 41037). A incumbent carriers, through codeshare • Measures to enhance maritime clarification regarding the applicable arrangements or by lease and conduct security. definition of a limited incumbent carrier these operations on behalf of the • Ship/terminal interface was published in the Federal Register incumbents. improvement for bulk carriers. on July 18, 2003 (68 FR 42796). On July The definitions cited do create • Alternative hold loading ban for 24, 2003, the FAA opened a docket for something of an anomaly in that a bulk carriers. the lottery (FAA–2003–15745) and carrier that holds no slots but operates Members of the public may attend the invited interested parties to comment on more than 12 cannot be a ‘‘limited meeting up to the seating capacity of the issues related to the lottery procedures incumbent’’ under the lottery rule but room. Interested persons may seek by July 28, 2003. On July 31, 2003, the could be a ‘‘new entrant.’’ Similarly, a information by writing: Mr. E. P. FAA issued a notice rescheduling the carrier could be both a limited Pfersich, U.S. Coast Guard (G–MSO–3), lottery from July 31, 2003, to August 12, incumbent and a new entrant if it Room 1210, 2100 Second Street SW., 2003, in order to address these issues operates fewer than 12 slots but holds Washington, DC 20593–0001 or by and others raised in the comments, prior none. ATA and Air Canada urge the calling (202) 267–1217. to the scheduled lottery (68 FR 47378; FAA to apply the term ‘‘new entrant’’ as August 8, 2003). plainly defined and argue that any Dated: August 15, 2003. This notice responds to the comments carrier that does not hold slots in its Margaret F. Hayes, received, explains the lottery own right at DCA should be included in Chairman, Shipping Coordinating Committee, procedures, and classifies the carriers the new entrant category regardless of Department of State. eligible to participate in the lottery its operations at the airport. ACAA [FR Doc. 03–21433 Filed 8–20–03; 8:45 am] under our applicable regulations as new argues that Air Canada and Mesa should BILLING CODE 4710–70–P entrants, limited incumbents, and not be allowed to participate either as a incumbents, as defined in 14 CFR ‘‘new entrant’’ or ‘‘limited incumbent’’ 93.213. We also note which carriers are given that both operate more than 12 DEPARTMENT OF TRANSPORTATION considered single operators for the slots at the airport. ACAA argues if the purposes of slot allocation. regulations preclude a carrier from Federal Aviation Administration being a limited incumbent, the carrier Discussion of Comments [Docket No. FAA–2003–15745] logically cannot be a new entrant. The FAA received comments from the In making the argument that the FAA High Density Traffic Airports Metropolitan Washington Airports should veer from the plain language of Authority (MWAA), Air Canada, ATA the regulation, ACAA selects a phrase AGENCY: Federal Aviation Airlines (ATA), Spirit Airlines, US from section 93.225(e), the provision Administration (FAA), DOT. Airways, the Air Carrier Association of which sets out the lottery procedures ACTION: Disposition of comments on the America (ACAA) and Congressman and provides that ‘‘any U.S. carrier or lottery procedures. Regula, as well as several reply foreign carrier where provided for by comments. The comments identified bilateral agreement, that is not operating SUMMARY: This notice addresses five major issues, which are discussed scheduled service at the airport * * * comments received on the lottery below. but wishes to initiate scheduled procedures to be used by the FAA in the passenger service at the airport, shall be allocation of limited air carrier and 1. Definition of New Entrant included in the lottery if it notifies the commuter slots at Washington Reagan Under the applicable regulations, a FAA.’’ (Emphasis added.) ACAA National Airport on August 12, 2003. ‘‘new entrant’’ carrier is an air carrier or contends that because this provision Additionally, this notice lists all carriers commuter operator that does not hold a distinguishes carriers operating at the eligible to participate and provides the slot at a particular airport and has airport from those who do not, a ‘‘new carriers’ classification for slot selection neither sold or given up a slot at that entrant’’ must mean a carrier that is not in the lottery. airport since December 16, 1985 (14 already operating at the airport. DATES: August 11, 2003. CFR 93.213(a)(1)) (emphasis added). A A significant difference between a Date/Location of Lottery: The lottery limited incumbent carrier is defined in new entrant carrier and a limited will be held in the Federal Aviation 14 CFR 93.213(a)(5) and is a commuter incumbent carrier is that slots allocated Administration (FAA) Auditorium, 3rd operator or air carrier operator that under the Essential Air Service Program, floor, 800 Independence Avenue, SW., holds or operates fewer than 12 air for international operation or in the low- Washington, DC 20591 on August 12, carrier or commuter slots, in any demand hours at DCA (2200–0659) are 2003, beginning a 1 p.m. combination, at a particular airport counted in determining whether a

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carrier is a new entrant. Air Canada and definition along with other important is a limited incumbent carrier, then that ATA Airlines both hold slots in the low- questions is justified in view of the carrier may select two slots. Following demand hours. Mesa previously has changes that have occurred in the the rank order to the next new entrant held EAS slots at DCA. Consequently, industry since 1985, and the plethora of or limited incumbent carrier, that carrier Air Canada and Mesa are incumbents arrangements by which slots are made would in this case select the remaining and ATA Airlines is a limited available under the rule (common two slots. incumbent. ownership, contracts, leases and ATA asks the FAA to disregard the For several reason we conclude that multiple codeshare arrangements). For governing regulatory provisions the definition of ‘‘new entrant’’ should now, however, the FAA finds that the referenced above and instead adopt an be applied as written, with the result public interest lies in allocating these ad hoc allocation approach that ATA that carriers who do not hold any slots slots promptly. Therefore, the new argues will better achieve the policy at the airport according to the FAA’s entrant definition will be applied in its goal of maximizing competitive services records will be considered new entrants present form. at DCA. In promulgating the lottery for purposes of this lottery, regardless of 2. New Entrant Preference procedures, the FAA and the whether they also operate any slots at Department of Transportation the airport. First, in 1985, when the ATA claims that the FAA’s intended specifically found that the two definition of ‘‘new entrant’’ was procedure, by which we will permit the articulated preferences for new entrants promulgated as part of the ‘‘buy/sell’’ first ranked new entrant carrier to select were warranted to further policies rule, (50 FR 52189; December 20, 1985), four of the available six air carrier slots, enunciated in the Airline Deregulation the industry operated much differently is inconsistent with the regulatory Act of 1978 (50 FR 52193; December 20, than today. At that time, most commuter requirements and fundamentally unfair. 1985). The resulting lottery provision is service was provided by independent ATA contends that the original rationale quite specific in this regard and the for our rule allowing new entrants to companies who held their own slots and FAA does not find that it has the select four slots in the first sequence of entered into feeder or marketing latitude suggested by ATA to arbitrarily the lottery—i.e., that four slots are relationships with the larger carriers. change this provision, or ignore it. minimally necessary for an The Department did not want to define Given the limited number of slots economically viable operation—is ‘‘new entrant’’ in such a way as to create available in this lottery relative to the clearly no longer justified. ATA would a disincentive toward such number of participants, it may be that prefer that we remake the procedures so arrangements by making it more only a few carriers will get to select as to maximize the number of carriers difficult for carriers to conduct slots. As discussed below, the FAA and who receive slots in the lottery, by operations at the airport through leased the Department are neither amending allowing three new entrant carriers to slots to obtain permanent slots of their nor abandoning the agencies’ position own. Chautauqua, and Atlantic Coast’s select two slots each. that the opportunity for a new entrant access to DCA is a result of lease The regulation governing slot lotteries carrier to select four slots is preferable arrangements and neither of these establishes two preferences for new in meeting the stated goals. carriers hold slots outright. The entrant carriers: (1) In the first selection underlying policy goal that was the sequence, 25 percent of the slots ATA also argues that all the new basis for first defining a new entrant in available in the lottery, or no less than entrants already have some slots (or slot this way remains a valid consideration 2, are reserved for new entrants (‘‘new exemptions) and that four slots are not today. entrant set-aside’’); and (2) new entrant economically necessary for new entrants Second, leasing a slot that is carriers may select four slots, if to establish service at the airport. ATA necessary to enter competition is a far available in the first sequence. (See 14 points to service conducted by Alaska cry from holding the slot outright. Both CFR 93.225(h) and (f) respectively.) Airlines and Frontier Airlines, which air carriers who would be adversely The upcoming lottery offers six slots have both been successful conducting a affected by an interpretation that in the air carrier category. A rank order single roundtrip at DCA. In recent FAA equated ‘‘operations’’ with ‘‘holdings’’ of all carriers eligible to participate in and Department proceedings however, are independent companies who have the lottery will be established at the several new entrant carriers have argued entered into codeshare arrangements start of the lottery. Incumbent carriers the opposite, contending that even four with larger carriers to operate commuter may only select after all new entrant slots during peak hours are not enough flights. We have no information to and limited incumbent carriers have today to launch viable service. suggest that these carriers cannot made their selections. After the rank We recognize that ATA successfully conduct operations on their own, order is established, the first new operates at DCA using only four peak outside of their codeshare arrangements, entrant may select two slots. This will hour AIR–21 exemption slots and two competing against incumbents.1 complete the new entrant set-aside. The off-peak hour slots. Likewise, both ACAA’s proposed interpretation of our lottery continues with the first selection Alaska Airlines and Frontier Airlines rules would potentially inhibit sequence by starting at the top of the are the recipients of AIR–21 slot competition. established rank order and moving to exemptions by the Department for Lastly, interpreting the definition of the first new entrant or limited beyond the perimeter service at DCA. ‘‘new entrant’’ in the manner suggested incumbent carrier. If the first carrier in Frontier Airlines provides the only by ACAA—that is, against its literal the rank order is a new entrant (that also nonstop DCA/Denver service (Order language—would necessitate a lengthier selected two slots in the new entrant 2000–7–1) and Alaska Airlines (Order proceeding that we believe is warranted. set-aside), that this new entrant is 2001–6–20) provides the only nonstop It may well be that a review of this eligible to select only two additional DCA/Seattle service. That nonstop slots, which completes its selection of service from DCA to these markets can 1 Indeed, very recently one of these carriers— four slots in the first selection sequence, be operated successfully in the absence Atlantic Coast announced it anticipates that its as provided for in the regulation. of other non-stop competition is not longstanding relationship with United Airlines will end, and that it will establish a new, independent Alternatively, after completing the new surprising; new entrant carriers seeking low-fare airline. See http://www.atlanticcoast.com/ entrant set-aside selections, if the first to provide competitive alternatives on pressreleasearchive/2003/july/728.htm. non-incumbent carrier in the rank order city-pairs already served by other

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carriers on a nonstop basis is a different 3. Lottery Allocation in Light of Other inconsistent with the regulatory situation. Related Proceedings allocation regime to indefinitely US Airways objects to any lottery, Spirit Airlines points to the variety of postpone the lottery. Consequently, the characterizes the lottery mechanism as pending proceedings concerning slots FAA will proceed with the lottery on ‘‘anti-incumbent’’ and argues that and slot exemptions and asks the FAA August 12, 2003. ‘‘redistributive lotteries’’ are not and the Department to end the practice 4. Use of Commuter Equipment in Air appropriate. of allocating slots on a piecemeal basis, Carrier Slots One of the primary purposes of the saying this practice makes it difficult for MWAA and the ACAA express lottery provision was to enhance any new entrant carrier to evaluate the concern over the increasing incidence competition by affording new entrant true economics of potential operations with which air carrier slots are operated and limited incumbent carriers greater at the airport. Spirit would defer the by carriers using commuter type aircraft access to slot-controlled airports. Thus, lottery until other agency actions on that qualify for commuter slots. These the Department believed that allowing slots exemptions and/or the potential parties argue that this practice has incumbent carriers to participate on exemptions in pending legislation, in resulted in a decline of passenger equal terms with new entrants in particular, H.R. 2115 ‘‘Aviation activity at DCA even as the number of seeking permanent allocation of slots Investment and Revitalization Vision overall operations at the airport has would reduce the opportunities for new Act,’’ are allocated. Conversely, ATA remained relatively constant. MWAA entrants or limited incumbents to argues that the public interest requires asks that we require air carriers introduce competitive service (57 FR that slots be allocated whenever they participating in the lottery not only to 37309; August 18, 1992). Therefore, in become available and says that slots have aircraft that meet the definition of promulgating this rule, the FAA and the should be used once allocated. ATA and the equipment that may be operated in Department restricted the permanent MWAA also oppose a delay of the this category of slots, but also to have allocation of slots to incumbent carriers. lottery to wait for the potential the stated intention to use these slots for Whether or not that policy should be allocation of slot exemptions currently operations with the larger aircraft. revisited today, in light of the economic under consideration by Congress. US A carrier that wishes to participate in condition of incumbent carriers, the Airways again questions the basis for a lottery for either air carrier or FAA is clearly bound to give it its full any lottery and forecasts that it is likely commuter slots must hold the force and effect and to carry out the that slots will become available after the appropriate FAA operating authority for intent of our regulations. current slot usage waiver terminates and the slots the operator seeks to select (14 that a lottery should be conducted at US Airways complains that the lottery CFR 93.225a(g)). The FAA has that time. interpreted the existing provisions of provision is ‘‘anti-incumbent’’ in that The FAA has discretion to conduct a airlines that hold a substantial number § 93.225 to limit participation in air lottery when it determines that there are carrier lotteries to carriers capable of of slots may only receive a temporary sufficient slots available for allocation. allocation through the lottery after all operating air carrier equipment within The fifteen slots that are available for the meaning of 14 CFR 93.123(c) (51 FR new entrant and limited incumbent allocation in this lottery are slots that carriers have finished their selections. 21706; June 13, 1986). After air carrier were previously returned to the FAA or slots have been allocated, a carrier may However, incumbent carriers such as US were allocated temporarily to carriers on Airways received a large base level of use smaller aircraft in air carrier slots in a first-come, first-served basis on the accordance with 14 CFR 93.221(c). slots at the time the allocation rules express condition that they would be were adopted in 1985; as a whole, While we are sympathetic to MWAA’s recalled when the FAA determines that position, the FAA cannot limit or arguably, the provisions benefited it is necessary to allocate the slots incumbents. Today, US Airways and its condition approval on participation in permanently. Over the past many the air carrier lottery in the manner wholly owned subsidiaries hold 43 months the FAA received numerous percent of the slots at DCA. the next suggested by MWAA, without amending inquiries and requests for slots at DCA the regulation. largest slot holder at the airport is Delta by new entrant carriers. In light of the and its wholly owned subsidiaries with expressed demand for permanent 5. ‘‘Mandatory Participation’’ approximately 14 percent of the slots. allocation of the available slots at the ATA complains that the FAA plans to Thus, two carrier groups account for airport, we believe that the spirit of our include all carriers that currently nearly 60 percent of the slots at the regulations require that we allocate operate at DCA in the lottery, even if airport. Despite the buy-sell rule, the whatever capacity is available at the those carriers did not actually notify the lottery provision in the regulations is earliest practical time. As indicted by FAA that they want to participate in the the only mechanism that specifically the number of carriers that filed requests lottery. ATA says this plan constitutes addresses competitive access to slot- to participate in the lottery and by the a ‘‘mandatory participation’’ regime that controlled airports such as DCA. comments submitted to the docket, it is is not in accordance with either the The need for a lottery also stems from evident that there is demand by many regulations or the lottery notice. other aspects of our rules. The slots in carriers for even this limited number of This argument reflects a question have never been allocated slots. misunderstanding of the rule. The rule permanently, and the lottery allocation We have no indication that slots at expressly provides that ‘‘participation in provision is the only means of allocating DCA will be returned to the FAA after a lottery is open to each U.S. air carrier these peak hour slots on a permanent the expiration of the slot usage waiver or commuter operating at the airport basis. US Airways and other carriers period, instituted in April 2003. * * * as well as where provided for by were allocated slots during peak hours (Temporary return of peak-hour slots for bilateral agreement’’ (14 CFR 93.225(e) on a temporary basis subject to recall by non-use during this waiver period has (emphasis added). Participation is not the FAA and distribution by lottery in been minimal.) Some AIR–21 slot mandatory. As a matter of procedure, accordance with the regulations. exemptions were recalled for non-use, the FAA includes every carrier at the Consequently, this process is entirely however, their reallocation process is airport as eligible to participate and appropriate to allocate available slots. not done by lottery. We find it would be each carrier receives a rank order. These

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carriers also are not required to submit DEPARTMENT OF TRANSPORTATION milepost 30.5, or on the Bergen County notice to the FAA of their intention to Line between Jersey City, New Jersey, participate in the lottery; carriers that do Federal Railroad Administration milepost P 2.2 and Ridgewood Junction not conduct scheduled service at the Interlocking, milepost 19.0, on Saturday airport are required to submit notice to Notice of Application for Approval of and Sunday, October 11 and 12, and the FAA of intention to participate in Discontinuance or Modification of a October 25 and 26, 2003, for the the lottery no later than the date Railroad Signal System or Relief From proposed NYS&W Technical and specified in the Federal Register notice, Requirements Historical Society events. Applicant’s justification for relief: The which was July 16. However, it is up Pursuant to Title 49 Code of Federal three NJT lines are equipped with each carrier as to whether it ultimately Regulations (CFR) part 235 and 49 automatic block signals and operate chooses to participate or select slots in U.S.C. 20502(a), the following railroads under NORAC Rules 251 and 261, and the lottery. A carrier may advise the have petitioned the Federal Railroad the steam excursion train movements FAA at any time that it does not want Administration (FRA) seeking approval for each event would be limited to no to participate or it may simply pass at for the discontinuance or modification more than four trips daily, would not the lottery by not selecting available of the signal system or relief from the exceed 50 miles per hour, and would slots. requirements of 49 CFR part 236 as establish an absolute block ahead of detailed below. List of Carriers Eligible to Participate in each movement. the Lottery by Category Docket Number FRA–2003–15639 Any interested party desiring to protest the granting of an application Applicant: New Jersey Transit, Mr. The lottery for the air carrier slots will shall set forth specifically the grounds be conducted first and the lottery for the William B. Duggan, Vice President and upon which the protest is made, and commuter slots will follow. General Manager, Rail Operations, One contain a concise statement of the Penn Plaza East, Newark, New Jersey interest of the party in the proceeding. Air Carrier Slot Lottery Category 07105–2246. Additionally, one copy of the protest New Jersey Transit (NJT) seeks Air Canada ...... Incumbent shall be furnished to the applicant at the temporary relief from the requirements address listed above. AirTran Airway ...... New Entrant of section 236.566 of the Rules, Alaska Airlines ...... New Entrant All communications concerning this Standard and Instructions, to the extent ATA Airlines ...... Limited Incum- proceeding should be identified by the bent that NJT be permitted to operate non- docket number and must be submitted Frontier Airlines ...... New Entrant equipped New York Susquehanna and to the Docket Clerk, DOT Central Docket Mesa Air Group (Air Mid- Incumbent Western (NYS&W) steam locomotive Management Facility, Room PL–401 west, Freedom, Mesa). number 142, in automatic train control (Plaza Level), 400 7th Street, SW., Spirit Airlines ...... New Entrant territory, on NJT’s Raritan Valley Line Washington, DC 20590–0001. Since the America West Airlines ...... Limited Incum- between Cranford, New Jersey, milepost anticipated operations would take place bent 15.0 and High Bridge, New Jersey, early next month, communications must American Airlines ...... Incumbent milepost 52.2, on Saturday and Sunday, be received within 15 days of the date Continental Airlines ...... Incumbent September 13 and 14, 2003, in of this notice to be considered by the Delta Air Lines ...... Incumbent celebration of the City of Dunellen, New FRA before final action is taken. Midwest Airlines ...... Incumbent Jersey’s event, ‘‘Dunellen Railroad Northwest Airlines ...... Incumbent Comments received after that date will Days.’’ In addition, NJT seeks temporary be considered as far as practicable. All United Airlines ...... Incumbent relief from the requirements in section US Airways ...... Incumbent written communications concerning 236.566 to the extent that NJT be these proceedings are available for Commuter Slot Lottery Category permitted to operate non-equipped examination during regular business NYS&W steam locomotive number 142, hours (9 a.m.–5 p.m.) at the above Air Canada ...... Incumbent in automatic train control territory, on facility. All documents in the public Atlantic Coast Airlines ...... New Entrant NJT’s Montclair and Morristown Lines docket are also available for inspection Chautauqua Airlines/Shut- New Entrant between Newark, New Jersey, milepost and copying on the Internet at the tle America. 9.0 and Hackettstown, New Jersey, docket facility’s Web site at http:// Colgan Air ...... New Entrant milepost 56.9, on Saturday and Sunday, dms.dot.gov. Corporate Airlines ...... New Entrant October 4 and 5, 2003, in celebration of FRA wishes to inform all potential Mesa Air Group (Air Mid- Incumbent the Borough of Lincoln Park, New commenters that anyone is able to west, Freedom, Mesa). Jersey’s event, ‘‘Lincoln Park Days.’’ search the electronic form of all Allegheny Airlines/Pied- Incumbent Also, excursion trips are in the mont Airlines/PSA Air- comments received into any of our lines (US Airways Ex- planning stages that would either take dockets by the name of the individual press). place on NJT’s Main Line to Suffern, submitting the comment (or signing the American Eagle ...... Incumbent New York, then over MTA Metro-North comment, if submitted on behalf of an Atlantic Southwest/Comair Incumbent Railroad (MNR) to Port Jervis, New association, business, labor union, etc.). (Delta Connection). York, or on NJT’s Bergen County Line to You may review DOT’s complete Midway Airlines ...... Incumbent the NYS&W interchange at BT Privacy Act Statement in the Federal Skyway Airlines ...... Incumbent Interlocking, milepost 14.2. Thus, NJT Register published on April 11, 2000 Trans States Airlines ...... Incumbent seeks temporary relief from the (Volume 65, Number 70; Pages 19477– requirements in section 236.566 to the 78) or you may visit http://dms.dot.gov. Issued on August 11, 2003 in Washington, extent that NJT be permitted to operate FRA expects to be able to determine DC. non-equipped NYS&W steam these matters without an oral hearing. Andrew B. Steinberg, locomotive number 142, in automatic However, if a specific request for an oral Chief Counsel. train control territory, on NJT’s Main hearing is accompanied by a showing [FR Doc. 03–21456 Filed 8–20–03; 8:45 am] Line between Jersey City, New Jersey, that the party is unable to adequately BILLING CODE 4910–13–M milepost 2.2 and Suffern, New York, present his or her position by written

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statements, an application may be set Street NW., Washington, DC 20423– Description: Certain political for public hearing. 0001. In addition, a copy of each organizations file Form 1120–POL to Issued in Washington, DC on August 13, pleading must be served on Karl Morell, report the tax imposed by section 527. 2003. Of Counsel, Ball Janik LLP, Suite 225, The form is used to designate a George Gavalla, 1455 F St., NW., Washington, DC 2005. principal business campaign committee Associate Administrator for Safety. Board decisions and notices are that is subject to a lower rate of tax [FR Doc. 03–21424 Filed 8–20–03; 8:45 am] available on our Web site at under section 527(h). IRS uses Form www.stb.dot.gov. 1120–POL to determine if the proper tax BILLING CODE 4910–06–P Decided: August 14, 2003. was paid. By the Board, David M. Konschink, Respondents: Not-for-profit DEPARTMENT OF TRANSPORTATION Director, Office of Proceedings. institutions. Vernon A. Williams, Estimated Number of Respondents/ Surface Transportation Board Recordkeepers: 6,527. Secretary Estimated Burden Hours per [STB Finance Docket No. 34385] [FR Doc. 03–21297 Filed 8–20–03; 8:45 am] Respondent/Recordkeeper: BILLING CODE 4915–00—P Palouse River & Coulee City Railroad, Recordkeeping—17 hr., 13 min. Inc.—Lease and Operation Learning about the law or the form—5 Exemption—Union Pacific Railroad hr., 15 min. DEPARTMENT OF THE TREASURY Company Preparing the form—12 hr., 17 min. Copying, assembling, and sending the Palouse River & Coulee City Railroad, Submission for OMB Review; form to the IRS—1 hr., 52 min. Comment Request Inc. (PRCC), a Class III rail carrier, has Frequency of Response: Annually. filed a verified notice of exemption August 14, 2003. Estimated Total Reporting/ under 49 CFR 1150.41 et seq. to lease, Recordkeeping Burden: 239,150 hours. from Union Pacific Railroad company The Department of Treasury has (UP), and operate approximately 11.5 submitted the following public OMB Number: 1545–0935. miles of rail line between milepost 0.0 information collection requirement(s) to Form Number: IRS Form 1120–FSC at Arlington, and milepost 11.5 at OMB for review and clearance under the and Schedule P (1120–FSC). Gilliam, in Gilliam County, OR. PRCC Paperwork Reduction Act of 1995, Type of Review: Revision. certifies that its projected annual Public Law 104–13. Copies of the Title: U.S. Income Tax Return of a revenues as a result of this transaction submission(s) may be obtained by Foreign Sales Corporation (Form 1120– will not exceed $5 million, and thus the calling the Treasury Bureau Clearance FSC); and Transfer Price or Commission transaction will not result in the Officer listed. Comments regarding this (Schedule P). creation of a Class II or Class I rail information collection should be Description: Form 1120–FSC is filed carrier. addressed to the OMB reviewer listed by foreign corporations that have Consummation of this transaction was and to the Treasury Department elected to be FSCs or small FSCs. The expected to occur on or after August 1, Clearance Officer, Department of the FSC uses Form 1120–FSC to report 2003, the effective date of the Treasury, Room 11000, 1750 income and expenses and to figure its exemption. Pennsylvania Avenue, NW., tax liability. IRS uses Form 1120–FSC It the verified notice contains false or Washington, DC 20220. and Schedule P (Form 1120–FSC) to misleading information, the exemption DATES: Written comments should be determine whether the FSC has is void ab initio. Petitions to revoke the received on or before September 22, correctly reported its income and exemption under 49 U.S.C. 10502(d) 2003, to be assured of consideration. expenses and figured its tax liability may be filed at any time. The filing of correctly. Internal Revenue Service (IRS) a petition to revoke will not Respondents: Business or other for- automatically stay the transaction. OMB Number: 1545–0129. profit. An original and 10 copies of all Form Number: IRS Form 1120–POL. Estimated Number of Respondents/ pleading, referring to STB Finance Type of Review: Extension. Recordkeepers: 5,000. docket No. 34385, must be filed with the Title: U.S. Income Tax Return for Estimated Burden Hours per Surface Transportation Board, 1925 K Certain Political Organizations. Respondent/Recordkeeper:

Schedule P 1120ÐFSC (1120ÐFSC)

Recordkeeping ...... 94 hr., 13 min ...... 9 hr., 48 min. Learning about the law or the form ...... 19 hr., 45 min ...... 1 hr., 29 min. Preparing and sending the form to the IRS ...... 38 hr., 56 min ...... 1 hr., 43 min.

Frequency of Response: Annually. Description: Form 5500–EZ is an Estimated Number of Respondents/ Estimated Total Reporting/ annual return filed by a one-participant Recordkeepers: 250,000. Recordkeeping Burden: 1,089,900 hours. or one-participant and spouse pension Estimated Burden Hours per plan. The IRS uses this data to Respondent/Recordkeeper: OMB Number: 1545–0956. determine if the plan appears to be Recordkeeping—18 hr., 10 min. Form Number: IRS Form 5500–EZ. operating properly as required under the Learning about the law or the form—2 Type of Review: Revision. law or whether the plan should be hr., 49 min. Title: Annual Return of One- audited. Preparing the form—5 hr., 6 min. Participant (Owners and Their Spouses) Respondents: Business or other for- Copying, assembling, and sending the Retirement Plan. profit. form to the IRS—32 min.

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Frequency of Response: Annually. after 1997 by a state or local UNITED STATES INSTITUTE OF Estimated Total Reporting/ government, with the proceeds used to PEACE Recordkeeping Burden: 6,660,000 hours. improve certain eligible public schools. OMB Number: 1545–1444. In lieu of receiving interest payments Notice of Meeting Form Number: IRS Form 8844. from the issuer, an eligible holder of the Type of Review: Revision. bond is generally allowed an annual Date/Time: Thursday, September 18, Title: Empowerment Zone income tax credit. Eligible holders of 2003; 9:30 a.m.–5:30 p.m. Employment Credit. qualified zone academy bonds use Form Location: 1200 17th Street, NW., Suite Description: Employers who hire 8860 to figure and claim this credit. 200, Washington, DC 20036–3011. employees who live and work in one of Respondents: Business or other for- the 11 designated empowerment zones profit, State, local or Tribal Government. Status: Open Session—Portions may can receive a tax credit for the first Estimated Number of Respondents/ be closed pursuant to Subsection (c) of $15,000 of wages paid to each Recordkeepers: 50. Section 552(b) of Title 5, United States employee. The credit is applicable from Estimated Burden Hours per Code, as provided in subsection the date of designation through the year Respondent/Recordkeeper: 1706(h)(3) of the United States Institute 2004. Recordkeeping—6 hr., 56 min. of Peace Act, Public Law 98–525. Respondents: Business or other for- Learning about the law or the form—18 Agenda: September 2003 Board profit Individuals or households, Not- min. Meeting; Approval of Minutes of the for-profit institutions, Farms. Preparing and sending the form to the One Hundred Tenth Meeting (June 19– Estimated Number of Respondents/ IRS—25 min. 20, 2003) of the Board of Directors; Recordkeepers: 40,000. Frequency of Response: Annually. Estimated Burden Hours per Estimated Total Reporting/ Chairman’s Report; President’s Report; Respondent/Recordkeeper: Recordkeeping Burden: 383 hours. Committee Reports; Fiscal Years 2004 Recordkeeping—10 hr., 2 min. Clearance Officer: Glenn Kirkland, and 2005 Budget Review; Approval of Learning about the law or the form—2 (202) 622–3428, Internal Revenue 2003 Unsolicited and Solicited Grant; hr., 10 min. Service, Room 6411–03, 1111 Other General Issues. Preparing and sending the form to the Constitution Avenue, NW., Washington, Contact: Mr. John Brinkley, Director, IRS—2 hr., 26 min. DC 20224. Office of Public Outreach, Telephone: Frequency of Response: Annually. OMB Reviewer: Joseph F. Lackey, Jr., (202) 457–1700. Estimated Total Reporting/ (202) 395–7316, Office of Management Recordkeeping Burden: 586,800 hours. and Budget, Room 10235, New Dated: August 19, 2003. OMB Number: 1545–1606. Executive Office Building, Washington, Harriet Hentges, Form Number: IRS Form 8860. DC 20503. Executive Vice President, United States Type of Review: Extension. Institute of Peace. Mary A. Able, Title: Qualified Zone Academy Bond [FR Doc. 03–21542 Filed 8–19–03; 11:25 am] Departmental Reports, Management Officer. Credit. BILLING CODE 6820–AR–M Description: A qualified zone [FR Doc. 03–21403 Filed 8–20–03; 8:45 am] academy bond is a taxable bond issued BILLING CODE 4830–01–P

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Part II

Department of Health and Human Services Substance Abuse and Mental Health Services Administration

Proposed Changes in Announcement of SAMHSA Discretionary Grant Funding Opportunities; Notices

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DEPARTMENT OF HEALTH AND described in each grant announcement • SAMHSA will be able to use its HUMAN SERVICES varied significantly. Some of this staff resources more efficiently and variation was necessary due to effectively. Substance Abuse and Mental Health differences in program goals and The four grant announcements Services Administration objectives. However, much of the address the following core aspects of variation was unnecessary and SAMHSA’s mission: Proposed Changes in Announcement significantly limited the ability of 1. Services Grants provide funding to of SAMHSA Discretionary Grant potential applicants to anticipate, plan, implement substance abuse and mental Funding Opportunities and lay the essential groundwork for health services. proposed grant projects. The large 2. Infrastructure Grants support Authority: Sections 509, 516, and 520A of number of unique grant announcements identification and implementation of the Public Health Service Act. published each year also required the systems changes but are not designed to AGENCY: Substance Abuse and Mental allocation of substantial staff resources fund services. Health Services Administration, HHS. to development of grant 3. Best Practices Planning and ACTION: Notice of proposed changes in announcements. SAMHSA believes that Implementation Grants help announcement of SAMHSA these staff resources could be better communities and providers identify discretionary grant funding used for post-award project management practices to effectively meet local needs, opportunities. and monitoring. develop strategic plans for implementing/adapting those practices Starting in FY 2004, SAMHSA plans SUMMARY: Beginning in Fiscal Year (FY) and pilot-test practices prior to full- to change its approach to announcing 2004, the Substance Abuse and Mental scale implementation. and soliciting applications for its Health Services Administration 4. Service to Science Grants document discretionary grants. SAMHSA plans to (SAMHSA) plans to change its approach and evaluate innovative practices that issue four standard grant to announcing and soliciting address critical substance abuse and announcements that will describe the applications for its discretionary grant mental health service gaps but that have general program design and provide programs. This notice describes the not yet been formally evaluated. proposed changes and invites public application instructions for four types of These four grant announcements were comment on those changes. This notice grants—Services Grants, Infrastructure designed around several of SAMHSA’s will be followed by proposed text for Grants, Best Practices Planning and core grant programs, including Targeted four standard grant announcements Implementation Grants, and Service-to- Capacity Expansion Grants, State (Services Grants, Infrastructure Grants, Science Grants. These standard grant Incentive Grants, and Community Best Practices Planning and announcements will be posted on Action Grants. Implementation Grants, and Service to SAMHSA’s web page and will be The Notices of Funding Availability Science Grants). Comments are invited available from SAMHSA’s (NOFAs) announcing the availability of on the proposed standard grant clearinghouses on an ongoing basis. The funds for specific grant funding announcements, as well. standard announcements will be used in opportunities will be published conjunction with brief Notices of DATES: Submit written comments on separately in the Federal Register, on this proposal by October 20, 2003. Funding Availability (NOFAs) that will the Federal grants Web site (http:// announce the availability of funds for ADDRESSES: www.grants.gov) and on the SAMHSA Interested persons are specific grant funding opportunities invited to submit comments regarding Web site. The NOFAs will: within each of the standard grant • SAMHSA’s proposed changes in the Identify any specific target programs (e.g., Homeless Treatment population or issue for the specific grant announcement of discretionary grant grants, Statewide Family Network funding opportunities to: Office of funding opportunity, grants, or HIV/AIDS and Substance • Identify which of the four standard Policy, Planning and Budget, SAMHSA, Abuse Prevention Planning Grants). Attn: Jennifer Fiedelholtz by fax (301– announcements applicants must use to SAMHSA expects that use of these prepare their applications, 594–6159) or e-mail • ([email protected]). four standard grant announcements will Specify total funding available for Please include a phone number in your result in the following benefits: the first year of the grants and the e-mail, so that SAMHSA staff may • The field of potential applicants expected size and number of awards, • Specify the application deadline, contact you if there are questions about will be able to more effectively • Note any specific program your comments. anticipate the program requirements for requirements for each funding FOR FURTHER INFORMATION CONTACT: SAMHSA’s grant funding opportunities and will be better able to anticipate and opportunity, and Jennifer Fiedelholtz of the Office of • Include any limitations or plan their proposed grant projects. As a Policy, Planning and Budget, SAMHSA, exceptions to the general provisions in result, applicants will be able to prepare by fax (301–594–6159) or e-mail the standard announcement. more thorough grant applications, and ([email protected]). SAMHSA expects that the NOFAs grantees will be better prepared to begin If you would like a SAMHSA staff will be brief. Because a primary goal of their grant projects in a timely manner person to call you about your questions, this effort is to increase the field’s after awards are made. please state this in an e-mail or fax ability to anticipate funding • request and provide a telephone number SAMHSA’s funding opportunities opportunities and program where you can be reached between 8:30 will be published in a more timely requirements, special program a.m. and 5 p.m., Eastern Standard Time. manner, with funding opportunities, requirements and deviations from the SUPPLEMENTARY INFORMATION: application deadlines and awards standard announcements should be few In recent years, SAMHSA has distributed more evenly throughout the in number and limited to only those that announced funding opportunities for fiscal year. are necessary, given the nature of the 30–40 discretionary grant programs each • SAMHSA will be able to more specific funding opportunity. For year. Despite similarities among these clearly and consistently articulate its example, Homeless Treatment grants programs, the program requirements mission to external stakeholders. would likely require applicants not only

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to provide substance abuse and mental in the new announcements, although it may ([email protected]). health services for homeless be in a different location or under a different If you would like a SAMHSA staff individuals, but also to link with heading. person to call you about your questions, housing and other support services Dated: August 13, 2003. please state this in an email or fax needed by homeless individuals. Anna Marsh, request and provide a telephone number Applicants will need to have both the Acting Executive Officer. where you can be reached between 8:30 NOFA and the appropriate standard a.m. and 5 p.m. Eastern Standard Time. announcement to prepare their [FR Doc. 03–21115 Filed 8–20–03; 8:45 am] applications. Both documents will be BILLING CODE 4162–20–P SUPPLEMENTARY INFORMATION: Starting in provided, along with application FY 2004, SAMHSA plans to change its materials, in the application kits approach to announcing and soliciting DEPARTMENT OF HEALTH AND available from SAMHSA’s applications for its discretionary grants. HUMAN SERVICES clearinghouses as well as on SAMHSA’s SAMHSA plans to issue the following Web site. Substance Abuse and Mental Health Services Grant announcement as one of SAMHSA anticipaters that the four Services Administration four standard grant announcements that standard grant announcements will be will describe the general program design used for the majority of its grant funding Proposed Changes in Announcement and provide application instructions for opportunities. However, there will be of SAMHSA Discretionary Grant four types of grants—Services Grants, some funding opportunities that do not Funding Opportunities Infrastructure Grants, Best Practices fit the standard announcements. In Planning and Implementation Grants, those instances, separate stand-alone AGENCY: Substance Abuse and Mental Health Services Administration, HHS. and Service-to-Science Grants. The grant announcements will be published standard announcements will be used in and provided to applicants as they have ACTION: Notice of proposed standard conjunction with brief Notices of been in the past (i.e., in the Federal services grant announcement. Funding Availability (NOFAs) that will Register, on the SAMHSA Web site, on SUMMARY: Beginning in Fiscal Year (FY) the Federal grants Web site, and through announce the availability of funds for 2004, the Substance Abuse and Mental SAMHSA’s clearinghouses). specific grant funding opportunities The proposed text for each of the four Health Services Administration within each of the standard grant standard announcements and a sample (SAMHSA) plans to change its approach programs (e.g., Homeless Treatment NOFA are provided in separate notices to announcing and soliciting grants, Statewide Family Network that follow immediately after this applications for its discretionary grant grants, or HIV/AIDS and Substance notice. In particular, SAMHSA programs. The following announcement Abuse Prevention Planning Grants). is a proposed standard announcement welcomes comment on the following A complete description of the issues: for SAMHSA’s Services Grants. It is not an actual grant solicitation. proposed process, the other three 1. Is the difference between the proposed standard announcements and standard announcement and a NOFA Authority: Sections 509, 516, and 520A of a sample NOFA are contained in the Public Health Service Act. clear? separate notices in this issue of the 2. Are the programmatic requirements When published in final, the standard Federal Register. for each standard announcement clear? SAMHSA Services Grant announcement 3. Are the goals/objectives for each will be used by applicants in SAMHSA welcomes public comment type of standard grant clear? conjunction with specific Notices of on all aspects of the following 4. If you are a potential applicant for Funding Availability (NOFAs) to announcement. In particular, SAMHSA a SAMHSA grant, do you believe you prepare applications for certain welcomes comment on the following will be able to use the standard SAMHSA grants. SAMHSA is providing issues: announcement with the NOFA to this draft announcement for public 1. Is the difference between the prepare your application? Will the review and comment in order to ensure ability to anticipate programmatic standard announcement and a NOFA that the field is aware of the planned clear? requirements improve your ability to change and has an opportunity to 2. Are the programmatic requirements prepare a solid application? Is the identify areas where the announcement additional benefit ‘‘worth’’ the ‘‘cost’’ of is unclear and needs improvement. for SAMHSA’s Services Grants clear? having to use two different documents DATES: Submit written comments on 3. Are the goals/objectives for to prepare your application? this proposal by October 20, 2003. SAMHSA’s Services Grants clear? Note: Past applicants for SAMHSA grant ADDRESSES: Interested persons are 4. If you are a potential applicant for programs may notice significant formatting invited to submit comments regarding a SAMHSA Services Grant, do you differences between these standard SAMHSA’s proposed standard Services believe you will be able to use the announcements and previous SAMHSA grant announcements. For example, the headings Grant announcement to: Office of standard Services Grant announcement for the different sections of the grant Policy, Planning and Budget, SAMHSA, with the NOFA to prepare your announcements have changed. These Attn: Jennifer Fiedelholtz by fax (301– application? Will the ability to formatting differences reflect a new, 594–6159) or email anticipate programmatic requirements _ _ mandatory outline for all Federal grant (samhsa standard [email protected]). through reviewing the standard grant solicitations and are not related to the new Please include a phone number in your announcements ahead of time improve approach to SAMHSA’s grant email, so that SAMHSA staff may announcements. These formatting changes your ability to prepare a solid contact you if there are questions about application? Is the additional benefit are part of a Federal government-wide effort your comments. to make it easier for applicants to apply for ‘‘worth’’ the ‘‘cost’’ of having to use two Federal financial assistance. SAMHSA FOR FURTHER INFORMATION CONTACT: different documents to prepare your endorses this effort and notes that all Jennifer Fiedelholtz of the Office of application? information previously provided in Policy, Planning and Budget, SAMHSA, SAMHSA grant announcements is provided by fax (301–594–6159) or email

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Text of Proposed Standard specified in a NOFA in the Federal Register Announcement and on http://www.grants.gov). Department of Health and Human Authority: Sections 509, 516 and/or 520A Services of the Public Health Service Act, as amended, and subject to the availability of funds Substance Abuse and Mental Health (unless otherwise specified in a NOFA in the Services Administration Federal Register and on http:// Services Grants—SVC 04 (Initial www.grants.gov). Announcement) Key Dates Catalogue of Federal Domestic Assistance (CFDA) No.: 93.243 (unless otherwise

Application Deadline ...... This Program Announcement provides general instructions and guidelines for multiple funding opportunities. Application deadlines for specific funding opportunities will be published in No- tices of Funding Availability (NOFAs) in the Federal Register and on http://www.grants.gov. Intergovernmental Review (E.O. 12372) ...... Letters from State Single Point of Contact (SPOC) are due no later than 60 days after applica- tion deadline. Public Health System Impact Statement Applicants must send the PHSIS to appropriate State and local health agencies by application (PHSIS)/Single State Agency Coordination. deadline. Comments from Single State Agency are due no later than 60 days after applica- tion deadline.

Table of Contents I. Funding Opportunity Description mental health service gaps but that have not yet been formally evaluated. I. Funding Opportunity Description A. Introduction A. Introduction This announcement describes the B. Expectations The Substance Abuse and Mental general program design and provides II. Award Information Health Services Administration application instructions for all A. Award Amount (SAMHSA) announces its intent to SAMHSA Services Grants. The B. Funding Mechanism solicit applications for Services Grants. availability of funds for specific III. Eligibility Information These grants will expand and strengthen Services Grants will be announced in A. Eligible Applicants supplementary Notices of Funding B. Cost-Sharing effective, culturally appropriate substance abuse and mental health Availability (NOFAs) in the Federal C. Other Register and at http://www.grants.gov— IV. Application and Submission Information services at the State and local levels. A. Address to Request Application Package The services implemented through the Federal grant announcement Web B. Content and Form of Application SAMHSA’s Services Grants must page. Submission incorporate the best objective Typically, funding for Services Grants C. Submission Dates and Times information available from recognized will be targeted to specific populations D. Intergovernmental Review (E.O. 12372) experts regarding effectiveness and and/or issue areas, which will be Requirements acceptability. In general, the services specified in the NOFAs. The NOFAs E. Funding Limitations/Restrictions implemented through SAMHSA’s will also: F. Other Submission Requirements • Specify total funding available for Services Grants will have strong V. Application Review Information the first year of the grants and the evidence of effectiveness. However, A. Evaluation Criteria expected size and number of awards; B. Review and Selection Process depending on the ‘‘state of the science’’ • Provide the application deadline; C. Award Criteria in a given area, services may be funded • Note any specific program VI. Award Administration Information for which the evidence base, while requirements for each funding A. Award Notices sound, is limited. SAMHSA expects that opportunity; and B. Administrative and National Policy the services funded through these grants • Include any limitations or Requirements will be sustained by the grantee beyond exceptions to the general provisions in C. Reporting Requirements the term of the grant. VII. Agency Contacts this announcement (e.g., eligibility, VIII. Other Information SAMHSA also funds grants under allowable activities). A. SAMHSA Confidentiality and three other standard grant It is, therefore, critical that you Participant Protection Requirements and announcements: consult the NOFA as well as this Protection of Human Subjects • Infrastructure Grants support announcement in developing your grant Regulations identification and implementation of application. B. Intergovernmental Review (E.O. 12372) systems changes but are not designed to B. Expectations Instructions fund services. C. Public Health System Impact Statement The Services Grant program is • Appendix A: SAMHSA Services Indicators Best Practices Planning and designed to address gaps in substance Appendix B: Checklist for Application Implementation Grants help abuse and mental health services and/or Formatting Requirements communities and providers identify to increase the ability of States, units of Appendix C: Glossary practices to effectively meet local needs, local government, Indian tribes, tribal Appendix D: National Registry of Effective develop strategic plans for organizations and governments, and Programs implementing/adapting those practices community- and faith-based Appendix E: Center for Mental Health and pilot-test practices prior to full- organizations to help specific Services Evidence-Based Practice scale implementation. Toolkits populations or geographic areas with Appendix F: Effective Substance Abuse • Service to Science Grants document serious, emerging mental health and Treatment Practices and evaluate innovative practices that substance abuse problems. SAMHSA Appendix G: Statement of Assurance address critical substance abuse and intends that its Services Grants result in

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the delivery of services as soon as published in the peer-reviewed research be held in the Washington, D.C., area, possible and no later than 4 months literature. and attendance is mandatory. after award. SAMHSA’s Services Grants 2. Services Delivery 5. Data and Performance Measurement may include substance abuse prevention, substance abuse treatment SAMHSA’s Services Grant funds must The Government Performance and and/or mental health services. be used primarily to support direct Results Act of 1993 (Pub. L.103–62, or Throughout this announcement, services, including the following types ‘‘GPRA’’) requires all Federal agencies SAMHSA will use the term ‘‘services’’ of activities: to: to refer to all three types of services. The • Conducting outreach and pre- • Develop strategic plans that specify NOFA will provide guidance on the service strategies to expand access to what they will accomplish over a 3 to particular type of service to be provided treatment or prevention services to 5-year period; • through each funding opportunity. underserved populations. If you propose Set performance targets annually to provide only outreach and pre-service related to their strategic plan; and 1. Documenting the Evidence-Base for strategies, you must show that your • Report annually on the degree to Services To Be Implemented organization is an effective and integral which the previous year’s targets were The services implemented through part of a network of service providers. met. SAMHSA’s Services Grants must • Purchasing or providing direct The law further requires agencies to incorporate the best objective treatment or prevention services for link their performance to their budgets. information available from recognized populations at risk. Treatment must be Agencies are expected to evaluate their experts regarding effectiveness and provided in outpatient, day treatment or programs regularly and to use results of acceptability. In general, the services intensive outpatient, or residential these evaluations to explain their implemented through SAMHSA’s programs. successes and failures. • Services Grants will have strong Purchasing or providing ‘‘wrap- To meet these requirements, evidence of effectiveness. However, around’’ services (e.g., child care, SAMHSA must collect performance data because the evidence base is limited in vocational, educational and (i.e., ‘‘GPRA data’’) from grantees. You some areas, SAMHSA may fund some transportation services) designed to are required to report these GPRA data services for which the evidence of improve access and retention. to SAMHSA on a timely basis so that • effectiveness is based on formal Collecting data using specified tools performance results are available to consensus among recognized experts in and standards to measure and monitor support budgetary decisions. In particular, you will be required to the field and/or evaluation studies that treatment or prevention services and provide data on a core set of required have not been published in the peer costs. (No more than 20% of the total measures, depending on the SAMHSA reviewed literature. grant award may be used for data Center that is funding the grant. In your Applicants proposing to implement collection and evaluation.) application, you must demonstrate your practices included in the following 3. Infrastructure Development ability to collect and report on these sources meet the standard of (Maximum 15% of Total Grant Award) measures, and you must provide some effectiveness for SAMHSA’s Services Although SAMHSA expects that its baseline data. Grants, and will not be required to Services Grant funds will be used Appendix A provides the provide further documentation of the primarily for direct services, SAMHSA performance indicators for SAMHSA’s practice’s effectiveness: recognizes that infrastructure changes Services grantees. For complete • SAMHSA’s National Registry of may be needed to support service information on the core measures Effective Programs (NREP) (see delivery expansion in some instances. relating to these indicators and the Appendix D), • You may use up to 15% of the total methodology for data collection and Center for Mental Health Services Services Grant award for the following reporting, please consult the following (CMHS) Evidence Based Practice Tool types of infrastructure development, if Web sites: Kits (see Appendix E), • Center for Mental Health Services- • necessary to support the direct service List of Effective Substance Abuse expansion of the grant project. funded grants: http://www.samhsa.gov/ Treatment Practices (see Appendix F), • Building partnerships to ensure the aps/CMHS/GPRA. • Additional practices identified in success of the project and entering into • Center for Substance Abuse the NOFA for a specific funding service delivery and other agreements. Prevention-funded grants: http:// opportunity. • Developing or changing the www.samhsa.gov/aps/CSAP/GPRA. Applicants proposing services/ infrastructure to expand treatment or • Center for Substance Abuse practices that have not been identified prevention services. Treatment-funded-grants: http:// by SAMHSA as meeting the required • Training to assist treatment or www.samhsa.gov/aps/CSAT/GPRA. effectiveness standard must show that prevention providers and community This information will be provided in the services to be implemented through support systems to identify and address the hard copy application kits their proposed projects incorporate the mental health or substance abuse issues. distributed by SAMHSA’s best objective information available Clearinghouses, as well. from recognized experts regarding 4. Grantee Meetings In some instances, you may be effectiveness and acceptability. To do You must plan to send a minimum of required to participate in cross-site so, applicants must provide a narrative two people (including the Project evaluations and comply with additional justification that describes the evidence Director) to at least one joint grantee data collection requirements. The NOFA for the services/practices and meeting in each year of the grant, and will state if participation in a cross-site summarizes the evidence for you must include funding for this travel evaluation is required and will specify effectiveness. The evidence may come in your budget. At these meetings, additional data collection requirements. from various sources, including the grantees will present the results of their Before grant award, a final agreement published research literature, formal projects and Federal staff will provide regarding data collection will be consensus among recognized experts, technical assistance. Each meeting will reached. The terms and conditions of and studies that have not been be 3 days. These meetings will usually the grant award will specify the data to

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be submitted and the schedule for proposed project will be screened out page of the application and/or required submission. Grantees will be required to and will not be reviewed. Annual memoranda of understanding with adhere to these terms and conditions of continuation awards will depend on the certain signatories. award. availability of funds, grantee progress in Applications that do not comply with meeting project goals and objectives, the specific program requirements for 6. Evaluation and timely submission of required data the funding opportunity for which the Grantees must evaluate their projects, and reports. application is submitted will be and you are required to describe your screened out and will not be reviewed. B. Funding Mechanism evaluation plans in your application. 2. Evidence of Experience and The NOFA will indicate whether The evaluation should be designed to Credentials provide regular feedback to the project awards for each funding opportunity to improve services. Therefore, the will be made as grants or cooperative SAMHSA believes that only existing, evaluation must include the required agreements (see the Glossary in experienced, and appropriately performance measures described above. Appendix C for further explanation of credentialed organizations with The evaluation must include both these funding mechanisms). For demonstrated infrastructure and process and outcome components. cooperative agreements, the NOFA will expertise will be able to provide Process and outcome evaluations must describe the nature of Federal required services quickly and measure change relating to project goals involvement in project performance and effectively. Therefore, in addition to the and objectives over time compared to specify roles and responsibilities of basic eligibility requirements specified baseline information. Control or grantees and Federal staff. in this announcement, applicants must comparison groups are not required. meet three additional requirements III. Eligibility Information You must consider your evaluation plan related to the provision of treatment or when preparing the project budget. A. Eligible Applicants prevention services. Process components should address The three requirements are: Eligible applicants are domestic • A provider organization for direct issues such as: public and private nonprofit entities. client services (e.g., substance abuse • How closely did implementation For example, State, local or tribal treatment, substance abuse prevention, match the plan? governments; public or private mental health services) appropriate to • What types of deviation from the universities and colleges; community- the grant must be involved in each plan occurred? and faith-based organizations; and tribal application. The provider may be the • What led to the deviations? organizations may apply. The statutory applicant or another organization • What effect did the deviations have authority for this program precludes committed to the project. More than one on the planned intervention and grants to for-profit organizations. The provider organization may be involved; evaluation? • • NOFA will indicate any limitations on Each of the direct service provider Who provided (program, staff) what eligibility. organization(s) must have at least 2 services (modality, type, intensity, years experience providing services in B. Cost-Sharing duration), to whom (individual the area(s) covered by the application, characteristics), in what context Cost-sharing is not required in this as of the due date of the application; (system, community), and at what cost program, and applications will not be and (facilities, personnel, dollars)? screened out on the basis of cost- • The direct service provider Outcome components should address sharing. However, you may include cash organization(s) must comply with all issues such as: or in-kind contributions in your • applicable local (city, county) and State/ What was the effect of treatment on proposal as evidence of commitment to tribal licensing, accreditation, and participants? the proposed project. Reviewers may • certification requirements, as of the due What program/contextual factors consider this information in evaluating date of the application. were associated with outcomes? the quality of the application. • What individual factors were Note: The above requirements apply to all service provider organizations. A license associated with outcomes? C. Other • from an individual clinician will not be How durable were the effects? 1. Additional Eligibility Requirements accepted in lieu of a provider organization’s No more than 20% of the total grant license. award may be used for evaluation and SAMHSA applicants must comply In Appendix 1 of the application, you data collection. with certain program requirements, including: must: (1) Identify at least one II. Award Information • Provisions relating to participant experienced, licensed service provider organization; (2) include a list of all A. Award Amount protection and the protection of human subjects specified in Section VIII–A of direct service provider organizations The expected award amount for each this document; that have agreed to participate in the funding opportunity will be specified in • Budgetary limitations as specified proposed project, including the the NOFA. Typically, SAMHSA’s in Sections I, II, and IV–E of this applicant agency if the applicant is a Services Grant awards are expected to document; treatment or prevention service provider be about $500,000 per year for up to 5 • Documentation of nonprofit status organization; and (3) include the years. Awards may range as high as $3.0 as required in the PHS 5161–1; Statement of Assurance (provided in million per year for up to 5 years. • Requirements relating to provider Appendix G of this announcement), Regardless of the award amount organization experience and provider signed by the authorized representative specified in the NOFA, the actual award organization certification and licensure, of the applicant organization identified amount will depend on the availability described below. on the face-page of the application, that of funds. You also must comply with any all participating service provider Applications with proposed budgets additional program requirements organizations: that exceed the allowable amount specified in the NOFA, such as • Meet the 2-year experience specified in the NOFA in any year of the signature of certain officials on the face requirement;

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• Are licensed, accredited, and You also may download the required Dun and Bradstreet know that you are a certified; and, documents from the SAMHSA Web site public/private nonprofit organization getting • If the application is within the at http://www.samhsa.gov. Click on ready to submit a Federal grant application. funding range, will provide the ‘‘grant opportunities.’’ • Abstract—Your total abstract Government Project Officer (GPO) with Additional materials available on this should not be longer than 35 lines. In the required documentation within the Web site include: the first five lines or less of your specified timeframe. • A technical assistance manual for abstract, write a summary of your If Appendix 1 of the application does potential applicants; project that can be used, if your project not contain these three items, the • Standard terms and conditions for is funded, in publications, reporting to application will be considered ineligible SAMHSA grants; Congress, or press releases. and will not be reviewed. • Guidelines and policies that relate • Table of Contents—Include page In addition, if, following application to SAMHSA grants (e.g., guidelines on numbers for each of the major sections review, an application’s score is within cultural competence, consumer and of your application and for each the fundable range for a grant award, the family participation, and evaluation); appendix. GPO will call the applicant and request and • Budget Form—Use SF 424A, which that the following documentation be • Enhanced instructions for is part of the PHS 5161–1. Fill out sent by overnight mail: completing the PHS 5161–1 application. Sections B, C, and E of the SF 424A. • A letter of commitment that • Project Narrative and Supporting specifies the nature of the participation B. Content and Form of Application Documentation—The Project Narrative and what service(s) will be provided Submission describes your project. It consists of from every service provider organization 1. Required Documents Sections A through E. Section A may that has agreed to participate in the not be longer than 3 pages in length. SAMHSA application kits include the project; Sections B–E together may not be longer following documents: • Official documentation that all • PHS 5161–1 (revised July 2000)— than 25 pages. More detailed participating organizations have been Includes the face page, budget forms, instructions for completing each section providing relevant services for a assurances, certification, and checklist. of the Project Narrative are provided in minimum of 2 years before the date of Use the PHS 5161–1, unless otherwise ‘‘Section V—Application Review the application in the area(s) in which specified in the NOFA. Applications Information’’ of this document. the services are to be provided; and • The Supporting Documentation that are not submitted on the required • Official documentation that all provides additional information application form will be screened out participating service provider necessary for the review of your and will not be reviewed. organizations comply with all application. This supporting • Program Announcement (PA)— applicable local (city, county) and State/ documentation should be provided Includes instructions for the grant tribal requirements for licensing, immediately following your Project application. This document is the PA. accreditation, and certification or Narrative in Sections F through H. • Notice of Funding Availability official documentation from the There are no page limits for these (NOFA)—Provides specific information appropriate agency of the applicable sections, except for Section G, the about availability of funds, as well as State/tribal, county, or other Biographical Sketches/Job Descriptions. any exceptions or limitations to governmental unit that licensing, • Section F—Budget Justification, provisions in the PA. The NOFAs will accreditation, and certification Existing Resources, Other Support. You be published in the Federal Register, as requirements do not exist. must provide a narrative justification of If the GPO does not receive this well as on the Federal grants Web site the items included in your proposed documentation within the time (http://www.grants.gov). budget, as well as a description of You must use all of the above specified, the application will be existing resources and other support documents in completing your removed from consideration for an you expect to receive for the proposed application. award and the funds will be provided to project. Be sure to show that no more another applicant meeting these 2. Order of Sections than 15% of the total grant award will requirements. Applications must be complete and be used for infrastructure development and that no more than 20% of the total IV. Application and Submission contain all information needed for grant award will be used for data Information review. In order for your application to be complete, it must include the collection and evaluation. (To ensure that you have met all • Section G—Biographical Sketches following sections in the order listed. submission requirements, a checklist is and Job Descriptions. provided for your use in Appendix B of Applications that do not contain these • Include a biographical sketch for this document.) sections will be screened out and will the Project Director and other key not be reviewed. positions. Each sketch should be 2 pages A. Address to Request Application • Face Page—Use Standard Form (SF) or less. If the person has not been hired, Package 424, which is part of the PHS 5161–1. include a letter of commitment from the You may request a complete Note: Beginning October 1, 2003, individual with a current biographical application kit by calling one of applicants will need to provide a Dun and sketch. SAMHSA’s national clearinghouses: Bradstreet (DUNS) number to apply for a • Include job descriptions for key • For substance abuse prevention or grant or cooperative agreement from the personnel. Job descriptions should be treatment grants, call the National Federal Government. SAMHSA applicants no longer than 1 page each. Clearinghouse for Alcohol and Drug will be required to provide their DUNS • number on the face page of the application. Sample sketches and job Information (NCADI) at 1–800–729– Obtaining a DUNS number is easy and there descriptions are listed on page 22, Item 6686. 6 in the Program Narrative section of the • is no charge. To obtain a DUNS number, For mental health grants, call the access the Dun and Bradstreet Web site at PHS 5161–1. National Mental Health Information http://www.dunandbradstreet.com or call 1– • Section H—Confidentiality and Center at 1–800–789–CMHS (2647). 866–705–5711. To expedite the process, let SAMHSA Participant Protection/Human

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Subjects. Instructions for completing legislation or to urge those opportunities will be included in the Section H of your application are representatives to vote in a particular NOFAs published in the Federal provided below in Section VIII–A of this way. Register and posted on the Federal document. • Checklist—Use the Checklist found grants Web site (http://www.grants.gov). • Appendices 1 through 5—Use only in PHS 5161–1. The Checklist ensures Your application must be received by the appendices listed below. Do not use that you have obtained the proper the application deadline. Applications more than 30 pages (excluding data signatures, assurances and certifications received after this date must have a collection instruments and interview and is the last page of your application. proof-of-mailing date from the carrier protocols) for the appendices. Do not dated at least 1 week prior to the due 3. Application Formatting Requirements use appendices to extend or replace any date. Private metered postmarks are not of the sections of the Project Narrative Applicants also must comply with the acceptable as proof of timely mailing. unless specifically required in the following basic application You will be notified by postal mail NOFA. Reviewers will not consider requirements. Applications that do not that your application has been received. them if you do. comply with these requirements will be Applications not received by the • Appendix 1: Letters of screened out and will not be reviewed. application deadline or not postmarked commitment/support. Identification of • Text must be legible. by a week prior to the application at least one experienced, licensed • Paper must be white and 8.5″ by deadline will be screened out and will service provider organization. A list of 11.0″ in size. not be reviewed. all direct service provider organizations • Pages must be typed single-spaced that have agreed to participate in the with one column per page. D. Intergovernmental Review (E.O. proposed project, including the • Page margins must be at least one 12372) Requirements applicant agency, if it is a treatment or inch. Executive Order 12372, as prevention service provider • Type size in the Project Narrative implemented through Department of organization. The Statement of cannot exceed an average of 15 Health and Human Services (DHHS) Assurance (provided in Appendix G of characters per inch when measured regulation at 45 CFR part 100, sets up this announcement) signed by the with a ruler. (Type size in charts, tables, a system for State and local review of authorized representative of the graphs, and footnotes will not be applications for Federal financial applicant organization identified on the considered in determining compliance.) assistance. Instructions for this review face page of the application, that assures • Photo reduction or condensation of are included in Section VIII–B of this SAMHSA that all listed providers meet type cannot be closer than 15 characters document. Section VIII–C provides the 2-year experience requirement, are per inch or 6 lines per inch. instructions for the Public Health appropriately licensed, accredited, and • The pages cannot have printing on System Impact Statement (PHSIS) and certified, and that if the application is both sides. submission of comments from the • within the funding range for an award, Page limitations specified for the Single State Agency (SSA). the applicant will send the GPO the Project Narrative and Appendices E. Funding Limitations/Restrictions required documentation within the cannot be exceeded. • specified time. Information must be sufficient for Cost principles describing allowable • Appendix 2: Data Collection review. and unallowable expenditures for Instruments/Interview Protocols. To facilitate review of your Federal grantees, including SAMHSA • Appendix 3: Sample Consent application, follow these additional grantees, are provided in the following Forms. guidelines: documents: • Appendix 4: Letter to the SSA (if • Applications should be prepared • Institutions of Higher Education: applicable; see Section VIII–C of this using black ink. This improves the OMB Circular A–21. document). quality of the copies of applications that • State and Local Governments: OMB • Appendix 5: A copy of the State are provided to reviewers. Circular A–87. Strategic Plan, a State needs assessment, • Use white paper only. Do not use • Nonprofit Organizations: OMB or a letter from the State indicating that colored, heavy, or light-weight paper or Circular A–122. the proposed project addresses a State- any material that cannot be photocopied • Appendix E Hospitals: 45 CFR Part identified priority. using automatic photocopying 74. • Assurances—Non-Construction machines. Odd-sized and oversized In addition, SAMHSA Services Grant Programs. Use Standard Form 424B attachments, such as posters, will not be recipients must comply with the found in PHS 5161–1. copied or sent to reviewers. Do not send following funding restrictions: • Certifications—Use the videotapes, audiotapes, or CD–ROMs. • No more than 15% of the total grant ‘‘Certifications’’ forms found in PHS • Pages should be numbered award may be used for developing the 5161–1. consecutively from beginning to end so infrastructure necessary for expansion • Disclosure of Lobbying Activities— that information can be located easily of services. Use Standard Form LLL found in the during review of the application. For • No more than 20% of the total grant PHS 5161–1. Federal law prohibits the example, the cover page should be award may be used for evaluation and use of appropriated funds for publicity labeled ‘‘page 1,’’ the abstract page data collection. or propaganda purposes, or for the should be ‘‘page 2,’’ and the table of Service Grant funds must be used for preparation, distribution, or use of the contents page should be ‘‘page 3.’’ purposes supported by the program and information designed to support or Appendices should be labeled and may not be used to: defeat legislation pending before the separated from the Project Narrative and • Pay for any lease beyond the project Congress or State legislatures. This budget section, and the pages should be period. includes ‘‘grass roots’’ lobbying, which numbered to continue in the sequence. • Provide services to incarcerated consists of appeals to members of the populations (defined as those persons in public suggesting that they contact their C. Submission Dates and Times jail, prison, detention facilities, or in elected representatives to indicate their Deadlines for submission of custody where they are not free to move support for or opposition to pending applications for specific funding about in the community).

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• Pay for the purchase or construction accepted. Faxed or e-mailed used to determine the applicant’s of any building or structure to house applications will not be accepted. priority score. any part of the program. (Applicants V. Application Review Information 1. Level One Review may request up to $75,000 for renovations and alterations of existing A. Evaluation Criteria Section A: Evidence of Effectiveness facilities, if necessary and appropriate to Your application will be reviewed Put all information to be considered the project.) in Level One review in Section A: • and scored against the requirements Provide residential or outpatient listed below for developing the Project Evidence of Effectiveness. Section A treatment services when the facility has Narrative (Sections A–E). These sections may not be longer than 3 pages. During not yet been acquired, sited, approved, describe what you intend to do with Level One review, reviewers will decide and met all requirements for human your project. whether the applicant’s proposed habitation and services provision. services/practice meet the required • In developing the Project Narrative (Expansion or enhancement of existing standard for effectiveness. Reviewers section of your application, use these residential services is permissible.) will assess Level One review on a pass/ instructions, which have been tailored • Pay for housing other than fail basis. Applications that do not pass to this program. These are to be used residential mental health and/or Level One review will not move on to instead of the ‘‘Program Narrative’’ substance abuse treatment. Level Two review. • Provide inpatient treatment or instructions found in the PHS 5161–1. • Applicants proposing to implement hospital-based detoxification services. Be sure to provide references for services/practices included in the Residential services are not considered any literature cited in your application. following sources are considered by to be inpatient or hospital-based The reference list will not be counted SAMHSA to have met the effectiveness services. toward the page limit for these sections. standard required for SAMHSA’s • Pay for incentives to induce The Project Narrative may be no longer Services Grants. Such applicants are not individuals to enter treatment. However, than 28 pages (3 pages for Section A and required to provide further a grantee or treatment provider may 25 pages total for Sections B–E). • documentation of effectiveness of the provide up to $20 or equivalent You must use the five sections/ services/practices. Such applicants must (coupons, bus tokens, gifts, child care, headings listed below in developing name the service/practice and indicate and vouchers) to individuals as your Project Narrative. Be sure to place which of the following is the source(s) incentives to participate in required the required information in the correct for the proposed service/practice: section, or it will not be considered. data collection follow-up. This amount • SAMHSA’s National Registry of Your application will be scored may be paid for participation in each Effective Programs (NREP) (see according to how well you address the required interview. Appendix D to this document). requirements for each section of the • Implement syringe exchange • Center for Mental Health Services programs, such as the purchase and Project Narrative. • (CMHS) Evidence Based Practice Tool distribution of syringes and/or needles. The Supporting Documentation you Kits (see Appendix E to this document). • Pay for pharmacologies for HIV provide in Sections F–H, Appendices 1– • ‘‘Effective Substance Abuse antiretroviral therapy, sexually 5, and the References list will be Treatment Practices’’ (see Appendix F to transmitted diseases (STD)/sexually considered by reviewers in assessing this document). transmitted illnesses (STI), TB, and your response, along with the material • The NOFA for a specific funding hepatitis B and C, or for psychotropic in the Project Narrative. opportunity (provide the name and • drugs. The number of points after each funding opportunity number from the heading is the maximum number of F. Other Submission Requirements NOFA). points a review committee may assign to Applicants who select services/ 1. Where To Send Applications that section of your Project Narrative. practices that are not identified in any Bullet statements in each section do not Send applications to the following of the sources listed above must provide have points assigned to them. They are a narrative justification that shows that address: Substance Abuse and Mental provided to invite the attention of Health Services Administration, Office the proposed services/practice includes applicants and reviewers to important the best objective information available of Program Services, Review Branch, areas within the criterion. 5600 Fishers Lane, Room 17–89, from recognized experts regarding Rockville, Maryland, 20857. There will be two levels of review for effectiveness and acceptability. The Be sure to include the funding the SAMHSA Services Grants. narrative must address the following: announcement number from the NOFA • Level One Review will consider • Describe the proposed services/ in item number 10 on the face page of how well the applicant addresses the practice. the application. If you require a phone requirements in Section A—Evidence of • Indicate whether the evidence base number for delivery, you may use (301) Effectiveness. If the service(s) proposed for the proposed services/practice 443–4266. in the application does not meet the includes scientific studies published in required standard of effectiveness as the peer-reviewed literature, other 2. How To Send Applications described below, the application will studies not published in the peer- Mail an original application and 2 not move on to Level Two review and reviewed literature, and/or from formal copies (including appendices) to the will not be considered for funding. consensus processes among recognized mailing address provided above. The • Level Two Review will consider experts in the field. original and copies must not be bound. how well the applicant addresses the • If the evidence base includes Do not use staples, paper clips, or requirements in Section B (Statement of scientific studies published in the peer- fasteners. Nothing should be attached, Need), Section C (Proposed Approach), reviewed literature or other studies that stapled, folded, or pasted. Section D (Staff, Management and have not been published, describe: You must use a recognized Relevant Experience), and Section E —The extent to which the services/ commercial or governmental carrier. (Evaluation and Data). The applicant’s practice have been evaluated and the Hand carried applications will not be score on Sections B–E combined will be quality of the evaluation studies (e.g.,

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whether they are descriptive, quasi- to have met the standard of ethnicity, culture, language, sexual experimental studies, or experimental effectiveness. orientation, disability, literacy, and studies) gender in the target population, while 2. Level Two Review —The extent to which evaluation of the retaining fidelity to the chosen practice. services/practice has demonstrated Section B: Statement of Need (10 Points) • Describe how members of the target positive outcomes, and the extent to • Define the target population population helped prepare the which positive outcomes have been (including demographics) and the application, and how they will help demonstrated for different geographic area to be served. plan, implement, and evaluate the populations • Provide baseline data as required in project. • Describe how the project —The extent to which evaluation of the Appendix A of this document. components will be embedded within services/practice has been studied • Describe the nature of the problem the existing service delivery system, —The extent to which evaluation of the and extent of the need for the target including other SAMHSA-funded services/practice has been replicated population based on data. The statement projects, if applicable. Identify any other —The extent to which the services/ of need should include a clearly organizations that will participate in the practice have been documented (e.g., established baseline for the project. proposed project. Describe their roles through development of guidelines, Documentation of need may come from and responsibilities and demonstrate tool kits, treatment protocols, and/or a variety of qualitative and quantitative their commitment to the project. Include manuals) sources. The quantitative data could —The extent to which fidelity measures letters of commitment from community come from local data or trend analyses, have been developed (e.g., no organizations supporting the project in State data (e.g., from State Needs measures developed, key components Appendix 1. Identify any cash or in- Assessments), and/or national data (e.g., identified, or fidelity measures kind contributions that will be made to from SAMHSA’s National Household developed) the project by the applicant or other Survey on Drug Abuse and Health or • If the evidence-base includes formal partnering organizations. from National Center for Health • Describe the potential barriers to consensus processes involving Statistics/Centers for Disease Control recognized experts in the field, describe: successful conduct of the proposed reports). For data sources that are not project and how you will overcome —The experts involved in the consensus well known, provide sufficient them. development activity related to the information on how the data were proposed services/practice (e.g., collected so reviewers can assess the Section D: Staff, Management, and members of an expert panel formally reliability and validity of the data. Relevant Experience (35 Points) convened by NIH, the Institute of • Non-tribal applicants must show • Provide a time line for the project Medicine or other nationally that identified needs are consistent with (chart or graph) showing key activities, recognized organization, or members priorities of the State. Include, in milestones, and responsible staff. [NOTE: of an informal group of experts, such Appendix 5, a copy of the State The timeline should be part of the as faculty at a leading research Strategic Plan, a State needs assessment, Project Narrative. It should not be institution) or a letter from the State indicating that placed in an appendix.] —The nature of the consensus that has the proposed project addresses a State- • Show that the necessary been reached and the process used to identified priority. Tribal applicants groundwork (e.g., planning, consensus reach consensus must provide similar documentation development, development of —The extent to which the consensus relating to tribal priorities. memoranda of agreement, identification has been documented (e.g., in a of potential facilities) has been consensus panel report, meeting Section C: Proposed Approach (40 Points) completed or is near completion so that minutes, or an accepted standard the project can be implemented and • practice in the field) Clearly state the purpose, goals and service delivery can begin as soon as —Any empirical evidence (whether objectives of your proposed project. possible and no later than 4 months formally published or not) supporting Describe how achievement of goals will after grant award. the effectiveness of the proposed produce meaningful and relevant results • Discuss the capability and services/practice (e.g., increase access, availability, experience of the applicant organization —Rationale for concluding that further prevention, outreach, pre-services, and other participating organizations empirical evidence does not exist to treatment, and/or intervention). with similar projects and populations, support the effectiveness of the • Demonstrate how the proposed including experience in providing proposed services/practice, if services/practice will meet your goals culturally appropriate/competent appropriate and objectives. Provide a logic model services. In assessing applicants’ narratives for that links need, the services or practice • Provide a list of staff who will Section A/Level One review, reviewers to be implemented, and outcomes. participate in the project, showing the will consider whether the evidence • Describe how the services or role of each and their level of effort and presented in support of the proposed practice will be implemented. qualifications. Include the Project services/practice is, in their expert and • Clearly state the unduplicated Director and other key personnel, such professional opinion, commensurate number of individuals you propose to as the evaluator and treatment/ with the best information available serve (annually and over the entire prevention personnel. regarding effectiveness and project period) with grant funds, • Describe the resources available for acceptability. including the types and numbers of the proposed project (e.g., facilities, Applicants should be aware that services to be provided and anticipated equipment), and provide evidence that passing Level One review does not outcomes. Describe how the target services will be provided in a location ensure that the application will be population will be identified, recruited, that is adequate, accessible, compliant approved for funding, even if the and retained. with the Americans with Disabilities proposed project includes a service/ • Describe how the proposed project Act (ADA), and amenable to the target practice that is considered by SAMHSA will address issues of age, race, population.

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Section E: Evaluation and Data (15 SAMHSA through postal mail that return it, using the instructions Points) describes the general results of the provided on the survey form. review, including the score that your • Document your ability to collect C. Reporting Requirements and report on the required performance application received. measures for SAMHSA Services Grants. If you are approved for funding, you 1. Progress and Financial Reports Specify and justify any additional will receive an additional notice, the • Grantees must provide annual and outcome measures you plan to use for Notice of Grant Award, signed by final progress reports. The final report your grant project. (See Appendix A for SAMHSA’s Grants Management Officer. must summarize information from the required performance indicators.) The Notice of Grant Award is the sole annual reports, describe the • Describe plans for data collection, obligating document that allows the accomplishments of the project, and management, analysis, interpretation grantee to receive Federal funding for describe next steps for implementing and reporting. Describe the project work on the grant project. It is sent by plans developed during the grant provider’s existing approach to the postal mail and is addressed to the period. collection of individual, service use, contact person listed on the face page of • Grantees must provide annual and and outcome data, along with any the application. final financial status reports. These necessary modifications. Be sure to If you are not funded, you can re- reports may be included as separate include data collection instruments/ apply if there is another receipt date for sections of annual and final progress interview protocols in Appendix 2. the program. reports or can be separate documents. • Describe the process and outcome B. Administrative and National Policy Because SAMHSA is extremely evaluation, including assessments of Requirements interested in ensuring that treatment or implementation and individual prevention services can be sustained, • You must comply with all terms outcomes. Show how the evaluation your financial reports should explain and conditions of the grant award. will be integrated with requirements for plans to ensure the sustainability of SAMHSA’s standard terms and collection and reporting of performance efforts initiated under this grant. Initial conditions are available on the data, including data required by plans for sustainability should be SAMHSA Web site (http:// SAMHSA to meet GPRA requirements. described in year 01. In each subsequent • Describe how the evaluation will be www.samhsa.gov). year, you should describe the status of • Depending on the nature of the used to ensure the fidelity to the your project, as well as the successes specific funding opportunity and/or the practice. achieved and obstacles encountered in • Provide a per-person or unit cost of proposed project as identified during that year. the project to be implemented, based on review, additional terms and conditions • SAMHSA will provide guidelines the applicant’s actual costs and may be identified in the NOFA or and requirements for these reports to projected costs over the life of the negotiated with the grantee prior to grantees at the time of award and at the project. grant award. These may include, for initial grantee orientation meeting after example: award. SAMHSA staff will use the • Note: Although the budget for the proposed Actions required to be in information contained in the reports to project is not a review criterion, the Review compliance with human subjects Group will be asked to comment on the determine the grantee’s progress toward requirements; meeting its goals. appropriateness of the budget after the merits • Requirements relating to additional of the application have been considered. data collection and reporting; 2. Government Performance and Results • Requirements relating to Act (GPRA) B. Review and Selection Process participation in a cross-site evaluation; The Government Performance and SAMHSA applications are peer- or Results Act (GPRA) mandates • reviewed according to the review Requirements to address problems accountability and performance-based criteria listed above. For those programs identified in review of the application. management by Federal agencies. The • where the individual award is over You will be held accountable for performance requirements for $100,000, applications must also be the information provided in the SAMHSA’s Services Grants are reviewed by the appropriate National application relating to performance described in Section I–B under ‘‘Data Advisory Council. targets. SAMHSA program officials will and Performance Measurement’’ and C. Award Criteria consider your progress in meeting goals listed in Appendix A of this document. and objectives, as well as your failures Decisions to fund a grant are based and strategies for overcoming them, 3. Publications on: when making an annual • If you are funded under this program, The strengths and weaknesses of recommendation to continue the grant you are required to notify the the application as identified by the peer and the amount of any continuation Government Project Officer (GPO) and review committee and, when applicable, award. Failure to meet stated goals and SAMHSA’s Publications Clearance approved by the appropriate National objectives may result in suspension or Officer (301–443–8596) of any materials Advisory Council; termination of the grant award, or in based on the SAMHSA-funded grant • Availability of funds; and • reduction or withholding of project that are accepted for publication. Equitable allocation of grants continuation awards. In addition, SAMHSA requests that among the principal geographic regions • In an effort to improve access to grantees: of the United States. SAMHSA does not funding opportunities for applicants, • Provide the GPO and SAMHSA intend to award more than 2 grants per SAMHSA is participating in the U.S. Publications Clearance Officer with State for each funding opportunity. Department of Health and Human advance copies of publications. VI. Award Administration Information Services ‘‘Survey on Ensuring Equal • Include acknowledgment of the Opportunity for Applicants.’’ This SAMHSA grant program as the source of A. Award Notices survey is included in the application kit funding for the project. After your application has been for SAMHSA grants. Applicants are • Include a disclaimer stating that the reviewed, you will receive a letter from encouraged to complete the survey and views and opinions contained in the

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publication do not necessarily reflect participants. If you choose not to use • Describe: those of SAMHSA or the U.S. these other beneficial treatments, • How you will use data collection Department of Health and Human provide the reasons for not using them. instruments. Services, and should not be construed • Where data will be stored. 2. Fair Selection of Participants • as such. Who will or will not have access to • SAMHSA reserves the right to issue a Describe the target population(s) for information. • How the identity of participants press release about any publication the proposed project. Include age, will be kept private, for example, deemed by SAMHSA to contain gender, and racial/ethnic background and note if the population includes through the use of a coding system on information of program or policy data records, limiting access to records, significance to the substance abuse homeless youth, foster children, children of substance abusers, pregnant or storing identifiers separately from treatment/substance abuse prevention/ data. mental health services community. women, or other groups. • Explain the reasons for including Note: If applicable, grantees must agree to VII. Agency Contacts groups of pregnant women, children, maintain the confidentiality of alcohol and The NOFAs provide contact people with mental disabilities, people drug abuse client records according to the in institutions, prisoners, or others who provisions of Title 42 of the Code of Federal information for questions about program Regulations, Part II. issues. are likely to be vulnerable to HIV/AIDS. • Explain the reasons for including or For questions on grants management 6. Adequate Consent Procedures issues, contact: Stephen Hudak, Office excluding participants. • • of Program Services, Division of Grants Explain how you will recruit and List what information will be given Management, Substance Abuse and select participants. Identify who will to people who participate in the project. Mental Health Services Administration/ select participants. Include the type and purpose of their participation. Identify the data that will OPS, 5600 Fishers Lane, Rockwall II 6th 3. Absence of Coercion be collected, how the data will be used Floor, Rockville, MD 20857, (301) 443– • and how you will keep the data private. 9666, [email protected]. Explain if participation in the project is voluntary or required. Identify • State: VIII. Other Information possible reasons why it is required, for • Whether or not their participation is example, court orders requiring people voluntary. A. SAMHSA Confidentiality and • Their right to leave the project at Participant Protection Requirements to participate in a program. • If you plan to pay participants, state any time without problems. and Protection of Human Subjects • how participants will be awarded Possible risks from participation in Regulations the project. money or gifts. • You must describe your procedures • State how volunteer participants Plans to protect clients from these relating to Confidentiality, Participant will be told that they may receive risks. • Explain how you will get consent Protection and the Protection of Human services even if they do not participate for youth, the elderly, people with Subjects Regulations in Section H of in the project. your application, using the guidelines limited reading skills, and people who provided below. Problems with 4. Data Collection do not use English as their first confidentiality, participant protection, • Identify from whom you will collect language. and protection of human subjects data (e.g., from participants themselves, Note: If the project poses potential identified during peer review of your family members, teachers, others). physical, medical, psychological, legal, social application may result in the delay of Describe the data collection procedures or other risks, you must get written informed consent. funding. and specify the sources for obtaining Confidentiality and Participant data (e.g., school records, interviews, • Indicate if you will get informed Protection: All applicants must address psychological assessments, consent from participants or from their each of the following elements relating questionnaires, observation, or other parents or legal guardians. Describe how to confidentiality and participant sources). Where data are to be collected the consent will be documented. For protection. You must document how through observational techniques, example: Will you read the consent you will address these requirements or questionnaires, interviews, or other forms? Will you ask prospective why they do not apply. direct means, describe the data participants questions to be sure they collection setting. understand the forms? Will you give 1. Protect Clients and Staff from • Identify what type of specimens them copies of what they sign? Potential Risks (e.g., urine, blood) will be used, if any. • Include sample consent forms in • Identify and describe any State if the material will be used just for your Appendix 3, ‘‘Sample Consent foreseeable physical, medical, evaluation or if other use(s) will be Forms.’’ If needed, give English psychological, social, legal, or other made. Also, if needed, describe how the translations. risks or adverse affects. material will be monitored to ensure the Note: Never imply that the participant • Discuss risks that are due either to safety of participants. waives or appears to waive any legal rights, participation in the project itself or to • Provide in Appendix 2, ‘‘Data may not end involvement with the project, or the evaluation activities. Collection Instruments/Interview releases your project or its agents from • Describe the procedures you will Protocols,’’ copies of all available data liability for negligence. follow to minimize or protect collection instruments and interview • Describe if separate consents will be participants against potential risks, protocols that you plan to use. obtained for different stages or parts of including risks to confidentiality. the project. For example, will they be 5. Privacy and Confidentiality • Identify plans to provide help if needed for both participant protection there are adverse effects to participants. • Explain how you will ensure in treatment intervention and for the • Where appropriate, describe privacy and confidentiality. Include collection and use of data. alternative treatments and procedures who will collect data and how it will be • Additionally, if other consents (e.g., that may be beneficial to the collected. consents to release information to others

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or gather information from others) will Single Points of Contact (SPOCs) is For SAMHSA grants, the appropriate be used in your project, provide a included in the application kit and can State agencies are the Single State description of the consents. Will be downloaded from the Office of Agencies (SSAs) for substance abuse individuals who do not consent to Management and Budget (OMB) Web and mental health. A listing of the SSAs having individually identifiable data site at http://www.whitehouse.gov/omb/ can be found on SAMHSA’s Web site at collected for evaluation purposes be grants/spoc.html. http://www.samhsa.gov. If the proposed allowed to participate in the project? • Check the list to determine whether project falls within the jurisdiction of your State participates in this program. more than one State, you should notify 7. Risk/Benefit Discussion You do not need to do this if you are all representative SSAs. Discuss why the risks are reasonable a federally recognized Indian tribal Applicants who are not the SSA must compared to expected benefits and government. include a copy of a letter transmitting importance of the knowledge from the • If your State participates, contact the PHSIS to the SSA in Appendix 4, project. your SPOC as early as possible to alert ‘‘Letter to the SSA.’’ The letter must Protection of Human Subjects him/her to the prospective notify the State that, if it wishes to Regulations application(s) and to receive any comment on the proposal, its comments necessary instructions on the State’s should be sent not later than 60 days Depending on the evaluation and data review process. after the application deadline to: collection requirements of the particular • For proposed projects serving more Substance Abuse and Mental Health funding opportunity for which you are than one State, you are advised to Services Administration, Office of applying or the evaluation design you contact the SPOC of each affiliated Program Services, Review Branch, 5600 propose in your application, you may State. Fishers Lane, Room 17–89, Rockville, have to comply with the Protection of • The SPOC should send any State Maryland, 20857, ATTN: SSA—Funding Human Subjects Regulations (45 CFR review process recommendations to the Announcement No. [fill in pertinent 46). The NOFA will indicate whether all following address within 60 days of the funding opportunity number from applicants for a particular funding application deadline: Substance Abuse NOFA]. opportunity must comply with the and Mental Health Services In addition: Protection of Human Subject Administration, Office of Program • Applicants may request that the Regulations. SSA send them a copy of any State Applicants must be aware that even if Services, Review Branch, 5600 Fishers comments. the Protection of Human Subjects Lane, Room 17–89, Rockville, Maryland, • The applicant must notify the SSA Regulations do not apply to all projects 20857, ATTN: SPOC—Funding within 30 days of receipt of an award. funded under a given funding Announcement No. [fill in pertinent opportunity, the specific evaluation funding opportunity number from the [Public reporting burden for the design proposed by the applicant may NOFA]. Public Health System Reporting require compliance with these Requirement is estimated to average 10 C. Public Health System Impact minutes per response, including the regulations. Statement (PHSIS) Applicants whose projects must time for copying the face page of SF 424 comply with the Protection of Human The Public Health System Impact and the abstract and preparing the letter Subjects Regulations must describe the Statement or PHSIS (Approved by OMB for mailing. An agency may not conduct process for obtaining Institutional under control no. 0920–0428; see or sponsor, and a person is not required Review Board (IRB) approval fully in burden statement below) is intended to to respond to, a collection of their applications. While IRB approval keep State and local health officials information unless it displays a is not required at the time of grant informed of proposed health services currently valid OMB control number. award, these applicants will be grant applications submitted by The OMB control number for this required, as a condition of award, to community-based, non-governmental project is 0920–0428. Send comments provide the documentation that an organizations within their jurisdictions. regarding this burden to CDC Clearance Assurance of Compliance is on file with State and local governments and Indian Officer, 1600 Clifton Road, MS D–24, the Office for Human Research tribal government applicants are not Atlanta, GA 30333, ATTN: PRA (0920– Protections (OHRP) and the IRB subject to the following Public Health 0428)]. System Reporting Requirements. approval has been received prior to Appendix A—SAMHSA Services Community-based, non-governmental enrolling any clients in the proposed Indicators project. service providers who are not Additional information about transmitting their applications through The purpose of services programs is to the State must submit a PHSIS to the implement a service improvement using a Protection of Human Subjects proven ‘‘evidence based’’ approach. Domains Regulations can be obtained on the Web head(s) of the appropriate State and local health agencies in the area(s) to be to be measured are persons served, cost per at http://ohrp.osophs.dhhs.gov. You person, and other individual/system may also contact OHRP by e-mail affected no later than the pertinent outcomes. This list of indicators and related ([email protected]) or by phone receipt date for applications. This measures will be updated periodically. The (301/496–7005). PHSIS consists of the following Notice of Funding Availability (NOFA) will information: specify which indicators are required for a B. Intergovernmental Review (E.O. • A copy of the face page of the particular funding opportunity. Applicants 12372) Instructions application (SF 424); and must provide expected baseline data for Executive Order 12372, as • A summary of the project, no longer *asterisked items in the grant application. implemented through Department of than one page in length, that provides: Grantees must collect and report data at the interval (e.g., quarterly, annually) specified Health and Human Services (DHHS) (1) A description of the population to be in the NOFA. Specific instructions for data regulation at 45 CFR part 100, sets up served, (2) a summary of the services to collection will be provided on SAMHSA’s a system for State and local review of be provided, and (3) a description of the web site and in application kits. Some applications for Federal financial coordination planned with appropriate NOFAs may specify indicators and measures assistance. A current listing of State State or local health agencies. not on this list or may request grantees to

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identify measures appropriate to their data infrastructure/performance • Please use black ink and number pages specific project. measurement improvements. consecutively from beginning to end so that information can be located easily during Accountability Appendix B—Checklist for Application review of the application. The cover page Percent of grantees reporting valid data. Formatting Requirements should be page 1, the abstract page should be page 2, and the table of contents page should Capacity Your application must adhere to these formatting requirements. Failure to do so will be page 3. Appendices should be labeled and * Number of persons served (Includes result in your application being screened out separated from the Project Narrative and screening and assessment) and returned to you without review. In budget section, and the pages should be CMHS and CSAT grantees: Percent of numbered to continue the sequence. addition to these formatting requirements, • providers providing services within there may be programmatic requirements Send the original application and two approved costs (Costs to be proposed in specified in the NOFA. Please check the copies to the mailing address in the PA. application; to be approved by SAMHSA NOFA before preparing your application. Please do not use staples, paper clips, and prior to award. A cost measure for substance • Use the PHS 5161–1 application. fasteners. Nothing should be attached, abuse prevention is under development). • Include the 10 application components stapled, folded, or pasted. Do not use any * Number, type, and capacity of services/ required for SAMHSA applications (i.e., Face material that cannot be copied using product available. Page, Abstract, Table of Contents, Budget automatic copying machines. Odd-sized and * Percent of persons needing services/ Form, Project Narrative and Supporting oversized attachments such as posters will product who receive them. Documentation, Appendices, Assurances, not be copied or sent to reviewers. Do not include videotapes, audiotapes, or CD– Effectiveness Certifications, Disclosure of Lobbying Activities, and Checklist.) ROMs. Participation of persons served and family • Provide legible text. Appendix C: Glossary members in planning, policy and service • Use white paper, 8.5″ by 11.0″ in size. delivery. • Type single-spaced text with one column Best Practice: Best practices are practices Number of service/systems improvements per page. that incorporate the best objective implemented; maintained post-funding. • Use margins that are at least 1 inch. information currently available from * Percent of programs reporting positive • Use type size in the Project Narrative recognized experts regarding effectiveness individual and systems outcomes. that does not exceed an average of 15 and acceptability. CSAP grantees: Difference between 30 day characters per inch when measured with a Cooperative Agreement: A cooperative substance use of population served by ruler. Type size in charts, tables, graphs, and agreement is a form of Federal grant. program and comparable local and national footnotes will not be considered in Cooperative agreements are distinguished rates. CSAT grantees: Number of people who determining compliance. from other grants in that, under a cooperative show no past month substance use 6 months • Do not use photo reduction or agreement, substantial involvement is post treatment admission. condensation of type closer than 15 anticipated between the awarding office and Grantees also will be required to report on characters per inch or 6 lines per inch. the recipient during performance of the several outcomes from the following list, as • Print only on one side of the paper only; funded activity. This involvement may specified in the NOFA: do not print on both sides. include collaboration, participation, or Individual outcomes: Participants (adults • Do not exceed page limitations specified intervention in the activity. HHS awarding or children) disapproving of substance use; for the Project Narrative (3 pages for Section offices use grants or cooperative agreements perceiving personal health risks associated A and 25 pages total for Sections B–E) and (rather than contracts) when the principal with substance abuse; increasing age of first Appendices (30 pages). purpose of the transaction is the transfer of use; reporting abstinence at discharge; • Provide sufficient information for money, property, services, or anything of decreasing substance abuse risk factors review. value to accomplish a public purpose of related to spread of HIV/AIDS, including • Applications must be received by the support or stimulation authorized by Federal risky sexual behavior and sharing needles; application deadline. Applications received statute. The primary beneficiary under a improving employment/school attendance; after this date must have a proof of mailing grant or cooperative agreement is the public, having no criminal justice involvement; date from the carrier dated at least 1 week as opposed to the Federal Government. having stable living situation; reporting prior to the due date. Private metered Cost-Sharing or Matching: Cost-sharing (consumer/family) improvement in postmarks are not acceptable as proof of refers to the value of allowable non-Federal behavioral/emotional symptoms. timely mailing. Applications not received by contributions toward the allowable costs of a System outcomes: Percent of referrals from the application deadline or postmarked a Federal grant project or program. Such juvenile/adult justice systems to systems of week prior to the application deadline will contributions may be cash or in-kind care; decreased days in inpatient/residential not be reviewed. contributions. For SAMHSA grants, cost- facilities; readmission rates; past 30 day • Applications that do not comply with sharing or matching is not required, and utilization of inpatient, outpatient facilities; the following requirements and any applications will not be screened out on the inpatient, outpatient, or emergency room additional program requirements specified in basis of cost-sharing. However, applicants treatment for physical complaint, mental or the NOFA, or are otherwise unresponsive to often include cash or in-kind contributions in emotional difficulties, or alcohol or PA guidelines will be screened out and their proposals as evidence of commitment to substance abuse; seclusion/restraint deaths or returned to the applicant without review: the proposed project. This is allowed, and injuries; number of communities with • Provisions relating to participant this information may be considered by defined systems/continuum of care; number protection and the protection of human reviewers in evaluating the quality of the of persons contacted through outreach who subjects specified in Section VIII–A of this application. enroll in services; percent of providers, document. Grant: A grant is the funding mechanism administrators trained who report adopting • Budgetary limitations as specified in used by the Federal Government when the approved service methods; percent of Sections I, II and IV–E of this document. principal purpose of the transaction is the participants in sponsored events who have • Documentation of nonprofit status as transfer of money, property, services, or used information to change their practices; required in the PHS 5161–1. anything of value to accomplish a public number of science based programs • Requirements relating to provider purpose of support or stimulation authorized implemented. Completion and organization experience and provider by Federal statute. The primary beneficiary documentation of one or more of the organization certification and licensure. under a grant or cooperative agreement is the following, depending upon the scope of the To facilitate review of your application, public, as opposed to the Federal project: Needs assessment; revised financing follow these additional guidelines. Failure to Government. plan for coordinating funding streams; follow these guidelines will not result in In-Kind Contribution: In-kind contributions organizational/structural change or quality your application being screened out. toward a grant project are non-cash improvements; coordination and network However, following these guidelines will contributions (e.g., facilities, space, services) improvements; workforce improvements; help reviewers to consider your application. that are derived from non-Federal sources,

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such as State or sub-State non-Federal have not yet been shown to have sufficient —Practitioners and Clinical Supervisors revenues, foundation grants, or contributions rigor and/or consistently positive outcomes —Mental Health Program Leaders from other non-Federal public or private required for Effective Program status. —Public Mental Health Authorities entities. Nonetheless, Promising Programs are eligible Material on the web site can be printed or Practice: A practice is any activity, or to be elevated to Effective/Model status after downloaded with Acrobat Reader, and collective set of activities, intended to review of additional documentation references are provided where additional improve outcomes for people with or at risk regarding program effectiveness. Originated information can be obtained. from a range of settings and spanning target for substance abuse and/or mental illness. Once published, the full kits will be populations, Promising Programs can guide Such activities may include direct service available from National Mental Health prevention, treatment, and rehabilitation. provision, or they may be supportive Information Center at http://www.health.org activities, such as efforts to improve access Effective Programs are well-implemented, or 1–800–789–CMHS (2647). to and retention in services, organizational well-evaluated programs that produce efficiency or effectiveness, community consistently positive pattern of results (across Appendix F: Effective Substance Abuse readiness, collaboration among stakeholder domains and/or replications). Developers of Treatment Practices groups, education, awareness, training, or Effective Programs have yet to help any other activity that is designed to improve SAMHSA/CSAP disseminate their programs, To assist potential applicants, SAMHSA’s outcomes for people with or at risk for but may do so themselves. Center for Substance Abuse Treatment substance abuse or mental illness. Model Programs are also well- (CSAT) has identified the following listing of Practice Support System: This term refers implemented, well-evaluated programs, current publications on effective treatment to contextual factors that affect practice meaning they have been reviewed by NREP practices for use by treatment professionals delivery and effectiveness in the pre- according to rigorous standards of research. in treating individuals with substance abuse adoption phase, delivery phase, and post- Their developers have agreed with SAMHSA disorders. These publications are available delivery phase, such as (a) community to provide materials, training, and technical from the National Clearinghouse for Alcohol collaboration and consensus building, (b) assistance for nationwide implementation. and Drug Information (NCADI); Tele: 1–800– training and overall readiness of those That helps ensure the program is carefully 729–6686 or http://www.health.org and implementing the practice, and (c) sufficient implemented and likely to succeed. http://www.samhsa.gov/centers/csat2002/ ongoing supervision for those implementing Programs that have met the NREP publications.html. the practice. standards for each category can be identified CSAT Treatment Improvement Protocols Stakeholder: A stakeholder is an by accessing the NREP Model Programs Web (TIPs) are consensus-based guidelines individual, organization, constituent group, site at http:// developed by clinical, research, and or other entity that has an interest in and will www.modelprograms.samhsa.gov. administrative experts in the field. be affected by a proposed grant project. • Appendix E: Center for Mental Health Integrating Substance Abuse Treatment Target population catchment area: The and Vocational Services. TIP 38 (2000) target population catchment area is the Services Evidence-Based Practice NCADI # BKD381 geographic area from which the target Toolkits • Substance Abuse Treatment for Persons population to be served by a program will be SAMHSA’s Center for Mental Health with Child Abuse and Neglect Issues. TIP 36 drawn. Services and the Robert Wood Johnson (2000) NCADI # BKD343 Wraparound Service: Wraparound services Foundation initiated the Evidence-Based • Substance Abuse Treatment for Persons are non-clinical supportive services—such as Practices Project to: (1) Help more consumers with HIV/AIDS. TIP 37 (2000) NCADI # child care, vocational, educational, and and families access services that are effective, BKD359 transportation services—that are designed to (2) help providers of mental health services • Brief Interventions and Brief Therapies improve the individual’s access to and develop effective services, and (3) help for Substance Abuse. TIP 34 (1999) NCADI # retention in the proposed project. administrators support and maintain these BKD341 • Appendix D: National Registry of services. The project is now also funded and Enhancing Motivation for Change in Effective Programs endorsed by numerous national, State, local, Substance Abuse Treatment. TIP 35 (1999) private and public organizations, including NCADI # BKD342 To help SAMHSA’s constituents learn the Johnson & Johnson Charitable Trust, the • Screening and Assessing Adolescents for more about science-based programs, MacArthur Foundation, and the West Family Substance Use Disorders. TIP 31 (1999) SAMHSA’s Center for Substance Abuse Foundation. NCADI # BKD306 Prevention (CSAP) created a National The project has been developed through • Treatment for Stimulant Use Disorders. Registry of Effective Programs (NREP) to the cooperation of many Federal and State TIP 33 (1999) NCADI # BKD289 review and identify effective programs. NREP mental health organizations, advocacy • Treatment of Adolescents with seeks candidates from the practice groups, mental health providers, researchers, Substance Use Disorders. TIP 32 (1999) community and the scientific literature. consumers and family members. A Web site NCADI # BKD307 While the initial focus of NREP was (http://www.mentalhealthpractices.org) was • Comprehensive Case Management for substance abuse prevention programming, created as part of Phase I of the project, Substance Abuse Treatment. TIP 27 (1998) NREP has expanded its scope and now which included the identification of the first NCADI # BKD251 includes prevention and treatment of cluster of evidence-based practices and the • Continuity of Offender Treatment for substance abuse and of co-occurring design of implementation resource kits to Substance Use Disorders From Institution to substance abuse and mental disorders, and help people understand and use these Community. TIP 30 (1998) NCADI # BKD304 psychopharmacological programs and practices successfully. • Naltrexone and Alcoholism Treatment. workplace programs. Basic information about the first six TIP 28 (1998) NCADI # BKD268 NREP includes three categories of evidence-based practices is available on the • Substance Abuse Among Older Adults. programs: Effective Programs, Promising Web site. The six practices are: TIP 26 (1998) NCADI # BKD250 Programs, and Model Programs. Programs 1. Illness Management and Recovery. • Substance Use Disorder Treatment for defined as Effective have the option of 2. Family Psychoeducation. People With Physical and Cognitive becoming Model Programs if their developers 3. Medication Management Approaches in Disabilities. TIP 29 (1998) NCADI # BKD288 choose to take part in SAMHSA Psychiatry. • A Guide to Substance Abuse Services for dissemination efforts. The conditions for 4. Assertive Community Treatment. Primary Care Clinicians. TIP 24 (1997) making that choice, together with definitions 5. Supported Employment. NCADI # BKD234 of the three major criteria, are as follows. 6. Integrated Dual Disorders Treatment. • Substance Abuse Treatment and Promising Programs have been Each of the resource kits contains Domestic Violence. TIP 25 (1997) NCADI # implemented and evaluated sufficiently and information and materials written by and for BKD239 are scientifically defensible. They have the following groups: • Treatment Drug Courts: Integrating positive outcomes in preventing substance —Consumers Substance Abuse Treatment With Legal Case abuse and related behaviors. However, they —Families and Other Supporters Processing. TIP 23 (1996) NCADI # BKD205

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• Alcohol and Other Drug Screening of • Bringing Excellence to Substance Abuse understand that if this documentation is not Hospitalized Trauma Patients. TIP 16 (1995) Services in Rural and Frontier America. TAP received by the GPO within the specified NCADI # BKD164 20 (1997) NCADI # BKD220 timeframe, the application will be removed • Combining Alcohol and Other Drug • Counselor’s Manual for Relapse from consideration for an award and the Abuse Treatment With Diversion for Prevention with Chemically Dependent funds will be provided to another applicant Juveniles in the Justice System. TIP 21 (1995) Criminal Offenders. TAP 19 (1996) NCADI # meeting these requirements. NCADI # BKD169 BKD723 • A letter of commitment that specifies the • Detoxification From Alcohol and Other • Draft Buprenorphine Curriculum for nature of the participation and what Drugs. TIP 19 (1995) NCADI # BKD172 Physicians (Note: the Curriculum is in service(s) will be provided from every service • LAAM in the Treatment of Opiate DRAFT form and is currently being updated) provider organization, listed in Appendix 1 Addiction. TIP 22 (1995) NCADI # BKD170 http://www.buprenorphine.samhsa.gov of the application, that has agreed to • Matching Treatment to Patient Needs in • CSAT Guidelines for the Accreditation of participate in the project; Opioid Substitution Therapy. TIP 20 (1995) Opioid Treatment Programs http:// • Official documentation that all service NCADI # BKD168 www.samhsa.gov/centers/csat/content/dpt/ provider organizations participating in the • Planning for Alcohol and Other Drug accreditation.htm project have been providing relevant services Abuse Treatment for Adults in the Criminal • Model Policy Guidelines for Opioid for a minimum of 2 years prior to the date Justice System. TIP 17 (1995) NCADI # Addiction Treatment in the Medical Office of the application in the area(s) in which BKD165 http://www.samhsa.gov/centers/csat/content/ services are to be provided. Official • Assessment and Treatment of Cocaine- dpt/model_policy.htm documents must definitively establish that Abusing Methadone-Maintained Patients. TIP NIDA Manuals—Available through NCADI the organization has provided relevant • 10 (1994) NCADI # BKD157 Brief Strategic Family Therapy. Manual services for the last 2 years; and • Assessment and Treatment of Patients 5 (2003) NCADI # BKD481 • Official documentation that all • With Coexisting Mental Illness and Alcohol Drug Counseling for Cocaine Addiction: participating service provider organizations and Other Drug Abuse. TIP 9 (1994) NCADI The Collaborative Cocaine Treatment Study are in compliance with all local (city, county) # BKD134 Model. Manual 4 (2002) NCADI # BKD465 and State/tribal requirements for licensing, • • Intensive Outpatient Treatment for The NIDA Community-Based Outreach accreditation, and certification or official Alcohol and Other Drug Abuse. TIP 8 (1994) Model: A Manual to Reduce Risk HIV and documentation from the appropriate agency NCADI # BKD139 Other Blood-Borne Infections in Drug Users. of the applicable State/tribal, county, or other (2000) NCADI # BKD366 governmental unit that licensing, Other Effective Practice Publications • An Individual Counseling Approach to accreditation, and certification requirements CSAT Publications Treat Cocaine Addiction: The Collaborative do not exist. (Official documentation is a Cocaine Treatment Study Model. Manual 3 • Anger Management for Substance Abuse copy of each service provider organization’s (1999) NCADI # BKD337 and Mental Health Clients: A Cognitive license, accreditation, and certification. • Cognitive-Behavioral Approach: Treating Behavioral Therapy Manual (2002) NCADI # Documentation of accreditation will not be Cocaine Addiction. Manual 1 (1998) BKD444 accepted in lieu of an organization’s license. NCADI # BKD254 • Anger Management for Substance Abuse A statement by, or letter from, the applicant • Community Reinforcement Plus and Mental Health Clients: Participant organization or from a provider organization Vouchers Approach: Treating Cocaine Workbook (2002) NCADI # BKD445 attesting to compliance with licensing, Addiction. Manual 2 (1998) NCADI # • Multidimensional Family Therapy for accreditation and certification or that no BKD255 Adolescent Cannabis Users. CYT Cannabis licensing, accreditation, certification NIAAA Publications—These publications Youth Treatment Series Vol. 5 (2002) NCADI requirements exist does not constitute # BKD388 are available in PDF format or can be ordered adequate documentation.) • Navigating the Pathways: Lessons and on-line at http://www.niaaa.nih.gov/ lllllllllllllllllllll Promising Practices in Linking Alcohol and publications/guides.htm. An order form for Signature of Authorized Representative Drug Services with Child Welfare. TAP 27 the Project MATCH series is available on-line at http://www.niaaa.nih.gov/publications/ lllllllllllllllllllll (2002) NCADI # BKD436 Date • The Motivational Enhancement Therapy match.htm. All publications listed can be Dated: August 13, 2003. and Cognitive Behavioral Therapy ordered through the NIAAA Publications Supplement: 7 Sessions of Cognitive Distribution Center, P.O. Box 10686, Anna Marsh, Behavioral Therapy for Adolescent Cannabis Rockville, MD 20849–0686. Acting Executive Officer. • * Alcohol Problems in Intimate Users. CYT Cannabis Youth Treatment Series [FR Doc. 03–21116 Filed 8–20–03; 8:45 am] Vol. 2 (2002) NCADI # BKD385 Relationships: Identification and • Family Support Network for Adolescent Intervention. A Guide for Marriage and BILLING CODE 4162–20–P Cannabis Users. CYT Cannabis Youth Family Therapists (2003) NIH Pub. No. 03– Treatment Series Vol. 3 (2001) NCADI # 5284 • BKD386 * Helping Patients with Alcohol DEPARTMENT OF HEALTH AND • Identifying Substance Abuse Among Problems: A Health Practitioner’s Guide. HUMAN SERVICES TANF-Eligible Families. TAP 26 (2001) (2003) NIH Pub. No. 03–3769 • NCADI # BKD410 Cognitive-Behavioral Coping Skills Substance Abuse and Mental Health • Motivational Enhancement Therapy and Therapy Manual. Project MATCH Series, Vol. Services Administration Cognitive Behavioral Therapy for Adolescent 3 (1995) NIH Pub. No. 94–3724 • Cannabis Users: 5 Sessions. CYT Cannabis Twelve Step Facilitation Therapy Proposed Changes in Announcement Youth Treatment Series Vol. 1 (2001) NCADI Manual. Project MATCH Series, Vol. 1 (1995) of SAMHSA Discretionary Grant # BKD384 NIH Pub. No. 94–3722 • Funding Opportunities • The Adolescent Community Motivational Enhancement Therapy Reinforcement Approach for Adolescent Manual. Project MATCH Series, Vol. 2 (1994) AGENCY: Substance Abuse and Mental Cannabis Users. CYT Cannabis Youth NIH Pub. No. 94–3723 Health Services Administration, HHS. Treatment Series Vol. 4 (2001) NCADI # Appendix G—Statement of Assurance ACTION: BKD387 Notice of proposed standard • Substance Abuse Treatment for Women As the authorized representative of the infrastructure grant announcement. Offenders: Guide to Promising Practices. TAP applicant organization, I assure SAMHSA SUMMARY: 23 (1999) NCADI # BKD310 that if {insert name of organization} Beginning in Fiscal Year (FY) • Addiction Counseling Competencies: application is within the funding range for a 2004, the Substance Abuse and Mental The Knowledge, Skills, and Attitudes of grant award, the organization will provide Health Services Administration Professional Practice. TAP 21 (1998) NCADI the SAMHSA Government Project Officer (SAMHSA) plans to change its approach # BKD246 (GPO) with the following documents. I to announcing and soliciting

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applications for its discretionary grant person to call you about your questions, 2. Are the programmatic requirements programs. The following announcement please state this in an e-mail or fax for SAMHSA’s Infrastructure Grants is a proposed standard announcement request and provide a telephone number clear? for SAMHSA’s Infrastructure Grants. It where you can be reached between 8:30 3. Are the goals/objectives for is not an actual grant solicitation. and 5 p.m. Eastern Standard Time. SAMHSA’s Infrastructure Grants clear? SUPPLEMENTARY INFORMATION: Starting in Authority: Sections 509, 516, and 520A of 4. If you are a potential applicant for the Public Health Service Act. FY 2004, SAMHSA plans to change its approach to announcing and soliciting a SAMHSA Infrastructure Grant, do you When published in final, the standard applications for its discretionary grants. believe you will be able to use the SAMHSA Infrastructure Grant SAMHSA plans to issue the following standard Infrastructure Grant announcement will be used by Infrastructure Grant announcement as announcement with the NOFA to applicants in conjunction with specific one of four standard grant prepare your application? Will the Notices of Funding Availability announcements that will describe the ability to anticipate programmatic (NOFAs) to prepare applications for general program design and provide requirements through reviewing the certain SAMHSA grants. SAMHSA is application instructions for four types of standard grant announcements ahead of providing this draft announcement for grants ‘‘Services Grants, Infrastructure time improve your ability to prepare a public review and comment in order to Grants, Best Practices Planning and solid application? Is the additional ensure that the field is aware of the Implementation Grants, and Service-to- benefit ‘‘worth’’ the ‘‘cost’’ of having to planned change and has an opportunity Science Grants. The standard use two different documents to prepare to identify areas where the announcements will be used in your application? announcement is unclear and needs conjunction with brief Notices of improvement. Funding Availability (NOFAs) that will Text of Proposed Standard DATES: Submit written comments on announce the availability of funds for Announcement this proposal by October 20, 2003. specific grant funding opportunities Department of Health and Human within each of the standard grant ADDRESSES: Interested persons are Services programs (e.g., Homeless Treatment invited to submit comments regarding grants, Statewide Family Network SAMHSA’s proposed standard Substance Abuse and Mental Health grants, or HIV/AIDS and Substance Infrastructure Grant announcement to: Services Administration Abuse Prevention Planning Grants). Office of Policy, Planning and Budget, A complete description of the Infrastructure Grants—INF 04 (Initial SAMHSA, Attn: Jennifer Fiedelholtz by proposed process, the other three Announcement) fax (301–594–6159) or e-mail proposed standard announcements and ([email protected]). Catalogue of Federal Domestic Assistance a sample NOFA are contained in (CFDA) No.: 93.243 (unless otherwise Please include a phone number in your separate notices in this issue of the e-mail, so that SAMHSA staff may specified in a NOFA in the Federal Register Federal Register. and on http://www.grants.gov). contact you if there are questions about SAMHSA welcomes public comment Authority: Sections 509, 516 and/or 520A your comments. on all aspects of the following of the Public Health Service Act, as amended, FOR FURTHER INFORMATION CONTACT: announcement. In particular, SAMHSA and subject to the availability of funds Jennifer Fiedelholtz of the Office of welcomes comment on the following (unless otherwise specified in a NOFA in the Policy, Planning and Budget, SAMHSA, issues: Federal Register and on http:// by fax (301–594–6159) or e-mail 1. Is the difference between the www.grants.gov). ([email protected]). standard announcement and a NOFA If you would like a SAMHSA staff clear? Key Dates

Application Deadline ...... This Program Announcement provides general instructions and guidelines for multiple funding opportunities. Application deadlines for specific funding opportunities will be published in No- tices of Funding Availability (NOFAs) in the Federal Register and on http://www.grants.gov. Intergovernmental Review (E.O. 12372) ...... Letters from State Single Point of Contact (SPOC) are due no later than 60 days after applica- tion deadline. Public Health System Impact Statement Applicants must send the PHSIS to appropriate State and local health agencies by application (PHSIS)/SSA Coordination. deadline. Comments from Single State Agency are due no later than 60 days after applica- tion deadline.

Table of Contents C. Submission Dates and Times VIII. Other Information I. Funding Opportunity Description D. Intergovernmental Review (E.O. 12372) A. SAMHSA Confidentiality and A. Introduction Requirements Participant Protection Requirements and B. Expectations E. Funding Restrictions Protection of Human Subjects II. Award Information F. Other Submission Requirements Regulations A. Award Amount V. Application Review Information B. Intergovernmental Review (E.O. 12372) B. Funding Mechanism A. Evaluation Criteria Instructions III. Eligibility Information B. Review and Selection Process C. Public Health System Impact Statement A. Eligible Applicants C. Award Criteria Appendix A: SAMHSA Infrastructure B. Cost-Sharing VI. Award Administration Information Indicators A. Award Notices C. Other Appendix B: Checklist for Application B. Administrative and National Policy IV. Application and Submission Information Formatting Requirements A. Address to Request Application Package Requirements Appendix C: Glossary B. Content and Form of Application C. Reporting Requirements Submission VII. Agency Contacts

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I. Funding Opportunity Description B. Expectations (see description of award categories below), up to 15 percent of the total A. Introduction SAMHSA’s Infrastructure Grants support an array of activities to help the grant award may be used for The Substance Abuse and Mental grantee build a solid foundation for ‘‘implementation pilots’’ to test the Health Services Administration delivering and sustaining effective effectiveness of the infrastructure (SAMHSA) announces its intent to substance abuse prevention and/or changes on services delivery. Funds solicit applications for Infrastructure treatment and/or mental health services. may not be used to provide direct Grants. These grants will increase the SAMHSA recognizes that each services except in the context of an capacity of mental health and/or applicant will start from a unique point implementation pilot. substance abuse service systems to in developing infrastructure and will 2. Grantee Meetings support effective programs and services. serve populations/communities with You must plan to send a minimum of Applicants who seek Federal support to specific needs. Awardees may pursue develop or enhance their service system two people (including the Project diverse strategies and methods to Director) to at least one joint grantee infrastructure in order to support achieve their infrastructure effective substance abuse and/or mental meeting in each year of the grant, and development and capacity expansion you must include funding for this travel health services should apply for awards goals. Successful applicants will under this announcement. in your budget. At these meetings, provide a coherent and detailed grantees will present the results of their SAMHSA also funds grants under conceptual ‘‘roadmap’’ of the process by projects and Federal staff will provide three other standard grant which they have assessed or intend to technical assistance. Each meeting will announcements: assess service system needs and plan/ • be 3 days. These meetings will usually Services Grants provide funding to implement infrastructure development be held in the Washington, DC, area, implement substance abuse and mental strategies that meet those needs. The and attendance is mandatory. health services. plan put forward in the grant • Best Practices Planning and application must show the linkages 3. Data and Performance Measurement Implementation Grants help among needs, the proposed The Government Performance and communities and providers identify infrastructure development strategy, and Results Act of 1993 (Pub. L. 103–62, or practices to effectively meet local needs, increased system capacity that will ‘‘GPRA’’) requires all Federal agencies develop strategic plans for enhance and sustain effective programs to: implementing/adapting those practices and services. • Develop strategic plans that specify and pilot-test practices prior to full- 1. Allowable Activities what they will accomplish over a 3 to scale implementation. 5-year period; • Service to Science Grants document SAMHSA’s Infrastructure Grants will • Set performance targets annually and evaluate innovative practices that support the following types of activities: related to their strategic plan; and address critical substance abuse and Infrastructure Development— • Report annually on the degree to mental health service gaps but that have Infrastructure Grant funds must be used which the previous year’s targets were not yet been formally evaluated. primarily to support infrastructure met. This announcement describes the development, including the following The law further requires agencies to general program design and provides types of activities: link their performance to their budgets. • application instructions for all Needs assessment; Agencies are expected to evaluate their • SAMHSA Infrastructure Grants. The Strategic planning; programs regularly and to use results of • availability of funds for specific Financing/coordination of funding these evaluations to explain their Infrastructure Grants will be announced streams; successes and failures. • in supplementary Notices of Funding Organizational/structural change To meet these requirements, Availability (NOFAs) in the Federal (e.g., to create locus of responsibility for SAMHSA must collect performance data Register and at http://www.grants.gov— a specific issue/population, or to (i.e., ‘‘GPRA data’’) from grantees. You the Federal grant announcement Web increase access to or efficiency of are required to report these GPRA data page. services); to SAMHSA on a timely basis so that • Development of interagency Typically, funding for Infrastructure performance results are available to coordination mechanisms; Grants will be targeted to specific support budgetary decisions. • Provider/network development; In particular, you will be required to populations and/or issue areas, which • Policy development to support provide data on a core set of required will be specified in the NOFAs. The needed service system improvements measures, depending on the SAMHSA NOFAs will also: • (e.g., rate-setting activities, Center that is funding the grant. In your Specify total funding available for establishment of standards of care, application, you must demonstrate your the first year of the grants and the development/revision of credentialing, ability to collect and report on these expected size and number of awards; licensure, or accreditation measures, and you must provide some • Provide the application deadline; requirements); baseline data. • Note any specific program • Quality improvement efforts; Appendix A provides the requirements for each funding • Performance measurement performance indicators for SAMHSA’s opportunity; and development; Infrastructure grantees. For complete • Include any limitations or • Workforce development (e.g., information on the core measures exceptions to the general provisions in training, support for licensure, relating to these indicators and the this announcement (e.g., eligibility, credentialing, or accreditation); methodology for data collection and allowable activities). • Data infrastructure/MIS reporting, please consult the following It is, therefore, critical that you development. Web sites: consult the NOFA as well as this Implementation Pilots (maximum 15 • Center for Mental Health Services- announcement in developing your grant percent of total grant award)— funded grants: http://www.samhsa.gov/ application. Depending on the scope of the project aps/CMHS/GPRA;

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• Center for Substance Abuse If the project includes an these funding mechanisms). For Prevention-funded grants: http:// implementation pilot involving services cooperative agreements, the NOFA will www.samhsa.gov/aps/CSAP/GPRA; delivery, the evaluation should include describe the nature of Federal • Center for Substance Abuse client and system outcomes. involvement in project performance and Treatment-funded-grants: http:// No more than 20% of the total grant specify roles and responsibilities of www.samhsa.gov/aps/CSAT/GPRA; award may be used for evaluation and grantees and Federal staff. data collection. The evaluation and data This information will be provided in III. Eligibility Information the hard copy application kits collection may be considered distributed by SAMHSA’s ‘‘Infrastructure’’ and/or A. Eligible Applicants Clearinghouses, as well. ‘‘Implementation Pilots’’ expenditures, In some instances, you may be depending on their purpose. Eligible applicants are domestic public and private nonprofit entities. required to participate in cross-site II. Award Information evaluations and comply with additional For example, State, local or tribal data collection requirements; if so, this A. Award Amount governments; public or private universities and colleges; community- will be specified in the NOFA. Before The NOFA will specify the expected and faith-based organizations; and tribal grant award, a final agreement regarding award amount for each funding organizations may apply. The statutory data collection will be reached. The opportunity. Regardless of the amount authority for this program precludes terms and conditions of the grant award specified in the NOFA, actual award grants to for-profit organizations. The will specify the data to be submitted amounts will depend on the availability NOFA will indicate any limitations on and the schedule for submission. of funds. eligibility. Grantees will be required to adhere to Two types of Infrastructure Grants these terms and conditions of award. will be made: B. Cost-Sharing 4. Evaluation Category 1—Small Infrastructure Grants. The Category 1 grants will be Cost-sharing is not required in this Grantees must evaluate their projects, limited in scope as specified in the program, and applications will not be and applicants are required to describe NOFA. For example, allowable activities screened out on the basis of cost- their evaluation plans in their might be limited to workforce sharing. However, you may include cash applications. The evaluation should be development, data infrastructure, or or in-kind contributions in your designed to provide regular feedback to strategic planning. Implementation proposal as evidence of commitment to the project to improve services. pilots are not allowed in Category 1 the proposed project. Reviewers may Therefore, the evaluation must include awards. Category 1 awards are expected consider this information in evaluating the required performance measures to be for a period of 1–3 years in the quality of the application. described above. The evaluation must amounts ranging from $250,000– C. Other include both process and outcome $500,000 per year. components. Process and outcome Category 2—Comprehensive SAMHSA applicants must comply evaluations must measure change Infrastructure Grants. The scope of the with certain program requirements, relating to project goals and objectives Category 2 grants will be much larger. including: over time compared to baseline While applicants are not required to • Provisions relating to participant information. Control or comparison include all of the allowable activities in groups are not required. You must protection and the protection of human their proposed projects, the proposed subjects specified in Section VIII–A of consider your evaluation plan when projects must encompass multiple preparing the project budget. this document; domains (e.g., needs assessment, • Process components should address strategic and financial planning, Budgetary limitations as specified issues such as: organizational/structural change, and in Sections I, II, and IV–E of this • How closely did implementation network development). Category 2 document; and match the plan? awards may use a maximum of 15 • Documentation of nonprofit status • What types of deviation from the percent of the total grant award for as required in the PHS 5161–1. plan occurred? implementation pilots. Category 2 • You also must comply with any What led to the deviations? awards are expected to be for a period • What impact did the deviations additional program requirements of 3–5 years in amounts ranging from specified in the NOFA, such as the have on the intervention and $750,000–$3 million per year. evaluation? required signature of certain officials on • Applications with proposed budgets the face page of the application and/or Who provided (program, staff) what that exceed the allowable amount as services (modality, type, intensity, required memoranda of understanding specified in the NOFA in any year of the with certain signatories. duration), to whom (individual proposed project will be screened out characteristics), in what context and will not be reviewed. Applications that do not comply with (system, community), and at what cost Annual continuation awards will the eligibility and specific program (facilities, personnel, dollars)? depend on the availability of funds, requirements for the funding Outcome components should address grantee progress in meeting project goals opportunity for which the application is issues such as: and objectives, and timely submission submitted will be screened out and will • What was the effect of of required data and reports. not be reviewed. infrastructure development on service B. Funding Mechanism IV. Application and Submission capacity and other system outcomes? Information • What program/contextual factors The NOFA will indicate whether were associated with outcomes? awards for each funding opportunity (To ensure that you have met all • What individual factors were will be made as grants or cooperative submission requirements, a checklist is associated with outcomes? agreements (see the Glossary in provided for your use in Appendix B of • How durable were the effects? Appendix C for further explanation of this document.)

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A. Address To Request Application • Face Page—Use Standard Form (SF) • Section F—Biographical Sketches Package 424, which is part of the PHS 5161–1. and Job Descriptions. • You may request a complete [Note: Beginning October 1, 2003, Include a biographical sketch for application kit by calling one of applicants will need to provide a Dun the Project Director and other key SAMHSA’s national clearinghouses: and Bradstreet (DUNS) number to apply positions. Each sketch should be 2 pages • For substance abuse prevention or for a grant or cooperative agreement or less. If the person has not been hired, treatment grants, call the National from the Federal Government. SAMHSA include a letter of commitment from the Clearinghouse for Alcohol and Drug applicants will be required to provide individual with a current biographical Information (NCADI) at 1–800–729– their DUNS number on the face page of sketch. • 6686. the application. Obtaining a DUNS Include job descriptions for key • For mental health grants, call the number is easy and there is no charge. personnel. Job descriptions should be National Mental Health Information To obtain a DUNS number, access the no longer than 1 page each. Center at 1–800–789–CMHS (2647). Dun and Bradstreet Web site at http:// • Sample sketches and job You also may download the required www.dunandbradstreet.com or call 1– descriptions are listed on page 22, Item documents from the SAMHSA Web site 866–705–5711. To expedite the process, 6 in the Program Narrative section of the at http://www.samhsa.gov. Click on let Dun and Bradstreet know that you PHS 5161–1. ‘‘grant opportunities.’’ are a public/private nonprofit • Section G—Confidentiality and Additional materials available on this organization getting ready to submit a SAMHSA Participant Protection/Human Web site include: Federal grant application.] Subjects. Instructions for completing • A technical assistance manual for • Abstract—Your total abstract Section G of your application are potential applicants; should not be longer than 35 lines. In provided below in Section VIII–A of this • Standard terms and conditions for the first five lines or less of your document. SAMHSA grants; abstract, write a summary of your • Appendices 1 through 5—Use only • Guidelines and policies that relate project that can be used, if your project the appendices listed below. Do not use to SAMHSA grants (e.g., guidelines on is funded, in publications, reporting to more than 30 pages (excluding data cultural competence, consumer and Congress, or press releases. collection instruments and interview family participation, and evaluation); • Table of Contents—Include page protocols) for the appendices. Do not and numbers for each of the major sections use appendices to extend or replace any • Enhanced instructions for of your application and for each of the sections of the Project Narrative completing the PHS 5161–1 application. appendix. unless specifically required in the • Budget Form—Use SF 424A, which NOFA. Reviewers will not consider B. Content and Form of Application is part of the 5161–1. Fill out Sections them if you do. Submission B, C, and E of the SF 424A. • Appendix 1: Letters of Support; • 1. Required Documents Project Narrative and Supporting • Appendix 2: Data Collection Documentation—The Project Narrative SAMHSA application kits include the Instruments/Interview Protocols; describes your project. It consists of • Appendix 3: Sample Consent following documents: Sections A through D. These sections in • PHS 5161–1 (revised July 2000)— Forms; total may not be longer than 25 pages. • Includes the face page, budget forms, Appendix 4: Letter to the SSA (if More detailed instructions for applicable; see Section VIII–C of this assurances, certification, and checklist. completing each section of the Project You must use the PHS 5161–1 unless document); and Narrative are provided in ‘‘Section V— • otherwise specified in the NOFA. Appendix 5: A copy of the State Application Review Information’’ of this Strategic Plan, a State needs assessment, Applications that are not submitted on document. the required application form will be or a letter from the State indicating that screened out and will not be reviewed. The Supporting Documentation the proposed project addresses a State- • Program Announcement (PA)— provides additional information identified priority. Includes instructions for the grant necessary for the review of your • Assurances—Non-Construction application. This document is the PA. application. This supporting Programs. Use Standard Form 424B • Notice of Funding Availability documentation should be provided found in PHS 5161–1. (NOFA)—Provides specific information immediately following your Project • Certifications—Use the about availability of funds, as well as Narrative in Sections E through G. There ‘‘Certifications’’ forms found in PHS any exceptions or limitations to are no page limits for these sections, 5161–1. provisions in the PA. The NOFAs will except for Section F, Biographical • Disclosure of Lobbying Activities— be published in the Federal Register, as Sketches/Job Descriptions. Use Standard Form LLL found in the well as on the Federal grants Web site • Section E—Budget Justification, PHS 5161–1. Federal law prohibits the (http://www.grants.gov). Existing Resources, Other Support. You use of appropriated funds for publicity You must use all of the above must provide a narrative justification of or propaganda purposes, or for the documents in completing your the items included in your proposed preparation, distribution, or use of the application. budget, as well as a description of information designed to support or existing resources and other support defeat legislation pending before the 2. Order of Sections you expect to receive for the proposed Congress or State legislatures. This Applications must be complete and project. Be sure to show that no more includes ‘‘grass roots’’ lobbying, which contain all information needed for than 20% of the total grant award will consists of appeals to members of the review. In order for your application to be used for data collection and public suggesting that they contact their be complete, it must include the evaluation. If you are proposing a elected representatives to indicate their following sections in the order listed. services implementation pilot (only support for or opposition to pending Applications that do not contain these allowed for Category 2 applicants), legislation or to urge those sections will be screened out and will show that no more than 15% of the total representatives to vote in a particular not be reviewed. grant award will be used for the pilot. way.

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• Checklist—Use the Checklist found Your application must be received by Applications may request up to $75,000 in PHS 5161–1. The Checklist ensures the application deadline. Applications for renovations and alterations of that you have obtained the proper sent through postal mail and received existing facilities. signatures, assurances and certifications after this date must have a proof-of- F. Other Submission Requirements and is the last page of your application. mailing date from the carrier dated at 3. Application Formatting Requirements least 1 week prior to the due date. 1. Where To Send Applications Private metered postmarks are not Send applications to the following Applicants also must comply with the acceptable as proof of timely mailing. following basic application address: Substance Abuse and Mental You will be notified by postal mail Health Services Administration, Office requirements. Applications that do not that your application has been received. comply with these requirements will be of Program Services, Review Branch, Applications not received by the 5600 Fishers Lane, Room 17–89, screened out and will not be reviewed. application deadline or not postmarked • Rockville, Maryland 20857. Text must be legible. by a week prior to the application • Paper must be white and 8.5 by 11.0 Be sure to include the funding deadline will be screened out and will announcement number from the NOFA in size. not be reviewed. • Pages must be typed single-spaced in item number 10 on the face page of with one column per page. D. Intergovernmental Review (E.O. the application. If you require a phone • Page margins must be at least one 12372) Requirements number for delivery, you may use (301) 443–4266. inch. Executive Order 12372, as • Type size in the Project Narrative implemented through Department of 2. How To Send Applications cannot exceed an average of 15 Health and Human Services (DHHS) characters per inch when measured Mail an original application and 2 regulation at 45 CFR part 100, sets up with a ruler. (Type size in charts, tables, copies (including appendices) to the a system for State and local review of graphs, and footnotes will not be mailing address provided above. The applications for Federal financial considered in determining compliance.) original and copies must not be bound. • Photo reduction or condensation of assistance. Instructions for this review Do not use staples, paper clips, or type cannot be closer than 15 characters are included in Section VIII–B of this fasteners. Nothing should be attached, per inch or 6 lines per inch. document. Section VIII–C provides stapled, folded, or pasted. • The pages cannot have printing on instructions for the Public Health You must use a recognized both sides. System Impact Statement (PHSIS) and commercial or governmental carrier. • Page limitations specified for the submission of comments from the Hand carried applications will not be Project Narrative and Appendices Single State Agency (SSA). accepted. Faxed or e-mailed cannot be exceeded. E. Funding Limitations/Restrictions applications will not be accepted. • Information must be sufficient for review. Cost principles describing allowable V. Application Review Information and unallowable expenditures for To facilitate review of your A. Evaluation Criteria application, follow these additional Federal grantees, including SAMHSA guidelines: grantees, are provided in the following Your application will be reviewed • Applications should be prepared documents: and scored against the requirements using black ink. This improves the • Institutions of Higher Education: listed below for developing the Project quality of the copies of applications that OMB Circular A–21; Narrative (Sections A–D). These are provided to reviewers. • State and Local Governments: OMB sections describe what you intend to do • Use white paper only. Do not use Circular A–87; with your project. colored, heavy, or light-weight paper or • Nonprofit Organizations: OMB • In developing the Project Narrative any material that cannot be photocopied Circular A–122; and section of your application, use these using automatic photocopying • Appendix E Hospitals: 45 CFR part instructions, which have been tailored machines. Odd-sized and oversized 74. to this program. These are to be used attachments, such as posters, will not be In addition, SAMHSA Infrastructure instead of the ‘‘Program Narrative’’ copied or sent to reviewers. Do not send Grant recipients must comply with the instructions found in the PHS 5161–1. videotapes, audiotapes, or CD–ROMs. following funding restrictions: • Be sure to provide complete • Pages should be numbered • Infrastructure grant funds must be references for any literature cited in consecutively from beginning to end so used for purposes supported by the your Project Narrative. The reference list that information can be located easily program. will not be counted toward the 25-page during review of the application. For • If requested project funds exceed limit for these sections. example, the cover page should be $750,000, a maximum of 15% of grant • You must use the four sections/ labeled ‘‘page 1,’’ the abstract page award funds may be used for headings listed below in developing should be ‘‘page 2,’’ and the table of implementation pilots. Direct services your Project Narrative. Be sure to place contents page should be ‘‘page 3.’’ may be funded only in the context of an the required information in the correct Appendices should be labeled and implementation pilot. section, or it will not be considered. separated from the Project Narrative and • No more than 20% of the grant Your application will be scored budget section, and the pages should be award may be used for evaluation and according to how well you address the numbered to continue in the sequence data collection expenses. These requirements for each section. expenses may be considered • The Supporting Documentation you C. Submission Dates and Times infrastructure or implementation pilot provide in Sections E–G, Appendices 1– Deadlines for submission of expenses, depending on the nature of 5, and the references list will be applications for specific funding the evaluation and data collection. considered by reviewers in assessing opportunities will be included in the • Infrastructure funds may not be your response, along with the material NOFAs published in the Federal used to pay for the purchase or in the Project Narrative. Register and posted on the Federal construction of any building or structure • The number of points after each grants Web site (http://www.grants.gov). to house any part of the grant project. heading below is the maximum number

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of points a review committee may assign • If you plan to include an advisory (See Appendix A for required to that section of your Project Narrative. body in your project, describe its performance indicators.) Identify and Bullet statements in each section do not membership, roles and functions, and justify any additional performance data have points assigned to them. They are frequency of meetings. to be collected. provided to invite the attention of • Describe any other organizations • Describe plans for data collection, applicants and reviewers to important that will participate and their roles and management, analysis, interpretation areas within each section. responsibilities. Demonstrate their and reporting. Describe the existing commitment to the project. Include approach to the collection of Section A: Statement of Need (10 letters of commitment/coordination/ performance and other data, along with Points) support from these community any necessary modifications. Be sure to • Define the target population organizations in Appendix 1 of the include data collection instruments/ (including demographics) and proposed application. Identify any cash or in-kind interview protocols in Appendix 2. catchment area. contributions that will be made to the • Describe how collection, analysis • Document the need for an enhanced project. and reporting of performance data will infrastructure to increase the capacity to • Describe how the proposed project be integrated into the evaluation implement, sustain, and improve will address issues of age, race/ activities. effective substance abuse prevention ethnicity, culture, language, sexual Note: Although the budget for the proposed and/or treatment and/or mental health orientation, disability, literacy, and project is not a review criterion, the Review services for the proposed target gender in the target population. Group will be asked to comment on the population in the proposed catchment • Describe the potential barriers to appropriateness of the budget after the merits area. Documentation of need may come successful conduct of the proposed of the application have been considered. from local data or trend analyses, State project and how you will overcome data (e.g., from State Needs them. B. Review and Selection Process • Assessments), and/or national data (e.g., Describe how your activities will SAMHSA applications are peer- from SAMHSA’s National Household improve substance abuse prevention reviewed according to the review Survey on Drug Abuse and Health or and/or treatment and/or mental health criteria listed above. For those programs from National Center for Health services. where the individual award is over Statistics/Centers for Disease Control Section C: Staff, Management, and $100,000, applications must also be reports). For data sources that are not Relevant Experience (25 Points) reviewed by the appropriate National well known, provide sufficient • Advisory Council. information on how the data were Provide a time line for the project collected so reviewers can assess the (chart or graph) showing key activities, C. Award Criteria reliability and validity of the data. milestones, and responsible staff. [Note: Decisions to fund a grant are based The time line should be part of the • Describe the service gaps, barriers, on: Project Narrative. It should not be and other problems related to the need • The strengths and weaknesses of placed in an appendix.] for infrastructure development. Describe the application as identified by the Peer • Discuss the capability and the stakeholders and resources in the Review Committee and, when experience of the applicant organization target area that can help implement the appropriate, approved by the and other participating organizations needed infrastructure development. appropriate National Advisory Council; with similar projects and populations, • Non-tribal applicants must show • Availability of funds; and including experience in providing • Equitable allocation of grants that identified needs are consistent with culturally appropriate/competent priorities of the State. Include, in among the principal geographic regions services. of the United States. SAMHSA does not Appendix 5, a copy of the State • Provide a list of staff who will Strategic Plan, a State needs assessment, intend to award more than 2 grants per participate in the project, showing the State for each funding opportunity. or a letter from the State indicating that role of each and their level of effort and the proposed project addresses a State- qualifications. Include the Project VI. Award Administration Information identified priority. Tribal applicants Director, other key personnel such as A. Award Notices must provide similar documentation the evaluator and treatment/prevention relating to tribal priorities. personnel. After your application has been Section B: Proposed Approach (35 • Describe the resources available for reviewed, you will receive a letter from Points) the proposed project (e.g., facilities, SAMHSA through postal mail that equipment). If an implementation pilot describes the general results of the • Clearly state the purpose of the is proposed that includes direct review, including the score that your proposed project, with goals and services, provide evidence that services application received. objectives. Describe how achievement of will be provided in a location that is If you are approved for funding, you goals will increase system capacity to adequate, accessible, ADA compliant, will receive an additional notice, the support effective substance abuse and/ and amenable to the target population. Notice of Grant Award, signed by or mental health services. SAMHSA’s Grants Management Officer. • Describe the proposed project. Section D: Evaluation and Data (30 The Notice of Grant Award is the sole Provide evidence that the proposed Points) obligating document that allows the activities meet the infrastructure needs • Describe the process and outcome grantee to receive Federal funding for and show how your proposed evaluation. Include specific work on the grant project. It is sent by infrastructure development strategy will performance measures and target postal mail and is addressed to the meet the goals and objectives. outcomes related to the goals and contact person listed on the face page of • Provide a logic model that objectives identified for the project in the application. demonstrates the linkage between the Section B of your Project Narrative. If you are not funded, you can re- identified need, the proposed approach, • Document your ability to collect apply if there is another receipt date for and outcomes. and report required performance data. the program.

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B. Administrative and National Policy Because SAMHSA is extremely For questions on grants management Requirements interested in ensuring that infrastructure issues, contact: Stephen Hudak, Office • You must comply with all terms development and enhancement efforts of Program Services, Division of Grants and conditions of the grant award. can be sustained, your financial reports Management, Substance Abuse and SAMHSA’s standard terms and must explain plans to ensure the Mental Health Services Administration/ conditions are available on the sustainability of efforts initiated under OPS, 5600 Fishers Lane, Rockwall II 6th SAMHSA Web site (http:// this grant. Initial plans for sustainability Floor, Rockville, MD 20857, (301) 443– www.samhsa.gov). should be described in year 1 of the 9666, [email protected]. grant. In each subsequent year, you • Depending on the nature of the VIII. Other Information specific funding opportunity and/or the should describe the status of the project, proposed project as identified during successes achieved and obstacles A. SAMHSA Confidentiality and review, additional terms and conditions encountered in that year. Participant Protection Requirements may be identified in the NOFA or • SAMHSA will provide guidelines and Protection of Human Subjects negotiated with the grantee prior to and requirements for these reports to Regulations grant award. These may include, for grantees at the time of award and at the You must describe your procedures example: initial grantee orientation meeting after relating to Confidentiality, Participant • Actions required to be in award. SAMHSA staff will use the Protection and the Protection of Human compliance with human subjects information contained in the reports to Subjects Regulations in Section G of requirements; determine the grantee’s progress toward your application, using the guidelines • Requirements relating to additional meeting its goals. provided below. Problems with data collection and reporting; 2. Government Performance and Results confidentiality, participant protection, • Requirements relating to Act and protection of human subjects participation in a cross-site evaluation; identified during peer review of your or The Government Performance and • application may result in the delay of Requirements to address problems Results Act (GPRA) mandates funding. identified in review of the application. accountability and performance-based • Confidentiality and Participant You will be held accountable for management by Federal agencies. The Protection: All applicants must address the information provided in the performance requirements for each of the following elements relating application relating to performance SAMHSA’s Infrastructure Grants are to confidentiality and participant targets. SAMHSA program officials will described in Section I–B under ‘‘Data protection. You must document how consider your progress in meeting goals and Performance Measurement’’ and you will address these requirements or and objectives, as well as your failures listed in Appendix A of this document. why they do not apply. and strategies for overcoming them, 3. Publications when making an annual 1. Protect Clients and Staff From recommendation to continue the grant If you are funded under this grant Potential Risks and the amount of any continuation program, you are required to notify the • Identify and describe any award. Failure to meet stated goals and Government Project Officer (GPO) and foreseeable physical, medical, objectives may result in suspension or SAMHSA’s Publications Clearance psychological, social, legal, or other termination of the grant award, or in Officer (301–443–8596) of any materials risks or adverse affects. reduction or withholding of based on the SAMHSA-funded project • Discuss risks that are due either to continuation awards. that are accepted for publication. • participation in the project itself or to In an effort to improve access to In addition, SAMHSA requests that the evaluation activities. funding opportunities for applicants, grantees: • Describe the procedures you will SAMHSA is participating in the U.S. • Provide the GPO and SAMHSA follow to minimize or protect Department of Health and Human Publications Clearance Officer with participants against potential risks, Services ‘‘Survey on Ensuring Equal advance copies of publications. including risks to confidentiality. Opportunity for Applicants.’’ This • Include acknowledgment of the • Identify plans to provide help if survey is included in the application kit SAMHSA grant program as the source of there are adverse effects to participants. for SAMHSA grants. Applicants are funding for the project. • Where appropriate, describe encouraged to complete the survey and • Include a disclaimer stating that the alternative treatments and procedures return it, using the instructions views and opinions contained in the that may be beneficial to the provided on the survey form. publication do not necessarily reflect participants. If you choose not to use C. Reporting Requirements those of SAMHSA or the U.S. these other beneficial treatments, Department of Health and Human provide the reasons for not using them. 1. Progress and Financial Reports Services, and should not be construed 2. Fair Selection of Participants • Grantees must provide annual and as such. final progress reports. The final progress SAMHSA reserves the right to issue a • Describe the target population(s) for report must summarize information press release about any publication the proposed project. Include age, from the annual reports, describe the deemed by SAMHSA to contain gender, and racial/ethnic background accomplishments of the project, and information of program or policy and note if the population includes describe next steps for implementing significance to the substance abuse homeless youth, foster children, plans developed during the grant treatment/substance abuse prevention/ children of substance abusers, pregnant period. mental health services community. women, or other groups. • Grantees must provide annual and • Explain the reasons for including VII. Agency Contacts final financial status reports. These groups of pregnant women, children, reports may be included as separate The NOFAs provide contact people with mental disabilities, people sections of annual and final progress information for questions about program in institutions, prisoners, or others who reports or can be separate documents. issues. are likely to be vulnerable to HIV/AIDS.

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• Explain the reasons for including or 6. Adequate Consent Procedures Protection of Human Subjects excluding participants. • Regulations • Explain how you will recruit and List what information will be given to people who participate in the project. Depending on the evaluation and data select participants. Identify who will collection requirements of the particular select participants. Include the type and purpose of their participation. Identify the data that will funding opportunity for which you are 3. Absence of Coercion be collected, how the data will be used applying or the evaluation design you propose in your application, you may • Explain if participation in the and how you will keep the data private. have to comply with the Protection of project is voluntary or required. Identify • State: Human Subjects Regulations (45 CFR possible reasons why it is required, for • Whether or not their participation is 46). The NOFA will indicate whether all example, court orders requiring people voluntary. applicants for a particular funding to participate in a program. • • If you plan to pay participants, state Their right to leave the project at opportunity must comply with the how participants will be awarded any time without problems. Protection of Human Subject money or gifts. • Possible risks from participation in Regulations. • State how volunteer participants the project. Applicants must be aware that even if will be told that they may receive • the Protection of Human Subjects Plans to protect clients from these Regulations do not apply to all projects services even if they do not participate risks. in the project. funded under a given funding • Explain how you will get consent opportunity, the specific evaluation 4. Data Collection for youth, the elderly, people with design proposed by the applicant may • Identify from whom you will collect limited reading skills, and people who require compliance with these data (e.g., from participants themselves, do not use English as their first regulations. family members, teachers, others). language. Applicants whose projects must Describe the data collection procedures Note: If the project poses potential comply with the Protection of Human and specify the sources for obtaining physical, medical, psychological, legal, social Subjects Regulations must describe the data (e.g., school records, interviews, or other risks, you must get written informed process for obtaining Institutional psychological assessments, consent. Review Board (IRB) approval fully in questionnaires, observation, or other • their applications. While IRB approval Indicate if you will get informed is not required at the time of grant sources). Where data are to be collected consent from participants or from their through observational techniques, award, these applicants will be parents or legal guardians. Describe how required, as a condition of award, to questionnaires, interviews, or other the consent will be documented. For direct means, describe the data provide the documentation that an example: Will you read the consent Assurance of Compliance is on file with collection setting. forms? Will you ask prospective • Identify what type of specimens the Office for Human Research participants questions to be sure they Protections (OHRP) and that IRB (e.g., urine, blood) will be used, if any. understand the forms? Will you give State if the material will be used just for approval has been received prior to them copies of what they sign? enrolling any clients in the proposed evaluation or if other use(s) will be • made. Also, if needed, describe how the Include sample consent forms in project. material will be monitored to ensure the your Appendix 3, ‘‘Sample Consent Additional information about safety of participants. Forms.’’ If needed, give English Protection of Human Subjects • Provide in Appendix 2, ‘‘Data translations. Regulations can be obtained on the web Collection Instruments/Interview Note: Never imply that the participant at http://ohrp.osophs.dhhs.gov. You Protocols,’’ copies of all available data waives or appears to waive any legal rights, may also contact OHRP by e-mail collection instruments and interview may not end involvement with the project, or ([email protected]) or by phone protocols that you plan to use. releases your project or its agents from (301–496–7005). liability for negligence. 5. Privacy and Confidentiality B. Intergovernmental Review (E.O. • Describe if separate consents will be 12372) Instructions • Explain how you will ensure obtained for different stages or parts of Executive Order 12372, as privacy and confidentiality. Include the project. For example, will they be who will collect data and how it will be implemented through Department of needed for both participant protection Health and Human Services (DHHS) collected. in treatment intervention and for the • Describe: regulation at 45 CFR Part 100, sets up • collection and use of data. a system for State and local review of How you will use data collection • instruments. Additionally, if other consents (e.g., applications for Federal financial • Where data will be stored. consents to release information to others assistance. A current listing of State • Who will or will not have access to or gather information from others) will Single Points of Contact (SPOCs) is information. be used in your project, provide a included in the application kit and can • How the identity of participants description of the consents. Will be downloaded from the Office of will be kept private, for example, individuals who do not consent to Management and Budget (OMB) Web through the use of a coding system on having individually identifiable data site at http://www.whitehouse.gov/omb/ data records, limiting access to records, collected for evaluation purposes be grants/spoc.html. or storing identifiers separately from allowed to participate in the project? • Check the list to determine whether data. 7. Risk/Benefit Discussion your State participates in this program. Note: If applicable, grantees must agree to You do not need to do this if you are maintain the confidentiality of alcohol and Discuss why the risks are reasonable a federally recognized Indian tribal drug abuse client records according to the compared to expected benefits and government. provisions of Title 42 of the Code of Federal importance of the knowledge from the • If your State participates, contact Regulations, Part II. project. your SPOC as early as possible to alert

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him/her to the prospective comment on the proposal, its comments * Number, type, and capacity of services/ application(s) and to receive any should be sent not later than 60 days product available. necessary instructions on the State’s after the application deadline to: * Percent of persons needing services/ review process. Substance Abuse and Mental Health product who receive them. • For proposed projects serving more Services Administration, Office of EFFECTIVENESS than one State, you are advised to Program Services, Review Branch, 5600 Participation of persons served and family contact the SPOC of each affiliated Fishers Lane, Room 17–89, Rockville, members in planning, policy, and service State. Maryland, 20857, ATTN: SSA—Funding delivery. • The SPOC should send any State Announcement No. [fill in pertinent Number of service/systems improvements review process recommendations to the funding opportunity number from implemented; maintained post-funding. following address within 60 days of the NOFA]. * Percent of programs reporting positive application deadline: Substance Abuse In addition: system outcomes (and individual outcomes, and Mental Health Services • Applicants may request that the if conducting a service pilot) Only if service pilot—CSAP grantees: Administration, Office of Program SSA send them a copy of any State Difference between 30 day substance use of Services, Review Branch, 5600 Fishers comments. population served by program and Lane, Room 17–89, Rockville, Maryland, • The applicant must notify the SSA comparable local and national rates. CSAT 20857, ATTN: SPOC—Funding within 30 days of receipt of an award. grantees: Number of people who show no Announcement No. [fill in pertinent [Public reporting burden for the Public past month substance use 6 months post funding opportunity number from the Health System Reporting Requirement is treatment admission. NOFA]. estimated to average 10 minutes per Grantees also will be required to report on response, including the time for copying the several outcomes from the following list, as C. Public Health System Impact face page of SF 424 and the abstract and specified in the NOFA: Statement (PHSIS) preparing the letter for mailing. An agency Individual outcomes: Participants (adults may not conduct or sponsor, and a person is or children) disapproving of substance use; The Public Health System Impact perceiving personal health risks associated Statement or PHSIS (Approved by OMB not required to respond to, a collection of information unless it displays a currently with substance abuse; increasing age of first under control no. 0920–0428; see valid OMB control number. The OMB control use; reporting abstinence at discharge; burden statement below) is intended to number for this project is 0920–0428. Send decreasing substance abuse risk factors keep State and local health officials comments regarding this burden to CDC related to spread of HIV/AIDS, including informed of proposed health services Clearance Officer, 1600 Clifton Road, MS D– risky sexual behavior and sharing needles; grant applications submitted by 24, Atlanta, GA 30333, ATTN: PRA (0920– improving employment/school attendance; community-based, non-governmental 0428).] having no criminal justice involvement; having stable living situation; reporting organizations within their jurisdictions. (consumer/family) improvement in State and local governments and Indian Appendix A—SAMHSA Infrastructure Indicators behavioral/emotional symptoms. tribal government applicants are not System outcomes: Percent of referrals from subject to the following Public Health The purpose of infrastructure programs is juvenile/adult justice systems to systems of System Reporting Requirements. to develop or enhance infrastructure in order care; decreased days in inpatient/residential Community-based, non-governmental to improve services. The primary domain to facilities; readmission rates; past 30 day service providers who are not be measured is systems change (specific to utilization of inpatient, outpatient facilities; transmitting their applications through the type of change proposed.) If the grant inpatient, outpatient, or emergency room includes a services pilot, additional domains the State must submit a PHSIS to the treatment for physical complaint, mental or include persons served, cost per person, and emotional difficulties, or alcohol or head(s) of the appropriate State and other individual outcomes. This list of substance abuse; seclusion/restraint deaths or local health agencies in the area(s) to be indicators and related measures will be injuries; number of communities with affected no later than the pertinent updated periodically. The Notice of Funding defined systems/continuum of care; number receipt date for applications. This Availability (NOFA) will specify which of persons contacted through outreach who PHSIS consists of the following indicators are required for a particular enroll in services; percent of providers, information: funding opportunity. Applicants must administrators trained who report adopting • A copy of the face page of the provide expected baseline data for approved service methods; percent of application (SF 424); and *asterisked items in the grant application. participants in sponsored events who have • A summary of the project, no longer Grantees must collect and report data at the used information to change their practices; interval (e.g., quarterly, annually) specified number of science based programs than one page in length, that provides: in the NOFA. Specific instructions for data (1) A description of the population to be implemented. Completion and collection will be provided on SAMHSA’s documentation of one or more of the served, (2) a summary of the services to Web site and in application kits. Some following, depending upon the scope of the be provided, and (3) a description of the NOFAs may specify indicators and measures project: Needs assessment; revised financing coordination planned with appropriate not on this list or may request grantees to plan for coordinating funding streams; State or local health agencies. identify measures appropriate to their organizational/structural change or quality For SAMHSA grants, the appropriate specific project. improvements; coordination and network State agencies are the Single State ACCOUNTABILITY improvements; workforce improvements; data infrastructure/performance Agencies (SSAs) for substance abuse Percent of grantees reporting valid data. and mental health. A listing of the SSAs measurement improvements. CAPACITY can be found on SAMHSA’s Web site at Appendix B—Checklist for Application http://www.samhsa.gov. If the proposed * Number of persons served (Includes Formatting Requirements project falls within the jurisdiction of screening and assessment). more than one State, you should notify CMHS and CST grantees: Percent of Your application must adhere to these providers providing services within formatting requirements. Failure to do so will all representative SSAs. result in your application being screened out Applicants who are not the SSA must approved costs (Only for programs conducting a service pilot. Cost bands to be and returned to you without review. In include a copy of a letter transmitting proposed in application; to be approved by addition to these formatting requirements, the PHSIS to the SSA in Appendix 4, SAMHSA prior to award. A cost measure for there may be programmatic requirements ‘‘Letter to the SSA.’’ The letter must substance abuse prevention is under specified in the NOFA. Please check the notify the State that, if it wishes to development.) NOFA before preparing your application.

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• Use the PHS 5161–1 application. oversized attachments such as posters will Practice Support System: This term refers • Include the 10 application components not be copied or sent to reviewers. Do not to contextual factors that affect practice required for SAMHSA applications (i.e., Face include videotapes, audiotapes, or CD– delivery and effectiveness in the pre- Page, Abstract, Table of Contents, Budget ROMs. adoption phase, delivery phase, and post- Form, Project Narrative and Supporting delivery phase, such as (a) community Documentation, Appendices, Assurances, Appendix C—Glossary collaboration and consensus building, (b) Certifications, Disclosure of Lobbying Best Practice: Best practices are practices training and overall readiness of those Activities, and Checklist.) that incorporate the best objective implementing the practice, and (c) sufficient • Provide legible text. information currently available from ongoing supervision for those implementing • Use white paper, 8.5″ by 11.0″ in size. recognized experts regarding effectiveness the practice. • Type single-spaced text with one column and acceptability. Stakeholder: A stakeholder is an per page. Cooperative Agreement: A cooperative individual, organization, constituent group, • Use margins that are at least 1 inch. agreement is a form of Federal grant. or other entity that has an interest in and will • Use type size in the Project Narrative Cooperative agreements are distinguished be affected by a proposed grant project. that does not exceed an average of 15 from other grants in that, under a cooperative Target population catchment area: The characters per inch when measured with a agreement, substantial involvement is target population catchment area is the ruler. Type size in charts, tables, graphs, and anticipated between the awarding office and geographic area from which the target footnotes will not be considered in the recipient during performance of the population to be served by a program will be determining compliance. funded activity. This involvement may drawn. • Do not use photo reduction or include collaboration, participation, or Wraparound Service: Wraparound services condensation of type closer than 15 intervention in the activity. HHS awarding are non-clinical supportive services—such as characters per inch or 6 lines per inch. offices use grants or cooperative agreements child care, vocational, educational, and • Print on one side of the paper only; do (rather than contracts) when the principal transportation services—that are designed to not print on both sides. purpose of the transaction is the transfer of improve the individual’s access to and • Do not exceed page limitations specified money, property, services, or anything of retention in the proposed project. for the Project Narrative (25 pages) and value to accomplish a public purpose of Dated: August 13, 2003. support or stimulation authorized by Federal Appendices (30 pages). Anna Marsh, • Provide sufficient information for statute. The primary beneficiary under a review. grant or cooperative agreement is the public, Acting Executive Officer. • Applications must be received by the as opposed to the Federal Government. [FR Doc. 03–21117 Filed 8–20–03; 8:45 am] Cost-Sharing or Matching: Cost-sharing application deadline. Applications received BILLING CODE 4162–20–P after this date must have a proof of mailing refers to the value of allowable non-Federal date from the carrier dated at least 1 week contributions toward the allowable costs of a prior to the due date. Private metered Federal grant project or program. Such contributions may be cash or in-kind DEPARTMENT OF HEALTH AND postmarks are not acceptable as proof of HUMAN SERVICES timely mailing. Applications not received by contributions. For SAMHSA grants, cost- sharing or matching is not required, and the application deadline or postmarked a Substance Abuse and Mental Health week prior to the application deadline will applications will not be screened out on the not be reviewed. basis of cost-sharing. However, applicants Services Administration • Applications that do not comply with often include cash or in-kind contributions in the following requirements and any their proposals as evidence of commitment to Proposed Changes in Announcement the proposed project. This is allowed, and additional program requirements specified in of SAMHSA Discretionary Grant this information may be considered by the NOFA, or are otherwise unresponsive to Funding Opportunities reviewers in evaluating the quality of the PA guidelines will be screened out and application. returned to the applicant without review: Authority: Sections 509, 516, and 520A of Grant: A grant is the funding mechanism • the Public Health Service Act. Provisions relating to participant used by the Federal Government when the protection and the protection of human principal purpose of the transaction is the AGENCY: Substance Abuse and Mental subjects specified in Section VIII–A of this transfer of money, property, services, or Health Services Administration, HHS. document. anything of value to accomplish a public • ACTION: Notice of proposed standard Budgetary limitations as specified in purpose of support or stimulation authorized Sections I, II and IV–E of this document. best practices planning and • by Federal statute. The primary beneficiary Documentation of nonprofit status as under a grant or cooperative agreement is the implementation grant announcement. required in the PHS 5161–1. public, as opposed to the Federal To facilitate review of your application, Government. SUMMARY: Beginning in Fiscal Year (FY) follow these additional guidelines. Failure to In-Kind Contribution: In-kind contributions 2004, the Substance Abuse and Mental follow these guidelines will not result in toward a grant project are non-cash Health Services Administration your application being screened out. contributions (e.g., facilities, space, services) (SAMHSA) plans to change its approach However, following these guidelines will that are derived from non-Federal sources, to announcing and soliciting help reviewers to consider your application. such as State or sub-State non-Federal applications for its discretionary grant • Please use black ink and number pages revenues, foundation grants, or contributions consecutively from beginning to end so that programs. The following announcement from other non-Federal public or private is a proposed standard announcement information can be located easily during entities. review of the application. The cover page Practice: A practice is any activity, or for SAMHSA’s Best Practices Planning should be page 1, the abstract page should be collective set of activities, intended to and Implementation (BPPI) Grants. It is page 2, and the table of contents page should improve outcomes for people with or at risk not an actual grant solicitation. be page 3. Appendices should be labeled and for substance abuse and/or mental illness. When published in final, the standard separated from the Project Narrative and Such activities may include direct service SAMHSA BPPI Grant announcement budget section, and the pages should be provision, or they may be supportive will be used by applicants in numbered to continue the sequence. activities, such as efforts to improve access • conjunction with specific Notices of Send the original application and two to and retention in services, organizational Funding Availability (NOFAs) to copies to the mailing address in the PA. efficiency or effectiveness, community prepare applications for certain Please do not use staples, paper clips, and readiness, collaboration among stakeholder fasteners. Nothing should be attached, groups, education, awareness, training, or SAMHSA grants. SAMHSA is providing stapled, folded, or pasted. Do not use any any other activity that is designed to improve this draft announcement for public material that cannot be copied using outcomes for people with or at risk for review and comment in order to ensure automatic copying machines. Odd-sized and substance abuse or mental illness. that the field is aware of the planned

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change and has an opportunity to describe the general program design and 4. If you are a potential applicant for identify areas where the announcement provide application instructions for four a SAMHSA BPPI Grant, do you believe is unclear and needs improvement. types of grants—Services Grants, you will be able to use the standard DATES: Submit written comments on Infrastructure Grants, Best Practices BPPI Grant announcement with the this proposal by October 20, 2003. Planning and Implementation Grants, NOFA to prepare your application? Will ADDRESSES: Interested persons are and Service-to-Science Grants. The the ability to anticipate programmatic invited to submit comments regarding standard announcements will be used in requirements through reviewing the SAMHSA’s proposed standard BPPI conjunction with brief Notices of standard grant announcements ahead of Grant announcement to: Office of Funding Availability (NOFAs) that will time improve your ability to prepare a Policy, Planning and Budget, SAMHSA, announce the availability of funds for solid application? Is the additional Attn: Jennifer Fiedelholtz by fax (301– specific grant funding opportunities benefit ‘‘worth’’ the ‘‘cost’’ of having to 594–6159) or e-mail within each of the standard grant use two different documents to prepare ([email protected]). programs (e.g., Homeless Treatment your application? grants, Statewide Family Network Please include a phone number in your Text of Proposed Standard grants, or HIV/AIDS and Substance e-mail, so that SAMHSA staff may Announcement contact you if there are questions about Abuse Prevention Planning Grants). your comments. A complete description of the Department of Health and Human FOR FURTHER INFORMATION CONTACT: proposed process, the other three Services Jennifer Fiedelholtz of the Office of proposed standard announcements and Substance Abuse and Mental Health Policy, Planning and Budget, SAMHSA, a sample NOFA are contained in Services Administration by fax (301–594–6159) or e-mail separate notices in this issue of the ([email protected]). Federal Register. Best Practices Planning and Implementation Grants BPPI 04 (Initial If you would like a SAMHSA staff SAMHSA welcomes public comment Announcement) person to call you about your questions, on all aspects of the following please state this in an email or fax announcement. In particular, SAMHSA Catalogue of Federal Domestic Assistance request and provide a telephone number welcomes comment on the following (CFDA) No.: 93.243 (unless otherwise where you can be reached between 8:30 issues: specified in a NOFA in the Federal Register and 5 p.m. Eastern Standard Time. and on http://www.grants.gov) 1. Is the difference between the SUPPLEMENTARY INFORMATION: Starting in Authority: Sections 509, 516 and/or 520A standard announcement and a NOFA FY 2004, SAMHSA plans to change its of the Public Health Service Act, as amended clear? approach to announcing and soliciting and subject to the availability of funds applications for its discretionary grants. 2. Are the programmatic requirements (unless otherwise specified in a NOFA in the SAMHSA plans to issue the following for SAMHSA’s BPPI Grants clear? Federal Register and on http:// www.grants.gov) BPPI Grant announcement as one of four 3. Are the goals/objectives for standard grant announcements that will SAMHSA’s BPPI Grants clear? Key Dates

Application Deadline ...... This Program Announcement provides instructions and guidelines for multiple funding opportu- nities. Application deadlines for specific funding opportunities will be published in Notices of Funding Availability (NOFAs) in the Federal Register and on http://www.grants.gov. Intergovernmental Review (E.O. 12372) ...... Letters from State Single Point of Contact (SPOC) are due 60 days after application deadline. Public Health System Impact Statement Applicants must send the PHSIS to appropriate State and local health agencies by application (PHSIS)/Single State Agency Coordination. deadline. Comments from Single State Agency are due 60 days after application deadline.

Table of Contents B. Administrative and National Policy I. Funding Opportunity Description Requirements I. Funding Opportunity Description A. Introduction A. Introduction C. Reporting Requirements B. Expectations VII. Agency Contacts The Substance Abuse and Mental II. Award Information VIII. Other Information Health Services Administration A. Award Amount A. SAMHSA Confidentiality and (SAMHSA) announces its intent to B. Funding Mechanism Participant Protection Requirements and solicit applications for Best Practices III. Eligibility Information Protection of Human Subjects Planning and Implementation (BPPI) A. Eligible Applicants Regulations grants for substance abuse prevention, B. Cost-Sharing B. Intergovernmental Review (E.O. 12372) substance abuse treatment, and mental C. Other Instructions health services. These grants will help IV. Application and Submission Information C. Public Health System Impact Statement A. Address to Request Application Package communities and providers identify Appendix A: SAMHSA Best Practices B. Content and Form of Application Planning & Implementation Indicators substance abuse prevention, substance Submission abuse treatment, and/or mental health C. Submission Dates and Times Appendix B: Checklist for Application Formatting Requirements practices, develop strategic plans for D. Intergovernmental Review (E.O. 12372) implementing/adapting those practices, Requirements Appendix C: Glossary Appendix D: National Registry of Effective and pilot-test the practices. The E. Funding Restrictions practices proposed by applicants for F. Other Submission Requirements Prevention Programs V. Application Review Information Appendix E: Center for Mental Health SAMHSA’s BPPI grants must A. Evaluation Criteria Services Evidence-Based Practices incorporate the best objective B. Review and Selection Process Toolkits information available from recognized C. Award Criteria Appendix F: Effective Substance Abuse experts regarding effectiveness and VI. Award Administration Information Treatment Practices acceptability. Often, these practices will A. Award Notices have strong evidence of effectiveness.

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However, because the evidence base is support adaptation and evaluation of Phase I: Planning and Consensus limited in some areas, SAMHSA may best practices in addition to planning Building fund some practices for which the and implementation. The goal of Phase I is to achieve evidence of effectiveness is based on 1. Documenting the Evidence-Base for consensus among community formal consensus among recognized Selected Practices stakeholders to adopt a best practice and experts in the field and/or evaluation engage in strategic planning for its studies that have not been published in Applicants must show that their implementation. Phase I grants may the peer reviewed literature. proposed practices meet the standard include, but are not limited to, the SAMHSA also funds grants under for effectiveness. The practices following types of activities: three other standard grant proposed by applicants for SAMHSA’s • Build and maintain a coalition of announcements: BPPI grants must incorporate the best stakeholders to fund, oversee, use, and • Services Grants provide funding to objective information available from provide a sustainable best practice. implement substance abuse and mental recognized experts regarding • Train and educate key stakeholders health services. effectiveness and acceptability. Often, about the best practice. • Infrastructure Grants support these practices will have strong • Consult experts about the practice. identification and implement systems evidence of effectiveness. However, • Consult leaders from other changes but are not designed to fund applicants may propose practices with a communities about their experiences in services. sound, but limited, evidence base. • Service to Science Grants document implementing the practice. Applicants proposing to implement • Reimburse stakeholders for their and evaluate innovative practices that practices included in the following address critical substance abuse and transportation or child care costs. sources meet the standard of • Engage professionals to help build mental health service gaps but that have effectiveness for SAMHSA’s BPPI not yet been formally evaluated. consensus and plan strategy. Grants, and will not be required to • Adapt the best practice to This announcement describes the provide further documentation of the general program design and provides community needs without sacrificing its practice’s effectiveness: effectiveness. application instructions for all • SAMHSA’s National Registry of • Identify and obtain the commitment SAMHSA BPPI Grants. The availability Effective Programs (NREP) (see of funds for specific BPPI Grants will be of permanent sources to fund the best Appendix D); practice. announced in supplementary Notices of • Center for Mental Health Services • Funding Availability (NOFAs) in the Design the evaluation of the best (CMHS) Evidence Based Practice Tool practice. Federal Register and at http:// Kits (see Appendix E); • www.grants.gov—the Federal grant Evaluate the process of consensus • List of Evidence-Based Substance building among stakeholders (required). announcement Web page. Abuse Treatment Practices (see Typically, funding for BPPI Grants Appendix F); and Phase II: Pilot Test, Adaptation, will be targeted to specific populations • Additional practices identified in Implementation, and Evaluation and/or issue areas, which will be the NOFA for a specific funding specified in the NOFAs. The NOFAs The goals of Phase II grants are to opportunity. will also: pilot test and evaluate the best practices • Specify total funding available for Applicants for Phase II awards that before full implementation, modify the first year of the grants and the have already received Phase I awards strategic/financial plans, and prepare for expected size and number of awards; also have met the standard for full-scale implementation. The • Provide the application deadline; effectiveness. following are examples of activities that • Note any specific program Applicants proposing practices that can be funded during Phase II: • requirements for each funding have not been identified by SAMHSA as Pilot test the practice on a sample opportunity; and meeting the required effectiveness of service recipients and evaluate the • Include any limitations or standard must show that their proposed pilot test. exceptions to the general provisions in practice incorporates the best objective • Modify the best practice based on this announcement (e.g., eligibility, information available from recognized consultation with stakeholders and award size, allowable activities). experts regarding effectiveness and practice experts, other community It is, therefore, critical that you acceptability. Such applicants must experiences, and pilot test results. consult the NOFA as well as this provide a narrative justification that • Revise the manual or announcement in developing your grant describes the evidence base for the documentation that describes in detail application. practice and summarizes the evidence how the best practice was modified. for effectiveness. The evidence may • Maintain the coalition of B. Expectations come from a variety of sources, stakeholders to oversee Phase II SAMHSA’s BPPI program promotes including the published research activities. the use of practices that incorporate the literature, formal consensus among • Secure consultants to make changes best objective information available recognized experts, and other studies required to implement and finance the from recognized experts regarding that have not been published in the best practice. effectiveness and acceptability. peer-reviewed research literature. • Make organizational changes (e.g., SAMHSA refers to these as ‘‘best hiring staff) necessary to implement the practices.’’ BPPI grants may address 2. Program Design best practice. needs in the areas of substance abuse SAMHSA will fund BPPI grants in • Provide necessary education, prevention, substance abuse treatment two phases. Phase I is a planning and training, and technical assistance for and/or mental health services. SAMHSA consensus-building phase that supports staff. understands that the ‘‘best practices’’ grantees for up to 18 months. Phase II Up to 25% of the Phase II grant award proposed for BPPI grants may need to be is a pilot, adaptation, implementation, may be used to evaluate the pilot test of adapted to certain populations. and evaluation phase that supports the best practice. During the course of Therefore, SAMHSA’s BPPI grants grantees for up to 3 years. a Phase II award, SAMHSA will provide

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funding for direct services as part of the • Sustainability of the best practice. is requested to support the additional pilot test. data collected, this must be clearly 4. Performance Measurement justified in the application. Prior to 3. Performance Requirements The Government Performance and grant award, a final agreement regarding All grantees will be required to meet Results Act of 1993 (Pub. L. 103–62, or data collection will be reached. The the following evaluation and ‘‘GPRA’’) requires all Federal agencies terms and conditions of award will performance requirements. Applicants to: specify the data to be submitted and the • are not required to receive a Phase I Develop strategic plans that specify schedule for submission. Grantees will award before applying for a Phase II what they will accomplish over a 3 to be required to adhere to these terms and award. However, all Phase II applicants 5-year period; conditions of award. must meet the Phase I performance • Set performance targets annually requirements (i.e., documentation that related to their strategic plan; and 5. Grantee Meetings consensus has been achieved and that a • Report annually on the degree to strategic plan is in place) before which the previous year’s targets were You must plan to send a minimum of applying for a Phase II award. met. two people (including the Project The law further requires agencies to Director) to at least one joint grantee Phase I: Planning and Consensus link their performance to their budgets. meeting in each year of the grant, and Building Agencies are expected to evaluate their you must include funding for this travel By the end of Phase I, grantees will be programs regularly and to use results of in your budget. At these meetings, required to provide documentation that these evaluations to explain their grantees will present the results of their consensus has been achieved for successes and failures. projects and Federal staff will provide adopting a best practice. That To meet these requirements, technical assistance. Each meeting will documentation must include: SAMHSA must collect performance data be 3 days. These meetings will usually • A report that summarizes the (i.e., ‘‘GPRA data’’) from grantees. You be held in the Washington, DC, area, evaluation of the consensus building are required to report these GPRA data and attendance is mandatory. process. to SAMHSA on a timely basis so that • II. Award Information A description of how key performance results are available to stakeholders were included in the support budgetary decisions. A. Award Amount consensus building. In particular, you will be required to • Letters of support or other provide data on a core set of required The NOFA will specify the expected demonstration of stakeholders’ measures, depending on the SAMHSA award amount for each funding commitment to adopt the practice. opportunity. Regardless of the amount • Center that is funding the grant. In your A strategic plan for implementing application, you must demonstrate your specified, the actual award amount will the best practice that includes a ability to collect and report on these depend on the availability of funds. financing plan, signed by the funding measures, and you must provide some Awards for SAMHSA’s BPPI grants source(s) that will provide the resources baseline data. will be made in two phases: necessary to address barriers and Appendix A provides the implement a sustainable best practice. performance indicators for SAMHSA’s Phase I—Phase I awards are expected [Note: If it is not possible for a grantee BPPI grantees. For complete information to range from $150,000–$200,000 in to complete a strategic plan, grantees on the core measures relating to these total costs (direct and indirect) for a will be required to provide an analysis indicators and the methodology for data project period of up to 18 months. of progress made and barriers to collection and reporting, please consult Phase II—Phase II awards will range completing the strategic plan instead.] the following web sites: from $300,000–$500,000 per year in • Phase II: Pilot Test, Adaptation, Center for Mental Health Services- total costs (direct and indirect) for a Implementation, and Evaluation funded grants: http://www.samhsa.gov/ project period of up to 3 years. aps/CMHS/GPRA. By the end of Phase II, grantees must • Applications with proposed budgets Center for Substance Abuse that exceed the allowable amount as provide the following information: Prevention-funded grants: http:// • Pilot test results. specified in the NOFA in any year of the • A manual describing the modified www.samhsa.gov/aps/CSAP/GPRA. proposed project will be screened out • Center for Substance Abuse practice in detail for replication of the and will not be reviewed. Annual Treatment-funded-grants: http:// practice. continuation awards will depend on the www.samhsa.gov/aps/CSAT/GPRA. • Documentation that staff are trained availability of funds, grantee progress in This information will be provided in in the practice and of a mechanism for meeting project goals and objectives, the hard copy application kits training new staff. and timely submission of required data distributed by SAMHSA’s • Process evaluation results that and reports. describe how the practice was Clearinghouses, as well. operationalized, including changes in In some instances, grantees may be B. Funding Mechanism the organizational infrastructure, required to participate in cross-site The NOFA will indicate whether permanent funding sources, and staff evaluations and comply with additional awards for each funding opportunity consultation and training activities. data collection requirements. The NOFA • Outcome evaluation results that will indicate whether participation in a will be made as grants or cooperative describe: cross-site evaluation is required and agreements (see the Glossary in • Demographic characteristics of the will identify any additional data Appendix C for further explanation of clients served; collection requirements. these funding mechanisms). For • Service utilization Applicants may propose to collect cooperative agreements, the NOFA will • Practice outcomes additional information (i.e., beyond the describe the nature of Federal • Client satisfaction required performance data) regarding involvement in project performance and • Fidelity of the modified practice both the nature and success of their specify roles and responsibilities of with the best practice process and outcomes. If grant funding grantees and Federal staff.

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III. Eligibility Information • For mental health grants, call the applicants will be required to provide National Mental Health Information their DUNS number on the face page of A. Eligible Applicants Center at 1–800–789–CMHS (2647). the application. Obtaining a DUNS Eligible applicants are domestic You also may download the required number is easy and there is no charge. public and private nonprofit entities. documents from the SAMHSA Web site To obtain a DUNS number, access the For example, State, local or tribal at http://www.samhsa.gov. Click on Dun and Bradstreet Web site at http:// governments; public or private ‘‘grant opportunities.’’ www.dunandbradstreet.com or call 1– universities and colleges; community- Additional materials available on this 866–705–5711. To expedite the process, and faith-based organizations; and tribal Web site include: let Dun and Bradstreet know that you organizations may apply. The statutory • A technical assistance manual for are a public/private nonprofit authority for this program precludes potential applicants; organization getting ready to submit a grants to for-profit organizations. The • Standard terms and conditions for Federal grant application.] NOFA will indicate any limitations on SAMHSA grants; • Abstract—Your total abstract eligibility. • Guidelines and policies that relate should be no longer than 35 lines. In the B. Cost-Sharing to SAMHSA grants (e.g., guidelines on first five lines or less of your abstract, cultural competence, consumer and write a summary of your project that can Cost-sharing is not required in this family participation, and evaluation); be used, if your project is funded, in program, and applications will not be and publications, reporting to Congress, or screened out on the basis of cost- • Enhanced instructions for sharing. However, you may include cash press releases. completing the PHS 5161–1 application. • or in-kind contributions in your Table of Contents—Include page proposal as evidence of commitment to B. Content and Form of Application numbers for each of the major sections the proposed project. Reviewers may Submission of your application and for each consider this information in evaluating appendix. 1. Required Documents • the quality of the application. Budget Form—Use SF 424A, which SAMHSA application kits include the is part of the PHS 5161–1. Fill out C. Other following documents: Sections B, C, and E of the SF 424A. SAMHSA applicants must comply • PHS 5161–1 (revised July 2000)— • Project Narrative and Supporting with certain program requirements, Includes the face page, budget forms, Documentation—The Project Narrative including: assurances, certification, and checklist. describes your project. It consists of • Provisions relating to participant Applicants must use the PHS 5161–1 for Sections A through E. Section A may protection and the protection of human their application, unless otherwise not be longer than 3 pages in length. subjects specified in Section VIII–A of specified in the NOFA. Applications Sections B–E together may not be longer this document; that are not submitted on the required than 25 pages. More detailed • Budgetary limitations as specified application form (i.e., the PHS 5161–1 instructions for completing each section in Sections I, II, and IV–E of this in most situations) will be screened out of the Project Narrative are provided in document; and ‘‘Section V—Application Review • and will not be reviewed. Documentation of nonprofit status • Program Announcement (PA)— Information’’ of this document. as required in the PHS 5161–1. Includes instructions for the grant The Supporting Documentation You also must comply with any application. This document is the PA. provides additional information additional program requirements • Notice of Funding Availability necessary for the review of your specified in the NOFA, such as the (NOFA)—Provides specific information application. This supporting required signature of certain officials on about availability of funds, as well as documentation should be provided the face page of the application and/or any exceptions or limitations to immediately following your Project required memoranda of understanding provisions in the PA. Narrative in Sections F through H. with certain signatories. There are no page limits for these Applications that do not comply with The NOFAs will be published in the sections, except for Section G, the the eligibility and specific program Federal Register as well as on the Biographical Sketches/Job Descriptions. requirements for the funding Federal grants Web site (http:// • Section F—Budget Justification, opportunity for which the application is www.grants.gov). Existing Resources, Other Support. You submitted will be screened out and will You must use all of the above must provide a narrative justification of not be reviewed. documents in completing your application. the items included in your proposed IV. Application and Submission budget, as well as a description of Information 2. Order of Sections existing resources and other support (To ensure that you have met all Applications must be complete and you expect to receive for the proposed submission requirements, a checklist is contain all information needed for project. If you are applying for a Phase provided for your use in Appendix B of review. In order for your application to II award, show that no more than 25% this document.) be complete, it must include the of the total grant award will be used for following sections in the order listed. evaluation of the pilot test of the best A. Address To Request Application Applications that do not contain these practice. Package sections will be screened out and will • Section G—Biographical Sketches You may request a complete not be reviewed. and Job Descriptions. application kit by calling one of • Face Page—Use Standard Form (SF) • Include a biographical sketch for SAMHSA’s national clearinghouses: 424, which is part of the PHS 5161–1. the Project Director and other key • For substance abuse prevention or [Note: Beginning October 1, 2003, positions. Each sketch should be 2 pages treatment grants, call the National applicants will need to provide a Dun or less. If the person has not been hired, Clearinghouse for Alcohol and Drug and Bradstreet (DUNS) number to apply include a letter of commitment from the Information (NCADI) at 1–800–729– for a grant or cooperative agreement individual with a current biographical 6686. from the Federal Government. SAMHSA sketch.

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• Include job descriptions for key requirements. Applications that do not Applications not received by the personnel. Job descriptions should be comply with these requirements will be application deadline or not postmarked no longer than 1 page each. screened out and will not be reviewed. by a week prior to the application • Sample sketches and job • Text must be legible. deadline will be screened out and will descriptions are listed on page 22, Item • Paper must be white and 8.5″ by not be reviewed. 6 in the Program Narrative section of the 11.0″ in size. D. Intergovernmental Review (E.O. PHS 5161–1. • Pages must be typed single-spaced • Section H—Confidentiality and with one column per page. 12372) Requirements • SAMHSA Participant Protection/Human Page margins must be at least one Executive Order 12372, as inch. implemented through Department of Subjects. Instructions for completing • Section H of your application are Type size in the Project Narrative Health and Human Services (DHHS) provided below in Section VIII–A of this cannot exceed an average of 15 regulation at 45 CFR part 100, sets up document. characters per inch when measured a system for State and local review of • Appendices 1 through 5—Use only with a ruler. (Type size in charts, tables, applications for Federal financial the appendices listed below. Do not use graphs, and footnotes will not be assistance. Instructions for this review considered in determining compliance.) more than 30 pages (excluding • are included in Section VIII–B of this instruments) for the appendices. Do not Photo reduction or condensation of document. Section VIII–C provides use appendices to extend or replace any type cannot be closer than 15 characters instructions for the Public Health per inch or 6 lines per inch. of the sections of the Project Narrative System Impact Statement (PHSIS) and • The pages cannot have printing on unless specifically required in the submission of comments from the both sides. NOFA. Reviewers will not consider • Page limitations specified for the Single State Agency (SSA). them if you do. Project Narrative and Appendices • Appendix 1: Letters of Support. E. Funding Limitations/Restrictions • cannot be exceeded. Appendix 2: Data Collection • Information must be sufficient for Cost principles describing allowable Instruments/Interview Protocols. and unallowable expenditures for • review. Appendix 3: Sample Consent To facilitate review of your Federal grantees, including SAMHSA Forms. application, follow these additional grantees, are provided in the following • Appendix 4: Letter to the SSA (if documents: guidelines: • applicable; see Section VIII–C of this • Applications should be prepared Institutions of Higher Education: document). using black ink. This improves the OMB Circular A–21. • • Appendix 5: A copy of the State quality of the copies of applications that State and Local Governments: OMB Strategic Plan, a State needs assessment, are provided to reviewers. Circular A–87. • or a letter from the State indicating that • Use white paper only. Do not use Nonprofit Organizations: OMB the proposed project addresses a State- colored, heavy, or light-weight paper or Circular A–122. • identified priority. any material that cannot be photocopied Appendix E Hospitals: 45 CFR part • Appendix 6: Evidence of Intent to using automatic photocopying 74. Adopt (Phase II only). machines. Odd-sized and oversized In addition, SAMHSA BPPI Grant • Assurances—Non-Construction attachments, such as posters, will not be recipients must comply with the Programs. Use Standard Form 424B copied or sent to reviewers. Do not send following funding restrictions: • found in PHS 5161–1. videotapes, audiotapes, or CD–ROMs. No more than 25% of Phase II • Certifications—Use the • Pages should be numbered funding may be used to evaluate the ‘‘Certifications’’ forms found in PHS consecutively from beginning to end so pilot test. 5161–1. that information can be easily located BPPI grant funds may not be used to: • • Disclosure of Lobbying Activities— during review of the application. For Pay for any lease beyond the project Use Standard Form LLL found in PHS example, the cover page should be period. • 5161–1. Federal law prohibits the use of labeled ‘‘page 1,’’ the abstract page Provide services to incarcerated appropriated funds for publicity or should be ‘‘page 2,’’ and the table of populations (defined as those persons in propaganda purposes, or for the contents page should be ‘‘page 3.’’ jail, prison, detention facilities, or in preparation, distribution, or use of Appendices should be labeled and custody where they are not free to move information designed to support or separated from the Project Narrative and about in the community). • defeat legislation pending before the budget section, and the pages should be Pay for the purchase or construction Congress or State legislatures. This numbered to continue in the sequence. of any building or structure to house includes ‘‘grass roots’’ lobbying, which any part of the program. (Applicants consists of appeals to members of the C. Submission Dates and Times may request no more than $75,000 for public suggesting that they contact their Deadlines for submission of renovations and alterations of existing elected representatives to indicate their applications for specific funding facilities, if appropriate and necessary to support for or opposition to pending opportunities will be published in the project.) legislation or to urge those NOFAs in the Federal Register and on • Provide residential or outpatient representatives to vote in a particular the Federal grants Web site (http:// treatment services when the facility has way. www.grants.gov). not yet been acquired, sited, approved, • Checklist—Use the Checklist found Your application must be received by and met all requirements for human in PHS 5161–1. The Checklist ensures the application deadline. Applications habitation and services provision. that you have obtained the proper received after this date must have a (Expansion or enhancement of existing signatures, assurances and certifications proof-of-mailing date from the carrier residential services is permissible.) and is the last page of your application. dated at least 1 week prior to the due • Pay for housing other than date. Private metered postmarks are not residential mental health and/or 3. Application Formatting Requirements acceptable as proof of timely mailing. substance abuse treatment. Applicants also must comply with the You will be notified by postal mail • Provide inpatient treatment or following basic application that your application has been received. hospital-based detoxification services.

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• Pay for incentives to induce clients than 28 pages (3 pages for Section A and applicants are not required to provide to enter treatment. However, a grantee 25 pages total for Sections B–E). further documentation of effectiveness or treatment provider may provide up to • You must use the five sections/ of the services/practices. Such $20 or equivalent (coupons, bus tokens, headings listed below in developing applicants must name the practice and gifts, childcare, and vouchers) to clients your Project Narrative. Be sure to place indicate which of the following is the as incentives to participate in required the required information in the correct source(s) for the proposed practice: data collection follow-up. This amount section, or it will not be considered. • SAMHSA’s National Registry of may be paid for participation in each Your application will be scored Effective Programs (NREP) (see required interview. according to how well you address the Appendix D to this document). • Implement syringe exchange requirements for each section of the • Center for Mental Health Services programs, such as the purchase and Project Narrative. (CMHS) Evidence Based Practice Tool distribution of syringes and/or needles. • The Supporting Documentation you Kits (see Appendix E to this document). • Pay for pharmacologies for HIV provide in Sections F–H, Appendices 1– • Effective Substance Abuse antiretroviral therapy, sexually 5, and the References list will be Treatment Practices (see Appendix F to transmitted diseases (STDs)/sexually considered by reviewers in assessing this document). transmitted illness (STI), TB, and your response, along with the material • The NOFA for a specific funding hepatitis B and C, or for psychotropic in the Project Narrative. opportunity (provide the name and • drugs. The number of points after each funding opportunity number from the heading is the maximum number of NOFA). F. Other Submission Requirements points a review committee may assign to Applicants who select practices that 1. Where To Send Applications that section of your Project Narrative. are not identified in any of the sources Bullet statements in each section do not listed above must provide a narrative Send applications to the following have points assigned to them. They are justification that shows that the address: Substance Abuse and Mental provided to invite the attention of proposed practice includes the best Health Services Administration, Office applicants and reviewers to important objective information available from of Program Services, Review Branch, areas within the criterion. recognized experts regarding 5600 Fishers Lane, Room 17–89, For both Phase I and Phase II of effectiveness and acceptability. The Rockville, Maryland, 20857. SAMHSA’s BPPI Grants there will be narrative must address the following: Be sure to include the funding two levels of review. • Describe the proposed practice. announcement number from the NOFA • Level One Review will consider • Indicate whether the evidence base in item number 10 on the face page of how well the applicant addresses the for the proposed practice includes the application. If you require a phone requirements in Section A—Evidence of scientific studies published in the peer- number for delivery, you may use (301) Effectiveness. If the practice proposed in reviewed literature, other studies not 443–4266. the application does not meet the published in the peer-reviewed required standard for effectiveness as 2. How To Send Applications literature, and/or from formal consensus described below, the application will processes involving recognized experts Mail an original application and 2 not move on to Level Two review and in the field. copies (including appendices) to the will not be considered for funding. • If the evidence base includes • mailing address provided above. The Level Two Review will consider scientific studies published in the peer- original and copies must not be bound. how well the applicant addresses the reviewed literature or other studies that Do not use staples, paper clips, or requirements in Section B (Statement of have not been published, describe: fasteners. Nothing should be attached, Need), Section C (Proposed Approach), —The extent to which the practice has stapled, folded, or pasted. Section D (Staff, Management and been evaluated and the quality of the You must use a recognized Relevant Experience), and Section E studies (e.g., whether they are commercial or governmental carrier. (Evaluation and Data). The applicant’s descriptive, quasi-experimental Hand carried applications will not be score on Sections B–E combined will be studies, or experimental studies) accepted. Faxed or e-mailed used to determine the applicant’s —The extent to which evaluation of the applications will not be accepted. priority score. practice has demonstrated positive V. Application Review Information 1. Phase I Criteria outcomes, and the extent to which positive outcomes have been Level One Review A. Evaluation Criteria demonstrated for different Your application will be reviewed Section A: Evidence of Effectiveness populations and scored against the requirements Put all information to be considered —The extent to which evaluation of the listed below for developing the Project in Level One in Section A: Evidence of practice has been studied Narrative (Sections A–E). These sections Effectiveness. Section A may not be —The extent to which evaluation of the describe what you intend to do with longer than 3 pages. During Level One practice has been replicated your project. review, reviewers will decide whether —The extent to which the practice has • In developing the Project Narrative the applicant’s proposed practice meets been documented (e.g., through section of your application, use these the required standard for effectiveness. guidelines, tool kits, treatment instructions, which have been tailored Reviewers will assess Level One review protocols, and/or manuals) to this program. These are to be used on a pass/fail basis. Applications that do —The extent to which fidelity measures instead of the ‘‘Program Narrative’’ not pass Level One review will not have been developed (e.g., no instructions found in the PHS 5161–1. move on to Level Two review. measures developed, key components • Be sure to provide references for Applicants proposing to implement identified, or fidelity measures any literature cited in your application. practices included in the following developed) The reference list will not be counted sources are considered by SAMHSA to • If the evidence includes formal toward the page limit for these sections. have met the effectiveness standard for consensus involving recognized experts, The Project Narrative may be no longer SAMHSA’s BPPI Grants. Such describe:

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—The experts involved in the consensus or a letter from the State indicating that role, effort and qualifications of each. development on the proposed the proposed project addresses a State- Include the Project Director and other services/practice (e.g., members of an identified priority. Tribal applicants key personnel, including evaluators and expert panel formally convened by must provide similar documentation database management personnel. NIH, the Institute of Medicine or other relating to tribal priorities. • If you plan to have an advisory nationally recognized organization, or • Describe the best practice selected body, describe its composition, roles, members of an informal group of and how it will impact the problem. and frequency of meetings. experts, such as faculty at a leading • Describe the resources available for Section C: Proposed Approach (40 the proposed project (e.g., facilities, research institution) Points) —The nature of the consensus and how equipment), and provide evidence that it was reached the process used to • Describe the goals of the project, services will be provided in a location reach consensus including consensus building and that is adequate, accessible, Americans —The extent to which the consensus strategic planning. with Disabilities Act (ADA) compliant, has been documented (e.g., in a • Describe the strategies or models and amenable to the target population. consensus panel report, meeting used to build consensus. Describe how Section E: Evaluation Design and minutes, or an accepted standard key stakeholders will be educated about Analysis (15 Points) practice in the field) the best practice. —Any empirical evidence, formally • Describe the process for developing • Describe the design for evaluating published or not, supporting the a strategic plan to implement the best the consensus building and strategic effectiveness of the proposed practice practice. planning processes. Include a detailed —Rationale for concluding that further • Describe the key stakeholders and discussion of how all variables (e.g., empirical evidence does not exist to how they represent the community. community representation and support the effectiveness of the • Describe the involvement of key stakeholder support) will be defined proposed practice, if appropriate stakeholders in the proposed project, and measured. Explain how the In assessing applicants’ narratives for including roles and responsibilities of evaluation plan will ensure that the Section A/Level One review, reviewers each stakeholder. Clearly demonstrate decision to adopt is an accurate will consider whether the evidence each stakeholder’s commitment to the reflection of the stakeholders’ intent. • presented in support of the proposed consensus building and strategic Document your ability to collect practice is, in their expert and planning processes. Attach letters of and report on the required performance professional opinion, commensurate support and other documents showing measures for SAMHSA’s BPPI Grants. with the best information available stakeholder commitment in Appendix 1: Specify and justify any additional regarding effectiveness and Letters of Support. Identify any cash or outcome measures you plan to use for acceptability. in-kind contributions that will be made your grant project. (See Appendix A for Applicants should be aware that to the project. required indicators.) • passing Level One review does not • Describe the involvement of Describe the process for providing ensure that the application will be representatives of the target population regular feedback from evaluation approved for funding, even if the in the conceptualization and planning activities to the Project Director and proposed project includes a service/ of the consensus building process. participants. • • practice that is considered by SAMHSA Describe how the proposed project Describe plans for data collection, to have met the standard of will address issues of age, race/ management, analysis, interpretation effectiveness. ethnicity, culture, language, sexual and reporting. Describe the current orientation, disability, literacy, and approach to collection of relevant data, Level Two Review gender in the target population. along with any necessary modifications. • All information to be considered in • Describe potential barriers to Be sure to include data collection Level Two review must be placed in achieving consensus among instruments/interview protocols in Sections B through E, as described stakeholders. What resources and plans Appendix 2. below. Only applications that pass Level will you use to overcome these barriers? 2. Phase II Criteria One review will undergo Level Two • Identify potential funding source(s) review. that will help implement the best Level One Review practice. Describe how the funder(s) Phase II applicants who were not Section B: Need (10 Points) will join in the consensus building and Phase I grantees will go through a Level • Describe the environment strategic planning. One review to determine if the selected (organization, community, city, or State) Section D: Management Plan and practice meets SAMHSA’s criteria as a where the project will be implemented. Staffing (35 Points) best practice before they are reviewed • Describe the target population. for technical merit. This review process • Describe the problem the project • Provide a time line for the project is identical to the Level One Review will address. Documentation of the (chart or graph) showing key activities, described for Phase I applicants. You problem may come from local data or milestones, and responsible staff. [Note: must provide all information for Level trend analyses, State data, and/or The timeline should be part of the One Review in Section A of the Project national data. For data sources that are Project Narrative. It should not be Narrative. not well known, provide sufficient placed in an appendix.] Phase II applicants who were Phase I information on how the data were • Discuss the capability and grantees will undergo Level Two review collected so that its reliability and experience of the applicant organization only. If so, you should state in Section validity can be assessed. and other participating organizations A that you were a Phase I grantee and • Non-tribal applicants must show with similar projects and populations, provide the grant number. that identified needs are consistent with including experience in providing the priorities of the State. Include, in culturally competent services. Level Two Review Appendix 5, a copy of the State • Provide a list of staff members who All information to be considered in Strategic Plan, a State needs assessment, will conduct the project. Describe the Level Two review must be placed in

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Sections B through E, as described • Describe oversight or feedback activities to the Project Director and below. Only applications that pass Level mechanisms to ensure that the participants. One review will undergo Level Two implemented practice is consistent with • Describe the database management review. the best practice model. system that will be developed. Section B: Need and Readiness (30 Section D: Management Plan and Note: Although the budget for the proposed Points) Staffing (25 Points) project is not a review criterion, the Review Group will be asked to comment on the • Describe the target population and • Provide a time line for the project appropriateness of the budget after the merits setting. If applicant was a Phase I (chart or graph) showing key activities, of the application have been considered. grantee, describe and explain any milestones, and responsible staff. [Note: changes in the target population or The timeline should be part of the B. Review and Selection Process setting. Project Narrative. It should not be SAMHSA applications are peer- • Provide baseline data as required in placed in an appendix.] • reviewed according to the review Appendix A of this document. Discuss the capability and criteria listed above. For those programs • Describe briefly the best practice experience of the applicant organization where the individual award is over approved under Level One Review. and other participating organizations $100,000, applications must also be • Provide evidence that the with similar projects and populations, reviewed by the appropriate National community of stakeholders achieved a including experience in providing Advisory Council. ‘‘decision to adopt’’ the practice. Attach culturally appropriate/competent services. C. Award Criteria a copy of the Phase I process evaluation • or other evidence including contracts, Provide a list of staff members who Decisions to fund a grant are based memoranda of agreement, will conduct the project, showing the on: administrative memos, or other role of each and their level of effort and • The strengths and weaknesses of documents signed by key stakeholders qualifications. Include the Project the application as identified by the Peer that show their firm commitment to Director and other key personnel, Review Committee and, when support the practice. Attach these including evaluators and database appropriate, approved by the supporting documents in Appendix 6: managers. appropriate National Advisory Council; • Describe the resources available for Evidence of Intent to Adopt. • Availability of funds; and the proposed project (e.g., facilities, • Provide and describe the financing • Equitable allocation of grants equipment), and provide evidence that plan. Include anticipated costs and among the principal geographic regions services will be provided in a location sources of revenue that will maintain of the United States. SAMHSA does not that is adequate, accessible, Americans the practice. Attach the financing plan, intend to award more than 2 grants per with Disabilities Act (ADA) compliant, signed by the funding source(s), stating State for each funding opportunity. and is amenable to the target their intent to fund in Appendix 6: population. VI. Award Administration Information Evidence of Intent to Adopt. Section E: Evaluation Design and A. Award Notices Section C: Proposed Approach (25 Analysis (20 Points) Points) After your application has been • reviewed, you will receive a letter from • Document your ability to collect Provide a strategic plan (including and report on the required performance SAMHSA through postal mail that key action steps and a timeline) that measures for Phase II Local Best describes the general results of the addresses each of the following Practices Grants. Specify and justify any review, including the score that your elements, as appropriate: pilot testing additional measures you plan to use for application received. the best practice, evaluating the pilot your grant project. (See Appendix A for If you are approved for funding, you test, modifying the best practice based required indicators.) will receive an additional notice, the on the pilot test, developing training • Provide a logic model for the Notice of Grant Award, signed by materials, hiring/training staff, and evaluation of the pilot test of the best SAMHSA’s Grants Management Officer. securing funding to sustain services practice as well as other implementation The Notice of Grant Award is the sole beyond the project period. activities (e.g., training, securing obligating document that allows the • Describe the involvement of key financing). grantee to receive Federal funding for stakeholders in the proposed project, • Provide a plan for evaluating the work on the grant project. It is sent by including roles and responsibilities of pilot test of the best practice and other postal mail and is addressed to the each stakeholder. Demonstrate each implementation activities that includes contact person listed on the face page of stakeholder’s commitment to the both process and client outcome the application. proposed project. Attach letters of measures. Describe the recruitment plan If you are not funded, you can re- support and similar documents showing and sample size for your project. apply if there is another receipt date for stakeholder commitment in Appendix 1: Describe any literature or pilot testing the program. Letters of Support. Identify any cash or done to verify the validity and B. Administrative and National Policy in-kind contributions that will be made reliability of the instruments to be used. Requirements to the project. Attach instrumentation in Appendix 2: • Describe how the proposed project Data Collection Instruments. • You must comply with all terms will address issues of age, race/ • Describe how the adaptations of the and conditions of the grant award. ethnicity, culture, language, sexual best practice will be documented. SAMHSA’s standard terms and orientation, disability, literacy, and Demonstrate its fidelity to the best conditions are available on the gender in the target population. practice model. If no fidelity scale exists SAMHSA Web site (http:// • Describe potential barriers to the for the practice, describe how you will www.samhsa.gov). successful conduct of the proposed develop one. • Depending on the nature of the project. What resources and plans will • Describe the process for providing specific funding opportunity and/or the you use to overcome these barriers? regular feedback from evaluation proposed project as identified during

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review, additional terms and conditions • SAMHSA will provide guidelines VIII. Other Information may be identified in the NOFA or and requirements for these reports to A. SAMHSA Confidentiality and negotiated with the grantee prior to grantees at the time of award and at the Participant Protection Requirements grant award. These may include, for initial grantee orientation meeting after and Protection of Human Subjects example: award. SAMHSA staff will use the Regulations • Actions required to be in information contained in the reports to compliance with human subjects determine the grantee’s progress toward You must describe your procedures requirements; meeting its goals. relating to Confidentiality, Participant • Requirements relating to additional Protection and the Protection of Human data collection and reporting; 2. Government Performance and Results Subjects Regulations in Section G of • Requirements relating to Act your application, using the guidelines participation in a cross-site evaluation; provided below. Problems with or The Government Performance and confidentiality, participant protection, • Requirements to address problems Results Act (GPRA) mandates and protection of human subjects identified in review of the application. accountability and performance-based identified during peer review of your • You will be held accountable for management by Federal agencies. The application may result in the delay of the information provided in the performance requirements for funding. application relating to performance SAMHSA’s BPPI Grants are described in Confidentiality and Participant targets. SAMHSA program officials will Section I-B under ‘‘Performance Protection: All applicants must address consider your progress in meeting goals Measurement’’ and listed in Appendix each of the following elements relating and objectives, as well as your failures A of this document. to confidentiality and participant and strategies for overcoming them, protection. You must document how 3. Publications when making an annual you will address these requirements or recommendation to continue the grant If you are funded under this grant why they do not apply. and the amount of any continuation program, you are required to notify the 1. Protect Clients and Staff From award. Failure to meet stated goals and Government Project Officer (GPO) and Potential Risks objectives may result in suspension or SAMHSA’s Publications Clearance • Identify and describe any termination of the grant award, or in Officer (301–443–8596) of any materials reduction or withholding of foreseeable physical, medical, based on the SAMHSA-funded project psychological, social, legal, or other continuation awards. that are accepted for publication. • In an effort to improve access to risks or adverse affects. funding opportunities for applicants, In addition, SAMHSA requests that • Discuss risks that are due either to SAMHSA is participating in the U.S. grantees: participation in the project itself or to Department of Health and Human • Provide the GPO and SAMHSA the evaluation activities. • Services ‘‘Survey on Ensuring Equal Publications Clearance Officer with Describe the procedures you will Opportunity for Applicants.’’ This advance copies of publications. follow to minimize or protect survey is included in the application kit participants against potential risks, • Include acknowledgment of the for SAMHSA grants. Applicants are including risks to confidentiality. SAMHSA grant program as the source of • encouraged to complete the survey and Identify plans to provide help if funding for the project. return it, using the instructions there are adverse effects to participants. • provided on the survey form. • Include a disclaimer stating that the Where appropriate, describe views and opinions contained in the alternative treatments and procedures C. Reporting publication do not necessarily reflect that may be beneficial to the 1. Progress and Financial Reports those of SAMHSA or the U.S. participants. If you choose not to use • Department of Health and Human these other beneficial treatments, Grantees must provide annual and provide the reasons for not using them. final progress reports. The final progress Services, and should not be construed report must summarize information as such. 2. Fair Selection of Participants from the annual reports, describe the SAMHSA reserves the right to issue a • Describe the target population(s) for accomplishments of the project, and press release about any publication the proposed project. Include age, describe next steps for implementing deemed by SAMHSA to contain gender, and racial/ethnic background plans developed during the grant information of program or policy and note if the population includes period. significance to the substance abuse homeless youth, foster children, • Grantees must provide annual and treatment/substance abuse prevention/ children of substance abusers, pregnant final financial status reports. These mental health services community. women, or other groups. reports may be included as separate • Explain the reasons for including sections of annual and final progress VII. Agency Contacts groups of pregnant women, children, reports or can be separate documents. The NOFAs provide contact people with mental disabilities, people Because SAMHSA is extremely information for questions about program in institutions, prisoners, or others who interested in ensuring that its best issues. are likely to be vulnerable to HIV/AIDS. practices efforts can be sustained, your • Explain the reasons for including or financial reports must explain plans to For questions on grants management excluding participants. ensure the sustainability of efforts issues, contact: Stephen Hudak, Office • Explain how you will recruit and initiated under this grant. Initial plans of Program Services, Division of Grants select participants. Identify who will for sustainability should be described in Management, Substance Abuse and select participants. year 1 of the grant. In each subsequent Mental Health Services Administration/ year, you should describe the status of OPS, 5600 Fishers Lane, Rockwall II 6th 3. Absence of Coercion the project, successes achieved and Floor, Rockville, MD 20857, (301) 443– • Explain if participation in the obstacles encountered in that year. 9666, [email protected]. project is voluntary or required. Identify

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possible reasons why it is required, for • Whether or not their participation is otherwise falls under the Protection of example, court orders requiring people voluntary. Human Subjects Regulations, you must to participate in a program. • Their right to leave the project at describe the process for obtaining • If you plan to pay participants, state any time without problems. Institutional Review Board (IRB) how participants will be awarded • Possible risks from participation in approval in your application. While IRB money or gifts. the project. approval is not required at the time of • • State how volunteer participants Plans to protect clients from these grant award, you will be required, as a will be told that they may receive risks. • condition of award, to provide the services even if they do not participate Explain how you will get consent documentation that an Assurance of in the project. for youth, the elderly, people with Compliance is on file with the Office for limited reading skills, and people who 4. Data Collection Human Research Protections (OHRP) do not use English as their first and the IRB approval has been received • Identify from whom you will collect language. before enrolling clients in the proposed data (e.g., from participants themselves, Note: If the project poses potential project. family members, teachers, others). physical, medical, psychological, legal, social Additional information about Describe the data collection procedures or other risks, you must get written informed Protection of Human Subjects and specify the sources for obtaining consent. Regulations can be obtained on the web data (e.g., school records, interviews, • Indicate if you will get informed at http://ohrp.osophs.dhhs.gov. You psychological assessments, consent from participants or from their may also contact OHRP by e-mail questionnaires, observation, or other parents or legal guardians. Describe how ([email protected]) or by phone sources). Where data are to be collected the consent will be documented. For (301–496–7005). through observational techniques, example: Will you read the consent questionnaires, interviews, or other forms? Will you ask prospective B. Intergovernmental Review (E.O. direct means, describe the data participants questions to be sure they 12372) Instructions collection setting. understand the forms? Will you give Executive Order 12372, as • Identify what type of specimens them copies of what they sign? implemented through Department of (e.g., urine, blood) will be used, if any. • Include sample consent forms in Health and Human Services (DHHS) State if the material will be used just for your Appendix 3, ‘‘Sample Consent regulation at 45 CFR part 100, sets up evaluation or if other use(s) will be Forms.’’ If needed, give English a system for State and local review of made. Also, if needed, describe how the translations. applications for Federal financial material will be monitored to ensure the Note: Never imply that the participant assistance. A current listing of State safety of participants. waives or appears to waive any legal rights, Single Points of Contact (SPOCs) is • Provide in Appendix 2, ‘‘Data may not end involvement with the project, or included in the application kit and can Collection Instruments/Interview releases your project or its agents from be downloaded from the Office of Protocols,’’ copies of all available data liability for negligence. Management and Budget (OMB) Web collection instruments and interview • Describe if separate consents will be site at http://www.whitehouse.gov/omb/ protocols that you plan to use. obtained for different stages or parts of grants/spoc.html. • 5. Privacy and Confidentiality the project. For example, will they be Check the list to determine whether needed for both participant protection your State participates in this program. • Explain how you will ensure in treatment intervention and for the You do not need to do this if you are privacy and confidentiality. Include collection and use of data. a federally recognized Indian tribal who will collect data and how it will be • Additionally, if other consents (e.g., government. collected. consents to release information to others • If your State participates, contact • Describe: your SPOC as early as possible to alert • or gather information from others) will How you will use data collection be used in your project, provide a him/her to the prospective instruments. application(s) and to receive any • description of the consents. Will Where data will be stored. individuals who do not consent to necessary instructions on the State’s • Who will or will not have access to having individually identifiable data review process. information. collected for evaluation purposes be • For proposed projects serving more • How the identity of participants allowed to participate in the project? than one State, you are advised to will be kept private, for example, contact the SPOC of each affiliated through the use of a coding system on 7. Risk/Benefit Discussion State. data records, limiting access to records, Discuss why the risks are reasonable • The SPOC should send any State or storing identifiers separately from compared to expected benefits and review process recommendations to the data. importance of the knowledge from the following address within 60 days of the Note: If applicable, grantees must agree to project. application deadline: Substance Abuse maintain the confidentiality of alcohol and Protection of Human Subjects and Mental Health Services drug abuse client records according to the Regulations: All applicants proposing a Administration Office of Program provisions of Title 42 of the Code of Federal pilot test of the best practice as part of Services, Review Branch 5600 Fishers Regulations, Part II. a Phase II project must comply with the Lane, Room 17–89, Rockville, Maryland, Protection of Human Subjects 20857, ATTN: SPOC—Funding 6. Adequate Consent Procedures Regulations (45 CFR part 46). Announcement No. [fill in pertinent • List what information will be given Even if you are not proposing a Phase funding opportunity number from the to people who participate in the project. II pilot test of the best practice, the NOFA]. Include the type and purpose of their Protection of Human Subjects participation. Identify the data that will Regulations could apply depending on C. Public Health System Impact be collected, how the data will be used the evaluation you propose. Statement (PHSIS) and how you will keep the data private. If you are a Phase II applicant The Public Health System Impact • State: proposing a pilot test or your project Statement or PHSIS (Approved by OMB

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under control no. 0920–0428; see to respond to, a collection of perceiving personal health risks associated burden statement below) is intended to information unless it displays a with substance abuse; increasing age of first keep State and local health officials currently valid OMB control number. use; reporting abstinence at discharge; informed of proposed health services The OMB control number for this decreasing substance abuse risk factors related to spread of HIV/AIDS, including grant applications submitted by project is 0920–0428. Send comments risky sexual behavior and sharing needles; community-based, non-governmental regarding this burden to CDC Clearance improving employment/school attendance; organizations within their jurisdictions. Officer, 1600 Clifton Road, MS D–24, having no criminal justice involvement; State and local governments and Indian Atlanta, GA 30333, ATTN: PRA (0920– having stable living situation; reporting tribal government applicants are not 0428).] (consumer/family) improvement in subject to the following Public Health behavioral/emotional symptoms. (Phase 2) System Reporting Requirements. Appendix A—SAMHSA BPPI System outcomes: Percent of referrals from Community-based, non-governmental Indicators juvenile/adult justice systems to systems of service providers who are not The purpose of the Best Practices Planning care; decreased days in inpatient/residential facilities; readmission rates; past 30 day transmitting their applications through and Implementation grant program is to help communities plan for, adapt, pilot test, and utilization of inpatient, outpatient facilities; the State must submit a PHSIS to the inpatient, outpatient, or emergency room head(s) of the appropriate State and evaluate best practices. Domains to be measured are the quality of the process and treatment for physical complaint, mental or local health agencies in the area(s) to be outcome evaluation, and individual/systems emotional difficulties, or alcohol or affected no later than the pertinent outcomes pertinent to the service substance abuse; seclusion/restraint deaths or receipt date for applications. This improvement. This list of indicators and injuries; number of communities with PHSIS consists of the following related measures will be updated defined systems/continuum of care; number information: periodically. The Notice of Funding of persons contacted through outreach who • A copy of the face page of the Availability (NOFA) will specify which enroll in services; percent of providers, administrators trained who report adopting application (SF 424); and indicators are required for a particular • funding opportunity. Applicants must approved service methods; percent of A summary of the project, no longer participants in sponsored events who have than one page in length, that provides: provide expected baseline data for *asterisked items in the grant application. used information to change their practices; (1) A description of the population to be Grantees must collect and report data at the number of science-based programs served, (2) a summary of the services to interval (e.g., quarterly, annually) specified implemented. Completion and be provided, and (3) a description of the in the NOFA. Specific instructions for data documentation of one or more of the coordination planned with appropriate collection will be provided on SAMHSA’s following, depending upon the scope of the State or local health agencies. Web site and in application kits. Some project: Needs assessment; revised financing For SAMHSA grants, the appropriate NOFAs may specify indicators and measures plan for coordinating funding streams; State agencies are the Single State not on this list or may request grantees to organizational/structural change or quality improvements; coordination and network Agencies (SSAs) for substance abuse identify measures appropriate to their specific project. improvements; workforce improvements; and mental health. A listing of the SSAs data infrastructure/performance can be found on SAMHSA’s Web site at ACCOUNTABILITY measurement improvements. (Phase 2) http://www.samhsa.gov. If the proposed Percent of grantees reporting valid data. project falls within the jurisdiction of (Phase 1, 2) Appendix B—Checklist for Application Formatting Requirements more than one State, you should notify CAPACITY all representative SSAs. Your application must adhere to these Applicants who are not the SSA must * Number of persons served (Includes formatting requirements. Failure to do so will screening and assessment) (Phase 1, 2) result in your application being screened out include a copy of a letter transmitting CMHS and CSAT grantees: Percent of and returned to you without review. In the PHSIS to the SSA in Appendix 4, providers providing services within addition to these formatting requirements, ‘‘Letter to the SSA.’’ The letter must approved costs (Costs to be proposed in there may be programmatic requirements application; to be approved by SAMHSA notify the State that, if it wishes to specified in the NOFA. Please check the prior to award. A cost measure for substance comment on the proposal, its comments NOFA before preparing your application. abuse prevention is under development.) should be sent not later than 60 days • Use the PHS 5161–1 application. (Phase 1, 2) after the application deadline to: • Include the 10 application components * Number, type, and capacity of services/ required for SAMHSA applications (i.e., Face Substance Abuse and Mental Health product available (Phase 1, 2) Services Administration, Office of * Percent of persons needing services/ Page, Abstract, Table of Contents, Budget Program Services, Review Branch, 5600 product who receive them (Phase 1, 2) Form, Project Narrative and Supporting Fishers Lane, Room 17–89, Rockville, Documentation, Appendices, Assurances, EFFECTIVENESS Maryland, 20857, ATTN: SSA—Funding Certifications, Disclosure of Lobbying Participation of persons served and family Activities, and Checklist.) Announcement No. [fill in pertinent • Provide legible text. funding opportunity number from members in planning, policy, and service delivery (Phase 2) • Use white paper, 8.5″ by 11.0″ in size. NOFA]. Number of service/systems improvements • Type single-spaced text with one column In addition: per page. • implemented; maintained post-funding Applicants may request that the (Phase 2) • Use margins that are at least 1 inch. SSA send them a copy of any State * Percent of programs reporting positive • Use type size in the Project Narrative comments. individual and systems outcomes (Phase 2) that does not exceed an average of 15 • The applicant must notify the SSA CSAP grantees: Difference between 30 day characters per inch when measured with a within 30 days of receipt of an award. substance use of population served by ruler. Type size in charts, tables, graphs, and [Public reporting burden for the program and comparable local and national footnotes will not be considered in rates. CSAT grantees: Number of people who determining compliance. Public Health System Reporting • Requirement is estimated to average 10 show no past month substance use 6 months Do not use photo reduction or condensation of type closer than 15 minutes per response, including the post treatment admission. (Phase 2) Grantees also will be required to report on characters per inch or 6 lines per inch. time for copying the face page of SF 424 several outcomes from the following list, as • Print only on one side of the paper only; and the abstract and preparing the letter specified in the NOFA: do not print on both sides. for mailing. An agency may not conduct Individual outcomes: Participants (adults • Do not exceed page limitations specified or sponsor, and a person is not required or children) disapproving of substance use; for the Project Narrative (3 pages for Section

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A and 25 pages total for Sections B–E) and statute. The primary beneficiary under a Appendix D: National Registry of Appendices (30 pages). grant or cooperative agreement is the public, Effective Programs • Provide sufficient information for as opposed to the Federal Government. review. Cost-Sharing or Matching: Cost-sharing To help SAMHSA’s constituents learn • Applications must be received by the refers to the value of allowable non-Federal more about science-based programs, application deadline. Applications received contributions toward the allowable costs of a SAMHSA’s Center for Substance Abuse after this date must have a proof of mailing Federal grant project or program. Such Prevention (CSAP) created a National date from the carrier dated at least 1 week contributions may be cash or in-kind Registry of Effective Programs (NREP) to prior to the due date. Private metered contributions. For SAMHSA grants, cost- review and identify effective programs. NREP postmarks are not acceptable as proof of sharing or matching is not required, and seeks candidates from the practice timely mailing. Applications not received by applications will not be screened out on the community and the scientific literature. While the initial focus of NREP was the application deadline or not postmarked basis of cost-sharing. However, applicants substance abuse prevention programming, by a week prior to the application deadline often include cash or in-kind contributions in NREP has expanded its scope and now will not be reviewed. their proposals as evidence of commitment to • includes prevention and treatment of Applications that do not comply with the proposed project. This is allowed, and substance abuse and of co-occurring the following program requirements, any this information may be considered by additional program requirements specified in substance abuse and mental disorders, and reviewers in evaluating the quality of the psychopharmacological programs and the NOFA, or are otherwise unresponsive to application. PA guidelines will be screened out: workplace programs. • Grant: A grant is the funding mechanism NREP includes three categories of Provisions relating to participant used by the Federal Government when the protection and the protection of human programs: Effective Programs, Promising principal purpose of the transaction is the subjects specified in Section VIII–A of this Programs, and Model Programs. Programs transfer of money, property, services, or document; defined as Effective have the option of anything of value to accomplish a public • Budgetary limitations as specified in becoming Model Programs if their developers purpose of support or stimulation authorized Sections I, II and IV–E of this document; choose to take part in SAMHSA by Federal statute. The primary beneficiary • Documentation of nonprofit status as dissemination efforts. The conditions for required in the PHS 5161–1; under a grant or cooperative agreement is the making that choice, together with definitions To facilitate review of your application, public, as opposed to the Federal of the three major criteria, are as follows. follow these additional guidelines. Failure to Government. Promising Programs have been follow these guidelines will not result in In-Kind Contribution: In-kind contributions implemented and evaluated sufficiently and your application being screened out. toward a grant project are non-cash are scientifically defensible. They have However, following these guidelines will contributions (e.g., facilities, space, services) positive outcomes in preventing substance help reviewers to consider your application. that are derived from non-Federal sources, abuse and related behaviors. However, they • Please use black ink and number pages such as State or sub-State non-Federal have not yet been shown to have sufficient consecutively from beginning to end so that revenues, foundation grants, or contributions rigor and/or consistently positive outcomes information can be located easily during from other non-Federal public or private required for Effective Program status. review of the application. The cover page entities. Nonetheless, Promising Programs are eligible should be page 1, the abstract page should be Practice: A practice is any activity, or to be elevated to Effective/Model status after page 2, and the table of contents page should collective set of activities, intended to review of additional documentation be page 3. Appendices should be labeled and improve outcomes for people with or at risk regarding program effectiveness. Originated separated from the Project Narrative and for substance abuse and/or mental illness. from a range of settings and spanning target budget section, and the pages should be Such activities may include direct service populations, Promising Programs can guide numbered to continue the sequence. provision, or they may be supportive prevention, treatment, and rehabilitation. • Send the original application and two activities, such as efforts to improve access Effective Programs are well-implemented, copies to the mailing address in the PA. to and retention in services, organizational well-evaluated programs that produce Please do not use staples, paper clips, and efficiency or effectiveness, community consistently positive pattern of results (across fasteners. Nothing should be attached, readiness, collaboration among stakeholder domains and/or replications). Developers of stapled, folded, or pasted. Do not use any groups, education, awareness, training, or Effective Programs have yet themselves. material that cannot be copied using any other activity that is designed to improve Model Programs are also well- automatic copying machines. Odd-sized and outcomes for people with or at risk for implemented, well-evaluated programs, oversized attachments such as posters will substance abuse or mental illness. meaning they have been reviewed by NREP not be copied or sent to reviewers. Do not Practice Support System: This term refers according to rigorous standards of research. include videotapes, audiotapes, or CD–ROM. to contextual factors that affect practice Their developers have agreed with SAMHSA delivery and effectiveness in the pre- to provide materials, training, and technical Appendix C: Glossary adoption phase, delivery phase, and post- assistance for nationwide implementation. Best Practice: Best practices are practices delivery phase, such as (a) community That helps ensure the program is carefully that incorporate the best objective collaboration and consensus building, (b) implemented and likely to succeed. information currently available from training and overall readiness of those Programs that have met the NREP recognized experts regarding effectiveness implementing the practice, and (c) sufficient standards for each category can be identified and acceptability. ongoing supervision for those implementing by accessing the NREP Model Programs Web Cooperative Agreement: A cooperative the practice. site at http:// agreement is a form of Federal grant. Stakeholder: A stakeholder is an www.modelprograms.samhsa.gov. Cooperative agreements are distinguished individual, organization, constituent group, Appendix E: Center for Mental Health from other grants in that, under a cooperative or other entity that has an interest in and will Services Evidence-Based Practice agreement, substantial involvement is be affected by a proposed grant project. Toolkits anticipated between the awarding office and Target population catchment area: The the recipient during performance of the target population catchment area is the SAMHSA’s Center for Mental Health funded activity. This involvement may geographic area from which the target Services and the Robert Wood Johnson include collaboration, participation, or population to be served by a program will be Foundation initiated the Evidence-Based intervention in the activity. HHS awarding drawn. Practices Project to: (1) Help more consumers offices use grants or cooperative agreements Wraparound Service: Wraparound services and families find effective services, (2) help (rather than contracts) when the principal are non-clinical supportive services—such as providers of mental health services develop purpose of the transaction is the transfer of child care, vocational, educational, and effective services, and (3) help administrators money, property, services, or anything of transportation services—that are designed to support and maintain these services. The value to accomplish a public purpose of improve the individual’s access to and project is now also funded and endorsed by support or stimulation authorized by Federal retention in the proposed project. numerous national, State, local, private and

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public organizations, including the Johnson • Screening and Assessing Adolescents for • The Motivational Enhancement Therapy & Johnson Charitable Trust, MacArthur Substance Use Disorders. TIP 31 (1999) and Cognitive Behavioral Therapy Foundation, and the West Family NCADI # BKD306 Supplement: 7 Sessions of Cognitive Foundation. • Treatment for Stimulant Use Disorders. Behavioral Therapy for Adolescent Cannabis The project has been developed through TIP 33 (1999) NCADI # BKD289 Users. CYT Cannabis Youth Treatment Series the cooperation of many Federal and State • Treatment of Adolescents with Vol. 2 (2002) NCADI # BKD385 mental health organizations, advocacy Substance Use Disorders. TIP 32 (1999) • Family Support Network for Adolescent groups, mental health providers, researchers, NCADI # BKD307 Cannabis Users. CYT Cannabis Youth consumers and family members. A Web site • Comprehensive Case Management for Treatment Series Vol. 3 (2001) NCADI # (http://www.mentalhealthpractices.org) was Substance Abuse Treatment. TIP 27 (1998) BKD386 created as part of Phase I of the project, NCADI # BKD251 • Identifying Substance Abuse Among which included the identification of the first • Continuity of Offender Treatment for TANF-Eligible Families. TAP 26 (2001) cluster of evidence-based practices and the Substance Use Disorders From Institution to NCADI # BKD410 design of implementation resource kits to Community. TIP 30 (1998) NCADI # BKD304 • Motivational Enhancement Therapy and help people understand and use these • Naltrexone and Alcoholism Treatment. Cognitive Behavioral Therapy for Adolescent practices successfully. TIP 28 (1998) NCADI # BKD268 Cannabis Users: 5 Sessions. CYT Cannabis Basic information about the first six • Substance Abuse Among Older Adults. Youth Treatment Series Vol. 1 (2001) NCADI evidence-based practices is available on the TIP 26 (1998) NCADI # BKD250 # BKD384 Web site. The six practices are: • Substance Use Disorder Treatment for • The Adolescent Community 1. Illness Management and Recovery People With Physical and Cognitive Reinforcement Approach for Adolescent 2. Family Psychoeducation Disabilities. TIP 29 (1998) NCADI # BKD288 Cannabis Users. CYT Cannabis Youth 3. Medication Management Approaches in • A Guide to Substance Abuse Services for Treatment Series Vol. 4 (2001) NCADI # Psychiatry Primary Care Clinicians. TIP 24 (1997) BKD387 4. Assertive Community Treatment NCADI # BKD234 • Substance Abuse Treatment for Women 5. Supported Employment • Substance Abuse Treatment and Offenders: Guide to Promising Practices. TAP 6. Integrated Dual Disorders Treatment Domestic Violence. TIP 25 (1997) NCADI # 23 (1999) NCADI # BKD310 Each of the resource kit contains BKD239 • Addiction Counseling Competencies: information and materials written by and for • Treatment Drug Courts: Integrating The Knowledge, Skills, and Attitudes of the following groups: Substance Abuse Treatment With Legal Case Professional Practice. TAP 21 (1998) NCADI —Consumers Processing. TIP 23 (1996) NCADI # BKD205 # BKD246 —Families and Other Supporters • Alcohol and Other Drug Screening of • Bringing Excellence to Substance Abuse —Practitioners and Clinical Supervisors Hospitalized Trauma Patients. TIP 16 (1995) Services in Rural and Frontier America. TAP —Mental Health Program Leaders NCADI # BKD164 20 (1997) NCADI # BKD220 —Public Mental Health Authorities • Combining Alcohol and Other Drug • Counselor’s Manual for Relapse Material on the Web site can be printed or Abuse Treatment With Diversion for Prevention with Chemically Dependent downloaded with Acrobat Reader, and Juveniles in the Justice System. TIP 21 (1995) Criminal Offenders. TAP 19 (1996) NCADI # references are provided where additional NCADI # BKD169 BKD723 information can be obtained. • Detoxification From Alcohol and Other • Draft Buprenorphine Curriculum for Once published, the full kits will be Drugs. TIP 19 (1995) NCADI # BKD172 Physicians (Note: the Curriculum is in available from National Mental Health • LAAM in the Treatment of Opiate DRAFT form and is currently being updated) Information Center at http://www.health.org Addiction. TIP 22 (1995) NCADI # BKD170 http://www.buprenorphine.samhsa.gov or 1–800–789–CMHS (2647). • Matching Treatment to Patient Needs in • CSAT Guidelines for the Accreditation of Opioid Substitution Therapy. TIP 20 (1995) Opioid Treatment Programs http:// Appendix F: Effective Substance Abuse NCADI # BKD168 www.samhsa.gov/centers/csat/content/dpt/ Treatment Practices • Planning for Alcohol and Other Drug accreditation.htm • To assist potential applicants, SAMHSA’s Abuse Treatment for Adults in the Criminal Model Policy Guidelines for Opioid Center for Substance Abuse Treatment Justice System. TIP 17 (1995) NCADI # Addiction Treatment in the Medical Office (CSAT) has identified the following listing of BKD165 http://www.samhsa.gov/centers/csat/content/ _ current publications on effective treatment • Assessment and Treatment of Cocaine- dpt/model policy.htm practices for use by treatment professionals Abusing Methadone-Maintained Patients. TIP NIDA Manuals—Available through NCADI • in treating individuals with substance abuse 10 (1994) NCADI # BKD157 Brief Strategic Family Therapy. Manual disorders. These publications are available • Assessment and Treatment of Patients 5 (2003) NCADI # BKD481 • from the National Clearinghouse for Alcohol With Coexisting Mental Illness and Alcohol Drug Counseling for Cocaine Addiction: and Drug Information (NCADI); Tele: 1–800– and Other Drug Abuse. TIP 9 (1994) NCADI The Collaborative Cocaine Treatment Study 729–6686 or http://www.health.org and # BKD134 Model. Manual 4 (2002) NCADI # BKD465 • http://www.samhsa.gov/centers/csat2002/ • Intensive Outpatient Treatment for The NIDA Community-Based Outreach publications.html. Alcohol and Other Drug Abuse. TIP 8 (1994) Model: A Manual to Reduce Risk HIV and CSAT Treatment Improvement Protocols NCADI # BKD139 Other Blood-Borne Infections in Drug Users. (TIPs) are consensus-based guidelines (2000) NCADI # BKD366 Other Effective Practice Publications developed by clinical, research, and • An Individual Counseling Approach to administrative experts in the field. CSAT Publications— Treat Cocaine Addiction: The Collaborative • Integrating Substance Abuse Treatment • Anger Management for Substance Abuse Cocaine Treatment Study Model. Manual 3 and Vocational Services. TIP 38 (2000) and Mental Health Clients: A Cognitive (1999) NCADI # BKD337 NCADI #BKD381 Behavioral Therapy Manual (2002) NCADI # • Cognitive-Behavioral Approach: Treating • Substance Abuse Treatment for Persons BKD444 Cocaine Addiction. Manual 1 (1998) NCADI with Child Abuse and Neglect Issues. TIP 36 • Anger Management for Substance Abuse # BKD254 (2000) NCADI #BKD343 and Mental Health Clients: Participant • Community Reinforcement Plus • Substance Abuse Treatment for Persons Workbook (2002) NCADI # BKD445 Vouchers Approach: Treating Cocaine with HIV/AIDS. TIP 37 (2000) NCADI • Multidimensional Family Therapy for Addiction. Manual 2 (1998) NCADI # # BKD359 Adolescent Cannabis Users. CYT Cannabis BKD255 • Brief Interventions and Brief Therapies Youth Treatment Series Vol. 5 (2002) NCADI NIAAA Publications—* These publications for Substance Abuse. TIP 34 (1999) NCADI # BKD388 are available in PDF format or can be ordered # BKD341 • Navigating the Pathways: Lessons and on-line at http://www.niaaa.nih.gov/ • Enhancing Motivation for Change in Promising Practices in Linking Alcohol and publications/guides.htm. An order form for Substance Abuse Treatment. TIP 35 (1999) Drug Services with Child Welfare. TAP 27 the Project MATCH series is available on-line NCADI # BKD342 (2002) NCADI # BKD436 at http://www.niaaa.nih.gov/publications/

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match.htm. All publications listed can be Notices of Funding Availability grants, or HIV/AIDS and Substance ordered through the NIAAA Publications (NOFAs) to prepare applications for Abuse Prevention Planning Grants). Distribution Center, P.O. Box 10686, certain SAMHSA grants. SAMHSA is A complete description of the Rockville, MD 20849–0686. providing this draft announcement for • * Alcohol Problems in Intimate proposed process, the other three Relationships: Identification and public review and comment in order to proposed standard announcements and Intervention. A Guide for Marriage and ensure that the field is aware of the a sample NOFA are contained in Family Therapists (2003) NIH Pub. No. 03– planned change and has an opportunity separate notices in this issue of the 5284 to identify areas where the Federal Register. • * Helping Patients with Alcohol announcement is unclear and needs SAMHSA welcomes public comment Problems: A Health Practitioner’s Guide. improvement. (2003) NIH Pub. No. 03–3769 on all aspects of the following • Cognitive-Behavioral Coping Skills DATES: Submit written comments on announcement. In particular, SAMHSA Therapy Manual. Project MATCH Series, Vol. this proposal by October 20, 2003. welcomes comment on the following 3 (1995) NIH Pub. No. 94–3724 ADDRESSES: Interested persons are issues: • Twelve Step Facilitation Therapy invited to submit comments regarding Manual. Project MATCH Series, Vol. 1 (1995) 1. Is the difference between the SAMHSA’s proposed standard Service- standard announcement and a NOFA NIH Pub. No. 94–3722 to-Science Grant announcement to: • Motivational Enhancement Therapy clear? Office of Policy, Planning and Budget, Manual. Project MATCH Series, Vol. 2 (1994) 2. Are the programmatic requirements SAMHSA, Attn: Jennifer Fiedelholtz by NIH Pub. No. 94–3723 for SAMHSA’s Service-to-Science fax (301–594–6159) or e-mail Dated: August 13, 2003. _ _ Grants clear? Anna Marsh, (samhsa standard [email protected]). Please include a phone number in your 3. Are the goals/objectives for Acting Executive Officer. e-mail, so that SAMHSA staff may SAMHSA’s Service-to-Science Grants [FR Doc. 03–21118 Filed 8–20–03; 8:45 am] contact you if there are questions about clear? BILLING CODE 4162–20–P your comments. 4. If you are a potential applicant for FOR FURTHER INFORMATION CONTACT: a SAMHSA Service-to-Science Grant, do Jennifer Fiedelholtz of the Office of you believe you will be able to use the DEPARTMENT OF HEALTH AND Policy, Planning and Budget, SAMHSA, standard Service-to-Science Grant HUMAN SERVICES by fax (301–594–6159) or e-mail announcement with the NOFA to ([email protected]). prepare your application? Will the Substance Abuse and Mental Health ability to anticipate programmatic Services Administration If you would like a SAMHSA staff person to call you about your questions, requirements through reviewing the Proposed Changes in Announcement please state this in an e-mail or fax standard grant announcements ahead of of SAMHSA Discretionary Grant request and provide a telephone number time improve your ability to prepare a Funding Opportunities where you can be reached between 8:30 solid application? Is the additional and 5 p.m. Eastern Standard Time. benefit ‘‘worth’’ the ‘‘cost’’ of having to AGENCY: Substance Abuse and Mental SUPPLEMENTARY INFORMATION: Starting in use two different documents to prepare Health Services Administration, HHS. FY 2004, SAMHSA plans to change its your application? ACTION: Notice of proposed standard approach to announcing and soliciting Text of Proposed Standard service-to-science grant announcement. applications for its discretionary grants. Announcement SAMHSA plans to issue the following SUMMARY: Beginning in Fiscal Year (FY) Service-to-Science Grant announcement Department of Health and Human 2004, the Substance Abuse and Mental as one of four standard grant Services Health Services Administration announcements that will describe the (SAMHSA) plans to change its approach Substance Abuse and Mental Health general program design and provide to announcing and soliciting Services Administration application instructions for four types of applications for its discretionary grant grants—Services Grants, Infrastructure Service-to-Science Grants—STS 04 programs. The following announcement Grants, Best Practices Planning and (Initial Announcement) is a proposed standard announcement Implementation Grants, and Service-to- for SAMHSA’s Service-to-Science Catalogue of Federal Domestic Assistance Science Grants. The standard Grants. It is not an actual grant (CFDA) No.: 93.243 (unless otherwise announcements will be used in solicitation. specified in a NOFA in the Federal Register conjunction with brief Notices of and on http://www.grants.gov) Authority: Sections 509, 516, and 520A of Funding Availability (NOFAs) that will the Public Health Service Act. Authority: Sections 509, 516 and/or 520A announce the availability of funds for of the Public Health Service Act, as amended When published in final, the standard specific grant funding opportunities and subject to the availability of funds SAMHSA Service-to-Science Grant within each of the standard grant (unless otherwise specified in a NOFA in the announcement will be used by programs (e.g., Homeless Treatment Federal Register and on http:// applicants in conjunction with specific grants, Statewide Family Network www.grants.gov)

KEY DATES

Application Deadline ...... This Program Announcement provides instructions and guidelines for multiple fund- ing opportunities. Application deadlines for specific funding opportunities will be published in Notices of Funding Availability (NOFAs) in the Federal Register and on http://www.grants.gov. Intergovernmental Review (E.O. 12372) ...... Letters from State Single Point of Contact (SPOC) are due 60 days after application deadline.

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KEY DATES—Continued

Public Health System Impact Statement (PHSIS)/ Single Applicants must send the PHSIS to appropriate State and local health agencies by State Agency Coordination. application deadline. Comments from Single State Agency are due 60 days after application deadline.

Table of Contents • Services Grants provide funding to development of evidence-based I. Funding Opportunity Description implement substance abuse and mental practices to fill service gaps by A. Introduction health services. documenting and evaluating promising B. Expectations • Infrastructure Grants identify and stakeholder-initiated practices. This II. Award Information implement systems changes but are not program will help organizations that A. Award Amount designed to fund services. have identified promising new practices B. Funding Mechanism • Best Practices Planning and to evaluate and package those III. Eligibility Information Implementation Grants help innovations for review and inclusion in A. Eligible Applicants communities and providers identify B. Cost-Sharing the National Registry of Effective C. Other practices to effectively meet local needs, Programs (NREP) as well as for further IV. Application and Submission Information develop strategic plans for research. implementing/adapting those practices A. Address to Request Application Package 1. Program Design B. Content and Form of Application and pilot-test practices prior to full- Submission scale implementation. SAMHSA will fund Service-to- C. Submission Dates and Times This announcement describes the Science grants in two phases. You may D. Intergovernmental Review (E.O. 12372) general program design and provides apply for Phase I and II combined or for Requirements application instructions for all Phase II alone. Applications for Phase I E. Funding Limitations/Restrictions SAMHSA Service-to-Science Grants. alone will not be accepted. F. Other Submission Requirements Phase I provides support for up to 2 V. Application Review Information The availability of funds for specific A. Evaluation Criteria Service-to-Science Grants will be years to stabilize and document an B. Review and Selection Process announced in supplementary Notices of existing practice that fills an identified C. Award Criteria Funding Availability (NOFAs) in the gap. During Phase I, you may: VI. Award Administration Information Federal Register and at http:// • Further develop or refine the A. Award Notices www.grants.gov—the Federal grant promising practice; B. Administrative and National Policy announcement Web page. • Develop training and practice Requirements Typically, funding for Service-to- manuals; C. Reporting Requirements Science Grants will be targeted to • Train persons who are VII. Agency Contacts specific populations and/or issue areas, implementing the practice; VIII. Other Information • More systematically implement the A. Human Subjects Protection which will be specified in the NOFAs. The NOFAs will also: practice; B. Intergovernmental Review (E.O. 12372) • • Instructions Specify total funding available for Develop measurement instruments; the first year of the grants and the and C. Public Health System Impact Statement • Appendix A: SAMHSA Service-to-Science expected size and number of awards; Ensure that the intended target Indicators. • Provide the application deadline; population is being reached by the Appendix B: Checklist for Application • Note any specific program practice. Formatting Requirements. requirements for each funding The desired endpoint of Phase I is Appendix C: Glossary. opportunity; and readiness to conduct a high-quality, • I. Funding Opportunity Description Include any limitations or systematic evaluation. exceptions to the general provisions in Phase II provides support for 1–3 A. Introduction this announcement (e.g., eligibility, years to evaluate the success of the award size, allowable activities). practice. The purpose of Phase II is to The Substance Abuse and Mental It is, therefore, critical that you conduct a high-quality, systematic Health Services Administration consult the NOFA as well as this evaluation to document short-term (SAMHSA) announces its intent to announcement in developing your grant outcomes and demonstrate that the solicit applications for Service-to- application. practice is worthy of an experimental Science grants. These grants will study. On the basis of the evaluation, document and evaluate innovative B. Expectations you may need to further refine the practices that address critical substance While there is a well-established practice and further refine the practice abuse and mental health service gaps evidence base for many behavioral manual. The evaluation may use a pre- but have not yet been formally health practices, critical service gaps post approach, an open trial model, evaluated. Applicants who seek to exist for which there is no formal other quasi or non-experimental model, stabilize, document, and evaluate evidence base. Stakeholders have or an experimental model. promising practices for mental health developed many innovative practices to The desired endpoint for Phase II is and/or substance abuse treatment, fill these gaps, but they may lack the readiness to submit the practice for prevention, and support services should expertise and/or resources to formally inclusion in SAMHSA’s NREP and/or to apply for awards under this document and evaluate their practices. submit applications to various research announcement. Consequently, it is not clear whether institutions for additional research. SAMHSA also funds grants under these innovative practices are effective, SAMHSA’s Service-to-Science grants three other standard grant and they are not disseminated widely. will provide support to stabilize announcements: SAMHSA seeks to encourage continued practices so that they may be

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documented and evaluated. However, • Training of practitioners • Documentation that the number of these grants are not intended to support • Efforts to overcome policy and people being served by the practice has development of entirely new practices. funding barriers to practice stability been stabilized. The practices must be in place and • Development of an action plan for • Documentation of the number and operational prior to application, and systematizing and stabilizing the percentage of staff trained in the you must have at least anecdotal practice practice, and a mechanism for ongoing evidence that the practice is effective. • Development of a practice support training for any new staff. You may apply for a combination of system • A process evaluation demonstrating Phases I and II in a single grant • Developing needed partnerships for that the practice is in full operation and application if you have identified a ongoing implementation that a routine service delivery process is priority gap for which a fully developed • Logic model development in place. and documented practice currently does • Documentation of core elements of • Pilot outcome results. (Note: not exist. the practice Collection of these data need not • During Phase I, you will further • Practice manual development include an extensive set of outcomes develop and document the practice. • Measurement instrument systematically collected on all • During Phase II, you will evaluate development/selection participants, but quantitative project the practice. • Participant recruitment data should provide some indication At the conclusion of Phase I, • Development of quality assurance that key outcomes are being achieved.) SAMHSA staff will review your and accountability mechanisms progress to determine whether Phase II • Implementation and refinement of Phase II is warranted. This decision will be the practice By the end of Phase II, the evaluation based on review of the documentation • Implementation process evaluation of the practice must have demonstrated required by the end of Phase I, as • Management information system that: described under the Performance development • • Key outcome measures have been Expectations section below. You must Collection of pilot outcome data clearly identified and defined. provide compelling evidence that the Phase II: Practice Evaluation • Participant data collection systems practice has been sufficiently developed During Phase II, SAMHSA will (if are in place that include: and documented to be evaluated and necessary) continue to fund • Demographic characteristics; has produced positive results. implementation of the practice being • Practice outcomes; For practices that are already fully evaluated. Other types of allowable • Service utilization; developed, implemented, stabilized, activities include, but are not limited to, • Service delivery costs; and and documented but that have not yet the following: • Satisfaction with services. been formally evaluated, you may apply • Convening relevant stakeholder • Demographic characteristics of for Phase II only. Applications for Phase meetings participants, as well as the types of I alone will not be accepted. • Alignment of management services that participants have received, Depending on your readiness, you information systems with data are consistent with expectations based may receive a combination of Phases I collection needs on the logic model for the practice. and II for a period of up to, but not more • Training evaluators • Service delivery patterns are stable. than, 5 years. You may apply for a • Measurement instrument • A fidelity scale has been developed shorter grant period than the maximum, development/selection for assessing the integrity of the and SAMHSA may award a grant for a • Data collection practice, and the practice has been shorter time period than you request. • Database management implemented with fidelity according to • Data and cost analysis 2. Establishing Need • Dissemination of results the scale. • Systematically collected short-term Service-to-Science grants are intended • Refinement of logic model and outcome measures indicate meaningful to develop solutions to widespread practice manual based on evaluation results. needs. This grant program is not results • intended to address a local community’s Consumers, family members, and need for funds to solve a local problem. 4. Performance Expectations other critical stakeholders are satisfied Therefore, you must demonstrate that All grantees will be expected to meet with the practice. the broader substance abuse and/or the following performance requirements In addition, at the end of Phase II, mental health field—not just your local by the end of their grant projects. grantees must: community—has a need for the practice. • Demonstrate how consumers, Phase I You must also show that no well- family members, and other critical documented solution to the problem By the end of Phase I, documentation stakeholders participated in the exists, and that your local community for the practice must include: evaluation of the practice. can support an evaluation that will • A logic model depicting the theory • Demonstrate how the practice will increase the knowledge base of the field. underlying the practice. be sustained over the 5 years following • A manual describing the practice in the end of the grant period. 3. Allowable Activities detail that would allow others to • As appropriate, submit the practice Phase I: Practice Development and replicate the practice. to the SAMHSA National Registry of Documentation • Documentation of how critical Effective Programs (NREP). In Phase I, you will further develop stakeholders were included in the • Demonstrate the willingness of and document the practice. The types of development of the practice. those who initiated the practice to activities that may be needed and that • A detailed description of the participate in rigorous research over the are allowable include, but are not population that the practice is designed next 5 years (e.g., through submission of limited to, the following: to serve, and demographic grant applications to the National • Strategic planning characteristics of the people served by Institutes of Health, private foundations, • Convening stakeholder meetings the practice over the past year. or other research funding sources;

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through formal agreements between measures relating to these indicators be held in the Washington, DC, area, practice initiators and researchers; etc.) and the methodology for data collection and attendance is mandatory. and reporting, please consult the 5. Data and Performance Measurement II. Award Information following Web sites: The Government Performance and • Center for Mental Health Services- A. Award Amount Results Act of 1993 (Pub. L.103–62, or funded grants: http://www.samhsa.gov/ The NOFA will specify the expected ‘‘GPRA’’) requires all Federal agencies aps/CMHS/GPRA to: • Center for Substance Abuse award amount for each funding • Develop strategic plans that specify Prevention-funded grants: http:// opportunity. Regardless of the amount what they will accomplish over a 3 to www.samhsa.gov/aps/CSAP/GPRA specified in the NOFA, the actual award 5-year period; • Center for Substance Abuse amount will depend on the availability • Set performance targets annually Treatment-funded grants: http:// of funds. related to their strategic plan; and www.samhsa.gov/aps/CSAT/GPRA. You may apply for either a combined • Report annually on the degree to This information will be provided in Phase I & II grant or for a Phase II only which the previous year’s targets were the hard copy application kits grant. met. distributed by SAMHSA’s • Awards for Phase I of the combined Clearinghouses, as well. The law further requires agencies to grants are for up to $150,000 per year for link their performance to their budgets. In some instances, you may be required to participate in cross-site up to 2 years. Agencies are expected to evaluate their • programs regularly and to use results of evaluations and comply with additional Awards for Phase II are $300,000– these evaluations to explain their data collection requirements; if so, this $500,000 per year for 1–3 years. successes and failures. will be specified in the NOFA. Before • Awards for combined Phase I and II To meet these requirements, grant award, a final agreement regarding grants may not exceed 5 years. SAMHSA must collect performance data data collection will be reached. The Phase II funding will be approved (i.e., ‘‘GPRA data’’) from grantees. You terms and conditions of the grant award only if you provide compelling evidence are required to report these GPRA data will specify the data to be submitted that the practice has been sufficiently to SAMHSA on a timely basis so that and the schedule for submission. developed and documented to be performance results are available to Grantees will be required to adhere to evaluated and has produced positive support budgetary decisions. these terms and conditions of award. results. In particular, you will be required to provide data on a core set of required 6. Grantee Meetings Applications with proposed budgets measures, depending on the SAMHSA You must plan to send a minimum of that exceed the allowable amount as Center that is funding the grant. In your two people (including the Project specified in the NOFA in any year of the application, you must demonstrate your Director) to at least one joint grantee proposed project will be screened out ability to collect and report on these meeting in each year of the grant, and and will not be reviewed. Annual measures, and you must provide some you must include funding for this travel continuation awards will depend on the baseline data. in your budget. At these meetings, availability of funds, grantee progress in Appendix A provides the grantees will present the results of their meeting project goals and objectives, performance indicators for SAMHSA’s projects and Federal staff will provide and timely submission of required data Service-to-Science grantees. For technical assistance. Each meeting will and reports. complete information on the core be 3 days. These meetings will usually Summary Table:

Phase Activity focus Years of support Application requirement Funding level

I ...... Practice Development and 0–2 Optional ...... Up to $150,000 per year. Documentation. II ...... Practice Evaluation ...... 1–3 Required ...... $300,000–500,000 per year.

Total ...... 1–5 ......

B. Funding Mechanism III. Eligibility Information when applying for Service-to-Science grants. Such partnerships will use the A. Eligible Applicants The NOFA will indicate whether expertise of each partner to ensure awards for each funding opportunity Eligible applicants are domestic sound service delivery, high-quality will be made as grants or cooperative public and private nonprofit entities. evaluation, independent results, and agreements (see the Glossary in For example, State, local or tribal relevance of the evaluation design to Appendix C for further explanation of governments; public or private service delivery outcomes. these funding mechanisms). For universities and colleges; community- cooperative agreements, the NOFA will and faith-based organizations; and tribal B. Cost-Sharing describe the nature of Federal organizations may apply. The statutory Cost-sharing is not required in this involvement in project performance and authority for this program precludes program, and applications will not be specify roles and responsibilities of grants to for-profit organizations. The screened out on the basis of cost- grantees and Federal staff. NOFA will indicate any limitations on sharing. However, you may include cash eligibility. or in-kind contributions in your Though not required, SAMHSA proposal as evidence of commitment to encourages community-based providers the proposed project. Reviewers may and independent researchers to partner

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consider this information in evaluating B. Content and Form of Application • Budget Form—Use SF 424A, which the quality of the application. Submission is part of the PHS 5161–1. Fill out Sections B, C, and E of the SF 424A. C. Other 1. Required Documents • Project Narrative and Supporting SAMHSA applicants must comply SAMHSA application kits include the Documentation—The Project Narrative with certain program requirements, following documents: describes your project. It consists of including: • PHS 5161–1 (revised July 2000)— Sections A through D. These sections in • Provisions relating to participant Includes the face page, budget forms, total may be no longer than 25 pages. protection and the protection of human assurances, certification, and checklist. More detailed instructions for subjects specified in Section VIII–A of You must use the PHS 5161–1 unless completing each section of the Project this document; otherwise specified in the NOFA. Narrative are provided in ‘‘Section V— • Budgetary limitations as specified Applications that are not submitted on Application Review Information’’ of this in Sections I, II, and IV–E of this the required application form will be document. document; and screened out and will not be reviewed. The Supporting Documentation • • Documentation of nonprofit status Program Announcement (PA)— provides additional information as required in the PHS 5161–1. Includes instructions for the grant necessary for the review of your You also must comply with any application. This document is the PA. application. This supporting • additional program requirements Notice of Funding Availability documentation should be provided specified in the NOFA, such as the (NOFA)—Provides specific information immediately following your Project required signature of certain officials on about availability of funds, as well as Narrative in Sections E through G. There the face page of the application and/or any exceptions or limitations to are no page limits for these sections, required memoranda of understanding provisions in the PA. The NOFAs will except for Section F, the Biographical with certain signatories. be published in the Federal Register as Sketches/Job Descriptions. well as on the Federal grants Web site Applications that do not comply with • Section E—Budget Justification, (http://www.grants.gov). the eligibility and specific program Existing Resources, Other Support. You You must use all of the above requirements for the funding must provide a narrative justification of documents in completing your opportunity for which the application is the items included in your proposed application. submitted will be screened out and will budget, as well as a description of not be reviewed. 2. Order of Sections existing resources and other support IV. Application and Submission Applications must be complete and you expect to receive for the proposed Information contain all information needed for project. • Section F—Biographical Sketches (To ensure that you have met all review. In order for your application to be complete, it must include the and Job Descriptions. submission requirements, a checklist is • provided for your use in Appendix B of following sections in the order listed. Include a biographical sketch for this document.) Applications that do not contain these the Project Director and other key sections will be screened out and will positions. Each sketch should be 2 pages A. Address To Request Application not be reviewed. or less. If the person has not been hired, Package include a letter of commitment from the • Face Page—Use Standard Form (SF) individual with a current biographical You may request a complete 424, which is part of the PHS 5161–1. application kit by calling one of sketch. [Note: Beginning October 1, 2003, • SAMHSA’s national clearinghouses: applicants will need to provide a Dun Include job descriptions for key personnel. Job descriptions should be • For substance abuse prevention or and Bradstreet (DUNS) number to apply no longer than 1 page each. treatment grants, call the National for a grant or cooperative agreement • Sample sketches and job Clearinghouse for Alcohol and Drug from the Federal Government. SAMHSA descriptions are listed on page 22, Item Information (NCADI) at 1–800–729– applicants will be required to provide 6 in the Program Narrative section of the 6686. their DUNS number on the face page of PHS 5161–1. • For mental health grants, call the the application. Obtaining a DUNS • Section G—Confidentiality and National Mental Health Information number is easy and there is no charge. SAMHSA Participant Protection/Human Center at 1–800–789–CMHS (2647). To obtain a DUNS number, access the Subjects. Instructions for completing You also may download the required Dun and Bradstreet Web site at http:// www.dunandbradstreet.com or call 1– Section G of your application are documents from the SAMHSA Web site provided in Section VIII–A of this at http://www.samhsa.gov. Click on 866–705–5711. To expedite the process, let Dun and Bradstreet know that you document. ‘‘grant opportunities.’’ • are a public/private nonprofit Appendices 1 through 5—Use only Additional materials available on this organization getting ready to submit a the appendices listed below. Do not use Web site include: Federal grant application.] more than 30 pages total for Appendices • A technical assistance manual for • Abstract—Your total abstract 1, 4, and 5. Do not use appendices to potential applicants; should be no longer than 35 lines. In the extend or replace any of the sections of • Standard terms and conditions for first five lines or less of your abstract, the Project Narrative unless specifically SAMHSA grants; write a summary of your project that can required in the NOFA. Reviewers will • Guidelines and policies that relate be used, if your project is funded, in not consider them if you do. to SAMHSA grants (e.g., guidelines on publications, reporting to Congress, or • Appendix 1: Letters of Support cultural competence, consumer and press releases. • Appendix 2: Documentation of the family participation, and evaluation); • Table of Contents—Include page Practice (Phase II only applicants) and numbers for each of the major sections • Appendix 3: Data Collection • Enhanced instructions for of your application and for each Instruments/Interview Protocols completing the PHS 5161–1 application. appendix. • Appendix 4: Sample Consent Forms

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• Appendix 5: Letter to the SSA (if • Use white paper only. Do not use • Nonprofit Organizations: OMB applicable; see Section VIII–C of this colored, heavy, or light-weight paper or Circular A–122 document) any material that cannot be photocopied • Appendix E Hospitals: 45 CFR part • Assurances—Non-Construction using automatic photocopying 74 Programs. Use Standard Form 424B machines. Odd-sized and oversized In addition, SAMHSA Service-to- found in PHS 5161–1. attachments, such as posters, will not be Science grant funds may not be used to: • Certifications—Use the copied or sent to reviewers. Do not send • Pay for any lease beyond the project ‘‘Certifications’’ forms found in PHS videotapes, audiotapes, or CD–ROMs. period. 5161–1. • Pages should be numbered • Provide services to incarcerated • Disclosure of Lobbying Activities— consecutively from beginning to end so populations (defined as those persons in Use form SF LLL found in the PHS that information can be located easily jail, prison, detention facilities, or in 5161–1. Federal law prohibits the use of during review of the application. For custody where they are not free to move appropriated funds for publicity or example, the cover page should be about in the community). propaganda purposes, or for the labeled ‘‘page 1,’’ the abstract page • Pay for the purchase or construction preparation, distribution, or use of the should be ‘‘page 2,’’ and the table of of any building or structure to house information designed to support or contents page should be ‘‘page 3.’’ any part of the program. (Applicants defeat legislation pending before the Appendices should be labeled and may request up to $75,000 for Congress or State legislatures. This separated from the Project Narrative and renovations and alterations of existing includes ‘‘grass roots’’ lobbying, which budget section, and the pages should be facilities, if necessary and appropriate to consists of appeals to members of the numbered to continue in the sequence. the project.) public suggesting that they contact their • Provide residential or outpatient C. Submission Dates and Times elected representatives to indicate their treatment services when the facility has support for or opposition to pending Deadlines for submission of not yet been acquired, sited, approved, legislation or to urge those applications for specific funding and met all requirements for human representatives to vote in a particular opportunities will be published in habitation and services provision. way. NOFAs in the Federal Register and on (Expansion or enhancement of existing • Checklist—Use the Checklist found the Federal grants Web site (http:// residential services is permissible.) in PHS 5161–1. The Checklist ensures www.grants.gov). • Pay for housing other than that you have obtained the proper Your application must be received by residential mental health and/or signatures, assurances and certifications the application deadline. Applications substance abuse treatment. • and is the last page of your application. received after this date must have a Provide inpatient treatment or proof-of-mailing date from the carrier hospital-based detoxification services. 3. Application Formatting Requirements dated at least 1 week prior to the due • Pay for incentives to induce clients Applicants also must comply with the date. Private metered postmarks are not to enter treatment. However, a grantee following basic application acceptable as proof of timely mailing. or treatment provider may provide up to requirements. Applications that do not You will be notified by postal mail $20 or equivalent (coupons, bus tokens, comply with these requirements will be that your application has been received. gifts, childcare, and vouchers) to clients screened out and will not be reviewed. Applications not received by the as incentives to participate in required application deadline or not postmarked data collection follow-up. This amount • Text must be legible. by a week prior to the application may be paid for participation in each • Paper must be white and 8.5″ by deadline will be screened out and will required interview. 11.0″ in size. • • not be reviewed. Implement syringe exchange Pages must be typed single-spaced programs, such as the purchase and with one column per page. D. Intergovernmental Review (E.O. • distribution of syringes and/or needles. Page margins must be at least one 12372) Requirements • Pay for pharmacologies for HIV inch. antiretroviral therapy, sexually • Executive Order 12372, as Type size in the Project Narrative implemented through Department of transmitted diseases (STDs)/sexually cannot exceed an average of 15 Health and Human Services (DHHS) transmitted illnesses (STI), TB, and characters per inch when measured regulation at 45 CFR part 100, sets up hepatitis B and C, or for psychotropic with a ruler. (Type size in charts, tables, a system for State and local review of drugs. graphs, and footnotes will not be applications for Federal financial F. Other Submission Requirements considered in determining compliance.) assistance. Instructions for this review • Photo reduction or condensation of are included in Section VIII–B of this 1. Where To Send Applications type cannot be closer than 15 characters document. Section VIII–C provides per inch or 6 lines per inch. Send applications to the following instructions for the Public Health • The pages cannot have printing on address: Substance Abuse and Mental System Impact Statement (PHSIS) and both sides. Health Services Administration, Office submission of comments from the • Page limitations specified for the of Program Services, Review Branch, Single State Agency (SSA). Project Narrative and Appendices 5600 Fishers Lane, Room 17–89, cannot be exceeded. E. Funding Limitations/Restrictions Rockville, Maryland 20857. • Be sure to include the funding Information must be sufficient for Cost principles describing allowable review. announcement number from the NOFA and unallowable expenditures for in item number 10 on the face page of To facilitate review of your Federal grantees, including SAMHSA the application. If you require a phone application, follow these additional grantees, are provided in the following number for delivery, you may use (301) guidelines: documents: 443–4266. • Applications should be prepared • Institutions of Higher Education: using black ink. This improves the OMB Circular A–21 2. How To Send Applications quality of the copies of applications that • State and Local Governments: OMB Mail an original application and 2 are provided to reviewers. Circular A–87 copies (including appendices) to the

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mailing address provided above. The and Health (NHSDUH); Drug Abuse the practice, and involvement of original and copies must not be bound. Warning Network (DAWN); and Drug families and consumers in the project. Do not use staples, paper clips, or and Alcohol Services Information • If applying for Phase II only, show fasteners. Nothing should be attached, System (DASIS), which includes the that the practice is ready for systematic stapled, folded, or pasted. Treatment Episode Data Set (TEDS). evaluation by providing, in Appendix 2, • You must use a recognized Applications focusing on mental the documentation for the practice commercial or governmental carrier. health might draw on data available described in the Performance Hand carried applications will not be from the National Association of State Measurement section of this PA for accepted. Faxed or e-mailed Mental Health Program Directors Phase I, including all of the following: applications will not be accepted. (NASMHPD), SAMHSA (http:// • www.samhsa.gov/cmhs/ A logic model depicting the theory V. Application Review Information MentalHealthStatistics), or other underlying the practice. A. Evaluation Criteria sources. • A manual describing the practice in Qualitative sources may also include Your application will be reviewed detail that would allow others to conclusions of conferences and events and scored against the requirements replicate the practice. of national significance. listed below for developing the Project • Documentation of how critical • Describe the target population for Narrative (Sections A–D). These stakeholders were included in the the practice. sections describe what you intend to do • development of the practice. Review the literature that • with your project. demonstrates a need to develop or adapt A detailed description of the • In developing the Project Narrative an effective practice for the target population that the practice is designed section of your application, use these population. Demonstrate through the to serve, and demographic instructions, which have been tailored literature review that current evidence- characteristics of the people served by to this program. These are to be used based approaches to the problem do not the practice over the past year. instead of the ‘‘Program Narrative’’ exist or have not been evaluated for the • Demonstration of stability in the instructions found in the PHS 5161–1. specific target populations, or that number of people being served by the • Be sure to provide complete approaches of greater clinical or cost practice. references for any literature cited in effectiveness are needed. • Documentation that staff are trained your Project Narrative. The reference list • Demonstrate that the need in the in the practice (via the number and will not be counted toward the 25-page community in which the project will be percentage of staff trained), and a limit for these sections. carried out is of sufficient magnitude • mechanism for ongoing training for any You must use the four sections/ that an adequate evaluation of the new staff. headings listed below in developing practice can be conducted. To the extent • Evidence demonstrating that the your Project Narrative. Be sure to place possible, use locally generated data or the required information in the correct practice is in full operation and that a State data such as that available through routine service delivery process is in section, or it will not be considered. State needs assessments. Your application will be scored place. according to how well you address the Section B: Proposed Approach (30 • Pilot outcome results. (Note: requirements for each section. points) Collection of these data need not • The Supporting Documentation you • Describe the practice proposed for include an extensive set of outcomes provide in Sections E–G, Appendices 1 evaluation. systematically collected on all through 5, and the Reference list will be • Describe how the proposed practice participants, but quantitative project considered by reviewers in assessing will respond to the needs described in data should provide some indication your response, along with the material Section A of your Project Narrative. that key outcomes are being achieved.) in the Project Narrative. • Discuss the potential effectiveness • Present the goals and measurable • The number of points after each of the practice proposed for evaluation. objectives of the project. Describe why heading below is the maximum number Why has this practice been selected? the practice can better be evaluated for of points a review committee may assign Present the theoretical underpinnings, effectiveness following completion of to that section of your Project Narrative. core principles, and major assumptions the grant activities. For applications that Bullet statements in each section do not of the proposed practice. Outline the include Phase I, include in your have points assigned to them. They are key operational elements of the practice description how achievement of your provided to invite the attention of and summarize any relevant literature. goals will fulfill the Performance • applicants and reviewers to important Identify any necessary collaborators Expectations cited above and in Section areas within each section. on the project, including their roles and I–B of this document. responsibilities. Demonstrate their • Describe the action steps to Section A: Need (20 points) commitment to the project. Include accomplish the goals and objectives. • Describe the problem the project letters of support in Appendix 1: Letters Demonstrate that the action steps will will address. Describe the national of Support. Identify any cash or in-kind lead to successful accomplishment of significance of the problem. contributions to the project. the goals and objectives. Documentation of need may come from • If applying for combined Phase I • a variety of qualitative and quantitative and II, describe the extent to which the Describe the potential barriers to sources in the professional literature. practice has been previously developed, successful conduct of the proposed The quantitative data could also come implemented, stabilized, and project and how you will overcome from national data available regarding documented. Include a description of them. mental health and substance use needs, the support system needed for full • Describe how the project will gaps, and priorities. For example: implementation of the proposed address issues of age, race/ethnicity, • Applications focusing on substance practice—e.g., community collaboration culture, language, sexual orientation, abuse might draw from SAMHSA’s and consensus building, training and disability, literacy, and gender in the National Household Survey on Drug Use overall readiness of those implementing target population.

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Section C: Evaluation Design and role of each and their level of effort and SAMHSA terms and conditions are Analysis (30 points) qualifications. The Project Director and available on SAMHSA’s Web site • Describe in detail your evaluation other key personnel, including (http://www.samhsa.gov). • Depending on the nature of the design for determining the effectiveness evaluators and database management specific funding opportunity and/or the of the practice. For applications that personnel, must be included. • proposed project as identified during include Phase I, describe your process If you plan to include an advisory review, additional terms and conditions evaluation to determine that the practice body in your project, describe the may be identified in the NOFA or is in full operation, as well as how you composition, roles/functions, and negotiated with the grantee prior to will track the number and percentage of frequency of meetings of the proposed grant award. These may include, for staff fully trained in the practice. advisory body. • example: • Describe the evaluation protocol Describe the resources available for • you intend to use. Include in Appendix the proposed project (e.g., facilities, Actions required to be in 3 evaluation instruments to be used. equipment), and provide evidence that compliance with human subjects resources are adequate for conducting a requirements; Describe any literature or pilot testing • done to verify the validity and high-quality evaluation of the identified Requirements relating to additional reliability of the instruments to be used practice. data collection and reporting; • Requirements relating to or how you plan to develop the Note: Although the budget for the proposed participation in a cross-site evaluation; instruments during the grant period. project is not a review criterion, the review or • Describe how you will develop and group will be asked to comment on the • Requirements to address problems manage a database management system appropriateness of the budget after the merits of the application have been considered. identified in review of the application. to record participant demographic • You will be held accountable for characteristics, practice outcomes, B. Review and Selection Process service utilization, practice costs, and the information provided in the satisfaction of stakeholders with the SAMHSA applications are peer- application relating to performance practice. reviewed according to the review targets. SAMHSA program officials will • Describe how the integrity of the criteria listed above. For those programs consider your progress in meeting goals practice will be assessed using a fidelity where the individual award is over and objectives, as well as your failures scale. If no fidelity scale currently exists $100,000, applications must also be and strategies for overcoming them, for the practice, describe the process by reviewed by the appropriate National when making an annual which you will develop one during the Advisory Council. recommendation to continue the grant and the amount of any continuation grant period. C. Award Criteria • Document your ability to collect award. Failure to meet stated goals and and report on the required program Decisions to fund a grant are based objectives may result in suspension or on: termination of the grant award, or in measures for SAMHSA Service-to- • Science Grants. Specify and justify the The strengths and weaknesses of reduction or withholding of the application as identified by the peer continuation awards. outcome measures you plan to use for • your grant project. Identify any required review committee and approved by the In an effort to improve access to program measures that you believe are appropriate National Advisory Council; funding opportunities for applicants, and SAMHSA is participating in the U.S. inappropriate for your project and • provide a rationale for excluding them. Availability of funds. Department of Health and Human Services ‘‘Survey on Ensuring Equal (See Appendix A for required program VI. Award Administration Information measures.) Opportunity for Applicants.’’ This • Describe how you will analyze the A. Award Notices survey is included in the application kit data collected. Include any analyses that After your application has been for SAMHSA grants. Applicants are will be done to determine the reviewed, you will receive a letter from encouraged to complete the survey and effectiveness of the practice for diverse SAMHSA through postal mail that return it, using the instructions subgroups, as well as the satisfaction of describes the general results of the provided on the survey form. various stakeholder groups with the review, including the score that your C. Reporting practice. application received. • Describe how you will document If you are approved for funding, you 1. Progress and Financial Reports the role of critical stakeholders in the will receive an additional notice, the • Grantees must provide annual and development and/or evaluation of the Notice of Grant Award, signed by final progress reports. The final progress practice. SAMHSA’s Grants Management Officer. report must summarize information The Notice of Grant Award is the sole from the annual reports, describe the Section D: Management Plan and obligating document that allows the accomplishments of the project, and Staffing (20 points) grantee to receive Federal funding for describe next steps for implementing • Provide a time line for the project work on the grant project. It is sent by plans developed during the grant (chart or graph) showing key activities, postal mail and is addressed to the period. milestones, and responsible staff. contact person listed on the face page of • Grantees must provide annual and • Discuss the capability and the application. final financial status reports. These experience of the applicant organization If you are not funded, you can re- reports may be included as separate and other participating organizations apply if there is another receipt date for sections of annual and final progress with similar projects and populations, the program. reports or can be separate documents. including experience in providing Because SAMHSA is extremely culturally appropriate/competent B. Administrative and National Policy interested in ensuring that treatment or services. Requirements prevention service efforts are sustained, • Provide a list of staff members who • You must comply with terms and your financial reports should explain will conduct the project, showing the conditions of the grant award. Standard plans to ensure the sustainability of

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efforts initiated under this grant. Initial OPS, 5600 Fishers Lane, Rockwall II 6th example, court orders requiring people plans for sustainability should be Floor, Rockville, MD 20857, (301) 443– to participate in a program. described in year 1 of the grant. In each 9666, [email protected]. • If you plan to pay participants, state subsequent year, you should describe how participants will be awarded VIII. Other Information the status of the project, successes money or gifts. achieved and obstacles encountered in A. Human Subjects Protection • State how volunteer participants that year. will be told that they may receive • You must describe your procedures SAMHSA will provide guidelines relating to Confidentiality and the services even if they do not participate and requirements for these reports to Protection of Human Subjects in the project. grantees at the time of award and at the Regulations in Section G of your initial grantee orientation meeting after 4. Data Collection application, using the guidelines • award. SAMHSA staff will use the provided below. Problems with Identify from whom you will collect information contained in the reports to confidentiality and protection of human data (e.g., from participants themselves, determine the grantee’s progress toward subjects identified during peer review of family members, teachers, others). meeting its goals. your application may result in the delay Describe the data collection procedures and specify the sources for obtaining 2. Government Performance and Results of funding. data (e.g., school records, interviews, Act (GPRA) Confidentiality and Participant Protection: All applicants must address psychological assessments, The Government Performance and each of the following elements relating questionnaires, observation, or other Results Act (GPRA) mandates to confidentiality and participant sources). Where data are to be collected accountability and performance-based protection. You must document how through observational techniques, management by Federal agencies. The you will address these requirements or questionnaires, interviews, or other performance requirements for why they do not apply. direct means, describe the data SAMHSA’s Service-to-Science Grants collection setting. are described in Section I–B under 1. Protect Clients and Staff from • Identify what type of specimens ‘‘Data and Performance Measurement’’ Potential Risks (e.g., urine, blood) will be used, if any. and listed in Appendix A of this • Identify and describe any State if the material will be used just for document. foreseeable physical, medical, evaluation or if other use(s) will be 3. Publications psychological, social, legal, or other made. Also, if needed, describe how the risks or adverse affects. material will be monitored to ensure the If you are funded under this grant • Discuss risks that are due either to safety of participants. program, you are required to notify the participation in the project itself or to • Provide in Appendix 3: Data Government Project Officer (GPO) and the evaluation activities. Collection Instruments/Interview SAMHSA’s Publications Clearance • Describe the procedures you will Protocols, copies of all available data Officer (301–443–8596) of any materials follow to minimize or protect collection instruments and interview based on the SAMHSA-funded project participants against potential risks, protocols that you plan to use. that are accepted for publication. including risks to confidentiality. In addition, SAMHSA requests that • Identify plans to provide help if 5. Privacy and Confidentiality grantees: there are adverse effects to participants. • • Explain how you will ensure Provide the GPO and SAMHSA • Where appropriate, describe privacy and confidentiality. Include Publications Clearance Officer with alternative treatments and procedures who will collect data and how it will be advance copies of publications. that may be beneficial to the • collected. Include acknowledgment of the participants. If you choose not to use • Describe: SAMHSA grant program as the source of these other beneficial treatments, • How you will use data collection funding for the project. provide the reasons for not using them. instruments. • Include a disclaimer stating that the • Where data will be stored. views and opinions contained in the 2. Fair Selection of Participants • Who will or will not have access to publication do not necessarily reflect • Describe the target population(s) for information. those of SAMHSA or the U.S. the proposed project. Include age, • How the identity of participants Department of Health and Human gender, and racial/ethnic background will be kept private, for example, Services, and should not be construed and note if the population includes through the use of a coding system on as such. homeless youth, foster children, data records, limiting access to records, SAMHSA reserves the right to issue a children of substance abusers, pregnant press release about any publication or storing identifiers separately from women, or other groups. data. deemed by SAMHSA to contain • Explain the reasons for including information of program or policy groups of pregnant women, children, Note: If applicable, grantees must agree to significance to the substance abuse people with mental disabilities, people maintain the confidentiality of alcohol and treatment/substance abuse prevention/ in institutions, prisoners, or others who drug abuse client records according to the mental health services community. provisions of Title 42 of the Code of Federal are likely to be vulnerable to HIV/AIDS. Regulations, Part II. • Explain the reasons for including or VII. Agency Contacts excluding participants. 6. Adequate Consent Procedures The NOFAs provide contact • Explain how you will recruit and information for questions about program select participants. Identify who will • List what information will be given issues. select participants. to people who participate in the project. For questions on grants management Include the type and purpose of their issues, contact: Stephen Hudak, Office 3. Absence of Coercion participation. Identify the data that will of Program Services, Division of Grants • Explain if participation in the be collected, how the data will be used, Management, Substance Abuse and project is voluntary or required. Identify and how you will keep the data private. Mental Health Services Administration/ possible reasons why it is required, for • State:

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• Whether or not their participation is required at the time of grant award, you community-based, non-governmental voluntary. will be required, as a condition of organizations within their jurisdictions. • Their right to leave the project at award, to provide the documentation State and local governments and Indian any time without problems. that an Assurance of Compliance is on tribal government applicants are not • Possible risks from participation in file with the Office for Human Research subject to the following Public Health the project. Protections (OHRP) and that IRB System Reporting Requirements. • Plans to protect clients from these approval has been received prior to Community-based, non-governmental risks. enrolling any participants in the service providers who are not • Explain how you will get consent proposed project. transmitting their applications through for youth, the elderly, people with Additional information about the State must submit a PHSIS to the limited reading skills, and people who Protection of Human Subjects head(s) of the appropriate State and do not use English as their first Regulations can be obtained on the web local health agencies in the area(s) to be language. at http://ohrp.osophs.dhhs.gov. You affected no later than the pertinent Note: If the project poses potential may also contact OHRP by e-mail receipt date for applications. This physical, medical, psychological, legal, social ([email protected]) or by phone PHSIS consists of the following or other risks, you must get written informed (301–496–7005). information: consent. • A copy of the face page of the B. Intergovernmental Review (E.O. • application (SF 424); and Indicate if you will get informed 12372) Instructions • A summary of the project, no longer consent from participants or from their Executive Order 12372, as than one page in length, that provides: parents or legal guardians. Describe how implemented through Department of (1) A description of the population to be the consent will be documented. For Health and Human Services (DHHS) served, (2) a summary of the services to example: Will you read the consent regulation at 45 CFR part 100, sets up be provided, and (3) a description of the forms? Will you ask prospective a system for State and local review of coordination planned with appropriate participants questions to be sure they applications for Federal financial State or local health agencies. understand the forms? Will you give assistance. A current listing of State For SAMHSA grants, the appropriate them copies of what they sign? Single Points of Contact (SPOCs) is State agencies are the Single State • Include sample consent forms in included in the application kit and can Agencies (SSAs) for substance abuse your Appendix 4: Sample Consent be downloaded from the Office of and mental health. A listing of the SSAs Forms. If consent forms are in languages Management and Budget (OMB) Web can be found on SAMHSA’s Web site at other than English, provide English site at http://www.whitehouse.gov/omb/ http://www.samhsa.gov. If the proposed translations. grants/spoc.html. project falls within the jurisdiction of Note: Never imply that the participant • Check the list to determine whether more than one State, you should notify waives or appears to waive any legal rights, your State participates in this program. all representative SSAs. may not end involvement with the project, or You do not need to do this if you are Applicants who are not the SSA must releases your project or its agents from a federally recognized Indian tribal include a copy of a letter transmitting liability for negligence. government. the PHSIS to the SSA in Appendix 5: • Describe if separate consents will be • If your State participates, contact Letter to the SSA. The letter must notify obtained for different stages or parts of your SPOC as early as possible to alert the State that, if it wishes to comment the project. For example, will they be him/her to the prospective on the proposal, its comments should be needed for both participant protection application(s) and to receive any sent not later than 60 days after the in treatment intervention and for the necessary instructions on the State’s application deadline to: Substance collection and use of data? review process. Abuse and Mental Health Services • Additionally, if other consents (e.g., • For proposed projects serving more Administration, Office of Program consents to release information to others than one State, you are advised to Services, Review Branch, 5600 Fishers or gather information from others) will contact the SPOC of each affiliated Lane, Room 17–89, Rockville, Maryland, be used in your project, provide a State. 20857, ATTN: SSA—Announcement description of the consents. Will • The SPOC should send any State No. [fill in pertinent funding individuals who do not consent to review process recommendations to the opportunity number from NOFA]. having individually identifiable data following address within 60 days of the In addition: collected for evaluation purposes be application deadline: Substance Abuse • Applicants may request that the allowed to participate in the project? and Mental Health Services SSA send them a copy of any State Administration, Office of Program comments. 7. Risk/Benefit Discussion Services, Review Branch, 5600 Fishers • The applicant must notify the SSA Discuss why the risks are reasonable Lane, Room 17–89, Rockville, Maryland, within 30 days of receipt of an award. compared to expected benefits and 20857, ATTN: SPOC—Funding [Public reporting burden for the importance of the knowledge from the Announcement No. [fill in pertinent Public Health System Reporting project. funding opportunity number from the Requirement is estimated to average 10 NOFA]. minutes per response, including the Protection of Human Subjects time for copying the face page of SF 424 Regulations C. Public Health System Impact and the abstract and preparing the letter All applicants for Service-to-Science Statement (PHSIS) for mailing. An agency may not conduct grants must comply with the Protection The Public Health System Impact or sponsor, and a person is not required of Human Subjects Regulations (45 CFR Statement or PHSIS (approved by OMB to respond to, a collection of part 46). under control no. 0920–0428; see information unless it displays a Applicants must describe the process burden statement below) is intended to currently valid OMB control number. for obtaining Institutional Review Board keep State and local health officials The OMB control number for this (IRB) approval fully in their informed of proposed health services project is 0920–0428. Send comments applications. While IRB approval is not grant applications submitted by regarding this burden to CDC Clearance

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Officer, 1600 Clifton Road, MS D–24, System outcomes: Percent of referrals from additional program requirements specified in Atlanta, GA 30333, ATTN: PRA (0920– juvenile/adult justice systems to systems of the NOFA, or are otherwise unresponsive to 0428)]. care; decreased days in inpatient/residential PA guidelines will be screened out and facilities; readmission rates; past 30 day returned to the applicant without review: Appendix A—SAMHSA Service to utilization of inpatient, outpatient facilities; • Compliance with the Human Subjects Science Indicators inpatient, outpatient, or emergency room Regulations. treatment for physical complaint, mental or • Budgetary limitations as specified in The purpose of ‘‘service to science’’ grant emotional difficulties, or alcohol or Section I, II, and IV-E of this document. program is to document and evaluate substance abuse; seclusion/restraint deaths or • Documentation of nonprofit status as innovative practices with potential for broad injuries; number of communities with required in the PHS 5161–1; application. The domain measured to defined systems/continuum of care; number To facilitate review of your application, determine success of these programs is the of persons contacted through outreach who follow these additional guidelines. Failure to quality of the documentation and evaluation enroll in services; percent of providers, follow these guidelines will not result in your of the practice. This assessment is conducted administrators trained who report adopting application being screened out. However, by SAMHSA based upon information approved service methods; percent of following these guidelines will help reviewers submitted by the grantee. Individual/systems participants in sponsored events who have to consider your application. outcomes pertinent to the service used information to change their practices. • Please use black ink and number pages improvement are part of the grantee’s Completion and documentation of one or consecutively from beginning to end so that outcome evaluation. This list of indicators more of the following, depending upon the information can be located easily during and related measures will be updated scope of the project: Needs assessment; review of the application. The cover page periodically. The Notice of Funding revised financing plan for coordinating should be page 1, the abstract page should be Availability (NOFA) will specify which funding streams; organizational/structural page 2, and the table of contents page should indicators are required for a particular change or quality improvements; be page 3. Appendices should be labeled and funding opportunity. Applicants must coordination and network improvements; separated from the Project Narrative and provide expected baseline data for workforce improvements; data infrastructure/ budget section, and the pages should be *asterisked items in the grant application. performance measurement improvements numbered to continue the sequence. Grantees must collect and report data at the • interval (e.g., quarterly, annually) specified Send the original application and two Appendix B—Checklist for Application copies to the mailing address in the PA. in the NOFA. Specific instructions for data Formatting Requirements collection will be provided on SAMHSA’s Please do not use staples, paper clips, and Web site and in application kits. Some Your application must adhere to these fasteners. Nothing should be attached, NOFAs may specify indicators and measures formatting requirements. Failure to do so will stapled, folded, or pasted. Do not use any not on this list or may request grantees to result in your application being screened out material that cannot be copied using identify measures appropriate to their and returned to you without review. In automatic copying machines. Odd-sized and specific project. addition to these formatting requirements, oversized attachments such as posters will there may be programmatic requirements not be copied or sent to reviewers. Do not ACCOUNTABILITY specified in the NOFA. Please check the include videotapes, audiotapes, or CD– Percent of grantees reporting valid data. NOFA before preparing your application. ROMs. • CAPACITY Use the PHS 5161–1 application. Appendix C—Glossary • Include the 10 application components * Number of persons served (Includes required for SAMHSA applications (i.e., Face Best Practice: Best practices are practices screening and assessment). Page, Abstract, Table of Contents, Budget that incorporate the best objective Percent of providers providing services Form, Project Narrative and Supporting information currently available from within expected costs. Documentation, Appendices, Assurances, recognized experts regarding effectiveness * Number, type, and capacity of services/ Certifications, Disclosure of Lobbying and acceptability. product ready for designation as ‘‘best Activities, and Checklist.) Cooperative Agreement: A cooperative practices’’; number ready for further research. • Provide legible text. agreement is a form of Federal grant. * Percent of persons needing services/ • Use white paper, 8.5″ by 11.0″ in size. Cooperative agreements are distinguished product who receive them. • Type single-spaced text with one column from other grants in that, under a cooperative EFFECTIVENESS per page. agreement, substantial involvement is • Use margins that are at least 1 inch. anticipated between the awarding office and Participation of persons served and family • Use type size in the Project Narrative the recipient during performance of the members in planning, policy, and service that does not exceed an average of 15 funded activity. This involvement may delivery. characters per inch when measured with a include collaboration, participation, or * Percent of programs reporting positive ruler. Type size in charts, tables, graphs, and intervention in the activity. HHS awarding individual and system outcomes. footnotes will not be considered in offices use grants or cooperative agreements CSAP grantees: Difference between 30 day determining compliance. (rather than contracts) when the principal substance use of population served by • program and comparable local and national Do not use photo reduction or purpose of the transaction is the transfer of rates. CSAT grantees: Number of people who condensation of type closer than 15 money, property, services, or anything of characters per inch or 6 lines per inch. value to accomplish a public purpose of show no past month substance use 6 months • post treatment admission. Do not exceed page limitations specified support or stimulation authorized by Federal Grantees also will be required to report on for the Project Narrative (25 pages) and statute. The primary beneficiary under a several outcomes from the following list, as Appendices (30 pages). grant or cooperative agreement is the public, • specified in the NOFA: Provide sufficient information for as opposed to the Federal Government. Individual outcomes: Participants (adults review. Cost-Sharing or Matching: Cost-sharing • or children) disapproving of substance use; Applications must be received by the refers to the value of allowable non-Federal perceiving personal health risks associated application deadline. Applications received contributions toward the allowable costs of a with substance abuse; increasing age of first after this date must have a proof of mailing Federal grant project or program. Such use; reporting abstinence at discharge; date from the carrier dated at least 1 week contributions may be cash or in-kind decreasing substance abuse risk factors prior to the due date. Private metered contributions. For SAMHSA grants, cost- related to spread of HIV/AIDS, including postmarks are not acceptable as proof of sharing or matching is not required, and risky sexual behavior and sharing needles; timely mailing. Applications not received by applications will not be screened out on the improving employment/school attendance; the application deadline or postmarked a basis of cost-sharing. However, applicants having no criminal justice involvement; week prior to the application deadline will often include cash or in-kind contributions in having stable living situation; reporting not be reviewed. their proposals as evidence of commitment to (consumer/family) improvement in • Applications that do not comply with the proposed project. This is allowed, and behavioral/emotional symptoms. the following requirements and any this information may be considered by

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reviewers in evaluating the quality of the DEPARTMENT OF HEALTH AND where you can be reached between 8:30 application. HUMAN SERVICES a.m. and 5 p.m. Eastern Standard Time. Grant: A grant is the funding mechanism SUPPLEMENTARY INFORMATION: Starting in used by the Federal Government when the Substance Abuse and Mental Health FY 2004, SAMHSA plans to change its principal purpose of the transaction is the Services Administration approach to announcing and soliciting transfer of money, property, services, or applications for its discretionary grants. anything of value to accomplish a public Proposed Changes in Announcement SAMHSA plans to issue NOFAs similar purpose of support or stimulation authorized of SAMHSA Discretionary Grant to the following sample NOFA to by Federal statute. The primary beneficiary Funding Opportunities announce specific funding under a grant or cooperative agreement is the AGENCY: public, as opposed to the Federal Substance Abuse and Mental opportunities within four standard grant Government. Health Services Administration, HHS. programs (Services Grants, In-Kind Contribution: In-kind contributions ACTION: Notice of Sample Notice of Infrastructure Grants, Best Practices toward a grant project are non-cash Funding Availability (NOFA) for a Planning and Implementation Grants, contributions (e.g., facilities, space, services) SAMHSA Services Grant Funding and Service-to-Science Grants). The that are derived from non-Federal sources, Opportunity. standard grant announcements will such as State or sub-State non-Federal describe the general program design and revenues, foundation grants, or contributions SUMMARY: Beginning in Fiscal Year (FY) provide application instructions for from other non-Federal public or private 2004, the Substance Abuse and Mental each type of grant. The NOFA’s will: entities. Health Services Administration • Identify any specific target Practice: A practice is any activity, or (SAMHSA) plans to change its approach population or issue for the specific grant collective set of activities, intended to to announcing and soliciting funding opportunity, improve outcomes for people with or at risk applications for its discretionary grant • Identify which of the four standard for substance abuse and/or mental illness. programs. The following is a sample announcements applicants must use to Such activities may include direct service Notice of Funding Availability (NOFA) prepare their applications, provision, or they may be supportive that would be used in conjunction with • Specify total funding available for activities, such as efforts to improve access SAMHSA’s standard Services Grant the first year of the grants and the to and retention in services, organizational announcement. Although based on an expected size and number of awards, efficiency or effectiveness, community actual SAMHSA grant program, this is • Specify the application deadline, a hypothetical NOFA. It is not an actual readiness, collaboration among stakeholder • Note any specific program grant solicitation. groups, education, awareness, training, or requirements for each funding any other activity that is designed to improve Authority: Sections 509, 516, and 520A of opportunity, and outcomes for people with or at risk for the Public Health Service Act. • Include any limitations or substance abuse or mental illness. When published in final, NOFAs exceptions to the general provisions in Practice Support System: This term refers similar to the following NOFA will be the standard announcement. to contextual factors that affect practice used by applicants in conjunction with A complete description of the delivery and effectiveness in the pre- the standard SAMHSA Services Grant adoption phase, delivery phase, and post- proposed process and the four proposed announcement to prepare applications standard announcements are contained delivery phase, such as (a) community for certain SAMHSA grants. SAMHSA is collaboration and consensus building, (b) in separate notices in this issue of the providing this sample NOFA for public training and overall readiness of those Federal Register. review and comment in order to ensure implementing the practice, and (c) sufficient SAMHSA welcomes public comment that the field is aware of the planned ongoing supervision for those implementing on all aspects of the sample NOFA. In change and has an opportunity to the practice. particular, SAMHSA welcomes Stakeholder: A stakeholder is an identify areas where the standard comment on the following issues: individual, organization, constituent group, announcements and NOFA are unclear 1. Is the difference between the or other entity that has an interest in and will and need improvement. standard announcement and a NOFA be affected by a proposed grant project. DATES: Submit written comments on clear? Target population catchment area: The this proposal by October 20, 2003. 2. Are the special programmatic target population catchment area is the ADDRESSES: Interested persons are requirements for the hypothetical geographic area from which the target invited to submit comments regarding funding opportunity clear? population to be served by a program will be SAMHSA’s sample NOFA to: Office of 3. If you are a potential applicant for drawn. Policy, Planning and Budget, SAMHSA, a SAMHSA grant, do you believe you Wraparound Service: Wraparound services Attn: Jennifer Fiedelholtz, by fax (301– will be able to use the standard grant are non-clinical supportive services—such as 594–6159) or e-mail announcements with the NOFAs to child care, vocational, educational, and ([email protected]). prepare your application? Will the transportation services—that are designed to Please include a phone number in your ability to anticipate programmatic improve the individual’s access to and e-mail, so that SAMHSA staff may requirements improve your ability to retention in the proposed project. contact you if there are questions about prepare a solid application? Is the Dated: August 13, 2003. your comments. additional benefit ‘‘worth’’ the ‘‘cost’’ of Anna Marsh, FOR FURTHER INFORMATION CONTACT: having to use two different documents Acting Executive Officer. Jennifer Fiedelholtz of the Office of to prepare your application? [FR Doc. 03–21119 Filed 8–20–03; 8:45 am] Policy, Planning and Budget, SAMHSA, Sample NOFA Text [Note: The by fax (301–594–6159) or e-mail following is not an actual funding BILLING CODE 4162–20–P ([email protected]). opportunity. Certain information, such If you would like a SAMHSA staff as size and number of awards, has been person to call you about your questions, deliberately left out. This NOFA is please state this is an e-mail or fax provided as an opportunity for public request and provide a telephone number comment on SAMHSA’s proposed

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approach to announcing and soliciting housing arrangement for individuals based public and private non-profit applications for discretionary grant engaged in mental health and/or entities. These include county funding opportunities in FY 2004.]: The substance abuse treatment; or a public governments, city or township Substance Abuse and Mental Health or private facility not designed for, or governments, Native American tribal Services Administration (SAMHSA), ordinarily used as, a regular sleeping governments (Federally recognized), Center for Substance Abuse Treatment accommodation. ‘‘Homeless’’ also public housing authorities/Indian (CSAT), announces the availability of includes ‘‘doubled-up’’—a residential housing authorities, nonprofits other FY [XXXX] funds for the grant program status that places individuals at than institutions of higher education described below. A synopsis of this imminent risk for becoming homeless— with 501(c)(3) IRS status, nonprofits funding opportunity, as well as many defined as sharing another person’s other than institutions of higher other Federal Government funding dwelling on a temporary basis where education without 501(c)(3) IRS status, opportunities, is also available at the continued tenancy is contingent upon and private institutions of higher Internet site: http://www.fedgrants.gov. the hospitality of the primary education. State-supported, non- This notice is not a complete leaseholder or owner and can be governing, community-based entities description of the program. Potential rescinded at any time without notice. such as colleges, universities, and applicants must obtain a copy of Exceptions to the SVC–04 PA and hospitals whose State support is for SAMHSA’s standard Services Grants Other Special Requirements: Applicants education and/or treatment services are Program Announcement (SVC–04 PA), for Treatment for Homeless grants must eligible if such services are provided and the PHS 5161–1 (Rev. 7/00) address the following requirement(s) in only to the local community. States are application form before preparing and the Project Narrative of their not eligible to apply under this statute. submitting an application. The SVC–04 application: Additional information regarding PA describes the general program design • In Section C of the Project eligibility (including experience, and provides instructions for applying Narrative, applicants must licensing, accreditation, and for most SAMHSA Services Grants. comprehensively describe how certification requirements), program Additional instructions and specific treatment services are linked with requirements, and formatting requirements for this funding housing programs and other services for requirements is provided in the SVC–04 opportunity are described below. homeless persons, e.g., primary health PA. Applications that do not comply Funding Opportunity Title: care. with these requirements will be • Development of Comprehensive Drug/ In Section C of the Project screened out and will not be reviewed. Alcohol and Mental Health Treatment Narrative, applicants must describe how Is Cost Sharing or Matching Required: Systems for Persons Who Are the proposed project will be coordinated No. Homeless—Short Title: Treatment for with other existing SAMHSA-funded How To Get Full Announcement and Homeless. grant projects in the target area, if there Application Materials: Complete Announcement Type: Initial. are any. The application must clearly application kits may be obtained from: Funding Opportunity Number: TI 04– state that there are no existing the National Clearinghouse for Alcohol XX. SAMHSA-funded grant projects in the and Drug Information (NCADI) at 1– Catalog of Federal Domestic target area, if this is the case. 800–729–6686. When requesting an Assistance (CFDA) Number: 93.243. • All grantees are required to report application kit, the applicant must Due Date for Applications: TBA. on the following client outcomes for specify the funding opportunity title Funding Instrument: Grant. their grant-funded projects, and and number for which detailed Funding Opportunity Description: applicants must document their ability information is desired. All information SAMHSA’s Services Grants provide to collect and report on these client necessary to apply, including where to funds to expand and strengthen outcomes in Section E of the Project submit applications and application effective, culturally appropriate Narrative: participants reporting deadline instructions, is included in the substance abuse and mental health abstinence at discharge; participants application kit. The PHS 5161–1 services at the State and local levels. improving employment/school application form and the full text of the Services grants must be used primarily attendance; participants having no program announcement are also to support service delivery. The services criminal justice involvement; available electronically via SAMHSA’s implemented through SAMHSA’s participants having stable living World Wide Web Home Page: http:// Services Grants must incorporate the situations; and participants reporting www.samhsa.gov. (Click on ‘Grant best objective information available (consumer/family) improvement in Opportunities’.) from recognized experts regarding behavioral/emotional symptoms. When submitting an application, be effectiveness and acceptability. Estimated Funding Available/Number sure to type ‘‘TI 04–XX, Treatment for Treatment of Homeless is one of of Awards: It is expected that [$$] Homeless’’ in Item Number 10 on the SAMHSA’s Services Grants programs. million will be available to fund [##] face page of the application form. The purpose of this funding opportunity awards in FY [XXXX]. The awards will Intergovernmental Review: Executive is to enable communities to expand and be up to [$$] in total costs (direct and Order 12372, as implemented through strengthen their treatment services for indirect) per year. Applications with Department of Health and Human homeless individuals with substance proposed budgets that exceed [$$] in Services (DHHS) regulation at 45 CFR abuse disorders, mental illness, or with any year will be returned without part 100, sets up a system for State and co-occurring substance abuse disorders review. local review of applications for Federal and mental illness. ‘‘Homeless’’ persons Period of Support: Up to five years, financial assistance. Instructions for are those who lack a fixed, regular, with annual continuations depending complying with E.O. 12372 are provided adequate nighttime residence, including on the availability of funds, grantee in the SVC–04 PA. persons whose primary nighttime progress in meeting program goals and Public Health System Impact residence is: a supervised public or objectives, and timely submission of Statement: The Public Health System private shelter designed to provide required data and reports. Impact Statement (PHSIS) is intended to temporary living accommodations; a Eligible Applicants: Eligibility is keep State and local health officials time-limited/nonpermanent transitional restricted by statute to community- informed of proposed health services

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grant applications submitted by preference to entities that provide about award notices, administrative community-based, non-governmental integrated primary health, substance requirements and reporting organizations within their jurisdictions. abuse, and mental health services to requirements is included in the SV–04 State and local governments and Indian homeless individuals, and to entities PA. tribal government applicants are not that have experience in providing Contact for Additional Information: subject to the Public Health System substance abuse and mental health [NAME], [ADDRESS], [PHONE], [E- Reporting Requirements. Instructions services to homeless individuals. MAIL]. for complying with the PHSIS are Additional information concerning provided in the SVC–04 PA. evaluation criteria, the review and Dated: August 13, 2003. Application Review Information: In selection process, and award criteria is Anna Marsh, compliance with Sec. 506 of the Public available in the SVC–04 PA. SAMHSA, Acting Executive Officer. Health Service Act, in making award Award Administration: Award [FR Doc. 03–21120 Filed 8–20–03; 8:45 am] decisions, SAMHSA will give information, including information BILLING CODE 4162–20–P

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Part III

Department of Energy 10 CFR Part 600 Financial Assistance Regulations; Final Rule

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DEPARTMENT OF ENERGY when DOE implemented the furnishing service for which a price per rrequirments of Circular A–110 in its hour or day has been agreed, an audit 10 CFR Part 600 financial assistance regulations at 10 of costs and general accounting RIN 1991–AB57 CFR part 600, subpart B, the practices would return no value but an Department, as a matter of discretion, audit of whether the services had been Financial Assistance Regulations also applied the provisions of the provided as reported would be of high Circular to commerical organizations. value. The requirement should be AGENCY: Department of Energy. This rulemaking began with DOE revised to allow this type of practice ACTION: Final rule. publishing a notice in the Federal rather than a full scale audit. Register on May 8, 2001, 66 FR 23197, Response: Proposed section 600.316 SUMMARY: The Department of Energy requesting comments on whether DOE would not require a full scale audit. It (DOE) is amending its Assistance should initiate a rulemaking to establish would require a recipient that expends Regulations by adding a new subpart, administrative requirements for $500,000 or more in a year under making minor amendments to existing financial assistance awards tailored Federal awards to have an audit made subparts to reflect this change, and specifically to for-profit organizations. for that year by an independent auditor eliminating a section that contains Respondents strongly endorsed the in accordance with the requirements in internal procedures for DOE officials or concept of administrative requirements paragraph (b) of that section. These requirements that are contained in other specifically tailored to for-profit requirements are similar to the sections. The new subpart establishes organizations. requirements of the Single Audit Act, as administrative requirements for awards DOE published a Notice of Proposed implemented by the Office of to for-profit organizations and Rulemaking (NOPR) in the Federal Management and Budget Circular A– eliminates the need to apply existing Register on August 26, 2002, 67 FR 133, ‘‘Audits of States, Local uniform administrative requirements, 54850. The NOPR proposed adding a Governments, and Non-profit applicable to institutions of higher new subpart D—Uniform Organizations.’’ In addition, the education, hospitals, and other Administrative Requirements for Grants recipient may elect to have the award nonprofit organizations, to awards with and Cooperative Agreements With For- separately audited if it is more for-profit organizations. Profit Organizations. This subpart economical, unless the award terms and EFFECTIVE DATE: This rule will become contained provisions similar to those in conditions or Federal laws or effective October 1, 2003. subpart B—Uniform Administrative regulations specify otherwise. For both cost shared and non-cost shared awards, FOR FURTHER INFORMATION CONTACT: Ms. Requirements for Grants and the Government needs reasonable Trudy Wood, Office of Procurement and Cooperative Agreements with assurance that the recipient has an Assistance Policy, Department of Institutions of Higher Education, effective internal control structure (e.g., Energy, at (202) 586-5625. Hospitals, Other Nonprofit control over and accountability for cash SUPPLEMENTARY INFORMATION: Organizations and Commercial Organizations, but the provisions had and property) and is complying with I. Background been tailored specifically for awards to Federal laws and regulations and the II. Discussion of Public Comments for-profits organizations. The NOPR also terms and conditions of the award (e.g., III. Revisions Incorporated in This Final Rule proposed that for-profit organizations whether the services have been IV. Procedural Requirements provided as reported). A. Review Under Executive Order 12866 subject to subpart D be relieved of B. Review Under the Regulatory Flexibility obligations that would otherwise apply Comment on Property Management Act under subpart B. Requirements The following section presents a C. Review Under the Paperwork Reduction Comment: The requirements under Act summary of the major comments proposed section 600.323, ‘‘Property D. Review Under the National grouped by subject, and the responses to management system,’’ appear to be the Environmental Policy Act the comments. Where appropriate, the E. Review Under Executive Order 13132 same as the property requirements for responses explain how we have changed assistance agreements with institutions F. Review Under Executive Order 12988 the proposed subpart D in the final rule. G. Review Under the Unfunded Mandates of higher education, hospitals, and other Reform Act of 1995 I. Discussion of Public Comments non-profit organizations. These H. Review Under the Treasury and General requirements would involve special Government Appropriations Act, 1999 Comments on Audit Requirements record keeping that is similar to the I. Review Under the Treasury and General Comment: The proposed section Federal Acquisition Regulation (FAR) Government Appropriations Act, 2001 600.316 is helpful from the point of J. Review Under Executive Order 13211 property clauses. It is requested that K. Review Under the Small Business view of publicly held firms but may be these requirements be further aligned Regulatory Enforcement Fairness Act an additional and unnecessary burden with the voluntary standard that V. Approval of the Office of the Secretary of for non-publicly held companies. The commercial organizations already Energy benefit in terms of assurance of proper follow. use of the public funds might not be Response: The voluntary standard for I. Background produced in a way that is proportional customer property management Office of Management and Budget to the cost and effort involved. The systems, established by the International (OMB) Circular A–110 provides uniform contracting officer should be Organization for Standardization requirements for the administration of empowered to require the recipient to (commonly referred to as the ISO), grants and agreements with institutions have an independent auditor arrange for merely provides that organizations: (1) of higher education, hospitals, and other a precise checking of the financial Exercise care with customer property; nonprofit organizations. OMB Circular details and non-financial activities (2) identify, verify, protect and A–110 also states that ‘‘Federal agencies needed to assure the proper use of the safeguard customer property; and (3) if may apply the provisions of this public funds. For example, if the property is lost, damaged or found Circular to commercial organizations. recipient is working under a cost-share unsuitable for use, report to the * * *’’ Consistent with this guidance, arrangement, where the contractor is customer and maintain records. To

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ensure uniformity and consistency in commercialized, and only upon mutual grants, but will be included in all the management of property under agreement between recipient and the cooperative-agreements. DOE decided to financial assistance awards, DOE Contracting Officer. include the ‘‘Authorization and believes more specificity is needed. Response: Proposed section 600.325, Consent’’ clause in cooperative Using the OMB Circular A–110, paragraph (c)(3) and the preamble of the agreements because these awards are ‘‘Uniform Administrative Requirements proposed regulation stated that virtually always cost-shared, and for Grants and Agreements with background rights to assure inclusion of this clause serves as a Institutions of Higher Education, commercialization may be included, but necessary incentive to secure Hospitals, and Other Nonprofit only under special circumstances, for participant cost-sharing. A new Organizations’’ as a guide, the example, to provide heightened parargraph (g)(3) has been added to this Department developed and incorporated assurance of commercialization. It is section. This paragraph establishes the into proposed section 600.323 a expected that these ‘‘special policy and clauses for inclusion of streamlined set of requirements. We circumstances’’ will be rare. Paragraph ‘‘ancillary’’ matters such as patent believe that this set of requirements is (c)(3) has been modified to expressly indemnity and notice and assistance. the minimum necessary to ensure the state that inclusion of background These clauses, if included, must be proper stewardship of property under invention (and data) provisions to consistent with those in 48 CFR part 927 financial assistance awards. assure commercialization will be done for acquisition. only with the written concurrence of the Comment: The ‘‘Rights in Data— Comments on Intellectual Property DOE program official setting forth the General’’ clause in Appendix A to Matters need for heightened assurance of subpart D continues to give to the Comment: Paragraph (c)(1) of commercialization, and that the scope of Government unlimited rights in ‘‘data proposed section 600.325 would any such background licensing first produced in the performance of the provide that if a recipient is a large provisions is subject to negotiation. agreement’’. Further, paragraph (i), business, the agreement must include Comment: Paragraph (g) of proposed ‘‘Additional data requirements’’, of this the clause giving ownership of section 600.325 would make the clause exposes the recipient to a inventions to DOE, unless there is an inclusion of the ‘‘Authorization and disclosure requirement for any data advance waiver. DOE should relieve the Consent’’ clause an exception available ‘‘first produced or specifically used in parties of the burden of justifying an only under fairly narrow circumstances. the performance of the agreement’’. DOE advance waiver on a case-by-case basis, Inclusion of the ‘‘Authorization and should have the right to receive only and provide to large business recipients Consent’’ clause should be that data that the agreement specifies as treatment similar to that provided to reconsidered. The Contracting Officer the deliverable data, so that incidental small business, i.e., title waived but should have increased flexibility to developments such as basic proprietary Government purpose license retained. include the clause, or at the very least, process improvements, the development Response: DOE operates under the rule should be more specific of which was not a requirement under statutory mandates to obtain title to regarding factors to be considered for the agreement, are not at risk. subject inventions, unless a patent inclusion of the ‘‘Authorization and Response: Both acquisitions, under waiver is granted (42 U.S.C. 2182; 42 Consent’’ clause (and the ancillary the Federal Acquisition Regulation U.S.C. 5908(c)). Patent waivers are to be clauses such as ‘‘Notice and (FAR) and the Department of Energy granted only upon consideration of a Assistance’’). Acquisition Regulation (DEAR), and number of factors specified by statute. Response: The proposed rule stated financial assistance, under 10 CFR part While DOE has granted ‘‘class waivers’’ that work performed by the recipient 600, give DOE rights in data ‘‘first where appropriate for specific programs, was not subject to authorization and produced’’ under an award, e.g., 10 CFR DOE does not believe it has authority to consent to the use of a patented 600.136 gives DOE the right to ‘‘obtain, grant a ‘‘class waiver’’ for all assistance invention except in certain limited reproduce, publish or otherwise use ‘the programs, as requested by the circumstances, such as a cooperative data first produced’ under an award to commenter. Nevertheless, DOE is agreement for research related to an educational and other nonprofit considering mechanisms for homeland security or the clean up of a organization’’. In addition DOE has ‘‘streamlining’’ the patent waiver DOE facility. The intent was that DOE statutory technical data dissemination process to minimize time and would assume no liability for patent obligations (e.g., 42 U.S.C. 205(d); 42 paperwork burdens on DOE and infringement except in those special U.S.C. 5817(e)). Data that is recipients. In addition, DOE is circumstances where DOE was a ‘‘specifically used,’’ but not first considering issuance of class waivers of secondary beneficiary and could derive produced in performance of an broader scope than previously granted. some use or benefit from the project. agreement, may be protected by the It should be noted that using the case- DOE generally awards cooperative recipient’s invoking of the withholding by-case patent waiver process may agreements for such projects because or marking provisions of paragraph (g) allow a recipient to obtain greater rights, DOE’s substantial involvement in and ‘‘Protection of limited rights data and e.g., rights to subcontractor inventions, contribution to the technical aspects of restricted computer software’’ of the than would normally be available under the effort are necessary to accomplish Rights in Data—General clause. Any the Patent Rights (Small Business Firms the objectives. The proposed rule delivery to the Government of limited and Nonprofit Organization) clause. invited the public to comment on rights data or restricted computer Comment: Paragraph (c)(3) of whether an authorization and consent software is subject to negotiation. The proposed section 600.325 states that provision should be included routinely fact that the Government has unlimited background patent and data provisions in assistance awards. As a result of our rights to data first produced or will not normally be required. consideration of this comment, we have specifically used, which does not Background patent and data provisions decided to be more specific regarding qualify as limited or restricted, does not should be included only in the use of this clause. The final rule mean that all data must be delivered. circumstances where there is an includes a revised paragraph (g) to The amount of data to be delivered is extraordinary risk that the intended specify that the ‘‘Authorization and determined by the program official and technological advance would not be Consent’’ clause will not be included in is subject to negotiation.

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Comment: The requirement in 10 CFR paragraph (a) of that section to clarify Policy Act of 1992 limits such part 784 for substantial manufacture in that if a recipient is performing under protection to data that would have been the United States for a patent title another Federal award that requires an treated as trade secret if developed at waiver remains unchanged. DOE should audit by its Federal cognizant agency private expense (42 U.S.C. 13293). consider loosening this restriction, since (e.g., Defense Contract Audit Agency), 7. In the proposed rule, section most large for-profit corporations today the recipient must also use that agency 600.351(a)(4) allowed DOE to terminate are global and have partnerships with to conduct the audit of the DOE award. a cooperative agreement for many overseas suppliers. The recipient and its Federal cognizant convenience of the government. While Response: The requirement for agency should develop a coordinated the Federal Acquisition Regulation substantial manufacture in the United audit approach to ensure that the DOE includes a termination for convenience States for assignees and exclusive award is included in the recipient’s requirement, this is not a standard licensees of a waived invention is annual Federal audit. requirement in financial assistance. embodied in a ‘‘Preference for U.S. 3. In the proposed rule, section Neither OMB Circular A–110 nor A–102 Industry’’ clause implementing a 600.325, paragraph (b) is entitled, includes a termination for convenience statutory requirement applicable to ‘‘Patent rights—small business concerns requirement. After further funding agreements with small business and nonprofit organizations.’’ As this consideration, we have decided to and nonprofits (35 U.S.C. 204) and paragraph is within subpart D, which delete paragraph (a)(4) in section made applicable to for-profit large applies to for-profit organizations, the 600.351 because DOE cooperative businesses by the FAR and DOE Patent title may be misleading or confusing. agreements are virtually always cost- Waiver regulations, 10 CFR part 784. The final rule deletes the references to shared, and applicants, lenders, and That ‘‘preference for U.S. Industry’’ nonprofit organizations in the title and equity contributors may be reluctant to provision includes authority for a first sentence of paragraph (b), but finance these projects if the award waiver, under certain circumstances. In retains the reference in the title of the includes such a provision. We do not addition, DOE generally requires a ‘‘U.S. clause in Appendix A, because this want to unnecessarily reduce the Competitiveness’’ provision as an clause implements the Bayh-Dole Act number of applicants applying for DOE additional condition for a patent waiver. (35 U.S.C. 206) and will be used by both assistance programs. This ‘‘U.S. Competitiveness’’ provision small businesses and nonprofit 8. Minor editorial corrections were is negotiable, depending on organizations. made to sections 600.302, 600.304, and circumstances surrounding the 4. In section 600.325, paragraph (c)(1) 600.325. particular technology involved and DOE the words ‘‘a large business’’ have been programmatic concerns. Inclusion of the changed to ‘‘a for-profit organization IV. Procedural Requirements ‘‘U.S. Competitiveness’’ provision is a other than a small business concern, as A. Review Under Executive Order 12866 programmatic decision, and therefore defined in 35 U.S.C. 201(h)’’ to comfort may be deleted with the concurrence of with the language in the statute. In Today’s regulatory action has been the DOE program official. However, addition, the words ‘‘pursuant to determined not to be ‘‘a significant where commercialization of DOE statute’’ have been added to clarify that regulatory action’’ under Executive supported technology is the goal, this is a statutory requirements. Order 12866, ‘‘Regulatory Planning and promoting a U.S. economic benefit is an 5. In the proposed rule, appendix A Review,’’ 58 FR 51735 (October 4, 1993). essential consideration. to subpart D, ‘‘Patent Rights (Small Accordingly, this action is not subject to Business Firms and Nonprofit review under that Executive Order by III. Revisions Incorporated in This Organizations)’’ clause, paragraph (g)(2) the Office of Information and Regulatory Final Rule made a reference to, but did not Affairs of the Office of Management and In addition to the changes made in identify, the ‘‘DOE implementing Budget (OMB). response to public comments, DOE regulations’’ and did not clearly address B. Review Under the Regulatory made the following revisions: subcontracting requirements and rights. 1. In the proposed rule, section The final rule clarifies paragraph (g)(2) Flexibility Act 600.311 encouraged recipients to use by deleting the reference to ‘‘DOE The Regulatory Flexibility Act (5 existing financial management systems implementing regulations’’ and U.S.C. 601 et seq.) requires preparation established for doing business in the inserting ‘‘10 CFR 600.355(c).’’ In of an initial regulatory flexibility commercial marketplace to the extent addition, a new paragraph (g)(3) has analysis for any rule that by law must that the systems comply with Generally been added to this clause to establish be proposed for public comment, unless Accepted Accounting Principles requirements for subawards, as follows: the agency certifies that the rule, if (GAAP) and the minimum standards in ‘‘(3) In the case of subawards/contracts promulgated, will not have a significant this section. In the final rule, we have at any tier, DOE, the Recipient, and the economic impact on a substantial deleted the words ‘‘established for doing subrecipeint/contractor agree that the number of small entities. Because DOE business in the commercial mutual obligations of the parties created is not required by the Administrative marketplace.’’ Recipients are by this clause constitute a contract procedure Act (5 U.S.C. 553) or any encouraged to use any existing systems between the subrecipient/contractor and other law to propose financial assistance (i.e., systems used in the commercial DOE with respect to those matters rules for public comment, DOE did not marketplace or systems established for covered by the clause.’’ prepare a regulatory flexibility analysis other government business) as long as 6. In appendix A to subpart D, ‘‘Rights for this rule. the systems comply with GAAP and the in Data—Programs Covered Under C. Review Under the Paperwork standards in this section. Special Protected Data Statutes’’ clause, 2. In the proposed rule, section paragraph (g)(1) has been modified to Reduction Act 600.316 would require recipients that add the following phrase to the end of This regulatory action will not impose expend $500,000 or more in a year the first sentence: ‘‘that would have any new reporting or record keeping under Federal awards to have an audit been treated as a trade secret if requirements under the Paperwork made for that year by an independent developed at private expense.’’ This Reduction Act. Reporting and record auditor. We have added language to change was made because the Energy keeping requirements in subpart D have

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been previously cleared under Office of standard and promote simplification guidelines issued by OMB. OMB’s Management and Budget Paperwork and burden reduction. Section 3(b) of guidelines were published at 67 FR Clearance Package Numbers 1910–0400 Executive Order 12988 specifically 8452 (February 22, 2002), and DOE’s and 1910–0800 or are those requires that Executive agencies make guidelines were published at 67 FR promulgated by OMB Circular A–110, every reasonable effort to ensure that the 62446 (October 7, 2002). DOE has which the Office of Management and regulations: (1) Clearly specifies the reviewed today’s notice of final Budget proposed in August 1992 (57 FR preemptive effect, if any; (2) clearly rulemaking under the OMB and DOE 39018), asking for public comments, and specifies any effect on existing Federal guidelines and has concluded that it is finalized in November 1993 (58 FR law or regulations; (3) provides a clear consistent with applicable policies in 62992). No new collection of legal standard for affected conduct those guidelines. information is imposed by this final while promoting simplification and rule. burden reduction; (4) specifies the J. Review Under Executive Order 13211 retroactive effect, if any; (5) adequately D. Review Under the National defines key terms; and (6) addresses Executive Order 13211, Actions Environmental Policy Act other important issues affecting clarity Concerning Regulations That DOE has concluded that promulgation and general draftsmanship under any Significantly Affect Energy Supply, of this rule falls into a class of actions guidelines issued by the Attorney Distribution, or Use, (66 FR 28355, May that would not individually or General, Section 3(c) of Executive Order 22, 2001) requires Federal agencies to cumulatively have a significant impact 12988 requires Executive agencies to prepare and submit to the Office of on the human environment, as review regulations in light of applicable Information and Regulatory Affairs determined by DOE’s regulations standards in section 3(a) and section (OIRA), Office of Management and implementing the National 3(b) to determine whether they are met Budget, a Statement of Energy Effects for Environmental Policy Act of 1969 (42 or it is unreasonable to meet one or any proposed significant energy action. U.S.C. 4321 et seq.). Specifically, this more of them. DOE has completed the A ‘‘significant energy action’’ is defined rule deals only with agency procedures, required review and determined that, to as any action by an agency that and, therefore, is covered under the the extent permitted by law, this final promulgated or is expected to lead to Categorical Exclusion in paragraph A6 rule meets the relevant standards of promulgation of a final rule, and that: to subpart D, 10 CFR part 1021. Executive Order 12988. Accordingly, neither an environmental (1) Is a significant regulatory action assessment nor an environmental G. Review Under the Unfunded under Executive Order 12866, or any impact statement is required. Mandates Reform Act of 1995 successor order; and (2) is likely to have Title II of the Unfunded Mandates a significant adverse effect on the E. Review Under Executive Order 13132 Reform Act of 1995 (Pub. L. 104–4) supply, distribution, or use of energy, or Executive Order 13132 (64 FR 43255, requires each Federal agency to assess (3) is designated by the Administrator of August 4, 1999) imposes certain the effects of a Federal regulatory action OIRA as a significant energy action. For requirements on agencies formulating on State, local, and tribal governments, any proposed significant energy action, and implementing policies are and the private sector. The Department the agency must give a detailed regulations that preempt State law or has determined that today’s regulatory statement of any adverse effects on that have federalism implications. action does not impose a Federal energy supply, distribution, or use Agencies are required to examine the mandate on State, local or tribal should the proposal be implemented, constitutional and statutory authority governments or on the private sector. and of reasonable alternatives to the supporting any action that would limit action and their expected benefits on the policymaking discretion of the H. Review Under the Treasury and General Government Appropriations energy supply, distribution, and use. States and carefully assess the necessity Today’s regulatory action is not a for such actions. DOE has examined Act, 1999 significant energy action. Accordingly, today’s final rule and has determined Section 654 of the Treasury and DOE has not prepared a Statement of that it does not preempt State law and General Government Appropriations Energy Effects. does not have a substantial direct effect Act, 1999 (Pub. L. 105–277) requires on the States, on the relationship Federal agencies to issue a Family K. Review Under the Small Business between the national government and Policymaking Assessment for any Regulatory Enforcement Fairness Act the States, or on the distribution of proposed rule or policy that may affect power and responsibilities among the family well-being. Today’s rule would As required by 5 U.S.C. 801, DOE will various levels of government. No further not have any impact on the autonomy report to Congress on the promulgation action is required by Execution Order or integrity of the family as an of today’s rule prior to its effective date. 13132. institution. Accordingly, DOE has The report will state that it has been concluded that it is not necessary to F. Review Under Executive Order 12988 determined that the rule is not a ‘‘major prepare a Family Policymaking rule’’ as defined by 5 U.S.C. 801(2). With respect to the review of existing Assessment. regulations and the promulgation of V. Approval of the Office of the new regulations, section 3(a) of I. Review Under the Treasury and Secretary of Energy Executive Order 12988, ‘‘Civil Justice General Government Appropriations Reform,’’ 61 FR 4729 (February 7, 1996), Act, 2001 The Office of the Secretary has imposes on Federal agencies the general The Treasury and General approved the issuance of this rule. duty to adhere to the following Government Appropriations Act, 2001, requirements: (1) Eliminate drafting 44 U.S.C. 3516, note, provides for errors and ambiguity; (2) write agencies to review most disseminations regulations to minimize litigation; and of information to the public under (3) provide a clear legal standard for implementing guidelines established by affected conduct rather than a general each agency pursuant to general

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List of Subjects in 10 CFR Part 600 Subpart B—Uniform Administrative Grants, Contracts and Cooperative Requirements for Grants and Agreements.’’ Administrative practice and Cooperative Agreements With * * * * * procedure. Institutions of Higher Education, Hospitals, and Other Nonprofit §§ 600.180–600.181 [Removed and Richard H. Hopf, Reserved] Director, Office of Procurement and Organizations ■ 12. Sections 600.180 and 600.181 are Assistance Management/Office of § 600.100 [Amended] Management, Budget and Evaluation, removed. Department of Energy. ■ 7. Section 600.100 is amended by ■ 13. Subpart D is added in part 600 to Robert C. Braden, removing ‘‘and commercial’’ in the first read as follows: Director, Office of Procurement and and second sentences. Subpart D—Uniform Administrative Assistance Management, National Nuclear § 600.104 [Amended] Requirements for Grants and Security Administration. Cooperative Agreemenets With For- ■ 8. Section 600.104 is amended by ■ Part 600 of chapter II, title 10 of the Profit Organizations removing ‘‘or commercial’’ in the first Code of Federal Regulations, is amended sentence and by adding a sentence at the General as follows: end of the paragraph to read as follows: Sec. PART 600—FINANCIAL ASSISTANCE § 600.104 Subawards. 600.301 Purpose. RULES 600.302 Definitions. * * * For-profit subrecipients are 600.303 Deviations. ■ 1. The authority citation for part 600 subject to the provisions of 10 CFR part 600.304 Special award conditions. 600.305 Debarment and suspension. continues to read as follows: 600, subpart D, Administrative Requirements for Grants and 600.306 Metric system of measurement. Authority: 42 U.S.C. 7101 et seq; 31 U.S.C. Cooperative Agreements with For-Profit Post-Award Requirements 6301–6308; 50 U.S.C. 2401 et seq. unless Organizations. otherwise noted. Financial and Program Management ■ 9. Section 600.126 is amended by 600.310 Purpose of financial and program ■ 2. Section 600.3 is amended by removing paragraphs (d) and (e) and revising the definition of ‘‘nonprofit management. revising paragraph (c) to read as follows: 600.311 Standards for financial organization’’ to read as follows: management systems. § 600.126 Non-Federal audits. § 600.3 Definitions. 600.312 Payment. * * * * * 600.313 Cost sharing or matching. * * * * * (c) For-profit organizations that are 600.314 Program income. Nonprofit organization means any subrecipients are subject to the audit 600.315 Revision of budget and program corporation, trust, foundation, or requirements specified in 10 CFR plans. 600.316 Audits. institution which is entitled to 600.316. 600.317 Allowable costs. exemption under section 501(c)(3) of the § 600.127 [Amended] 600.318 Fee and profit. Internal Revenue Code, or which is not organized for profit and no part of the ■ 10. Section 600.127 is amended in Property Standards net earnings of which inure to the paragraph (c) by removing ‘‘except for 600.320 Purpose of property standards. benefit of any private shareholder or SBIR recipients as provided in 600.321 Real property and equipment. individual (except that the definition of § 600.18(d)(3).’’ 600.322 Federally owned property. 600.323 Property management system. ‘‘nonprofit organization’’ at 48 CFR ■ 11. Section 600.136 is amended as 600.324 Supplies. 27.301 shall apply for patent matters set follows: 600.325 Intellectual property. forth at §§ 600.136 and 600.325). ■ a. Paragraph (a), the first sentence is Procurement Standards * * * * * amended by removing ‘‘that are 600.330 Purpose of procurement standards. § 600.4 [Amended] institutions of higher education, 600.331 Requirements. hospitals, and other nonprofit ■ 3. Section 600.4 is amended as follows: organizations,’’ Reports and Records ■ 600.340 Purpose of reports and records. ■ a. Paragraph (a)(1), the last sentence is b. Paragraph (b) is revised. ■ c. Paragraph (d)(3) is removed. 600.341 Monitoring and reporting program amended by removing ‘‘or the patent and financial performance. ■ requirements of § 600.27.’’ d. Paragraph (e), the first sentence is 600.342 Retention and access requirements amended by removing ‘‘For recipients ■ b. Paragraph (c)(2)(i), the last sentence for records. that are institutions of higher education, is removed. hospitals, and other nonprofit Termination and Enforcement ■ c. Paragraph (c)(2)(ii), the last sentence organizations.’’ 600.350 Purpose of termination and is removed. ■ enforcement. The revision reads as follows: 600.351 Termination. § 600.15 [Amended] § 600.136 Intangible property. 600.352 Enforcement. 600.353 Disputes and appeals. ■ 4. Section 600.15 is amended by * * * * * removing paragraphs (b)(4) and (5). (b) Recipients are subject to After-the-Award Requirements applicable regulations governing patents 600.360 Purpose. § 600.27 [Removed and Reserved] and inventions, including government- 600.361 Closeout procedures. wide regulations issued by the 600.362 Subsequent adjustments and ■ 5. Section 600.27 is removed and Department of Commerce at 37 CFR part continuing responsibilities. reserved. 600.363 Collection of amounts due. 401, ‘‘Rights to Inventions Made by ■ 6. The title of subpart B is revised to Nonprofit Organizations and Small Additional Provisions read as follows: Business Firms Under Government 600.380 Purpose.

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600.381 Special provisions for Small potential of scientific discoveries or obligated to the award are less than the Business Innovation Research Grants. improvements in technology, and is total amount of the award, and DOE Appendix A to Subpart D to Part 600—Patent directed toward the development of new anticipates making additional and Data Rights Provisions materials, devices, methods, and obligations of funds when appropriated Appendix B to Subpart D to Part 600— funds become available. Contract Provisions processes. Basic research means efforts directed Obligations means the amount of Subpart D—Administrative solely toward increasing knowledge or orders placed, contracts and grants Requirements for Grants and understanding in science and awarded, services received and similar Cooperative Agreements With For- engineering. transactions during a given period that Profit Organizations Cash contributions means the require payment by the recipient during recipient’s cash outlay, including the the same or a future period. General outlay of money contributed to the Outlays or expenditures means recipient by third parties. charges made to the project or program. § 600.301 Purpose. Closeout means the process by which They may be reported on cash or accrual (a) This subpart prescribes DOE determines that all applicable basis. For reports prepared on a cash administrative requirements for awards administrative actions and all required basis, outlays are the sum of cash to for-profit organizations. work of the award have been completed disbursements for direct charges for (b) Applicability to prime awards and by the recipient and DOE. goods and services, the amount of subawards is as follows: Cost sharing or matching means that indirect expense charged, the value of (1) Prime awards: DOE contracting portion of project or program costs not third party in-kind contributions officers must apply the provisions of borne by the Federal Government. applied, and the amount of cash this part to awards to for-profit Demonstration means a project advances and payments made to organizations. Contracting officers must designed to determine the technical subrecipients. For reports prepared on not impose requirements that are in feasibility and economic potential of a an accrual basis, outlays are the sum of addition to, or inconsistent with, the technology on either a pilot plant or a cash disbursements for direct charges requirements provided in this part, prototype scale. for goods and services, the amount of except: Development means efforts to create indirect expense incurred, the value of (i) In accordance with the deviation or advance new technology or in-kind contributions applied, and the procedures or special award conditions demonstrate the viability of applying net increase (or decrease) in the in § 600.303 or § 600.304, respectively; existing technology to new products and amounts owed by the recipient for or processes. goods and other property received, for (ii) As required by Federal statute, Disallowed costs means those charges services performed by employees, Executive order, or Federal regulation to an award that the DOE contracting contractors, subrecipients and other implementing a statute or Executive officer determines to be unallowable, in payees, and for other amounts becoming order. accordance with the applicable Federal owed under programs for which no (2) Subawards. (i) Any legal entity cost principles or other terms and current services or performance are (including any State, local government, conditions contained in the award. required. university or other nonprofit DOE means the Department of Energy, Personal property means property of organization, as well as any for-profit including the National Nuclear Security any kind except real property. It may be: entity) that receives an award from DOE Administration (NNSA). (1) Tangible, having physical must apply the provisions of this part to Equipment means tangible, existence (i.e., equipment and supplies); subawards with for-profit organizations. nonexpendable personal property or (ii) For-profit organizations that charged directly to the award having a (2) Intangible, having no physical receive prime awards covered by this useful life of more than one year and an existence, such as patents, copyrights, part must apply to each subaward the acquisition cost of $5,000 or more per data, and software. administrative requirements that are unit. Prior approval means written or applicable to the particular type of Excess property means property under electronic approval by an authorized subrecipient (e.g., 10 CFR part 600, the control of any DOE Headquarters or official evidencing prior consent. subpart B, contains requirements for field office that, as determined by the Program income means gross income institutions of higher education, head thereof, is no longer required for earned by the recipient that is directly hospitals, or other nonprofit its needs or the discharge of its generated by a supported activity or organizations and 10 CFR part 600, responsibilities. earned as a result of the award. Program subpart C, specifies requirements for Federal funds authorized: means the income includes, but is not limited to, subrecipients that are States or local total amount of Federal funds obligated income from fees for services governments). by the Federal Government for use by performed, the use or rental of real or the recipient. This amount may include personal property acquired under § 600.302 Definitions. any authorized carryover of unobligated federally-funded projects, the sale of In addition to the definitions used in funds from prior funding periods. commodities or items fabricated under subpart A of this part, the following are Federally owned property means an award, license fees and royalties on definitions of terms as used in this property in the possession of, or directly patents and copyrights, and interest on subpart: acquired by, the Government and loans made with award funds. Interest Advance means a payment made by subsequently made available to the earned on advances of Federal funds is Treasury check or other appropriate recipient. not program income. Except as payment mechanism to a recipient upon Funding period means the period of otherwise provided in program its request either before outlays are time when Federal funding is available regulations or the terms and conditions made by the recipient or through the use for obligation by the recipient. of the award, program income does not of predetermined payment schedules. Incremental funding means a method include the receipt of principal on Applied research means efforts that of funding a grant or cooperative loans, rebates, credits, discounts, etc., or seek to determine and exploit the agreement where the funds initially interest earned on any of them.

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Project costs means all allowable contributions provided by non-Federal § 600.306 Metric system of measurement. costs, as set forth in the applicable third parties. Third party in-kind (a) The Metric Conversion Act of Federal cost principles, incurred by a contributions may be in the form of real 1975, as amended by the Omnibus recipient and the value of the property, equipment, supplies and other Trade and Competitiveness Act of 1988 contributions made by third parties in expendable property, and the value of (15 U.S.C. 205) and implemented by accomplishing the objectives of the goods and services directly benefiting Executive Order 12770, states that: award during the project period. and specifically identifiable to the (1) The metric system is the preferred Property means real property and project or program. measurement system for U.S. trade and personal property (equipment, supplies, Unobligated balance means the commerce. and intellectual property), unless portion of the funds authorized by DOE (2) The metric system of measurement otherwise stated. that has not been obligated by the will be used, to the extent economically Real property means land, including recipient and is determined by feasible, in Federal agencies’ land improvements, structures and deducting the cumulative obligations procurements, grants, and other appurtenances thereto, but excludes from the cumulative funds authorized. business-related activities. movable machinery and equipment. (3) Metric implementation is not Small award means an award not § 600.303 Deviations. required if such use is likely to cause exceeding the simplified acquisition (a) Individual deviations. Individual significant inefficiencies or loss of threshold fixed at 41 U.S.C. 403(11) deviations affecting only one award are markets to United States firms. (currently $100,000). subject to the procedures stated in 10 (b) Recipients are encouraged to use Small business concern means a small CFR 600.4 the metric system to the maximum business as defined at section 2 of Pub. (b) Class deviations. Class deviations extent practicable in measurement- L. 85–536 (16 U.S.C. 632) and the affecting more than one financial sensitive activities and in measurement- implementing regulations of the assistance transaction are subject to the sensitive outputs resulting from DOE Administrator of the Small Business procedures states in 10 CFR 600.4. funded programs. Administration. The criteria and size standards for small business concerns § 600.304 Special award conditions. Post-Award Requirements are contained in 13 CFR part 121. (a) Contracting officers may impose Financial and Program Management Subaward means financial assistance additional requirements as needed, over in the form of money, or property in lieu § 600.310 Purpose of financial and and above those provided in this program management. of money, provided under an award by subpart, if an applicant or recipient: a recipient to an eligible subrecipient or Sections 600.311 through 600.318 (1) Has a history of poor performance; by a subrecipient to a lower tier prescribe standards for financial subrecipient. The term includes (2) Is not financially stable; management systems; methods for financial assistance when provided by (3) Has a management system that making payments; and rules for cost an legal agreement, even if the does not meet the standards prescribed sharing and matching, program income, agreement is called a contract, but the in this subpart; revisions to budgets and program plans, term does not include procurement of (4) Has not conformed to the terms audits, allowable costs, and fee and goods and services or any form of and conditions of a previous award; or profit. assistance which is not included in the (5) Is not otherwise responsible. definition of ‘‘award’’ in this part. § 600.311 Standards for financial (b) Before imposing additional management systems. Subrecipient means the legal entity to requirements, DOE must notify the which a subaward is made and which applicant or recipient in writing as to: (a) Recipients are encouraged to use existing financial management systems is accountable to the recipient for the (1) The nature of the additional to the extent that the systems comply use of the funds or property provided. requirements; Supplies means tangible, expendable with Generally Accepted Accounting (2) The reason why the additional Principles (GAAP) and the minimum personal property that is charged requirements are being imposed; directly to the award and that has a standards in this section. At a (3) The nature of the corrective action useful life of less than one year or an minimum, a recipient’s financial needed; acquisition cost of less than $5,000 per management system must provide: unit. (4) The time allowed for completing (1) Effective control of all funds. Suspension means an action by DOE the corrective actions; and Control systems must be adequate to that temporarily withdraws Federal (5) The method for requesting ensure that costs charged to Federal sponsorship under an award, pending reconsideration of the additional funds and those counted as the corrective action by the recipient or requirements imposed. recipient’s cost share or match are pending a decision to terminate the (c) The contracting officer must consistent with requirements for cost award by DOE. Suspension of an award remove any special conditions if the reasonableness, allowability, and is a separate action from suspension of circumstances that prompted them have allocability in the applicable cost a recipient under 10 CFR part 1036. been corrected. principles (see § 600.317) and in the Termination means the cancellation terms and conditions of the award. § 600.305 Debarment and suspension. of an award, in whole or in part, under (2) Accurate, current and complete an agreement at any time prior to either: Recipients must comply with the records that document, for each project (1) The date on which all work under nonprocurement debarment and funded wholly or in part with Federal an award is completed; or suspension common rule implemented funds, the source and application of the (2) The date on which Federal in 10 CFR part 1036. This common rule Federal funds and the recipient’s sponsorship ends, as provided in the restricts subawards and contracts with required cost share or match. These award document or any supplement or certain parties that are debarred, records must: amendment thereto. suspended, or otherwise excluded from (i) Contain information about receipts, Third party in-kind contributions or ineligible for participation in Federal authorizations, assets, expenditures, means the value of non-cash assistance programs or activities. program income, and interest.

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(ii) Be adequate to make comparisons recipient’s cash needs. The payment for Construction Programs;’’ or prescribe of outlays with amounts budgeted for generally is made upon the recipient’s other forms or formats as necessary. each award (as required for request, although predetermined (e) Timeliness of payments. Payments programmatic and financial reporting payment schedules may be used when normally will be made within 30 under § 600.341). Where appropriate, the timing of the recipient’s needs to calendar days of the receipt of a financial information should be related disburse funds can be predicted in recipient’s request for reimbursement or to performance and unit cost data. advance with sufficient accuracy to advance by the office designated to (3) To the extent that advance ensure compliance with paragraph receive the request, unless the billing is payments are authorized under (b)(2)(iii) of this section. improper. § 600.312, procedures that minimize the (b) Selecting a method. (1) The (f) Precedence of other available time elapsing between the transfer of preferred payment method is the funds. Recipients must disburse funds funds to the recipient from the reimbursement method, as described in available from program income, rebates, Government and the recipient’s paragraph (a)(1) of this section. refunds, contract settlements, audit disbursement of the funds for program (2) Advance payments, as described recoveries, credits, discounts, and purposes. in paragraph (a)(2) of this section, may interest earned on such funds before (4) A system to support charges to be used in exceptional circumstances, requesting additional cash payments. Federal awards for salaries and wages, subject to the following conditions: (g) Withholding of payments. Unless whether treated as direct or indirect (i) The contracting officer, in otherwise required by statute, costs. If employees work on multiple consultation with the program official, contracting officers may not withhold activities or cost objectives, a determines in writing that advance payments for proper charges made by distribution of their salaries and wages payments are necessary or will recipients during the project period for must be supported by personnel activity materially contribute to the probability reasons other than the following: reports which: of success of the project contemplated (1) A recipient failed to comply with (i) Reflect an after the fact distribution under the award (e.g., as startup funds project objectives, the terms and of the actual activity of each employee. for a project performed by a newly conditions of the award, or Federal (ii) Account for the total activity for formed company). reporting requirements, in which case which each employee is compensated. (ii) Cash advances must be limited to the contracting officer may suspend (iii) Are prepared at least monthly, the minimum amounts needed to carry payments in accordance with § 600.352. and coincide with one or more pay out the program. (2) The recipient is delinquent on a periods. (iii) Recipients and DOE must debt to the United States (see definitions (b) If the Federal Government maintain procedures to ensure that the of ‘‘debt’’ and ‘‘delinquent debt’’ in 32 guarantees or insures the repayment of timing of cash advances is as close as is CFR 22.105). In that case, the money borrowed by the recipient, DOE, administratively feasible to the contracting officer may, upon at its discretion, may require adequate recipients’ disbursements of the funds reasonable notice, withhold payments to bonding and insurance if the bonding for program purposes, including direct the recipient until the debt owed is and insurance requirements of the program or project costs and the resolved. recipient are not deemed adequate to proportionate share of any allowable § 600.313 Cost sharing or matching. protect the interest of the Federal indirect costs. Government. (a) Acceptable contributions. All (iv) Recipients must maintain advance (c) DOE may require adequate fidelity contributions, including cash payments of Federal funds in interest- bond coverage if the recipient lacks contributions and third party in-kind bearing accounts, and remit annually sufficient coverage to protect the contributions, must be accepted as part the interest earned to the contracting Federal Government’s interest. of the recipient’s cost sharing or (d) If bonds are required in the officer for return to the Department of matching if such contributions meet all situations described in paragraphs (b) Treasury’s miscellaneous receipts of the following criteria: and (c) of this section, the bonds must account, unless one of the following (1) They are verifiable from the be obtained from companies holding applies: recipient’s records. certificates of authority as acceptable (A) The recipient receives less than (2) They are not included as sureties, as prescribed in 31 CFR part $120,000 in Federal awards per year. contributions for any other federally- 223, ‘‘Surety Companies Doing Business (B) The best reasonably available assisted project or program. with the United States.’’ interest bearing account would not be (3) They are necessary and reasonable expected to earn interest in excess of for proper and efficient accomplishment § 600.312 Payment. $250 per year on Federal cash balances. of project or program objectives. (a) Methods available. Payment (C) The depository would require an (4) They are allowable under methods for awards with for-profit average or minimum balance so high § 600.317. organizations are: that establishing an interest bearing (5) They are not paid by the Federal (1) Reimbursement. Under this account would not be feasible, given the Government under another award method, the recipient requests expected Federal and non-Federal cash unless authorized by Federal statute to reimbursement for costs incurred during resources. be used for cost sharing or matching. a particular time period. In cases where (c) Frequency of payments. For either (6) They are provided for in the the recipient submits requests for reimbursements or advance payments, approved budget. payment to the contracting officer, the recipients may submit requests for (7) They conform to other provisions DOE payment office reimburses the payment monthly, or more often if of this part, as applicable. recipient by electronic funds transfer authorized by the contracting officer. (b) Valuing and documenting after approval of the request by the (d) Forms for requesting payment. contributions. designated contracting officer. DOE may authorize recipients to use the (1) Valuing recipient’s property or (2) Advance payments. Under this SF–270, ‘‘Request for Advance or services of recipient’s employees. Values method, DOE makes a payment to a Reimbursement;’’ the SF–271, ‘‘Outlay are established in accordance with the recipient based upon projections of the Report and Request for Reimbursement applicable cost principles in § 600.317,

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which means that amounts chargeable (ii) Normally only depreciation or use to further eligible project or program to the project are determined on the charges for equipment and buildings objectives. basis of costs incurred. For real property may be applied. However, the fair rental (2) Used to finance the non-Federal or equipment used on the project, the charges for land and the full value of share of the project or program. cost principles authorize depreciation or equipment or other capital assets may (3) Deducted from the total project or use charges. The full value of the item be allowed, when they will be program allowable cost in determining may be applied when the item will be consumed in the performance of the the net allowable costs on which the consumed in the performance of the award or fully depreciated by the end of Federal share of costs is based. award or fully depreciated by the end of the award, provided that the contracting (e) If the program regulation or terms the award. In cases where the full value officer has approved the charges. When and conditions of an award authorize of a donated capital asset is to be use charges are applied, values must be the disposition of program income as applied as cost sharing or matching, that determined in accordance with the described in paragraph (d)(1) or (d)(2) of full value must be the lesser or the usual accounting policies of the this section, and stipulate a limit on the following: recipient, with the following amounts that may be used in those (i) The certified value of the qualifications: ways, program income in excess of the remaining life of the property recorded (A) The value of donated space must stipulated limits must be used in in the recipient’s accounting records at not exceed the fair rental value of accordance with paragraph (d)(3) of this the time of donation; or comparable space as established by an section. (ii) The current fair market value. If independent appraisal of comparable (f) In the event that the program there is sufficient justification, the space and facilities in a privately-owned regulation or terms and conditions of contracting officer may approve the use building in the same locality. the award do not specify how program of the current fair market value of the (B) The value of loaned equipment income is to be used, paragraph (d)(3) of donated property, even if it exceeds the must not exceed its fair rental value. this section applies automatically to all certified value at the time of donation to (5) Documentation. The following projects or programs except research. the project. The contracting officer may requirements pertain to the recipient’s For awards that support basic or applied accept the use of any reasonable basis supporting records for in-kind research, paragraph (d)(1) of this section for determining the fair market value of contributions from third parties: applies automatically unless the terms the property. (i) Volunteer services must be and conditions specify another (2) Valuing services of others’ documented and, to the extent feasible, alternative or the recipient is subject to employees. If an employer other than supported by the same methods used by special award conditions, as indicated the recipient furnishes the services of an the recipient for its own employees. in § 600.304. employee, those services are valued at (ii) The basis for determining the (g) Proceeds from the sale of property the employee’s regular rate of pay plus valuation for personal services and that is acquired, rather than fabricated, an amount of fringe benefits and property must be documented. under an award are not program income overhead (at an overhead rate and must be handled in accordance appropriate for the location where the § 600.314 Program income. with the requirements of §§ 600.320 services are performed), provided these (a) DOE must apply the standards in through 600.325 of this part. services are in the same skill for which this section to the disposition of the employee is normally paid. program income from projects financed § 600.315 Revision of budget and program (3) Valuing volunteer services. in whole or in part with Federal funds. plans. Volunteer services furnished by (b) Unless program regulations or the (a) The budget plan is the financial professional and technical personnel, terms and conditions of the award expression of the project or program as consultants, and other skilled and provide otherwise, recipients, without approved during the award process. It unskilled labor may be counted as cost any further accounting to DOE, may includes the sum of the Federal and sharing or matching if the service is an retain program income earned: non-Federal shares when there are cost integral and necessary part of an (1) From license fees and royalties for sharing requirements. The budget plan approved project or program. Rates for copyrighted material, patents, patent must be related to performance for volunteer services must be consistent applications, trademarks, and program evaluation purposes, whenever with those paid for similar work in the inventions produced under an award. appropriate. recipient’s organization. In those (2) After the end of the project period. (b) The recipient must obtain the markets in which the required skills are (c) Unless program regulations or the contracting officer’s prior approval if a not found in the recipient organization, terms and conditions of the award revision is necessary for either of the rates must be consistent with those paid provide otherwise, costs incident to the following two reasons: for similar work in the labor market in generation of program income for which (1) A change in the scope or the which the recipient competes for the there is some obligation to the objective of the project or program (even kind of services involved. In either case, Government may be deducted from if there is no associated budget revision paid fringe benefits that are reasonable, gross income to determine program requiring prior written approval). allowable, and allocable may be income, provided these costs have not (2) A need for additional Federal included in the valuation. been charged to the award. funding. (4) Valuing property donated by third (d) Other than any program income (c) The recipient must obtain the parties. excluded pursuant to paragraph (b) and contracting officer’s prior approval if a (i) Donated supplies may include (c) of this section, program income revision is necessary for any of the such items as office supplies or earned during the project period must following six reasons, unless the laboratory supplies. Value assessed to be retained by the recipient and used in requirement for prior approval is donated supplies included in the cost one or more of the following ways, as specifically waived in the program sharing or matching share must be specified in program regulations or the regulation or terms and conditions of reasonable and must not exceed the fair terms and conditions of the award: the award: market value of the property at the time (1) Added to funds committed to the (1) A change in the approved project of the donation. project by DOE and recipient and used director, principal investigator, or other

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key person specified in the application part of the regularly scheduled, annual types of organizations that may be or award document. audit of the recipient’s financial subrecipients under a prime award to a (2) The absence for more than three statements. However, it may be more for-profit organization is determined as months, or a 25 percent reduction in economical in some cases to have follows: time devoted to the project, by the Federal awards separately audited, and (i) Institutions of higher education. approved project director or principal a recipient may elect to do so, unless Allowability is determined in investigator. that option is precluded by award terms accordance with OMB Circular A–21, (3) The inclusion of any additional and conditions or by Federal laws or ‘‘Cost Principles for Educational costs that require prior approval in regulations applicable to the program(s) Institutions.’’ accordance with the applicable costs under which the awards were made. (ii) Other nonprofit organizations. principles for Federal funds and the (b) The auditor must determine and Allowability is determined in requirements applicable to the report on whether: accordance with OMB Circular A–122, recipient’s cost share or match, as (1) The recipient has an internal ‘‘Cost Principles for Nonprofit provided in § 600.313 and § 600.317, control structure that provides Organizations.’’ respectively. reasonable assurance that it is managing (iii) Hospitals. Allowability is (4) The inclusion of pre-award costs Federal awards in compliance with determined in accordance with the for periods greater than the 90 calendar Federal laws and regulations and the provisions of 45 CFR part 74, Appendix days immediately preceding the terms and conditions of the awards. E, ‘‘Principles for Determining Costs effective date of the award. (2) Based on a sampling of Federal Applicable to Research and (5) A ‘‘no-cost’’ extension of the award expenditures, the recipient has Development Under Grants and project period. complied with laws, regulations, and Contracts with Hospitals.’’ (6) Any subaward, transfer, or award terms that may have a direct and (iv) Governmental organizations. contracting out of substantive program material effect on Federal awards. Allowability for State, local, or federally performance under an award, unless (c) The recipient must make the recognized Indian tribal government is described in the application and funded auditor’s report available to the DOE determined in accordance with OMB in the approved awards. contracting officers whose awards are Circular A–87, ‘‘Cost Principles for State (d) If specifically required in the affected. and Local Governments.’’ program regulation or the terms and (d) Before requesting an audit in (b) Pre-award costs. If a recipient conditions of the award, the recipient addition to the independent audit, the incurs pre-award costs without the prior must obtain the contracting officer’s contracting officer must: approval of the contracting officer, DOE prior approval for the following (1) Consider whether the independent may pay those costs incurred within the revisions: audit satisfies his or her requirements; ninety calendar day period immediately (1) The transfer of funds among direct (2) Limit the scope of such additional preceding the effective date of the cost categories, functions, and activities audit to areas not adequately addressed award, if such costs are: for awards in which the Federal share by the independent audit; and (1) Necessary for the effective and of the project exceeds $100,000 and the (3) If DOE is not the Federal agency economical conduct of the project; cumulative amount of such transfers with the predominant fiscal interest in (2) Otherwise allowable in accordance exceeds or is expected to exceed 10 the recipient, coordinate with the with the applicable cost principles; and percent of the total budget as last agency that has the predominant fiscal (3) Less than the total value of the approved by DOE. interest. award. (2) For awards that provide support (e) The recipient and its Federal § 600.318 Fee and profit. for both construction and cognizant agency for audit should nonconstruction work, any fund or develop a coordinated audit approach to (a) Grants and cooperative agreements budget transfers between the two types minimize duplication of audit work. may not provide for the payment of fee of work supported. (f) Audit costs (including a reasonable or profit to recipients or subrecipients, (e) Within 30 calendar days from the allocation of the costs of the audit of the except for awards made pursuant to the date of receipt of the recipient’s request recipient’s financial statement, based on Small Business Innovation Research or for budget revisions, the contracting the relative benefit to the Government Small Business Technology Transfer officer must review the request and and the recipient) are allowable costs of Research programs. notify the recipient whether the budget DOE awards. (b) A recipient or subrecipient may revisions have been approved. If the pay a fee or profit to a contractor revision is still under consideration at § 600.317 Allowable costs. providing goods or services under a the end of 30 calendar days, the (a) DOE determines allowability of contract. contracting officer must inform the costs in accordance with the cost Property Standards recipient in writing of the date when the principles applicable to the type of recipient may expect the decision. entity incurring the cost as follows: § 600.320 Purpose of property standards. (1) For-profit organizations. Sections 600.321 through 600.325 set § 600.316 Audits. Allowability of costs incurred by for- forth uniform standards for (a) Any recipient that expends profit organizations and those nonprofit management, use, and disposition of $500,000 or more in a year under organizations listed in Attachment C to property. DOE encourages recipients to Federal awards must have an audit OMB Circular A–122 is determined in use existing property-management made for that year by an independent accordance with the for-profit costs systems to the extent that the systems auditor, in accordance with paragraph principles in 48 CFR part 31 in the meet these minimum requirements. (b) of this section. If a recipient is Federal Acquisition Regulation, except currently performing under a Federal that patent prosecution costs are not § 600.321 Real property and equipment. award that requires an audit by its allowable unless specifically authorized (a) Prior approvals for acquisition Federal cognizant agency, that auditor in the award document. with Federal funds. Recipients may must perform the independent audit. (2) Other types of organizations. purchase real property or equipment in The audit generally should be made a Allowability of costs incurred by other whole or in part with Federal funds

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under an award only with the prior (ii) Activities sponsored by other replacement equipment, the recipient approval of the contracting officer. Federal agencies’ grants, cooperative must request disposition instructions (b) Title. Unless a statute specifically agreements, or other assistance awards; from the responsible agency. authorizes and the award specifies that (iii) Activities under Federal (2) If a recipient requests disposition title to property vests unconditionally in procurement contracts or activities not instructions, the contracting officer the recipient, title to real property or sponsored by any Federal agency. If so must: equipment vests in the recipient subject used, use charges must be assessed to (i) For equipment (but not real to the conditions that the recipient: those activities. For real property or property), consult with the DOE Project Director to determine whether the (1) Use the real property or equipment equipment, the use charges must be at condition and nature of the equipment for the authorized purposes of the rates equivalent to those for which warrant excess screening within DOE. If project until funding for the project comparable real property or equipment screening is warranted, the equipment ceases, or until the property is no longer may be leased. will be made available for reutilization needed for the purposes of the project; (2) After Federal funding for the project ceases or if the real property or within DOE through the Energy Asset (2) Not encumber the property equipment is no longer needed for the Disposal System (EADS). If no DOE without approval of the contracting purposes of the project, the recipient requirement is identified within a 30- officer; and may use the real property or equipment day period, EADS automatically reports (3) Use and dispose of the property in for other projects, insofar as: the availability of the equipment to the accordance with paragraphs (d) and (e) (i) There are Federally sponsored General Services Administration, to of this section. projects for which the real property or determine whether a requirement for the (c) Federal interest in real property or equipment may be used. If the only use equipment exists in other Federal equipment offered as cost-share. A for the real property or equipment is for agencies. recipient may offer the full value of real projects that have no Federal (ii) For either real property or property or equipment that is purchased sponsorship, the receipt must proceed equipment, issue instructions to the with recipient’s funds or that is donated with disposition of the real property or recipient for disposition of the property by a third party to meet a portion of any equipment, in accordance with no later than 120 calendar days after the required cost sharing or matching, paragraph (f) of this section. recipient’s request. The contracting subject to the requirements in § 600.313. (ii) The recipient obtains written officer’s options for disposition are to If a resulting award includes such approval from the contracting officer to direct the recipient to: property as a portion of the recipient’s do so. The contracting officer must (A) Transfer title to the real property cost share, the Government has a ensure that there is a formal change of or equipment to the Federal financial interest in the property, (i.e., a accountability for the real property or Government or to an eligible third party share of the property value equal to the equipment to a currently funded, provided that, in such cases, the Federal participation in the project). Federal award. recipient is entitled to compensation for The property is considered as if it had (iii) The recipient’s use of the real its attributable percentage of the current been acquired in part with Federal property or equipment for other projects fair market value of the real property or funds, and is subject to the provisions is in the same order of priority as equipment, plus any reasonable of paragraphs (b)(1), (b)(2), and (b)(3) of described in paragraph (e)(1) of this shipping or interim storage costs this section and to the provisions of section. incurred. § 600.323. (f) Disposition. (B) Sell the real property or (d) Insurance. Recipients must, at a (1) If an item of real property or equipment and pay the Federal minimum, provide the equivalent equipment is no longer needed for Government for that percentage of the insurance coverage for real property and Federally sponsored projects, the current fair market value of the property equipment acquired with DOE funds as recipient has the following options: that is attributable to the Federal provided to property owned by the (i) If the property is equipment with participation in the project (after recipient. a current per unit fair market value of deducting actual and reasonable selling less than $5,000, it may be retained, (e) Use. If real property or equipment and fix-up expenses, if any, from the sold, or otherwise disposed of with no is acquired in whole or in part with sale proceeds). If the recipient is further obligation to DOE. Federal funds under an award and the authorized or required to sell the real (ii) If the property that is no longer property or equipment, the recipient award does not specify that title vests needed is equipment (rather than real unconditionally in the recipient, the must use competitive procedures that property), the recipient may wish to result in the highest practicable return. real property or equipment is subject to replace it with an item that is needed the following: (3) If the responsible agency fails to currently for the project by trading in or issue disposition instructions within (1) During the time that the real selling to offset the costs of the 120 calendar days of the recipient’s property or equipment is used on the replacement equipment, subject to the request, the recipient must dispose of project or program for which it was approval of the contracting officer. the real property or equipment through acquired, the recipient must make it (iii) The recipient may elect to retain the option described in paragraph available for use on other projects or title, without further obligation to the (f)(2)(ii)(B) of this section. programs, if such other use does not Federal Government, by compensating interfere with the work on the project or the Federal Government for that § 600.322 Federally owned property. program for which the real property or percentage of the current fair market (a) Annual inventory. The recipient equipment was originally acquired. Use value of the real property or equipment must submit annually to the contracting of the real property or equipment on that is attributable to the Federal officer an inventory listing of all other projects is subject to the following participation in the project. Federally owned property in its order of priority: (iv) If the recipient does not elect to custody, i.e., property furnished by the (i) Activities sponsored by DOE retain title to real property or equipment Federal Government, rather than grants, cooperative agreements, or other or does not request approval to use acquired by the recipient with Federal assistance awards; equipment as trade-in or offset for funds under the award.

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(b) Insurance. The recipient may not (3) Source of the property, including rights to data and to inventions insure Federally owned property unless the award number. conceived or first actually reduced to required by the terms and conditions of (4) Whether title vests in the recipient practice in the course of, or under, a the award. or the Federal Government. grant or cooperative agreement with (c) Use on other activities. (1) Use of (5) Acquisition date (or date received, DOE. federally owned property on other if the property was furnished by the (b) Patents right—small business activities is permissible, if authorized by Federal Government) and cost. concerns. In accordance with 35 U.S.C. the contracting officer responsible for (6) Information from which one can 202, if the recipient is a small business administering the award to which the calculate the percentage of Federal concern and receives a grant, property currently is charged. participation in the cost of the property cooperative agreement, subaward, or (2) Use on other activities must be in (not applicable to property furnished by contract for research, developmental, or the following order of priority: the Federal Government). demonstration activities, then, unless (i) Activities sponsored by DOE (7) The location and condition of the there are ‘‘exceptional circumstances’’ grants, cooperative agreements, or other property and the date the information as described in 35 U.S.C. 202(e), the assistance awards; was reported. award must contain the standard clause (ii) Activities sponsored by other (8) Ultimate disposition data, in Appendix A to this subpart, entitled Federal agencies’ grants, cooperative including data of disposal and sales ‘‘Patents Rights (Small Business Firms agreements, or other assistance awards; price or the method used to determine and Nonprofit Organizations’’ which (iii) Activities under Federal current fair market value where a provides to the recipient the right to procurement contracts or activities not recipient compensates the Federal elect ownership of inventions made sponsored by any Federal agency. If so Government for its share. under the award. used, use charges must be assessed to (b) Federal owned equipment must be (c) Patent rights—other than small those activities. For real property or marked to indicate Federal ownership. business concerns, e.g., large businesses. equipment, the use charges must be at (c) A physical inventory must be (1) No Patent Waiver. Except as rates equivalent to those for which taken and the results reconciled with provided by paragraph (c)(2) of this comparable real property or equipment the property records at least once every section, if the recipient is a for-profit may be leased. two years. Any differences between organization other than a small business (d) Disposition or property. Upon quantities determined by the physical concern, as defined in 35 U.S.C. 201(h) completion of the award, the recipient inspection and those shown in the and receives an award or a subaward for must submit to the contracting officer a accounting records must be investigated research, development, and final inventory of Federal owned to determine the causes of the demonstration activities, then, pursuant property. DOE may: difference. The recipient must, in to statute, the award must contain the (1) Use the property to meet another connection with the inventory, verify standard clause in Appendix A to this Federal Government need (e.g., by the existence, current utilization, and subpart, entitled ‘‘Patent Rights (Large transferring accountability for the continued need for the property. Business Firms)—No Waiver’’ which property to another Federal award to the (d) A control system must be in effect provides that DOE owns the patent same recipient, or by directing the to insure adequate safeguards to prevent rights to inventions made under the recipient to transfer the property to a loss, damage, or theft of the property. award. Federal agency that needs the property Any loss, damage, or theft of property (2) Patent Waiver Granted. Paragraph or to another recipient with a currently must be investigated and fully (c)(1) of this section does not apply if: funded award). documented. If the property is owned (i) DOE grants a class waiver for a (2) Declare the property to be excess by the Federal Government, the particular program under 10 CFR part property and either: recipient must promptly notify the 784; (i) Report the property to the General Federal agency responsible for (ii) The applicant requests and Services Administration through EADS, administering the property. receives an advance patent waiver in accordance with the Federal Property (e) Adequate maintenance procedures under 10 CFR part 784; or and Administrative Services Act of 1949 must be implemented to keep the (iii) A subaward is covered by a (40 U.S.C. 483(b)(2)), as implemented by property in good condition. waiver granted under the prime award. General Services Administration (3) Special Provision. Normally, an regulations at 41 CFR 101–47.202; or § 600.324 Supplies. award will not include a background (ii) Dispose of the property by (a) Title vests in the recipient upon patent and data provision. However, alternative methods, if there is authority acquisition of supplies acquired with under special circumstances, in order to under law, such as 15 U.S.C. 3710(i). Federal funds under an award. provide heightened assurance of (b) Upon termination or completion of commercialization, a provision § 600.323 Property management system. the project or program, the recipient providing for a right to require licensing The recipient’s property management may retain any unused supplies. If the of third parties to background system must include the following: inventory of unused supplies exceeds inventions, limited rights data and/or (a) Property records must be $5,000 in total aggregate value and the restricted computer software, may be maintained, to include the following items are not needed for any other included. Inclusion of a background information for property that is Federally sponsored project or program, patent and/or a data provision to assure Federally owned, equipment that is the recipient may retain the items for commercialization will be done only acquired in whole or in part with use on non-Federal sponsored activities with the written concurrence of the DOE Federal funds, or property or equipment or sell them, but must, in either case, program official setting forth the need that is used as cost sharing or matching: compensate the Federal Government for for such assurance. An award may (1) A description of the property. its share. include the right to license the (2) Manufacturer’s serial number, Government and third party contractors model number, Federal stock number, § 600.325 Intellectual property. for special Government purposes when national stock number, or any other (a) Scope. This section sets forth the future availability of the technology identification number. policies with regard to disposition of would also benefit the government, e.g.,

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clean-up of DOE facilities. The scope of award under the SBIR or STTR program, transaction and provide for such a any such background patent and/or data then the contracting officer must insert review, then the recipient must obtain licensing provision is subject to in the award the standard data clause in the contracting officer’s approval prior negotiation. the General Terms and Conditions for to awarding the transaction and must (d) Rights in data—general rule. SBIR Grants, entitled ‘‘Rights in Data— provide the contracting officer the (1) Subject to paragraphs (d)(2) and (3) SBIR Program’’. following documents to review: of this section, and except as otherwise (2) The data rights provisions for (1) Request for proposals or invitation provided by paragraphs (e) and (f) of SBIR/STTR grants are contained in the to bid, if any; this section or other law, any award award terms and conditions for SBIR (2) Cost estimate; under this subpart must contain the grants located at http://e-center.doe.gov (3) Proposal/bid; standard clause in Appendix A to this on the Professionals Homepage under (4) Proposed award document; and subpart, entitled ‘‘Rights in Data— Financial Assistance, Regulations and (5) Summary of negotiations or General’’. Guidance. justification for award. (2) Normally, an award will not (g) Authorization and consent. (1) (c) Contract provisions. (1) Contracts require the delivery of limited rights Work performed by a recipient under a in excess of the simplified acquisition data or restricted computer software. grant is not subject to authorization and threshold must contain contractual However, if the contracting officer, in consent to the use of a patented provisions or conditions that allow for consultation with DOE patent counsel invention, and the Government assumes administrative, contractual, or legal and the DOE program official, no liability for patent infringement by remedies in instances in which a determines that delivery of limited the recipient under 28 U.S.C. 1498. contractor violates or breaches the rights data or restricted computer (2) Work performed by a recipient contract terms, and provide for such software is necessary, the contracting under a cooperative agreement is subject remedial actions as may be appropriate. officer, after negotiation with the to authorization and consent to the use (2) All contracts in excess of the applicant, may insert in the award the of a patented invention consistent with simplified acquisition threshold must standard clause as modified by the principles set forth in 48 CFR contain suitable provisions for Alternates I and/or II set forth in 27.201–1. termination for default by the recipient Appendix A to this subpart. (3) The contracting officer, in and for termination due to (3) If software is specified for delivery consultation with patent counsel, may circumstances beyond the control of the to DOE, or if other special also include clauses in the cooperative contractor. circumstances exist, e.g., DOE agreement addressing other patent (3) All negotiated contracts in excess specifying ‘‘open-source’’ treatment of matters related to authorization and of the simplified acquisition threshold software, then the contracting officer, consent, such as patent indemnification must include a provision permitting after negotiation with the recipient, may of the Government by recipient and access of DOE, the Inspector General, include in the award special provisions notice and assistance regarding patent the Comptroller General of the United requiring the recipient to obtain written and copyright infringement. The States, or any of their duly authorized approval of the contracting officer prior policies and clauses for these other representatives, to any books, to asserting copyright in the software, patent matters will be the same or documents, papers, and records of the modifying the retained Government consistent with those in 48 CFR part contractor that are directly pertinent to license, and/or otherwise altering the 927. a specific programs, for the purpose of copyright provisions. making audits, examinations, excerpts, (e) Rights in data—programs covered Procurement Standards transcriptions, and copies of such under special protected data statutes. § 600.330 Purpose of procurement (1) If a statute, other than those documents. standards. (4) All contracts, including those for providing for the Small Business Section 600.331 sets forth amounts less than the simplified Innovation Research (SBIR) and Small requirements necessary to ensure: acquisition threshold, awarded by Business Technology Transfer Research (a) Recipients’ procurements that use recipients and their contractors must (STTR) programs, provides for a period Federal funds comply with applicable contain the procurement provisions of of time, typically up to five years, Federal statutes, regulations, and Appendix B to this subpart, as during which data produced under an executive orders. applicable. award for research, development, and (b) Proper stewardship of Federal (d) Recipient responsibilities. The demonstration may be protected from funds used in recipients’ procurements. recipient is the responsible authority, public disclosure, then the contracting without recourse to DOE, regarding the officer must insert in the award the § 600.331 Requirements. settlement and satisfaction of all standard clause in Appendix A to this The following requirements pertain to contractual and administrative issues subpart entitled ‘‘Rights in Data— recipients’ procurements funded in arising out of procurements entered into Programs Covered Under Special whole or in part with Federal funds or in support of an award. This includes Protected Data Statutes’’ or, as with recipients’ cost-share or match: disputes, claims, protests of award, determined in consultation with DOE (a) Reasonable cost. Recipients’ source evaluation or other matters of a patent counsel and the DOE program procurement procedures must use best contractual nature. The recipient should official, a modified version of such commercial practices to ensure refer matters concerning violations of clause which may identify data or reasonable cost for procured goods and statutes to such Federal, State or local categories of data that the recipient must services. Recipients are encouraged to authority as may have proper make available to the public. buy commercial items, if practicable. (2) An award under paragraph (e)(1) (b) Pre-award review of certain jurisdiction. of this section is subject to the procurements. If the contracting officer Reports and Records provisions of paragraphs (d)(2) and (3) determines that there is a compelling of this section. need to perform a pre-award review of § 600.340 Purpose of reports and records. (f) Rights in data—SBIR/STTR a specific transaction and the terms of Sections 600.341 and 600.342 programs. (1) If an applicant receives an the award identify the specific prescribe requirements for monitoring

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and reporting financial and program (3) If records are transferred to or and records starts at the end of the fiscal performance and for records retention. maintained by DOE, the 3-year retention year (or other accounting period) requirement is not applicable to the covered by the proposal, plan, or other § 600.341 Monitoring and reporting recipient. computation. program and financial performance. (4) Indirect cost rate proposals, cost (h) If the information described in this (a) The terms and conditions of the allocation plans, and related records section is maintained on a computer, award prescribe the reporting must be retained in accordance with the recipients must retain the computer data requirements, the frequency, and the requirements specified in paragraph (g) on a reliable medium for the time due dates for reports. At a minimum, of this section. periods prescribed. Recipients may requirements must include: (c) Copies of original records may be transfer computer data in machine (1) Periodic progress reports (at least substituted for the original records if readable form from one reliable annually, but no more frequently than authorized by the contracting officer. computer medium to another. quarterly) addressing both program (d) The contracting officer may Recipients’ computer data retention and status and business status, as follows: request that recipients transfer certain transfer procedures must maintain the (i) The program portions of the reports records to DOE custody if he or she integrity, reliability, and security of the must address progress toward achieving determines that the records possess long original computer data. Recipients must program performance goals and term retention value. However, in order also maintain an audit trail describing milestones, including current issues, to avoid duplicate recordkeeping, a the data transfer. For the record problems, or developments. contracting officer may make retention time periods prescribed in this (ii) The business portions of the arrangements for recipients to retain any section, recipients must not destroy, reports must provide summarized records that are continuously needed for discard, delete, or write over such details on the status of resources joint use. computer data. (Federal funds and non-Federal cost (e) DOE, the Inspector General, sharing or matching), including an Comptroller General of the United Termination and Enforcement accounting of expenditures for the States, or any of their duly authorized representatives, have the right of timely § 600.350 Purpose of termination and period covered by the report. The report enforcement. should compare the resource status with and unrestricted access to any books, any payment and expenditure schedules documents, papers, or other records of Sections 600.351 through 600.353 set or plans provided in the original award, recipients that are pertinent to the forth uniform procedures for explain any major deviations from those awards, in order to make audits, suspension, termination, enforcement, schedules, and discuss actions that will examinations, excerpts, transcripts and and disputes. be taken to address the deviations. copies of such documents. This right § 600.351 Termination. (2) A final technical report if the also includes timely and reasonable (a) Awards may be terminated in award is for research and development. access to a recipient’s personnel for the whole or in part only in accordance (b) If the contracting officer purpose of interview and discussion with one of the following: previously authorized advance related to such documents. The rights of (1) By the contracting officer, if a payments, pursuant to § 600.312(a)(2), access in this paragraph are not limited recipient materially fails to comply with he/she should consult with the DOE to the required retention period, but the terms and conditions of an award. project director and consider whether must last as long as records are retained. program progress reported in the (f) Unless required by statute, DOE (2) By the contracting officer with the periodic progress report, in relation to must not place restrictions on recipients consent of the recipient, in which case reported expenditures, is sufficient to that limit public access to the records of the two parties must agree upon the justify continued authorization of recipients that are pertinent to an termination conditions, including the advance payments. award, except when DOE can effective date and, in the case of partial demonstrate that such records would be termination, the portion to be § 600.342 Retention and access kept confidential and would be exempt terminated. requirements for records. from disclosure pursuant to the (3) By the recipient upon sending to (a) This section sets forth Freedom of Information Act (5 U.S.C. the contracting officer written requirements for records retention and 552) if the records belonged to DOE. notification setting forth the reasons for access to records for awards to (g) Indirect cost proposals, cost such termination, the effective date, recipients and subrecipients. allocation plans, and other cost and, in the case of partial termination, (b) Financial records, supporting accounting documents (such as the portion to be terminated. The documents, statistical records, and all documents related to computer usage recipient must provide such notice at other records pertinent to an award chargeback rates), along with their least 30 calendar days prior to the must be retained for a period of three supporting records, must be retained for effective date of the termination. years from the date of submission of the a 3-year period, as follows: However, if the contracting officer final expenditure report. The only (1) If the recipient or the subrecipient determines in the case of partial exceptions are the following. is required to submit an indirect-cost termination that the reduced or (1) If any litigation, claim, or audit is proposal, cost allocation plan, or other modified portion of the award will not started before the expiration of the 3- computation to the cognizant Federal accomplish the purposes for which the year period, the records must be agency for purposes of negotiating an award was made, he or she may retained until all litigation, claims, or indirect cost rate or other rates, the 3- terminate the award in its entirety. audit findings involving the records year retention period starts on the date (b) If the recipient incurred allowable have been resolved and final action of the submission. costs prior to the termination, the taken. (2) If the recipient or the subrecipient responsibilities of the recipient referred (2) Records for real property and is not required to submit the documents to in § 600.361(b), including those equipment acquired with Federal funds or supporting records for negotiating an related to property, apply to the must be retained for 3 years after final indirect cost rate or other rates, the 3- termination of the award, and provision disposition. year retention period for the documents must be made for continuing

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responsibilities of the recipient after appeal certain decisions by contracting (4) Property management termination, as appropriate. officers. requirements in §§ 600.321 through 600.325. After-the-Award Requirements § 600.352 Enforcement. (5) Records retention requirements in (a) Remedies for noncompliance. If a § 600.360 Purpose. § 600.342. recipient materially fails to comply with (b) After closeout of an award, the the terms and conditions of an award, Sections 600.361 through 600.363 contain procedures for closeout and for continuing responsibilities under an whether stated in a Federal statute, award may be modified or ended in regulation, assurance, application, or subsequent disallowances and adjustments. whole or in part with the consent of the notice of award, the contracting officer contracting officer and the recipient, may, in addition to imposing any of the § 600.361 Closeout procedures. provided property management special conditions outlined in § 600.304, (a) Recipients must submit, within 90 requirements are considered and take one or more of the following calendar days after the date of provisions made for the continuing actions, as appropriate: completion of the award, all reports responsibilities of the recipient, as (1) Temporarily withhold cash required by the terms and conditions of appropriate. payments pending correction of the the award. DOE may approve extensions deficiency by the recipient or more § 600.363 Collection of amounts due. when requested by the recipient. severe enforcement action by the (b) The following provisions must (a) Any funds paid to a recipient in contracting officer. excess of the amount to which the (2) Disallow (that is, deny both the apply to the closeout: (1) Unless DOE authorizes an recipient is finally determined to be use of funds and any applicable extension, a recipient must liquidate all entitled under the terms and conditions matching credit for) all or part of the obligations incurred under the award of the award constitute a debt to the cost of the activity or action not in not later than 90 calendar days after the Federal Government. If not paid within compliance. 30 days after the demand for payment, (3) Wholly or partly suspend or funding period or the date of completion of the award as specified in DOE may reduce the debt in accordance terminate the current award. with the procedures and techniques (4) Withhold further awards for the the terms and conditions of the award described in 10 CFR part 1015 and OMB project or program. or in agency implementing instructions. Circular A–129, including: (5) Apply other remedies that may be (2) DOE must make prompt, final (1) Making an administrative offset legally available. payments to a recipient for allowable (b) Hearings and appeals. In taking an reimbursable costs under the award against other requests for enforcement action, DOE must provide being closed out. reimbursements. the recipient an opportunity for hearing, (3) The recipient must promptly (2) Withholding advance payments appeal, or other administrative refund any unobligated balances of cash otherwise due to the recipient. (3) Taking other action permitted by proceeding to which the recipient is that DOE has advanced or paid and that statute or regulation. entitled under any statute or regulation are not authorized to be retained by the (b) Except as otherwise provided by applicable to the action involved. recipient for use in other projects. OMB (c) Effects of suspension and Circular A–129 governs unreturned law, DOE may charge interest and termination. Costs resulting from amounts that become delinquent debts. administrative fees on an overdue debt obligations incurred by the recipient (4) When authorized by the terms and in accordance with 31 CFR Chapter IX, during a suspension or after termination conditions of the award, the contracting parts 900–904, ‘‘Federal Claims of an award are not allowable, unless officer must make a settlement for any Collection Standards.’’ the contracting officer expressly upward or downward adjustments to Additional Provisions authorizes them in the notice of the Federal share of costs after closeout suspension or termination or reports are received. § 600.380 Purpose. subsequently authorizes such costs. (5) The recipient must account for any The purpose of ‘‘Additional Other recipient costs during suspension real property and equipment acquired Provisions’’ is to provide alternative or after termination, which are with Federal funds or received from the requirements for recipients otherwise necessary and not reasonably avoidable, Federal Government in accordance with covered by this subpart D, when they are allowable if the costs: §§ 600.321 through 600.325. are performing under Small Business (1) Result from obligations which (6) If a final audit is required and has Innovation Research grants. were properly incurred by the recipient not been performed prior to the closeout before the effective date of suspension of an award, DOE retains the right to § 600.381 Special provisions for Small Business Innovation Research Grants. or termination, are not in anticipation of recover an appropriate amount after it, and in the case of a termination, are fully considering the recommendations (a) General. This section contains noncancellable; and on disallowed costs resulting from the provisions applicable to the Small (2) Would be allowable if the award final audit. Business Innovation Reserach (SBIR) expired normally at the end of the Program. funding period. § 600.362 Subsequent adjustments and (b) Provisions Applicable to Phase I (d) Relationship to debarment and continuing responsibilities. SBIR Awards: Phase I SBIR awards may suspension. The enforcement remedies (a) The closeout of an award does not be made on a fixed obligation basis, identified in this section, including affect any of the following: subject to the following requirements. suspension and termination, do not (1) The right of DOE to disallow costs (1) While proposed costs must be preclude a recipient from being subject and recover funds on the basis of a later analyzed in detail to ensure consistency to debarment and suspension under 10 audit or other review. with applicable cost principles, CFR part 1036. (2) The obligation of the recipient to incurred costs are not subject to review return any funds due as a result of later under the standards of cost allowability. § 600.353 Disputes and appeals. refunds, corrections, or other (2) Although detailed budgets are Consistent with 10 CFR 600.22 and transactions. submitted by a recipient and reviewed part 1024, recipients have the right to (3) Audit requirements in § 600.316. by DOE for purposes of establishing the

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amount to be awarded, budget otherwise protectable under title 35 of the operation, and the physical, chemical, categories are not stipulated in making United States Code, or any novel variety of biological or electrical characteristics of the an award; plant which is or may be protected under the invention. The disclosure shall also identify (3) Prior approval from the DOE for Plant Variety Protection Act (7 U.S.C. 2321 any publication, on sale or public use of the et seq.). invention and whether a manuscript rebudgeting among categories by the Made when used in relation to any recipient is not required. Prior approval describing the invention has been submitted invention means the conception or first for publication and, if so, whether it has been from DOE is required for any variation actual reduction to practice of such accepted for publication at the time of from the requirement that no more than invention. disclosure. In addition, after disclosure to one-third of Phase I work can be done Nonprofit organization means a university DOE, the Recipient will promptly notify DOE by subcontractors or consortium or other institution of higher education or an of the acceptance of any manuscript partners; organization of the type described in section describing the invention for publication or of (4) Pre-award expenditure approval is 501(c)(3) of the Internal Revenue Code of any on sale or public use planned by the not required; 1954 (26 U.S.C. 501(c)) and exempt from Recipient. taxation under section 501(a) of the Internal (5) Payments are to be made in the (2) The Recipient will elect in writing Revenue Code (26 U.S.C. 501(a)) or any whether or not to retain title to any such same manner as other financial nonprofit scientific or educational invention by notifying DOE within two years assistance (see § 600.312), except that, organization qualified under a State when determined appropriate by the nonprofit organization statute. of disclosure to DOE. However, in any case cognizant program official and Practical application means to where publication, on sale, or public use has contracting officer, a lump sum payment manufacture in the case of a composition or initiated the one-year statutory period wherein valid patent protection can still be may be made. If a lump sum payment product, to practice in the case of a process or method, or to operate in the case of a obtained in the U.S., the period for election is made, the award must contain a of title may be shortened by the agency to a condition that requires the recipient to machine or system; and, in each case, under such conditions as to establish that the date that is no more than 60 days prior to the return to DOE amounts remaining invention is being utilized and that its end of the statutory period. unexpended at the end of the project if benefits are to the extent permitted by law or (3) The Recipient will file its initial patent those amounts exceed $500; Government regulations available to the application on an invention to which it elects (6) Recipients will certify in writing to public on reasonable terms. to retain title within one year after election the Contracting Officer at the end of the Small business firm means a small of title or, if earlier, prior to the end of any project that the activity was completed business concern as defined at section 2 of statutory period wherein valid patent or the level of effort was expended. Public Law 85–536 (16 U.S.C. 632) and protection can be obtained in the U.S. after Should the activity or effort not be implementing regulations of the a publication, on sale, or public use. The carried out, the recipeint would be Administrator of the Small Business Recipient will file patent applications in Administration. For the purpose of this additional countries or international patent expected to make appropriate clause, the size standards for small business offices within either ten months of the reimbursements; concerns involved in Government corresponding initial patent application, or (7) Requirements for periodic reports procurement and subcontracting at 13 CFR six months from the date when permission is may be established for each award so 121.3 through 121.8 and 13 CFR 121.3 granted by the Commissioner of Patents and long as they are consistent with through 121.12, respectively, will be used. Trademarks to file foreign patent applications § 600.341; Subject invention means any invention of when such filing has been prohibited by a (8) Changes in principal investigator the Recipient conceived or first actually Secrecy Order. or project leader, scope of effort, or reduced to practice in the performance of (4) Requests for extension of the time for institution, require the prior approval of work under this award, provided that in the disclosure to DOE, election, and filing under case of a variety of plant, the date of subparagraphs (c)(1), (2), and (3) of this DOE. determination (as defined in section 41(d) of (c) Provision Applicable to Phase II clause may, at the discretion of DOE, be the Plant Variety Protection Act, 7 U.S.C. granted. SBIR Awards. Phase II SBIR awards may 2401(d) must also occur during the period of be made for a single budget period of 24 award performance. (d) Conditions When the Government May Obtain Title months. (b) Allocation of Principal Rights (d) Provisions Applicable to Phase I The Recipient will convey to DOE, upon and Phase II SBIR Awards. The Recipient may retain the entire right, written request, title to any subject invention: (1) The prior approval of the title, and interest throughout the world to (1) If the Recipient fails to disclose or elect each subject invention subject to the cognizant DOE Contracting Officer is the subject invention within the times provisions of this Patent Rights clause and 35 specified in paragraph (c) of this patent rights required before the final budget period U.S.C. 203. With respect to any subject clause, or elects not to retain title; provided of the project period may be extended invention in which the Recipient retains title, that DOE may only request title within 60 without additional funds. the Federal Government shall have a non- days after learning of the failure of the (2) A fee or profit may be paid to SBIR exclusive, nontransferable, irrevocable, paid- Recipient to disclose or elect within the up license to practice or have practiced for recipients. specified times; or on behalf of the U.S. the subject invention (2) In those countries in which the Appendix A to Subpart D to Part 600— throughout the world. Patent and Data Provisions Recipient fails to file patent applications (c) Invention Disclosure, Election of Title and within the times specified in paragraph (c) of 1. Patent Rights (Small Business Firms and Filing of Patent Applications by Recipient this Patent Rights clause; provided, however, Nonprofit Organizations) (1) The Recipient will disclose each subject that if the Recipient has filed a patent 2. Patent Rights (Large Business Firms)—No invention to DOE within two months after application in a country after the times Waiver the inventor discloses it in writing to specified in paragraph (c) of this Patent 3. Rights in Data—General Recipient personnel responsible for the Rights clause, but prior to its receipt of the 4. Rights in Data—Programs Covered Under administration of patent matters. The written request of DOE, the Recipient shall Special Protected Data Statutes disclosure to DOE shall be in the form of a continue to retain title in that country; or Patent Rights (Small Business Firms and written report and shall identify the award (3) In any country in which the Recipient Nonprofit Organizations) under which the invention was made and the decides not to continue the prosecution of inventor(s). It shall be sufficiently complete any application for, to pay the maintenance (a) Definitions in technical detail to convey a clear fees on, or defend in a reexamination or Invention means any invention or understanding to the extent known at the opposition proceeding on, a patent on a discovery which is or may be patentable or time of disclosure, of the nature, purpose, subject invention.

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(e) Minimum Rights to Recipient and administration of patent matters and in a and information as DOE may reasonably Protection of the Recipient Right To File format suggested by the Recipient each specify. The Recipient also agrees to provide (1) The Recipient will retain a non- subject invention made under this award in additional reports in connection with any exclusive royalty-free license throughout the order that the Recipient can comply with the march-in proceeding undertaken by DOE in world in each subject invention to which the disclosure provisions of paragraph (c) of this accordance with paragraph (j) of this Patent Government obtains title, except if the Patent Rights clause, and to execute all Rights clause. As required by 35 U.S.C. Recipient fails to disclose the subject papers necessary to file patent applications 202(c)(5), DOE agrees it will not disclose invention within the times specified in on subject inventions and to establish the such information to persons outside the paragraph (c) of this Patent Rights clause. Government’s rights in the subject Government without the permission of the The Recipient’s license extends to its inventions. The disclosure format should Recipient. domestic subsidiaries and affiliates, if any, require, as a minimum, the information (i) Preference for United States Industry. within the corporate structure of which the requested by paragraph (c)(1) of this Patent Rights clause. The Recipient shall instruct Notwithstanding any other provision of Recipient is a party and includes the right to this Patent Rights clause, the Recipient agrees grant sublicenses of the same scope of the such employees through the employee agreements or other suitable educational that neither it nor any assignee will grant to extent the Recipient was legally obligated to any person the exclusive right to use or sell do so at the time the award was awarded. programs on the importance of reporting inventions in sufficient time to permit the any subject invention in the U.S. unless such The license is transferable only with the person agrees that any products embodying approval of DOE except when transferred to filing of patent applications prior to U.S. or foreign statutory bars. the subject invention or produced through the successor of that part of the Recipient’s the use of the subject invention will be business to which the invention pertains. (3) The Recipient will notify DOE of any decision not to continue prosecution of a manufactured substantially in the U.S. (2) The Recipient’s domestic license may However, in individual cases, the be revoked or modified by DOE to the extent patent application, pay maintenance fees, or defend in a reexamination or opposition requirement for such an agreement may be necessary to achieve expeditious practical waived by DOE upon a showing by the application of the subject invention pursuant proceeding on a patent, in any country, not less than 30 days before the expiration of the Recipient or its assignee that reasonable but to an application for an exclusive license unsuccessful efforts have been made to grant submitted in accordance with applicable response period required by the relevant patent office. licenses on similar terms to potential provisions at 37 CFR part 404 and the licensees that would be likely to manufacture agency’s licensing regulation, if any. This (4) The Recipient agrees to include, within the specification of any U.S. patent substantially in the U.S. or that under the license will not be revoked in that field of circumstances domestic manufacture is not use or the geographical areas in which the application and any patent issuing thereon covering a subject invention, the following commercially feasible. Recipient has achieved practical application statement: ‘‘This invention was made with and continues to make the benefits of the (j) March-in-Rights Government support under (identify the invention reasonably accessible to the public. The Recipient agrees that with respect to award) awarded by (identify DOE). The The license in any foreign country may be any subject invention in which it has Government has certain rights in this revoked or modified at discretion of the acquired title, DOE has the right in invention.’’ funding Federal agency to the extent the accordance with procedures at 37 CFR 401.6 Recipient, its licensees, or its domestic (g) Subaward/Contract and any supplemental regulations of the subsidiaries or affiliates have failed to (1) The Recipient will include this Patent Agency to require the Recipient, an assignee achieve practical application in that foreign Rights clause, suitably modified to identify or exclusive licensee of a subject invention country. the parties, in all subawards/contracts, to grant a non-exclusive, partially exclusive, (3) Before revocation or modification of the regardless of tier, for experimental, or exclusive license in any field of use to a license, the funding Federal agency will developmental or research work to be responsible applicant or applicants, upon furnish the Recipient a written notice of its performed by a small business firm or terms that are reasonable under the intention to revoke or modify the license, and nonprofit organization. The subrecipient/ circumstances and if the Recipient, assignee, the Recipient will be allowed thirty days (or contractor will retain all rights provided for or exclusive licensee refuses such a request, such other time as may be authorized by DOE the Recipient in this Patent Rights clause, DOE has the right to grant such a license for good cause shown by the Recipient) after and the Recipient will not, as part of the itself if DOE determines that: the notice to show cause why the license consideration for awarding the subcontract, (1) Such action is necessary because the should not be revoked or modified. The obtain rights in the subcontractors’ subject Recipient or assignee has not taken or is not Recipient has the right to appeal, in inventions. expected to take within a reasonable time, accordance with applicable regulations in 37 (2) The Recipient will include in all other effective steps to achieve practical CFR part 404 and the agency’s licensing subawards/contracts, regardless of tier, for application of the subject invention in such regulations, if any, concerning the licensing experimental, developmental or research field of use; of Government-owned inventions, any work, the patent rights clause required by 10 (2) Such action is necessary to alleviate decision concerning the revocation or CFR 600.325(c). health or safety needs which are not modification of its license. (3) In the case of subawards/contracts at reasonably satisfied by the Recipient, (f) Recipient Action To Protect Government’s any tier, DOE, the Recipient, and the assignee, or their licensees; Interest subrecipient/contractor agree that the mutual (3) Such action is necessary to meet obligations of the parties created by this requirements for public use specified by (1) The Recipient agrees to execute or to clause constitute a contract between the Federal regulations and such requirements have executed and promptly deliver to DOE subrecipient/contractor and DOE with are not reasonably satisfied by the Recipient, all instruments necessary to: respect to those matters covered by the assignee, or licensee; or (i) Establish or confirm the rights the clause. (4) Such action is necessary because the Government has throughout the world in agreement required by paragraph (i) of this those subject inventions for which the (h) Reporting on Utilization of Subject Inventions Patent Rights clause has not been obtained or Recipient retains title; and waived or because a licensee of the exclusive (ii) Convey title to DOE when requested The Recipient agrees to submit on request right to use or sell any subject invention in under paragraph (d) of this Patent Rights periodic reports no more frequently than the U.S. is in breach of such agreement. clause, and to enable the government to annually on the utilization of a subject obtain patent protection throughout the invention or on efforts at obtaining such (k) Special Provisions for Awards With world in that subject invention. utilization that are being made by the Nonprofit Organizations (2) The Recipient agrees to require, by Recipient or its licensees or assignees. Such If the Recipient is a nonprofit organization, written agreement, its employees, other than reports shall include information regarding it agrees that: clerical and non-technical employees, to the status of development, date of first (1) Rights to a subject invention in the U.S. disclose promptly in writing to personnel commercial sale or use, gross royalties may not be assigned without the approval of identified as responsible for the received by the Recipient and such other data DOE, except where such assignment is made

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to an organization which has as one of its Subject invention, as used in this clause, clause. Such request must be made in primary functions the management of means any invention of the Recipient writhing to the Patent Counsel as part of the inventions, provided that such assignee will conceived or first actually reduced to disclosure required by subparagraph (e)(2) of be subject to the same provisions as the practice in the course of or under this this clause, with a copy to the DOE Recipient; agreement. Contracting Officer. DOE approval, if given, (2) The Recipient will share royalties (b) Allocations of Principal Rights will be based on a determination that this collected on a subject invention with the would best serve the national interest. inventor, including Federal employee co- (1) Assignment to the Government. The Recipient agrees to assign to the Government (e) Invention Identification, Disclosures, and inventors (when DOE deems it appropriate) Reports when the subject invention is assigned in the entire right, title, and interest throughout accordance with 35 U.S.C. 202(e) and 37 CFR the world in and to each subject invention, (1) The Recipient shall establish and 401.10; except to the extent that rights are retained maintain active and effective procedures to (3) The balance of any royalties or income by the Recipient under subparagraph (b)(2) assure that subject inventions are promptly earned by the Recipient with respect to and paragraph (d) of this clause. identified and disclosed to Recipient subject inventions, after payment of expenses (2) Greater rights determinations. The personnel responsible for patent matters (including payments to inventors) incidental Recipient, or an employee-inventor after within 6 months of conception and/or first to the administration of subject inventions, consultation with the Recipient, may request actual reduction to practice, whichever will be utilized for the support of scientific greater rights than the nonexclusive license occurs first in the performance of work under or engineering research or education; and an the foreign patent rights provided in this agreement. These procedures shall (4) It will make efforts that are reasonable paragraph (d) of this clause on identified include the maintenance of laboratory under the circumstances to attract licensees inventions in accordance with the DOE notebooks or equivalent records and other of subject inventions that are small business patent waiver regulation. Each determination records as are reasonably necessary to firms and that it will give preference to a of greater rights under this agreement shall be document the conception and/or the first small business firm if the Recipient subject to paragraph (c) of this clause, unless actual reduction to practice of subject determines that the small business firm has otherwise provided in the greater rights inventions, and records that show that the a plan or proposal for marketing the determination, and to the reservations and procedures for identifying and disclosing the invention which, if executed, is equally conditions deemed to be appropriate by the inventions are followed. Upon request, the likely to bring the invention to practical Secretary of Energy or designee. Recipient shall furnish the Contracting Officer a description of such procedures for application as any plans or proposals from (c) Minimum Rights Acquired by the evaluation and for determination as to their applicants that are not small business firms; Government provided that the Recipient is also satisfied effectiveness. that the small business firm has the With respect to each subject invention to (2) The Recipient shall disclose each capability and resources to carry out its plan which the Department of Energy grants the subject invention to the DOE Patent Counsel or proposal. The decision whether to give a Recipient principal or exclusive rights, the with a copy to the Contracting Officer within preference in any specific case will be at the Recipient agrees to grant to the Government: 2 months after the inventor discloses it in discretion of the Recipient. However, the A nonexclusive, nontransferable, irrevocable, writing to Recipient personnel responsible Recipient agrees that the Secretary of paid-up license to practice or have practiced for patent matters or, if earlier, within 6 Commerce may review the Recipient’s each subject invention throughout the world months after the Recipient becomes aware licensing program and decisions regarding by or on behalf of the Government of the that a subject invention has been made, but small business applicants, and the Recipient United States (including any Government in any event before any on sale, public use, will negotiate changes to its licensing agency); ‘‘march-in rights’’ as set forth in 37 or publication of such invention known to policies, procedures or practices with the CFR 401.14(a)(J)); preference for U.S. the Recipient. The disclosure to DOE shall be Secretary when the Secretary’s review industry as set forth in 37 CFR 401.14(a)(I); in the form of a written report and shall discloses that the Recipient could take periodic reports upon request, no more identify the agreement under which the reasonable steps to implement more frequently than annually, on the utilization invention was made and the inventor(s). It effectively the requirements of this paragraph or intent of utilization of a subject invention shall be sufficiently complete in technical (k)(4). in a manner consistent with 35 U.S.C. detail to convey a clear understanding, to the 202(c)(50; and such Government rights in any extent known at the time of the disclosure, (l) Communications instrument transferring rights in a subject of the nature, purpose, operation, and All communications required by this invention. physical, chemical, biological, or electrical Patent Rights clause should be sent to the (d) Minimum Rights to the Recipient characteristics of the invention. The DOE Patent Counsel address listed in the disclosure shall also identify any publication, Award Document. (1) The Recipient is hereby granted a on sale, or public use of the invention and revocable, nonexclusive, royalty-free license (m) Electronic Filing whether a manuscript describing the in each patent application filed in any invention has been submitted for publication Unless otherwise Specified in the award, country on a subject invention and any and, if so, whether it has been accepted for the information identified in paragraphs (f)(2) resulting patent in which the Government publication at the time of disclosure. In and (f)(3) may be electronically filed. obtains title, unless the Recipient fails to addition, after disclosure to DOE, the [End of clause] disclose the subject invention within the Recipient shall promptly notify Patent times specified in subparagraph (e)(2) of this Patent Rights (Large Business Firms)—No Counsel of the acceptance of any manuscript clause. The Recipient’s license extends to its Waiver describing the invention for publication or of domestic subsidiaries and affiliates, if any, any on sale or public use planned by the (a) Definitions within the corporate structure of which the Recipient. The report should also include DOE patent waiver regulations, as used in Recipient is a part and includes the right to any request for a greater rights determination this clause, means the Department of Energy grant sublicenses of the same scope to the in accordance with subparagraph (b)(2) of patent waiver regulations in effect on the extent the Recipient was legally obligated to this clause. When an invention is disclosed date of award. See 10 CFR part 784. do so at the time the agreement was awarded. to DOE under this paragraph, it shall be Invention, as used in this clause, means The license is transferable only with the deemed to have been made in the manner any invention or discovery which is or may approval of DOE except when transferred to specified in Sections (a)(1) and (a)(2) of 42 be patentable of otherwise protectable under the successor of that part of the Recipient’s U.S.C. 5908, unless the Recipient contends in title 35 of the United States Code or any business to which the invention pertains. writing at the time the invention is disclosed novel variety of plant that is or may be (2) The Recipient may request the right to that it was not so made. protectable under the Plant Variety acquire patent rights to a subject invention in (3) The Recipient shall furnish the Protection Act (7 U.S.C. 2321, et seq.). any foreign country where the Government Contracting Officer a final report, within 3 Patent Counsel, as used in this clause, has elected not to secure such rights, subject months after completion of the work listing means the Department of Energy Patent to the minimum rights acquired by the all subject inventions or containing a Counsel assisting the awarding activity. Government similar to paragraph (c) of this statement that there were no such inventions,

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and listing all subawards/contracts at any tier alternate clause as directed by the contracting (j) Forfeiture of Rights in Unreported Subject containing a patent rights clause or officer. The Recipient shall not, as part of the Inventions containing a statement that there were no consideration for awarding the subaward/ (1) The Recipient shall forfeit and assign to such subawards/contracts. contract, obtain rights in the subrecipient’s/ the Government, at the request of the (4) The Recipient agrees to require, by contractor’s subject inventions. Secretary of Energy or designee, all rights in written agreement, its employees, other than (2) In the event of a refusal by a any subject invention which the Recipient clerical and nontechnical employees, to prospective subrecipient/contractor to accept fails to report to Patent Counsel within six disclose promptly in writing to personnel such a clause the Recipient: months after the time the Recipient: identified as responsible for the (i) Shall promptly submit a written notice (i) Files or causes to be filed a United administration of patent matters and in a to the Contracting Officer setting forth the States or foreign patent application thereon; format suggested by the Recipient each subrecipient/contractor’s reasons for such or subject invention made under subaward/ refusal and other pertinent information that (ii) Submits the final report required by contract in order that the Recipient can may expedite disposition of the matter; and subparagraph (e)(3) of this clause, whichever comply with the disclosure provisions of (ii) Shall not proceed with such subaward/ is later. paragraph (c) of this clause, and to execute contract without the written authorization of (2) However, the Recipient shall not forfeit all papers necessary to file patent the Contracting Officer. rights in a subject invention if, within the applications on subject inventions and to (3) In the case of subawards/contracts at time specified in subparagraph (e)(2) of this establish the Government’s rights in the any tier, DOE, the subrecipient/contractor, clause, the Recipient: subject inventions. This disclosure format and Recipient agree that the mutual (i) Prepares a written decision based upon should require, as a minimum, the obligations of the parties created by this information required by subparagraph (e)(2) clause constitute a contract between the a review of the record that the invention was of this clause. subrecipient/contractor and DOE with neither conceived nor first actually reduced (5) The Recipient agrees, subject to FAR respect to those matters covered by this to practice in the course of or under the 27.302(j), that the Government may duplicate clause. agreement and delivers the decision to Patent and disclose subject invention disclosures (4) The Recipient shall promptly notify the Counsel, with a copy to the Contracting and all other reports and papers furnished or Contracting Officer in writing upon the Officer, or required to be furnished pursuant to this award of any subaward/contract at any tier (ii) Contending that the invention is not a clause. containing a patent rights clause by subject invention, the Recipient nevertheless identifying the subrecipient/contractor, the discloses the invention and all facts pertinent (f) Examination of Records Relating to to this contention to the Patent Counsel, with Inventions applicable patent rights clause, the work to be performed under the subaward/contract, a copy of the Contracting Officer; or (1) The Contracting Officer or any and the dates of award and estimated (iii) Establishes that the failure to disclose authorized representative shall, until 3 years completion. Upon request of the Contracting did not result from the Recipient’s fault or after final payment under this agreement, Officer, the Recipient shall furnish a copy of negligence. have the right to examine any books such subaward/contract, and, no more (3) Pending written assignment of the (including laboratory notebooks), records, frequently than annually, a listing of the patent application and patents on a subject and documents of the Recipient relating to subawards/contracts that have been awarded. invention determined by the Secretary of the conception or first actual reduction to (5) The Recipient shall identify all subject Energy or designee to be forfeited (such practice of inventions in the same field of inventions of a subrecipient/contractor of determination to be a final decision under technology as the work under this agreement which it acquires knowledge in the the Disputes clause of this agreement), the to determine whether— performance of this agreement and shall Recipient shall be deemed to hold the (i) Any such inventions are subject notify the Patent Counsel, with a copy to the invention and the patent applications and inventions; contracting officer, promptly upon patents pertaining thereto in trust for the (ii) The Recipient has established and identification of the inventions. Government. The forfeiture provision of this maintains the procedures required by paragraph (j) shall be in addition to and shall (h) Atomic Energy subparagraphs (e)(1) and (4) of this clause; not supersede other rights and remedies (iii) The Recipient and its inventors have (1) No claim for pecuniary award of which the Government may have with complied with the procedures. compensation under the provisions of the respect to subject inventions. (2) If the Contracting Officer learns of an Atomic Energy Act of 1954, as amended, (End of clause) unreported Recipient invention which the shall be asserted with respect to any Contracting Officer believes may be a subject invention or discovery made or conceived in Rights in Data—General invention, the Recipient may be required to the course of or under this agreement. (a) Definitions disclose the invention to DOE for a (2) Except as otherwise authorized in determination of ownership rights. writing by the Contracting Officer, the Computer Data Bases, as used in this (3) Any examination of records under this Recipient will obtain patent agreements to clause, means a collection of data in a form paragraph will be subject to appropriate effectuate the provisions of subparagraph capable of, and for the purpose of, being conditions to protect the confidentiality of (h)(1) of this clause from all persons who stored in, processed, and operated on by a the information involved. perform any part of the work under this computer. The term does not include computer software. (g) Subaward/Contract agreement, except nontechnical personnel, such as clerical employees and manual Computer software, as used in this clause, (1) The recipient shall include the clause laborers. means (i) computer programs which are data PATENT RIGHTS (SMALL BUSINESS comprising a series of instructions, rules, FIRMS AND NONPROFIT (i) Publication routines or statements, regardless of the ORGANIZATIONS) (suitably modified to It is recognized that during the course of media in which recorded, that allow or cause identify the parties) in all subawards/ the work under this agreement, the Recipient a computer to perform a specific operation or contracts, regardless of tier, for experimental, or its employees may from time to time series of operations and (ii) data comprising developmental, demonstration, or research desire to release or publish information source code listings, design details, work to be performed by a small business regarding scientific or technical algorithms, processes, flow charts, formulae, firm or domestic nonprofit organization, developments conceived or first actually and related material that would enable the except where the work of the subaward/ reduced to practice in the course of or under computer program to be produced, created or contract is subject to an Exceptional this agreement. In order that public compiled. The term does not include Circumstances Determination by DOE. In all disclosure of such information will not computer data bases. other subawards/contracts, regardless of tier, adversely affect the patent interests of DOE Data, as used in this clause, means for experimental, developmental, or the Recipient, patent approval for release recorded information, regardless of form or demonstration, or research work, the of publication shall be secured from Patent the media on which it may be recorded. The Recipient shall include this clause (suitably Counsel prior to any such release or term includes technical data and computer modified to identify the parties), or an publication. software. The term does not include

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information incidental to administration, limited rights data or restricted computer or publish any data first produced or such as financial, administrative, cost or software in accordance with paragraph (g) of specifically used by the Recipient in the pricing, or management information. this clause. performance of this agreement, except to the Form, fit, and function data, as used in this (2) The Recipient shall have the right to— extent such data may be subject to the clause, means data relating to items, (i) Use, release to others, reproduce, Federal export control or national security components, or processes that are sufficient distribute, or publish any data first produced laws or regulations, or unless otherwise to enable physical and functional or specifically used by the Recipient in the provided in this paragraph of this clause or interchangeability, as well as data identifying performance of this agreement, unless expressly set forth in this agreement. source, size, configuration, mating, and provided otherwise in paragraph (d) of this (2) The Recipient agrees that to the extent attachment characteristics, functional clause; it receives or is given access to data necessary characteristics, and performance (ii) Protect from unauthorized disclosure for the performance of this award, which requirements; except that for computer and use those data which are limited rights contain restrictive markings, the Recipient software it means data identifying source, data or restricted computer software to the shall treat the data in accordance with such functional characteristics, and performance extent provided in paragraph (g) of this markings unless otherwise specifically requirements but specifically excludes the clause; authorized in writing by the contracting source code, algorithm, process, formulae, (iii) Substantiate use of, add or correct officer. limited rights, restricted rights, or copyright and flow charts of the software. (e) Unauthorized Marking of Data Limited rights, as used in this clause, notices and to take over appropriate action, means the rights of the Government in in accordance with paragraphs (e) and (f) of (1) Notwithstanding any other provisions limited rights data as set forth in the Limited this clause; and of this agreement concerning inspection or Rights Notice of subparagraph (g)(2) if (iv) Establish claim to copyright subsisting acceptance, if any data delivered under this included in this clause. in data first produced in the performance of agreement are marked with the notices Limited rights data, as used in this clause, this agreement to the extent provided in specified in subparagraph (g)(2) or (g)(3) of means data (other than computer software) subparagraph (c)(1) of this clause. this clause and use of such is not authorized by this clause, or if such data bears any other developed at private expense that embody (c) Copyright trade secrets or are commercial or financial restrictive or limiting markings not (1) Data first produced in the performance authorized by this agreement, the Contracting and confidential or privileged. of this agreement. Unless provided otherwise Restricted computer software, as used in Officer may at any time either return the data in paragraph (d) of this clause, the Recipient to the Recipient or cancel or ignore the this clause, means computer software may establish, without prior approval of the developed at private expense and that is a markings. However, the following procedures Contracting Officer, claim to copyright shall apply prior to canceling or ignoring the trade secret; is commercial or financial and subsisting in data first produced in the is confidential or privileged; or is published markings. performance of this agreement. When claim (i) The Contracting Officer shall make copyrighted computer software; including to copyright is made, the Recipient shall affix minor modifications of such computer written inquiry to the Recipient affording the the applicable copyright notices of 17 U.S.C. Recipient 30 days from receipt of the inquiry software. 401 or 402 and acknowledgement of Restricted rights, as used in this clause, to provide written justification to Government sponsorship (including substantiate the propriety of the markings; means the rights of the Government in agreement number) to the data when such restricted computer software, as set forth in (ii) If the Recipient fails to respond or fails data are delivered to the Government, as well to provide written justification to a Restricted Rights Notice of subparagraph as when the data are published or deposited (g)(3) if included in this clause, or as substantiate the propriety of the markings for registration as a published work in the within the 30-day period (or a longer time otherwise may be provided in a collateral U.S. Copyright Office. For such copyrighted agreement incorporated in and made part of not exceeding 90 days approved in writing by data, including computer software, the the Contracting Officer for good cause this contract, including minor modifications Recipient grants to the Government, and of such computer software. shown), the Government shall have the right others acting on its behalf, a paid-up to cancel or ignore the markings at any time Technical data, as used in this clause, nonexclusive, irrevocable worldwide license means data (other than computer software) after said period and the data will no longer in such copyrighted data to reproduce, be made subject to any disclosure which are of a scientific or technical nature. prepare derivative works, distribute copies to prohibitions. Technical data does not include computer the public, and perform publicly and display (iii) If the Recipient provides written software, but does include manuals and publicly, by or on behalf of the Government. justification to substantiate the propriety of instructional materials and technical data (2) Data not first produced in the the markings within the period set in formatted as a computer data base. performance of this agreement. The Recipient subparagraph (e)(1)(i) of this clause, the Unlimited rights, as used in this clause, shall not, without prior written permission of Contracting Officer shall consider such means the right of the Government to use, the Contracting Officer, incorporate in data written justification and determine whether disclose, reproduce, prepare derivative delivered under this agreement any data not or not the markings are to be cancelled or works, distribute copies to the public, and first produced in the performance of this perform publicly and display publicly, in any agreement and which contains the copyright ignored. If the Contracting Officer determines manner and for any purpose, and to have or notice of 17 U.S.C. 401 or 402, unless the that the markings are authorized, the permit others to do so. Recipient identifies such data and grants to Recipient shall be so notified in writing. If the Contracting Officer determines, with (b) Allocations of Rights the Government, or acquires on its behalf, a license of the same scope as set forth in concurrence of the head of the contracting (1) Except as provided in paragraph (c) of subparagraph (c)(1) of this clause; provided, activity, that the markings are not authorized, this clause regarding copyright, the however, that if such data are computer the Contracting Officer shall furnish the Government shall have unlimited rights in— software the Government shall acquire a Recipient a written determination, which (i) Data first produced in the performance copyright license as set forth in subparagraph determination shall become the final agency of this agreement; (g)(3) of this clause if included in this decision regarding the appropriateness of the (ii) Form, fit, and function data delivered agreement or as otherwise may be provided markings unless the Recipient files suit in a under this agreement; in a collateral agreement incorporated in or court of competent jurisdiction within 90 (iii) Data delivered under this agreement made part of this agreement. days of receipt of the Contracting Officer’s (except for restricted computer software) that (3) Removal of copyright notices. The decision. The Government shall continue to constitute manuals or instructional and Government agrees not to remove any abide by the markings under this training material for installation, operation, copyright notices placed on data pursuant to subparagraph (e)(1)(iii) until final resolution or routine maintenance and repair of items, this paragraph (c), and to include such of the matter either by the Contracting components, or processes delivered or notices on all reproductions of the data. Officer’s determination becoming final (in furnished for use under this agreement; and which instance the Government shall (iv) All other data delivered under this (d) Release, Publication and Use of Data thereafter have the right to cancel or ignore agreement unless provided otherwise for (1) The Recipient shall have the right to the markings at any time and the data will use, release to others, reproduce, distribute, no longer be made subject to any disclosure

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prohibitions), or by final disposition of the (i) Additional Data Requirements (2) This ‘‘limited rights data’’ may be matter by court decision if suit is filed. In addition to the data specified elsewhere disclosed for evaluation purposes under the (2) The time limits in the procedures set in this agreement to be delivered, the restriction that the ‘‘limited rights data’’ be forth in subparagraph (e)(1) of this clause Contracting Officer may, at anytime during retained in confidence and not be further may be modified in accordance with agency agreement performance or within a period of disclosed; regulations implementing the Freedom of 3 years after acceptance of all items to be (3) This ‘‘limited rights data’’ may be Information Act (5 U.S.C. 552) if necessary to delivered under this agreement, order any disclosed to other contractors participating in respond to a request thereunder. data first produced or specifically used in the the Government’s program of which this (f) Omitted or Incorrect Markings performance of this agreement. This clause is Recipient is a part for information or use (except for manufacture) in connection with (1) Data delivered to the Government applicable to all data ordered under this subparagraph. Nothing contained in this the work performed under their awards and without either the limited rights or restricted under the restriction that the ‘‘limited rights rights notice as authorized by paragraph (g) subparagraph shall require the Recipient to data’’ be retained in confidence and not be of this clause, or the copyright notice deliver any data the withholding of which is further disclosed; required by paragraph (c) of this clause, shall authorized by this clause, or data which are (4) This ‘‘limited rights data’’ may be used be deemed to have been furnished with specifically identified in this agreement as by the Government or others on its behalf for unlimited rights, and the Government not subject to this clause. When data are to emergency repair or overhaul work under the assumes no liability for the disclosure, use, be delivered under this subparagraph, the restriction that the ‘‘limited rights data’’ be or reproduction of such data. However, to the Recipient will be compensated for converting retained in confidence and not be further extent the data has not been disclosed the data into the prescribed form, for disclosed; and without restriction outside the Government, reproduction, and for delivery. the Recipient may request, within 6 months (j) The recipient agrees, except as may be (5) Release to a foreign government, or (or a longer time approved by the Contracting otherwise specified in this award for specific instrumentality thereof, as the interests of the Officer for good cause shown) after delivery data items listed as not subject to this United States Government may require, for or such data, permission to have notices paragraph, that the Contracting Officer or an information or evaluation, or for emergency placed on qualifying data at the Recipient’s authorized representative may, up to three repair or overhaul work by such government. expense, and the Contracting Officer may years after acceptance of all items to be This Notice shall be marked on any agree to do so if the Recipient: delivered under this award, inspect at the reproduction of this data in whole or in part. (i) Identifies the data to which the omitted Recipient’s facility any data withheld (b) This Notice shall be marked on any notice is to be applied; pursuant to paragraph (g) of this clause, for reproduction of these data, in whole or in (ii) Demonstrates that the omission of the purposes of verifying the Recipient’s part. notice was inadvertent; assertion pertaining to the limited rights or (End of notice) (iii) Establishes that the use of the restricted rights status of the data or for Alternate II: proposed notice is authorized; and evaluating work performance. Where the (g)(3)(i) Notwithstanding subparagraph (iv) Acknowledges that the Government Recipient whose data are to be inspected (g)(1) of this clause, the agreement may has no liability with respect to the disclosure, demonstrates to the Contracting Officer that identify and specify the delivery of restricted use, or reproduction of any such data made there would be a possible conflict of interest computer software, or the Contracting Officer prior to the addition of the notice or resulting if the inspection were made by a particular may require by written request the delivery from the omission of the notice. representative, the Contracting Officer shall of restricted computer software that has been (2) The Contracting Officer may also: designate an alternate inspector. withheld or would otherwise be (i) Permit correction at the Recipient’s As prescribed in 600.325(d)(1), the withholdable. If delivery of such computer expense of incorrect notices if the Recipient following Alternate I and/or II may be software is so required, the Recipient may identifies the data on which correction of the inserted in the clause in the award affix the following ‘‘Restricted Rights Notice’’ notice is to be made, and demonstrates that instrument. to the computer software and the the correct notice is authorized, or Alternate I: Government will thereafter treat the (ii) Correct any incorrect notices. (g)(2) Notwithstanding subparagraph (g)(1) computer software, subject to paragraphs (e) (g) Protection of Limited Rights Data and of this clause, the agreement may identify and (f) of this clause, in accordance with the Restricted Computer Software and specify the delivery of limited rights Notice. When data other than that listed in data, or the Contracting Officer may require RESTRICTED RIGHTS NOTICE subparagraphs (b)(1)(i), (ii), and (iii) of this by written request the delivery of limited rights data that has been withheld or would (a) This computer software is submitted clause are specified to be delivered under with restricted rights under Government this agreement and qualify as either limited otherwise be withholdable. If delivery of such data is so required, the Recipient may Agreement No. llll (and subaward/ rights data or restricted computer software, if contract llll, if appropriate). It may not the Recipient desires to continue protection affix the following ‘‘Limited Rights Notice’’ to the data and the Government will be used, reproduced, or disclosed by the of such data, the Recipient shall withhold Government except as provided in paragraph such data and not furnish them to the thereafter treat the data, in accordance with (b) of this Notice or as otherwise expressly Government under this agreement. As a such Notice: stated in the agreement. condition to this withholding, the Recipient LIMITED RIGHTS NOTICE (b) This computer software may be— shall identify the data being withheld and (a) These data are submitted with limited (1) Used or copies for use in or with the furnish form, fit, and function data in lieu rights under Government agreement No. computer or computers for which it was thereof. Limited rights data that are formatted llll (and subaward/contract No. acquired, including use at any Government as a computer data base for delivery to the llll, if appropriate). These data may be installation to which such computer or Government are to be treated as limited rights reproduced and used by the Government computers may be transferred; data and not restricted computer software. with the express limitation that they will not, (2) Used or copied for use in a backup (h) Subaward/Contract without written permission of the Recipient, computer if any computer for which it was The Recipient has the responsibility to be used for purposes of manufacture nor acquired is inoperative; obtain from its subrecipients/contractors all disclosed outside the Government; except (3) Reproduced for safekeeping (archiv3es) data and rights therein necessary to fulfill the that the Government may disclose these data or backup purposes; Recipient’s obligations to the Government outside the Government for the following (4) Modified, adapted, or combined with under this agreement. If a subrecipient/ purposes, if any, provided that the other computer software, provided that the contractor refuses to accept terms affording Government makes such disclosure subject to modified, combined, or adapted portions of the Government such rights, the Recipient prohibition against further use and the derivative software are made subject to shall promptly bring such refusal to the disclosure: the same restricted rights; attention of the Contracting Officer and not (1) Use (except for manufacture) by Federal (5) Disclosed to and reproduced for use by proceed with the subaward/contract award support services contractors within the scope support service Recipients in accordance without further authorization. of their contracts; with subparagraph (b)(1) through (4) of this

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clause, provided the Government makes such components, or processes that are sufficient (i) Protect rights in protected data disclosure or reproduction subject to these to enable physical and functional delivered under this agreement in the restricted rights; and interchangeability as well as data identifying manner and to the extent provided in (6) Used or copied for use in or transferred source, size, configuration, mating and paragraph (g) of this clause; to a replacement computer. attachment characteristics, functional (ii) Withhold from delivery those data (c) Notwithstanding the foregoing, if this characteristics, and performance which are limited rights data or restricted computer software is published copyrighted requirements except that for computer computer software to the extent provided in computer software, it is licensed to the software it means data identifying source, paragraph (h) of this clause; Government, without disclosure functional characteristics, and performance (iii) Substantiate use of, add, or correct prohibitions, with the minimum rights set requirements but specifically excludes the protected rights or copyrights notices and to forth in paragraph (b) of this clause. source code, algorithm, process, formulae, take other appropriate action, in accordance (d) Any other rights or limitations and flow charts of the software. with paragraph (e) of this clause; and regarding the use, duplication, or disclosure Limited rights data, as used in this clause, (iv) Establish claim to copyright subsisting of this computer software are to be expressly means data (other than computer software) in data first produced in the performance of stated, in, or incorporated in, the agreement. developed at private expense that embody this agreement to the extent provided in (e) This Notice shall be marked on any trade secrets or are commercial or financial subparagraph (c)(1) of this clause. reproduction of this computer software, in and confidential or privileged. (c) Copyright whole or in part. Restricted computer software, as used in (End of notice) this clause, means computer software (1) Data first produced in the performance of this agreement. Except as otherwise (ii) Where it is impractical to include the developed at private expense and that is a trade secret; is commercial or financial and specifically provided in this agreement, the Restricted Rights Notice on restricted Recipient may establish, without the prior computer software, the following short-form confidential or privileged; or is published approval of the Contracting Officer, claim to Notice may be used in lieu thereof: copyrighted computer software; including modifications of such computer software. copyright subsisting in any data first RESTRICTED RIGHTS NOTICE Protected data, as used in this clause, produced in the performance of this Use, reproduction, or disclosure is subject means technical data or commercial or agreement. If claim to copyright is made, the to restrictions set forth in agreement No. financial data first produced in the Recipient shall affix the applicable copyright llll (and subaward/contract llll, If performance of the award which, if it had notice of 17 U.S.C. 401 or 402 and appropriate) with llll (name of been obtained from and first produced by a acknowledgment of Government sponsorship Recipient and subrecipient/contractor). non-federal party, would be a trade secret or (including agreement number) to the data (End of notice) commercial or financial information that is when such data are delivered to the Government, as well as when the data are (iii) If restricted computer software is privileged or confidential under the meaning of 5 U.S.C. 552(b)(4) and which data is published or deposited for registration as a delivered with the copyright notice of 17 published work in the U.S. Copyright Office. U.S.C. 401, it will be presumed to be marked as being protected data by a party to For such copyrighted data, including published copyrighted computer software the award. computer software, the Recipient grants to licensed to the government without Protected rights, as used in this clause, the Government, and others acting on its disclosure prohibitions, with the minimum mean the rights in protected data set forth in behalf, a paid-up nonexclusive, irrevocable, rights set forth in paragraph (b) of this clause, the Protected Rights Notice of paragraph (g) worldwide license to reproduce, prepare unless the Recipient includes the following of this clause. derivative works, distribute copies to the statement with such copyright notice: Technical data, as used in this clause, public, and perform publicly and display ‘‘Unpublished—rights reserved under the means that data which are of a scientific or publicly, by or on behalf of the Government, Copyright Laws of the United States.’’ technical nature. Technical data does not for all such data. (End of clause) include computer software, but does include manuals and instructional materials and (2) Data not first produced in the Rights in Data—Programs Covered Under technical data formatted as a computer data performance of this agreement. The Recipient Special Data Statutes base. shall not, without prior written permission of the Contracting Officer, incorporate in data (a) Definitions Unlimited rights, as used in this clause, means the right of the Government to use, delivered under this agreement any data that Computer Data Bases, as used in this disclose, reproduce, prepare derivative are not first produced in the performance of clause, means a collection of data in a form works, distribute copies to the public, and this agreement and that contain the copyright capable of, and for the purpose of, being perform publicly and display publicly, in any notice of 17 U.S.C. 401 or 402, unless the stored in, processed, and operated on by a manner and for any purpose whatsoever, and Recipient identifies such data and grants to computer. The term does not include to have or permit others to do so. the Government, or acquires on its behalf, a computer software. license of the same scope as set forth in Computer software, as used in this clause, (b) Allocation of Rights subparagraph (c)(1) of this clause; provided, means (i) computer programs which are data (1) Except as provided in paragraph (c) of however, that if such data are computer comprising a series of instructions, rules, this clause regarding copyright, the software, the Government shall acquire a routines, or statements, regardless of the Government shall have unlimited rights in— copyright license as set forth in subparagraph media in which recorded, that allow or cause (i) Data specifically identified in this (h)(3) of this clause if included in this a computer to perform a specific operation or agreement as data to be delivered without agreement or as otherwise may be provided series of operations and (ii) data comprising restriction; in a collateral agreement incorporated or source code listings, design details, (ii) Form, fit, and function data delivered made a part of this agreeement. algorithms, processes, flow charts, formulae under this agreement; (3) Removal of copyright notices. The and related material that would enable the (iii) Data delivered under this agreement Government agrees not to remove any computer program to be produced, created or (except for restricted computer software) that copyright notices placed on data pursuant to compiled. The term does not include constitute manuals or instructional and this paragraph (c), and to include such computer data bases. training material for installation, operation, notices on all reproductions of the data. Data, as used in this clause, means or routine maintenance and repair of items, recorded information, regardless of form or components, or processes delivered or (d) Release, Publication and Use of Data the media on which it may be recorded. The furnished for use under this agreement; and (1) The Receipt shall have the right to use, term includes technical data and computer (iv) All other data delivered under this release to others, reproduce, distribute, or software. The term does not include agreement unless provided otherwise for publish any data first produced or information incidental to administration, protected data in accordance with paragraph specifically used by the Recipient in the such as financial, administrative, cost or (g) of this clause or for limited rights data or performance of this contract, except to the pricing or management information. restricted computer software in accordance extent such data may be subject to the Form, fit, and function data, as used in this with paragraph (h) of this clause. Federal export control or national security clause, means data relating to items, (2) The Recipient shall have the right to— laws or regulations, or unless otherwise

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provided in this paragraph of this clause or Information Act (5 U.S.C. 552) if necessary to retained in confidence and not be further expressly set forth in this contract. respond to a request thereunder. disclosed; or (2) The Recipient agrees that to the extent (f) Omitted or Incorrect Markings (b) To subcontractors or other team it receives or is given access to data necessary members performing work under the for the performance of this agreement which (1) Data delivered to the Government Government’s (insert name of program or contain restrictive markings, the Recipient without either the limited rights or restricted other applicable activity) program of which shall treat the data in accordance with such rights notice as authorized by paragraph (g) this award is a part, for information or use markings unless otherwise specifically of this clause, or the copyright notice in connection with the work performed authorized in writing by the Contracting required by paragraph (c) of this clause, shall under their activity, and under the restriction Officer. be deemed to have been furnished with that the Protected Data be retained in (e) Unauthorized Marking of Data unlimited rights, and the Government confidence and not be further disclosed. assumes no liability for the disclosure, use, (3) The obligations of confidentiality and (1) Notwithstanding any other provisions or reproduction of such data. However, to the restrictions on publication and dissemination of this agreement concerning inspection or extent the data has not been disclosed shall end for any Protected Data. acceptance, if any data delivered under this without restriction outside the Government, (a) At the end of the protected period; agreement are marked with the notices the Recipient may request, within 6 months (b) If the data becomes publicly known or specified in subparagraph (g)(2) or (g)(3) of (or a longer time approved by the Contracting available from other sources without a breach this clause and use of such is not authorized Officer for good cause shown) after delivery of the obligation of confidentiality with by this clause, or if such data bears any other of such data, permission to have notices respect to the Protected Data; restrictive or limiting markings not placed on qualifying data at the Recipient’s (c) If the same data is independently authorized by this agreement, the Contracting expense, and the Contracting Officer may developed by someone who did not have Officer may at any time either return the data agree to do so if the Recipient— access to the Protected Data and such data is to the Recipient or cancel or ignore the (i) Identifies the data to which the omitted made available without obligations of markings. However, the following procedures notice is to be applied; confidentiality; or shall apply prior to canceling or ignoring the (d) If the Recipient disseminates or markings. (ii) Demonstrates that the omission of the notice was inadvertent; authorizes another to disseminate such data (i) The Contracting Officer shall make without obligations of confidentiality. written inquiry to the Recipient affording the (iii) Establishes that the use of the proposed notice is authorized; and (4) However, the Recipient agrees that the Recipient 30 days from receipt of the inquiry following types of data are not considered to to provide written justification to (iv) Acknowledges that the Government has no liability with respect to the disclosure, be protected and shall be provided to the substantiate the propriety of the markings; Government when required by this award (ii) If the Recipient fails to respond or fails use, or reproduction of any such data made prior to the addition of the notice or resulting without any claim that the data are Protected to provide written justification to Data. The parties agree that notwithstanding substantiate the propriety of the markings from the omission of the notice. (2) The Contracting Officer may also: the following lists of types of data, nothing within the 30-day period (or a longer time precludes the Government from seeking not exceeding 90 days approved in writing by (i) Permit correction at the Recipient’s expense of incorrect notices if the Recipient delivery of additional data in accordance the Contracting Officer for good cause with this award, or from making publicly shown), the Government shall have the right identifies the data on which correction of the notice is to be made, and demonstrates that available additional non-protected data, nor to cancel or ignore the markings at any time does the following list constitute any after said period and the data will no longer the correct notice is authorized; or (ii) Correct any incorrect notices. admission by the Government that technical be made subject to any disclosure data not on the list is Protected Data. (Note: prohibitions. (g) Rights to Protected Data It is expected that this paragraph will specify (iii) If the Recipient provides written (1) The Recipient may, with the certain types of mutually agreed upon data justification to substantiate the propriety of concurrence of DOE, claim and mark as that will be available to the public and will the markings within the period set in protected data, any data first produced in the not be asserted by the recipient/contractor as subdivision (e)(1)(i) of this clause, the performance of this award that would have limited rights or protected data). Contracting Officer shall consider such (5) The Government’s sole obligation with written justification and determine whether been treated as a trade secret if developed at private expense. Any such claimed respect to any protected data shall be as set or not the markings are to be cancelled or forth in this paragraph (g). ignored. If the Contracting Officer determines ‘‘protected data’’ will be clearly marked with that the markings are authorized, the the following Protected Rights Notice, and (h) Protection of Limited Rights Data Recipient shall be so notified in writing. If will be treated in accordance with such When data other than that listed in the Contracting Officer determines, with Notice, subject to the provisions of subparagraphs (b)(1)(i), (ii), and (iii) of this concurrence of the head of the contracting paragraphs (e) and (f) of this clause. clause are specified to be delivered under activity, that the markings are not authorized, PROTECTED RIGHTS NOTICE this agreement and such data qualify as the Contracting Officer shall furnish the These protected data were produced under either limited rights data or restricted Recipient a written determination, which agreement no. lll with the U.S. computer software, the Recipient, if the determination shall become the final agency Department of Energy and may not be Recipient desires to continue protection of decision regarding the appropriateness of the published, disseminated, or disclosed to such data, shall withhold such data and not markings unless the Recipient files suit in a others outside the Government until (Note:) furnish them to the Government under this court of competent jurisdiction within 90 The period of protection of such data is fully agreement. As a condition to this days of receipt of the Contracting Officer’s negotiable, but cannot exceed the applicable withholding the Recipient shall identify the decision. The Government shall continue to statutorily authorized maximum), unless data being withheld and furnish form, fit, abide by the markings under this subdivision express written authorization is obtained and function data in lieu thereof. (e)(1)(iii) until final resolution of the matter from the recipient. Upon expiration of the (i) Subaward/Contract either by the Contracting Officer’s period of protection set forth in this Notice, determination become final (in which The Recipient has the responsibility to the Government shall have unlimited rights instance the Government shall thereafter obtain from its subrecipients/contractors all in this data. This Notice shall be marked on have the right to cancel or ignore the data and rights therein necessary to fulfill the any reproduction of this data, in whole or in markings at any time and the data will no Recipient’s obligations to the Government part. longer be made subject to any disclosure under this agreement. If a subrecipient/ prohibitions), or by final disposition of the (End of notice). contractor refuses to accept terms affording matter by court decision if suit is filed. (2) Any such marked Protected Data may the Government such rights, the Recipient (2) The time limits in the procedures set be disclosed under obligations of shall promptly bring such refusal to the forth in subparagraph (e)(1) of this clause confidentiality for the following purposes: attention of the Contracting Officer and not may be modified in accordance with agency (a) For evaluation purposes under the proceed with subaward/contract award regulations implementing the Freedom of restriction that the ‘‘Protected Data’’ be without further authorization.

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(j) Additional Data Requirements (2) This ‘‘limited rights data’’ may be through (4) of this clause, provided the In addition to the data specified elsewhere disclosed for evaluation purposes under the Government makes such disclosure or in this agreement to be delivered, the restriction that the ‘‘limited rights data’’ be reproduction subject to these restricted Contracting Officer may, at anytime during retained in confidence and not be further rights; and agreement performance or within a period of disclosed; (6) Used or copies for use in or transferred 3 years after acceptance of all items to be (3) This ‘‘limited rights data’’ may be to a replacement computer. delivered under this agreement, order any disclosed to other contractors participating in (c) Notwithstanding the foregoing, if this data first produced or specifically used in the the Government’s program of which this computer software is published copyrighted performance of this agreement. This clause is Recipient is a part for information or use computer software, it is licensed to the applicable to all data ordered under this (except for manufacture) in connection with Government, without disclosure subparagraph. Nothing contained in this the work performed under their awards and prohibitions, with the minimum rights set subparagraph shall require the Recipient to under the restriction that the ‘‘limited rights forth in paragraph (b) of this clause. deliver any data the withholding of which is data’’ be retained in confidence and not be (d) Any other rights or limitations authorized by this clause or data which are further disclosed; regarding the use, duplication, or disclosure specifically identified in this agreement as (4) This ‘‘limited rights data’’ may be used of this computer software are to be expressly not subject to this clause. When data are to by the Government or others on its behalf for stated in, or incorporated in, the agreement. be delivered under this subparagraph, the emergency repair or overhaul work under the (e) This Notice shall be marked on any Recipient will be compensated for converting restriction that the ‘‘limited rights data’’ be reproduction of this computer software, in the data into the prescribed form, for retained in confidence and not be further whole or in part. reproduction, and for delivery. disclosed; and (End of notice) (k) The Recipient agrees, except as may be (5) Release to a foreign government, or instrumentality thereof, as the interests of the (ii) Where it is impractical to include the otherwise specified in this agreement for Restricted Rights Notice on restricted specific data items listed as not subject to United States Government may require, for information or evaluation, or for emergency computer software, the following short-form this paragraph, that the Contracting Officer or Notice may be used in lieu thereof: an authorized representative may, up to three repair or overhaul work by such government. years after acceptance of all items to be This Notice shall be marked on any RESTRICTED RIGHTS NOTICE delivered under this contract, inspect at the reproduction of this data in whole or in part. Use, reproduction, or disclosure is subject Recipient’s facility any data withheld (b) This Notice shall be marked on any to restrictions set forth in Agreement No. pursuant to paragraph (h) of this clause, for reproduction of these data, in whole or in llll (and subaward/contract llll, if purposes of verifying the Recipient’s part. appropriate) with llll (name of assertion pertaining to the limited rights or (End of notice) Recipient and subrecipient/contractor). restricted rights status of the data or for Alternate II: (End of notice) evaluating work performance. Where the (h)(3)(i) Notwithstanding subparagraph (iii) If restricted computer software is Recipient whose data are to be inspected (h)(1) of this clause, the agreement may delivered with the copyright notice of 17 demonstrates to the Contracting Officer that identify and specify the delivery of restricted U.S.C. 401, it will be presumed to be there would be a possible conflict of interest computer software, or the Contracting Officer published copyrighted computer software if the inspection were made by a particular may require by written request the delivery licensed to the Government without representative, the Contracting Officer shall of restricted computer software that has been disclosure prohibitions, with the minimum designate an alternate inspector. withheld or would otherwise be rights set forth in paragraph (b) of this clause, As prescribed in 600.325(e)(2), the withholdable. If delivery of such computer unless the Recipient includes the following following Alternate I and/or II may be software is so required, the Recipient may statement with such copyright notice: inserted in the clause in the award affix the following ‘‘Restricted Rights Notice’’ ‘‘Unpublished—rights reserved under the instrument. to the computer software and the Copyright Laws of the United States.’’ Alternate I: Government will thereafter treat the (End of clause) (h)(2) Notwithstanding subparagraph (h)(1) computer software, subject to paragraphs (d) of this clause, the agreement may identify and (e) of this clause, in accordance with the Appendix B to Subpart D to Part 600— and specify the delivery of limited rights Notice: Contract Provisions data, or the Contracting Officer may require RESTRICTED RIGHTS NOTICE by written request the delivery of limited All contracts awarded by a recipient, rights data that has been withheld or would (a) This computer software is submitted including those for amounts less than the otherwise be withholdable. If delivery of with restricted rights under Government simplified acquisition threshold, must such data is so required, the Recipient may Agreement No. llll (and subaward/ contain the following provisions as affix the following ‘‘Limited Rights Notice’’ contract llll, if appropriate). It may not applicable: to the data and the Government will be used, reproduced, or disclosed by the 1. Equal Employment Opportunity—All thereafter treat the data, in accordance with Government except as provided in paragraph contracts must contain a provision requiring such Notice: (c) of this Notice or as otherwise expressly compliance with E.O. 11246 (3 CFR, 1964– stated in the agreement. 1965 Comp., p. 339), ‘‘Equal Employment LIMITED RIGHTS NOTICE (b) This computer software may be— Opportunity,’’ as amended by E.O. 11375 (3 (a) These data are submitted with limited (1) Used or copied for use in or with the CFR, 1966–1970 Comp., p. 684), ‘‘Amending rights under Government agreement No. computer or computers for which it was Executive Order 11246 Relating to Equal llll (and subaward/contract No. acquired, including use at any Government Employment Opportunity,’’ and as llll, if appropriate). These data may be installation to which such computer or supplemented by regulations at 41 CFR reproduced and used by the Government computers may be transferred; chapter 60, ‘‘Office of Federal Contract with the express limitation that they will not, (2) Used or copies for use in a backup Compliance Programs, Equal Employment without written permission of the Recipient, computer if any computer for which it was Opportunity, Department of Labor.’’ be used for purposes of manufacture nor acquired is inoperative; 2. Copeland ‘‘Anti-Kickback’’ Act (18 disclosed outside the Government; except (3) Reproduced for safekeeping (archives) U.S.C. 874 and 40 U.S.C. 276c)—All that the Government may disclose these data or backup purposes; contracts and subawards in excess of $2,000 outside the Government for the following (4) Modified, adapted, or combined with for construction or repair awarded by purposes, if any, provided that the other computer software, provided that the recipients and subrecipients must include a Government makes such disclosure subject to modified, combined, or adapted portions of provision for compliance with the Copeland prohibition against further use and the derivative software are made subject to ‘‘Anti-Kickback’’ Act (18 U.S.C. 874), as disclosure: the same restricted rights; supplemented by Department of Labor (1) Use (except for manufacture) by Federal (5) Disclosed to and reproduced for use by regulations (29 CFR part 3, ‘‘Contractors and support services contractors within the scope Federal support service Contractors in Subcontractors on Public Building or Public of their contracts; accordance with subparagraphs (b)(1) Work Financed in Whole or in Part by Loans

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or Grants from the United States’’). The Act 4. Rights to Inventions and Data Made forwarded from tier to tier up to the provides that each contractor or subrecipient Under a Contract or Agreement—Contracts or recipient. must be prohibited from inducing, by any agreements for the performance of 7.Debarment and Suspension (E.O.s 12549 means, any person employed in the experimental, development, or research work and 12689—Contract awards that exceed the construction, completion, or repair of public must provide for the rights of the Federal simplified acquisition threshold and certain work, to give up any part of the Government and the recipient in any other contract awards must not be made to compensation to which he is otherwise resulting invention in accordance with 10 parties listed on nonprocurement portion of entitled. The recipient must report all CFR 600.325 and Appendix A—Patent and suspected or reported violations to the Data Rights to Subpart D, Part 600. the General Services Administration’s Lists responsible DOE contracting officer. 5. Clean Air Act (42 U.S.C. 7401 et seq.) of Parties Excluded from Federal 3. Contact Work Hours and Safety and the Federal Water Pollution Control Act Procurement and Nonprocurement Programs Standards Act (40 U.S.C. 327–333)—Where (33 U.S.C. 1251 et seq.), as amended— in accordance with E.O.s 12549 (3 CFR, 1986 applicable, all contracts awarded by Contracts and subawards of amounts in Comp., p. 189) and 12689 (3 CFR, 1989 recipients in excess of $100,000 for excess of $100,000 must contain a provision Comp., p. 235),‘‘Debarment and Suspension.’’ construction and other purposes that involve that requires the recipient to agree to comply This list contains the names of parties the employment of mechanics or laborers with all applicable standards, orders or debarred, suspended, or otherwise excluded must include a provision for compliance regulations issued pursuant to the Clean Air by agencies, and contractors declared with Sections 102 and 107 of the Contract Act (41 U.S.C. 7401 et seq.) and the Federal ineligible under statutory or regulatory Work Hours and Safety Standards Act (40 Water Pollution control act as amended (33 authority other than E.O. 12549. Contractors U.S.C. 327–333), as supplemented by U.S.C. 1251 et seq.). Violations must be with awards that exceed the small purchase Department of Labor regulations (29 CFR part reported to the responsible DOE contracting threshold must provide the required 5). Under Section 102 of the Act, each officer and the Regional Office of the contractor is required to compute the wages Environmental Protection Agency (EPA). certification regarding its exclusion status of every mechanic and laborer on the basis 6. Byrd Anti-Lobbying Amendment (31 and that of its principals. of a standard work week of 40 hours. Work U.S.C. 1352)—Contractors who apply or bid 8. Davis-Bacon Act (40 U.S.C. 276a)—As a in excess of the standard work week is for an award of $100,000 or more must file general rule, it is unlikely that the Davis- permissible provided that the worker is the required certification. Each tier certifies Bacon Act, which among other things compensated at a rate of not less than 11⁄2 to the tier above that it will not and has not requires payment of prevailing wages on times the basic rate of pay for all hours used Federal appropriated funds to pay any projects for the construction of public works, worked in excess of 40 hours in the work person or organization for influencing or would apply to financial assistance awards. week. Section 107 of the Act is applicable to attempting to influence an officer or However, the presence of certain factors (e.g., construction work and provides that no employee of any agency, a member of requirement of particular program statues; laborer or mechanic is required to work in Congress, officer or employee of Congress, or title to a construction facility resting in the surroundings or under working conditions an employee of a member of Congress in Government) might necessitate a closer which are unsanitary, hazardous or connection with obtaining any Federal analysis of the award, to determine if the dangerous. These requirements do not apply contract, grant or any other award covered by Davis-Bacon Act would apply in the to the purchases of supplies or materials or 31 U.S.C.1352. Each tier must also disclose particular factual situation presented. articles ordinarily available on the open any lobbing with non-Federal funds that market, or contracts for transportation or takes place in connection with obtaining any [FR Doc. 03–21172 Filed 8–20–03; 8:45 am] transmission of intelligence. Federal award. Such disclosures are BILLING CODE 6450–01–P

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Part IV

Department of the Treasury Fiscal Service

31 CFR Part 210 Federal Government Participation in the Automated Clearing House; Proposed Rule

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DEPARTMENT OF THE TREASURY SUPPLEMENTARY INFORMATION: 1. Revised Accounts Receivable Disclosure Fiscal Service I. Background Currently agencies that receive checks Part 210 governs the use of the ACH via the mail or at a dropbox may convert 31 CFR Part 210 system by agencies. The ACH system is those checks to debit entries if the RIN 1510–AA93 a nationwide electronic fund transfer notice set forth at Appendix C to part (EFT) system that provides for the inter- 210 has been provided to the check Federal Government Participation in bank clearing of credit and debit writer. A number of agencies have the Automated Clearing House transactions and for the exchange of indicated that the standard disclosure information among participating AGENCY: Financial Management Service, set forth in Appendix C is too lengthy financial institutions. Part 210 Fiscal Service, Treasury. to be included on many invoices and incorporates the ACH Rules adopted by ACTION: remittance documents. We recognize Proposed rule with request for NACHA, with certain exceptions. comment. that there are space constraints on We are issuing a proposed rule to agency forms, which in many cases SUMMARY: We are proposing to amend amend part 210 in order to address the preclude the addition of several our regulation at 31 CFR part 210, circumstances in which checks paragraphs of disclosure. We also which governs the use of the Automated presented or delivered to agencies may believe that as check conversion and the Clearing House (ACH) system by be converted to ACH debit entries. In use of electronic debits become more Federal agencies (agencies). Part 210 addition, the proposed rule amends common, there is less of a need for very adopts, with some exceptions, the ACH several provisions of part 210 that detailed disclosure. At the same time, it rules (ACH Rules) developed by address the reclamation of Federal is important that consumers understand NACHA—The Electronic Payments benefit payments issued to deceased what is happening to their checks, Association (NACHA) as the rules recipients and the receipt of misdirected particularly since an individual who governing the use of the ACH system by Federal payments. We are requesting sends a check to an agency is deemed agencies. comment on the proposed rule. to have authorized its conversion to an The proposed rule addresses the ACH debit on the basis of having been II. Summary circumstances in which checks provided with prior notice of its presented or delivered to agencies may A. Check Conversion conversion. We are requesting comment be converted to ACH debit entries. The on whether the proposed disclosure proposed rule also addresses issues On April 11, 2002, we published a strikes the appropriate balance between relating to the reclamation of Federal final rule that amended part 210 by the need for a shorter notice and the benefit payments and the receipt of permitting agencies that receive checks need to ensure that consumers misdirected Federal payments. We are at points-of-purchase, dropboxes and understand what is happening to their requesting comment on all aspects of via the mail to convert those checks to checks. We are also soliciting comment the proposed rule. ACH debit entries. 67 FR 17895. The on whether the wording of the proposed DATES: Comments on the proposed rule rule modified the ACH Rules governing notice is clear and understandable. must be received by October 20, 2003. check conversion to provide that 2. Expanded Accounts Receivable Check ADDRESSES: You can download the presentment to an agency of a proposed rule at the following World completed and signed check, following Conversion Applications Wide Web address: http:// notice that the check will be converted, Currently, part 210 permits agencies www.fms.treas.gov/ach. You may also constitutes authorization for the to originate ACH debit entries using inspect and copy the proposed rules at: conversion of the check to an ACH debit checks received at points-of-purchase, Treasury Department Library, Freedom entry. The rule, which permits the dropboxes and via the mail. However, of Information Act (FOIA) Collection, conversion of both consumer and agencies accept or cash checks in a Room 1428, Main Treasury Building, business checks, requires that agencies broad array of circumstances that fall 1500 Pennsylvania Ave., NW., provide standard disclosures in outside typical commercial settings, e.g., Washington, DC 20220. Before visiting, connection with point-of-purchase and retail sales locations and lockboxes. We you must call (202) 622–0990 for an accounts receivable check conversion. have been asked to address a number of appointment. Since we published the final rule, we situations in which agencies accept or You may send comments on the have continued to develop and cash checks in circumstances that do proposed rule electronically to the implement initiatives to promote check not fall within the generally understood following address: conversion. These initiatives have meanings of ‘‘point-of-purchase,’’ [email protected]. You may demonstrated that point-of-purchase ‘‘dropbox,’’ or ‘‘lockbox.’’ For example, also mail your comments to Stephen M. and accounts receivable check Army pay officers sometimes travel to Vajs, Director, Risk Management conversion can result in substantial remote, off-base locations in order to Division, Financial Management cost-savings and efficiencies for the cash checks for soldiers. In those Service, U.S. Department of the Federal government. However, we have situations, pay officers cannot bring Treasury, Room 423, 401 14th Street, identified certain barriers that our along the necessary equipment to scan SW., Washington, DC 20227. current rule poses for the wider use of and convert the check. Similarly, some FOR FURTHER INFORMATION CONTACT: John check conversion by agencies. We are National Park Service rangers collect Galligan, Program Advisor, at (202) 874– therefore proposing several amendments park entrance fees at park entrances 6657 or [email protected]; to part 210 to eliminate these barriers. where check conversion equipment Natalie H. Diana, Senior Counsel, at The proposed amendments support the cannot be set up because there is not (202) 874–6680 or continuation of the efforts of the electric power or adequate enclosed and [email protected]; or Donald Financial Management Service (Service) protected space. Additionally, in some J. Skiles, Senior Financial Program and agencies to move to an all- situations checks are collected by Specialist, at (202) 874–6994 or electronic environment for the agency representatives as an incident to [email protected]. processing of payments and collections. their performance of ceremonial duties,

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inspections or other responsibilities. necessarily intend to preclude the conversion of these instruments will These individuals may not have the conversion of checks in scenarios that enable agencies to be positioned to authority to process payments, or it may do not precisely fit one of these two convert these instruments once it not be appropriate to process the models; rather, we had not been becomes operationally feasible to do so payments when they are received in presented with other potential scenarios without the need to undertake an light of the nature of the circumstances. at that time. additional rulemaking process. Until In all of these situations, it is not Because it is not possible to comply conversion of these instruments is possible to scan and return the voided with the point-of-purchase rules in possible, we may use stored item images check as required under the point-of- converting checks in the situations to create paper drafts of any items purchase check conversion rules (31 discussed above, whereas it is possible returned due to debit blocks or similar CFR 210.6(g)), and we therefore have to comply with the accounts receivable mechanisms and process these drafts been asked whether these checks can be check conversion rules, we believe that through the check processing system. In converted under the accounts receivable the most reasonable approach to these most cases, the use of a paper draft check conversion rules (31 CFR situations is to treat them as accounts makes possible many of the same 210.6(h)). receivable check conversion. Under this efficiencies as check conversion (i.e., It is unclear whether situations such approach, these checks would be elimination of paper to process and as those described above are more in the converted using an ARC code (for deposit, enhanced reporting, archiving nature of a point-of-purchase or a consumer checks) or a Cash of documentation, increased speed of dropbox transaction. The ACH Rules Concentration or Disbursement (CCD) presentment and deposit of funds). In define a Point-of-Purchase (POP) entry code (for business checks), and the this regard, although we are not as a debit entry initiated pursuant to a checks would be destroyed rather than proposing to include U.S. Treasury single entry authorization and a source returned to the check writer. We believe checks among the items eligible for document, provided to the Originator 1 that the check writer’s interests would conversion, legislation currently in by the Receiver 2 at the point-of- be adequately protected by applying the Congress would, if enacted, treat paper purchase to effect a transfer of funds. accounts receivable rules because the drafts created from images of U.S. See ACH Rule 13.1.42. When we check writer will receive prior written Treasury checks as legally equivalent to amended 31 CFR 210.6(g) to address notice in the form of Appendix C to part the original checks. point-of-purchase check conversion, we 210 (with minor alterations, as We are aware that authorization stated that the term ‘‘point-of-purchase’’ appropriate) and because the physical issues can arise in connection with was intended to mean ‘‘any location check will be destroyed. We are converting these instruments because an where an agency accepts checks as requesting comment on this approach. individual presenting such an item to an payment in connection with a agency does not have authority to act 3. Conversion of Additional Instruments contemporaneous transaction or any with respect to the account on which location where an agency cashes checks Part 210 incorporates the restrictions the check is drawn and therefore cannot for employees or the public.’’ 67 FR imposed under ACH Rules 3.6.2 and authorize conversion of the item. 17901. 3.7.1 on the kinds of source documents However, we believe that the ACH Rules The ACH Rules define an Accounts that can be used to originate ARC and incorporated in part 210 provide an Receivable (ARC) entry as a ‘‘debit entry POP entries. In contrast to the ACH adequate framework to enable a initiated pursuant to a source document Rules, part 210 does permit agencies to Receiver to pursue recovery of an provided to the Originator by the convert business checks received at unauthorized debit to the Receiver’s Receiver via the U.S. mail or at a points-of-purchase, dropboxes and via account. dropbox location.’’ When we amended the mail. However, agencies currently 31 CFR 210.6(h) to address accounts are not permitted to originate ACH debit 4. Re-Presented Check Entry Service receivable check conversion, we stated, entries using as a source document Fees ‘‘A dropbox is similar to a lockbox various other kinds of payment Under the ACH Rules incorporated in except that a payor delivers a payment instruments, such as money orders, part 210, agencies may use a Re- to a dropbox in person rather than traveler’s checks, certified bank checks, presented Check (RCK) entry to mailing the payment.’’ 67 FR 17901. and credit card checks. A number of electronically re-present, via the ACH When we amended part 210 to agencies routinely receive these kinds of Network, a consumer check that has address check conversion, we payment instruments in addition to been returned unpaid due to insufficient envisioned check conversion as personal and business checks. In these funds. Some agencies that originate RCK occurring at on-site agency locations— instances it becomes a significant entries also wish to use the ACH either agency locations where, in the operational burden to sort these Network to collect a service fee from the usual course of business, checks are payments and process them separately. issuer of the returned item. To collect cashed or goods or services are sold Some agencies have elected not to such a fee, agencies must obtain the (points-of-purchase) or locations where participate in check conversion for this consumer’s explicit authorization for payments for accounts receivable are reason. We are proposing to amend part the debit and must initiate a separate routinely received. We did not 210 to eliminate the regulatory debit entry to the consumer’s account. prohibition against converting to ACH (Part 210 and the ACH Rules prohibit 1 In an ACH debit transaction, the Originator is debit entries certain types of payment the addition of any service fee to the the person or entity originating the debit entry to instruments that are commonly received amount of the RCK entry.) Agencies the account of the payor. In the transactions at lockboxes and points-of-purchase. often do not find it cost effective or discussed in this section of the notice, the Originator is the agency collecting payment. We recognize that there are significant customer friendly to obtain a written 2 In an ACH debit transaction, the Receiver is the operational barriers that currently authorization from every check writer to person or entity making the payment (i.e., the prevent the conversion of money orders collect a service fee electronically payor) by authorizing a debit to an account. In this and similar instruments, including debit because only a small percentage of document, we may refer to a person or entity making a payment to a Federal agency as a payor, blocks or filters on the accounts on checks are returned unpaid. a Receiver, a customer, or a consumer, as which these items are drawn. However, Regulation E, 12 CFR part 205, is the appropriate. removing regulatory obstacles to the Federal Reserve’s regulation governing

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Electronic Fund Transfer (EFT) (4) To prohibit agencies from learns of the death from a source other payments. The Official Staff reclaiming payments that were made than notice from the agency. We believe Commentary on Regulation E more than seven years prior to the date that the use of the R15 and R14 codes (Commentary) states that the electronic of the notice of reclamation; is an efficient means of notifying re-presentment of a returned check is (5) To limit the information that agencies that a recipient is deceased not covered by Regulation E because the agencies may request from financial because of the stop on subsequent transaction is originated by check. institutions, in accordance with the payments and investigation that is Commentary, Section 205.3, Paragraph Right to Financial Privacy Act; and automatically triggered when an agency 3(c)(1). Regulation E does apply, (6) To allow financial institutions to receives an R15 returned payment. We however, to any fee authorized by the notify an account owner of the receipt request comment both from agencies consumer to be debited electronically of a notice of reclamation ‘‘promptly’’ and from financial institutions on this from the consumer’s account because rather than ‘‘immediately.’’ proposed rule change. the check was returned for insufficient We are also making several non- substantive changes to the wording of 2. Post-Death Payments to Which funds. Accordingly, such a fee may be Recipient Is Entitled collected by ACH debit only if the reclamation provisions of part 210 authorized by the consumer. The in order to correct typographical errors We are proposing to amend part 210 Commentary states that a consumer and clarify its operation. to provide an exception to the general rule that an RDFI is liable to the Federal authorizes a one-time EFT where the 1. Mandatory Use of R15 or R14 Return government for all post-death benefit consumer receives notice that the Reason Code transaction will be processed as an EFT payments unless the RDFI has the right A financial institution is required to to limit its liability. Currently, part 210 and completes the transaction. return any Federal benefit payment Commentary, Section 205.3, Paragraph imposes on RDFIs partial or full liability received after the institution learns of for benefit payments received after the 3(b). the death of the recipient. See 31 CFR Part 210 currently provides that death or legal incapacity of a recipient. 210.10(a). However, part 210 does not The allocation of this liability to RDFIs agencies may collect a service fee by specify what ACH return reason code is based on the presumption that a post- ACH debit in the case of accounts financial institutions must use in death payment is improper because the receivable and point-of-purchase entries effecting these returns. In some cases, recipient is not entitled to the payment. that are returned for insufficient funds, financial institutions use an R02 However, we have become aware that provided that notice of the fee has been (Account Closed) code, whereas in other there are certain types of payments to included in the required disclosure.3 cases financial institutions use an R15 which a recipient (or his or her estate) We are proposing to expand this (Beneficiary or Account Holder is legally entitled, and which an agency provision to allow agencies to originate Deceased) or R14 (Representative Payee may not have the legal obligation or an ACH debit entry in order to collect Deceased) code. Most Federal paying authority to recover, notwithstanding a service fee related to an RCK entry if agencies that receive payments returned that the payment was issued following notice of the fee is given to the Receiver with an R15 code automatically stop the recipient’s death. For example, before the agency accepts the Receiver’s payments to the recipient and begin an agencies sometimes issue payments that check. investigation. In contrast, when a represent retroactive benefits owed to B. Reclamations; Misdirected Payments payment is returned using an R02 or the recipient. The recipient’s legal other non-death code, agencies may entitlement to such a payment does not We are proposing to amend part 210 only temporarily suspend the payment necessarily end upon death. to address certain issues relating to the rather than terminating further One of the premises underlying the reclamation of Federal benefit payments payments to the recipient. Thus, the use allocation of liability to financial and the receipt of misdirected Federal of the R02 or other non-death code to institutions for payments that agencies payments. The changes that we are return a payment made to a deceased issue to deceased recipients is that proposing to make are: recipient may result in further payments because these payments are improper, (1) To require financial institutions being issued to the deceased there is a loss of public funds unless the that learn that an account holder has beneficiary, creating a risk of loss of payments are recovered. We do not died to return any subsequent Federal additional public funds. believe that it is equitable to impose benefit payments using return reason We are proposing to require financial liability on a financial institution where code R15 (Beneficiary or Account institutions to return benefit payments there is no loss of public funds because Holder Deceased) or R14 using an R15 or R14 code, as the agency that certified the payment (Representative Payee Deceased), as appropriate, if the financial institution has determined that the payment was appropriate; is aware that the recipient is deceased. properly issued notwithstanding its (2) To provide that financial This requirement would not impose any issuance following the recipient’s death. institutions are not liable for post-death additional burden on financial Accordingly, we are proposing to amend benefit payments to which the recipient institutions to take steps to learn of the part 210 to address these situations. In was entitled; death of account holders, but would determining whether to reclaim post- (3) To require a financial institution simply require that, in circumstances death payments, we will rely on the that becomes aware that a Federal where the financial institution is aware determination of the certifying agency benefit payment was misdirected to of the death of the recipient, the R15 or as to whether a recipient is entitled to notify the agency that sent the payment R14 code be used to return payments. a post-death payment. It is our of the error; We are also proposing to amend the understanding that, for the vast majority regulation to provide that a Receiving of Federal benefit payments, death does 3 Any agency that seeks to collect a service fee Depository Financial Institution (RDFI) in fact end the recipient’s legal from the issuer of a returned check must have that returns a payment using the R15 or entitlement to the payments. Therefore, independent authority to do so. Part 210 does not authorize the collection of a service fee, but only R14 code is deemed to have satisfied the as a practical matter, the effect of this provides an electronic means through which such requirement to notify an agency of the amendment would be that financial a fee can be collected if authority exists. death of a payment recipient if the RDFI institutions may expect that a small

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number of post-death payments will not payment made more than six years prior made by the Railroad Retirement Board be the subject of a notice of reclamation. to the most recent payment made by the or Department of Veterans’ Affairs (VA), We request comment both from agency to the recipient’s account. There was sent without following the Act’s financial institutions and from agencies have, however, been situations in which procedural requirements. The on this proposal. the most recent payment that an agency exceptions permit disclosure by a made to a recipient’s account took place 3. Misdirected Federal Payments financial institution of the name and several years before the reclamation was address of any customer ‘‘where the Although the vast majority of initiated. Thus, notwithstanding the disclosure of such information is electronic Federal payments are existing limitation, there have been necessary to, and such information is delivered without incident to the reclamations initiated by agencies for used solely for the purpose[s] of, the intended recipient, on rare occasions a payments made many years ago. proper administration of’’ title II of the Federal payment is delivered to an Although these reclamations are Social Security Act (42 U.S.C. 401 et account that does not belong to the infrequent, they are particularly difficult seq.), the Railroad Retirement Act (45 entitled payee. This can occur, for and time-consuming to process because U.S.C. 231 et seq.) or benefits programs example, if the payee mistakenly neither agencies nor financial under laws administered by VA. 12 provides an incorrect account or routing institutions retain records indefinitely, U.S.C. 3413(k), (p). These exceptions number to the paying agency. RDFIs meaning that very old payment records permit disclosure only of names and may rely on the account number alone or related account information addresses—not of other transaction in posting a payment, and have no frequently is not available. We therefore information, such as dates and times of obligation to verify that the payee name are proposing to prohibit agencies from withdrawals. matches the name of the account holder reclaiming any payment that was made In order to clarify that the information on the RDFI’s records. more than seven years prior to the date that financial institutions are required to In some cases, the owner of an of the notice of reclamation. The only provide in connection with a account to which a Federal payment exception to this limitation would be in reclamation is limited to the was erroneously delivered has brought a situation in which the account balance information specified in the Financial the erroneous payment to the attention exceeds the total amount of the Privacy Act, we are proposing to revise of the RDFI. Sometimes the RDFI payments that the agency would the wording of subsection contacts the agency that originated the otherwise be permitted to reclaim after 210.11(b)(3)(i). payment. In other instances, rather than applying the seven-year limitation. notifying the agency, RDFIs have 6. Notification to Account Owners handled such errors by removing the 5. Right to Financial Privacy Act Changes We are proposing to revise § 210.13 in funds from the account to which they order to allow financial institutions to were credited and crediting the funds to Part 210 currently provides that in notify an account owner of the receipt the account of the intended payee, order to limit its liability in a of a notice of reclamation ‘‘promptly’’ based on the payee name and/or the reclamation, a financial institution must rather than ‘‘immediately.’’ We do not individual identification number in the respond to a notice of reclamation by believe that the need to notify account ACH information accompanying the providing the names, addresses, and owners of a reclamation is so urgent as payment. When this approach is taken, ‘‘any other relevant information’’ to require immediate notification. This the agency that originated the payments regarding account co-owners and other change is intended to reduce an persons who withdrew, or were remains unaware of any problem, unnecessary burden on financial authorized to withdraw, funds from the meaning that the agency may continue institutions. to direct subsequent payments to the recipient’s account after the death or wrong account. legal incapacity of the recipient. 31 CFR III. Section-by-Section Analysis The repeated delivery of payments to 210.11(b)(3)(i). This information is used Section 210.2(d) the wrong account, particularly where by paying agencies to pursue the the account owner has taken steps to recovery of the payments from persons We are proposing to revise the bring the mistake to the attention of the who have made use of the funds but definition of Applicable ACH Rules at bank, undermines public confidence in who were not entitled to them. § 210.2(d) by adding a new the Federal government’s use of the The information that an agency may subparagraph (8) in order to exclude ACH system. We do not believe that it obtain from a financial institution in ACH Rules 3.6.2 and 3.7.1 from the is unduly burdensome to require connection with a reclamation is limited definition. ACH Rules 3.6.2 and 3.7.1, financial institutions to contact paying by the Right to Financial Privacy Act, 12 respectively, prohibit the origination of agencies in the small number of cases in U.S.C. 3401 et seq. (Financial Privacy ARC entries and POP entries using, which financial institutions are made Act). The Financial Privacy Act among other things, third-party checks, aware that a Federal payment has been prohibits, subject to some exceptions, credit card checks, obligations of misdirected. We are requesting agencies from obtaining from financial financial institutions (e.g., traveler’s comment on this proposed amendment institutions any information contained checks, cashier’s checks, official checks, to part 210, including the means by in or derived from the financial records money orders, etc.), and checks drawn which this notice to agencies could be of any customer, except pursuant to an on a state or local government. administrative or judicial subpena, a most conveniently and effectively Section 210.2(i) provided. search warrant, or other method prescribed by the Act. The Financial We are proposing to add a new 4. Seven Year Limit on Reclamations Privacy Act contains two exceptions definition of ‘‘business check’’ to We are proposing to amend the that permit agencies to obtain from a § 210.2. The definition would include limitation on the age of payments that financial institution certain information not only any check drawn on a an agency may reclaim. Part 210 related to an account to which an corporate or business deposit account currently prohibits (subject to one erroneous Social Security Federal Old- (including a third-party check), but also exception) an agency from reclaiming Age, Survivors, and Disability Insurance credit card checks; negotiable any post-death or post-incapacity benefit payment, or a benefit payment instruments issued by a financial

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institution (e.g., traveler’s checks, account that is not owned by the payee only exception to this limitation would cashier’s checks, official checks, money whose name appears in the ACH be in a situation in which the account orders, etc.); and checks drawn on a payment information. ‘‘Promptly’’ will balance exceeds the total amount of the state or local government. The new normally mean no later than two payments that the agency would definition is used in proposed § 210.6(g) business days after the error has come otherwise be permitted to reclaim. and (h) in order to permit agencies to to the RDFI’s attention. An RDFI that Additional wording changes have use these instruments as source fails to provide the notice may be liable been made to proposed § 210.10(d). The documents in originating ACH debit to the Federal government for loss first sentence of § 210.10(d) currently entries. resulting from its failure to notify the provides that an agency must initiate a paying agency pursuant to the general Section 210.6(g) reclamation within 120 calendar days liability provision of 210.11(d). after it receives notice of the death or We are proposing to amend § 210.6(g) This subsection does not impose any legal incapacity of a recipient or death in order to permit the origination of duty on RDFIs to verify the account of a beneficiary. We are proposing to ACH debit entries at agency points-of- numbers on incoming payments against revise the wording of that sentence in purchase using as source documents the receiver names. It does, however, order to provide that the 120 day period instruments included under the new require that if such an error is brought begins when an agency receives ‘‘actual definition of ‘‘business check’’ set forth to the attention of an RDFI, the RDFI or constructive knowledge’’ of the death at proposed § 210.2(i). must notify the agency that originated or legal incapacity. This is the standard the payment. Section 210.6(h) to which financial institutions are subject as a condition of limiting their We are proposing to revise § 210.6(h) Section 210.10 liability for a reclamation under in order to provide that agencies may We are proposing to revise paragraph § 210.11. In addition, the second originate ACH debit entries using (a) of § 210.10 to require that an RDFI sentence of proposed § 210.10(d)(1) has checks that are (1) received via the mail; use return reason code R15 (Beneficiary been reworded in order to make it more (2) received at a dropbox; and (3) or Account Holder Deceased) or R14 clear that a notice of reclamation applies delivered in person in circumstances in (Representative Payee Deceased), as only to the type of payments which are which it is impossible or impractical for appropriate, to return any benefit the subject of the notice, and does not the agency to image and return the payments received after the RDFI preclude reclamation actions by other check at the time the check is delivered. becomes aware of the death of a agencies that may have issued payments In all cases, the disclosure set forth at recipient or beneficiary. We are also to the recipient or by the same agency Appendix C must be provided to the proposing to add a sentence stating that with respect to a different type of Receiver before the check is delivered. the use of an R15 or R14 code will payment issued to the recipient. For In situations in which the check is being satisfy the RDFI’s obligation to notify example, the Social Security delivered in person, the disclosures the agency after learning of the death of Administration issues two different must be posted or handed to the a recipient or beneficiary from a source types of benefit payments: Social Receiver. Proposed § 210.6(h) uses the other than notice from the agency. Security Federal Old-Age, Survivors, new term ‘‘business check,’’ as defined We are proposing to revise § 210.10(c) and Disability Insurance (SSA) in proposed § 210.2(i), in order to to provide that an RDFI is not liable for payments and Supplemental Security permit the conversion of certain a benefit payment received after the Income (SSI) payments. Some recipients instruments that agencies currently are death of a recipient or beneficiary if the receive both of these types of benefit not permitted to convert. agency that certified the disbursement of the payment determines that the payments. A notice of reclamation Section 210.6(i) recipient or beneficiary is entitled to the regarding SSA payments is separate We are proposing to revise § 210.6(i) post-death payment. It is the from, and does not affect the potential in order to permit agencies to originate responsibility of the agency certifying liability of a financial institution under, ACH debit entries to collect one-time the payment to make a determination a notice of reclamation for SSI payments service fees in connection with RCK regarding its legal obligation or issued to the same recipient. entries if prior notice of the fee is given. authority to recover a post-death benefit Section 210.11 Section 210.6(i) would override the payment. The Service will act in requirement in the ACH Rules that a accordance with the agency’s direction, We are proposing to revise § 210.11 to Receiver authorize, in writing, the as set forth at § 210.9(b). (‘‘In processing limit the information that an RDFI is collection of a service fee and instead reclamations pursuant to this subpart, required to provide in order to limit its require that, prior to accepting the the Service shall act pursuant to the liability in a reclamation. First, the Receiver’s check or source document, direction of the agency that certified the information regarding withdrawers and the agency disclose to the Receiver that benefit payment(s) being reclaimed.’’) co-owners is limited to the name and a service fee may be collected. This We are proposing to revise § 210.10(d) address of these individuals. Second, provision does not create for agencies in order to amend the limitation on the the information is to be provided only the authority to impose a service fee; age of payments that an agency may in cases involving the reclamation of rather, it permits an agency that has the reclaim. Section 210.10(d) currently Social Security Federal Old-Age, authority to impose such a fee to collect prohibits, subject to one exception, an Survivors, and Disability Insurance the fee by ACH debit without a written agency from reclaiming any post-death benefit payments, or benefit payments authorization. or post-incapacity payment made more certified by the Railroad Retirement than six years prior to the most recent Board or Department of Veterans’ Section 210.8(d) payment made by the agency to the Affairs. We are proposing to add a new recipient’s account. Proposed Section 210.13 subsection to § 210.8 in order to require § 210.10(d) would prohibit agencies an RDFI to promptly notify an agency if from reclaiming any payment that was We are proposing to revise § 210.13 to the RDFI becomes aware that the agency made more than seven years prior to the provide that an RDFI must promptly has originated an ACH credit entry to an date of the notice of reclamation. The (rather than ‘‘immediately,’’ as currently

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provided) notify account owner(s) of the Accordingly, we have not prepared a B. Redesignate paragraphs (i) through receipt of a notice of reclamation. budgetary impact statement or (r) as (j) through (s); specifically addressed any regulatory C. Add new paragraph (i). Section 210.14 alternatives. The revised and added text reads as We are proposing to correct an error follows: in § 210.14 by changing the word Executive Order 13132—Federalism ‘‘direct’’ to ‘‘directed.’’ Summary Impact Statement § 210.2 Definitions. * * * * * Appendix C Executive Order 13132 requires agencies, including the Service, to (d) Applicable ACH Rules means the We are proposing to amend Appendix certify their compliance with that Order ACH Rules with an effective date on or C to the regulation by shortening the when they transmit to the Office of before June 13, 2003, as published in disclosure that agencies must provide in Management and Budget (OMB) any Parts II, III, and IV of the ‘‘2003 ACH connection with ACH debit entries that draft final regulation that has federalism Rules: A Complete Guide to Rules & they originate pursuant to § 210.6(h). implications. Under the Order, a Regulations Governing the ACH IV. Procedural Requirements regulation has federalism implications if Network,’’ including the supplement it has ‘‘substantial direct effects on the thereto approved February 27, 2003 and Request for Comment on Plain Language States, on the relationship between the effective June 13, 2003, except: Executive Order 12866 requires each national government and the States, or (1) ACH Rule 1.1 (limiting the agency in the Executive branch to write on the distribution of power and applicability of the ACH Rules to regulations that are simple and easy to responsibilities among the various members of an ACH association); understand. We invite comment on how levels of government.’’ In the case of a (2) ACH Rule 1.2.2 (governing claims to make the proposed rule clearer. For regulation that has federalism for compensation); example, you may wish to discuss: (1) implications and that preempts State (3) ACH Rule 1.2.4; 2.2.1.10; Whether we have organized the material law, the Order imposes certain specific Appendix Eight and Appendix Eleven to suit your needs; (2) whether the requirements that the agency must (governing the enforcement of the ACH requirements of the rules are clear; or (3) satisfy, to the extent practicable and Rules, including self-audit whether there is something else we permitted by law, prior to the formal requirements); could do to make these rules easier to promulgation of the regulation. (4) ACH Rules 2.2.1.8; 2.6; and 4.7 understand. In general, the Executive Order (governing the reclamation of benefit requires the agency to adhere strictly to payments); Executive Order 12866 Federal constitutional principles in (5) ACH Rule 8.3 and Appendix Two The proposed rule does not meet the developing rules that have federalism (requiring that a credit entry be criteria for a ‘‘significant regulatory implications; provides guidance about originated no more than two banking action’’ as defined in Executive Order an agency’s interpretation of statutes days before the settlement date of the 12866. Therefore, the regulatory review that authorize regulations that preempt entry—see definition of ‘‘Effective Entry procedures contained therein do not State law; and requires consultation Date’’ in Appendix Two); apply. with State officials before the agency (6) ACH Rule 2.10.2.2 (requiring that originating depository financial Regulatory Flexibility Act Analysis issues a final rule that has federalism implications or that preempts State law. institutions (ODFIs) establish exposure It is hereby certified that the proposed The proposed rule will not have limits for Originators of Internet- rule will not have a significant substantial direct effects on the States, initiated debit entries); economic impact on a substantial on the relationship between the national (7) ACH Rule 2.11.3 (requiring number of small entities. Accordingly, a government and the States, or on the reporting regarding unauthorized regulatory flexibility analysis under the distribution of power and Telephone-initiated entries); and (8) ACH Rules 3.6.2 and 3.7.1 Regulatory Flexibility Act (5 U.S.C. 601 responsibilities among the various (restricting source documents for et seq) is not required. levels of government. Accounts Receivable entries and Point- Unfunded Mandates Act of 1995 List of Subjects in 31 CFR Part 210 of-Purchase entries). Section 202 of the Unfunded Automated Clearing House, Electronic * * * * * Mandates Reform Act of 1995, 2 U.S.C. funds transfer, Financial institutions, (i) Business check means: 1532 (Unfunded Mandates Act), Fraud, and Incorporation by reference. (1) A check drawn on corporate or requires that the agency prepare a business deposit account, including a budgetary impact statement before Authority and Issuance third-party check, promulgating any rule likely to result in For the reasons set forth in the (2) A credit card check, a Federal mandate that may result in the preamble, we propose to amend part (3) A negotiable instrument issued by expenditure by State, local, and tribal 210 of title 31 of the Code of Federal a financial institution (e.g., a traveler’s governments, in the aggregate, or by the Regulations as follows: check, cashier’s check, official check, private sector, of $100 million or more money order, etc.), and in any one year. If a budgetary impact PART 210—FEDERAL GOVERNMENT (4) A check drawn on a state or local statement is required, section 205 of the PARTICIPATION IN THE AUTOMATED government. Unfunded Mandates Act also requires CLEARING HOUSE * * * * * the agency to identify and consider a 1. The authority citation for part 210 3. Revise §§ 210.6(g), (h) and (i) to reasonable number of regulatory read as follows: alternatives before promulgating the continues to read as follows: rule. We have determined that the Authority: 5 U.S.C. 5525; 12 U.S.C. 391; 31 § 210.6 Agencies. proposed rule will not result in U.S.C. 321, 3301, 3302, 3321, 3332, 3335, and * * * * * expenditures by State, local, and tribal 3720. (g) Point-of-purchase debit entries. An governments, or by the private sector, of 2. Amend § 210.2 as follows: agency may originate an ACH debit $100 million or more in any one year. A. Revise paragraph (d); entry using a business check or a check

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drawn on a consumer account that is required under paragraph (g) or (h) of of the payment determines that the presented at a point-of-purchase. this section or, in the case of a fee in recipient or beneficiary was entitled to Agencies shall use the Point-of-Purchase connection with an RCK entry, prior to the post-death payment. (POP) Standard Entry Class (SEC) code the acceptance of the check to which an (d) Time limits. An agency that for entries to consumer accounts and the RCK entry relates. For purposes of ACH initiates a request for a reclamation Cash Concentration or Disbursement Rule 3.10 and 4.1.1, authorization shall must do so within 120 calendar days (CCD) SEC code for entries to business consist of a copy of the disclosure of the after the date that the agency first has accounts. The requirements of ACH collection of the fee and a copy of the actual or constructive knowledge of the Rules 2.1.2 and 3.4 shall be met for such Receiver’s check or source document. death or legal incapacity of a recipient an entry if the Receiver presents the 4. Add a new paragraph (d) to § 210.8 or the death of a beneficiary. An agency check at a location where the agency has to read as follows: may not reclaim any post-death or post- posted a conspicuous notice at the incapacity payment made more than point-of-purchase containing the § 210.8 Financial institutions. seven years prior to the date of the disclosure set forth at Appendix A to * * * * * notice of reclamation; provided, this part and the agency makes available (d) Notice of misdirected payment. An however, that if the account balance at to the Receiver at the same location, in RDFI shall promptly notify an agency if the time the RDFI receives the notice of a form that the Receiver can retain, the the RDFI becomes aware that the agency reclamation exceeds the total amount of disclosure set forth at Appendix B to has originated an ACH credit entry to an post-death or post-incapacity payments this part. For purposes of ACH Rules account that is not owned by the payee made by the agency during such seven 3.10 and 4.1.1, authorization shall whose name appears in the ACH year period, this limitation shall not consist of a copy of the notice and a payment information. apply and the RDFI shall be liable for copy of the Receiver’s source document. 5. Amend § 210.10 by revising the total amount of all post-death or (h) Accounts receivable check paragraphs (a), (c) and (d) to read as post-incapacity payments made, up to conversion. follows: the amount in the account at the time (1) Conversion of consumer checks. § 210.10 RDFI liability. the RDFI receives the notice of An agency may originate an Accounts reclamation and has had a reasonable (a) Full liability. An RDFI shall be Receivable (ARC) entry using a check opportunity (not to exceed one business liable to the Federal Government for the drawn on a consumer account that is day) to act on the notice. total amount of all benefit payments received via the mail or at a dropbox, or * * * * * that is delivered in person in received after the death or legal incapacity of a recipient or the death of 6. Amend § 210.11 by revising circumstances in which the agency paragraph (b)(3)(i) to read as follows: cannot contemporaneously image and a beneficiary unless the RDFI has the return the check. The notice and right to limit its liability under 210.11 § 210.11 Limited liability. authorization requirements of ACH of this part. An RDFI shall return any * * * * * Rules 2.1.4 and 3.6.1 shall be met for an benefit payments received after the (b) Qualification for limited liability. RDFI becomes aware of the death or ARC entry only if an agency has * * * * * provided the Receiver with the legal incapacity of a recipient or the (3)(i) In cases involving the disclosure set forth at Appendix C to death of a beneficiary, regardless of the reclamation of Social Security Federal this part. manner in which the RDFI discovers Old-Age, Survivors, and Disability (2) Conversion of business checks. An such information, using return reason Insurance benefit payments, or benefit agency may originate an ACH debit code R15 (Beneficiary or Account payments certified by the Railroad using a business check that is received Holder Deceased) or R14 Retirement Board or the Department of via the mail or at a dropbox, or that is (Representative Payee Deceased), as Veterans’ Affairs, provide the name and delivered in person in circumstances in appropriate, in the case of a deceased address of the following person(s): which the agency cannot recipient or beneficiary. If the RDFI (A) The recipient (last known address) contemporaneously image and return becomes aware of the death or legal and any co-owner(s) of the recipient’s the check. The agency shall use the CCD incapacity of a recipient or death of a account; SEC code for such entries, which shall beneficiary from a source other than (B) All other person(s) authorized to be deemed to meet the requirements of notice from the agency issuing withdraw funds from the recipient’s ACH Rule 2.1.2 if the agency has payments to the recipient, the RDFI account; and provided the disclosure set forth at shall immediately notify the agency of (C) Person(s) who withdrew funds Appendix C to this part. For purposes the death or incapacity. The use of the from the recipient’s account after the of ACH Rules 3.10 and 4.1.1, R15 or R14 return reason code shall be death or legal incapacity of the recipient authorization shall consist of a copy of deemed to constitute such notice. or death of the beneficiary. the notice and a copy of the Receiver’s * * * * * * * * * * source document. (c) Exceptions to liability rule. 7. Revise § 210.13 to read as follows: (i) Returned item service fee. An (1) An RDFI shall not be liable for agency may originate an ACH debit post-death benefit payments sent to a § 210.13 Notice to account owners. entry to collect a one-time service fee in recipient acting as a representative Provision of notice by RDFI. Upon connection with a Re-presented Check payee or fiduciary on behalf of a receipt by an RDFI of a notice of (RCK) entry or an ACH debit entry beneficiary, if the beneficiary was reclamation, the RDFI promptly shall originated pursuant to paragraph (g) or deceased at the time the authorization mail to the last known address of the (h) of this section that is returned due was executed and the RDFI did not have account owner(s) or otherwise provide to insufficient funds. An entry actual or constructive knowledge of the to the account owner(s) a copy of any originated pursuant to this paragraph death of the beneficiary. notice required by the Service to be shall meet the requirements of ACH (2) An RDFI shall not be liable for a provided to account owners as specified Rules 2.1.2 and 3.4 if the agency has benefit payment received after the death in the Green Book. Proof that this notice disclosed the collection of the fee to the of a recipient or beneficiary if the was sent may be required by the Receiver as part of the disclosures agency that certified the disbursement Service.

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8. Amend § 210.14 by revising C. Appendix C to Part 210—Standard cannot be completed because of paragraph (a) to read as follows: Disclosure for Accounts Receivable insufficient funds, we may try to make Conversion—Notice the transfer up to 2 times [and we will § 210.14 Erroneous death information. If you send us a check, it will be charge you a one-time fee of $llll, (a) Notification of error to the agency. converted into an electronic fund which we will also collect by EFT]. If, after the RDFI responds fully to the transfer (EFT). This means we will copy Note: This disclosure must be conspicuous. notice of reclamation, the RDFI learns your check and use the account This means that it should be printed in that the recipient or beneficiary is not information on it to electronically debit reasonably large typeface. If this disclosure is dead or legally incapacitated or that the your account for the amount of the combined with other information, it should date of death is incorrect, the RDFI shall check. The debit from your account will be set off by contrasting color, by surrounding it with a box, or by using other inform the agency that certified the usually occur within 24 hours, and will be shown on your regular account means to ensure that it is prominently underlying payment(s) and directed the featured. Service to reclaim the funds in dispute. statement. You will not receive your original * * * * * * * * * * check back. We will destroy your Dated: August 14, 2003. 9. Revise Appendix C to part 210 to original check, but we will keep the read as follows: copy of it. If the EFT cannot be Richard L. Gregg, processed for technical reasons, you Commissioner. authorize us to process the copy in [FR Doc. 03–21203 Filed 8–20–03; 8:45 am] place of your original check. If the EFT BILLING CODE 4810–35–P

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Reader Aids Federal Register Vol. 68, No. 162 Thursday, August 21, 2003

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING AUGUST

Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 983...... 45990 Presidential Documents 3 CFR 991...... 48575 Executive orders and proclamations 741–6000 Executive Orders: Ch. X...... 48574 The United States Government Manual 741–6000 12722 (See: Notice of 1124...... 46505, 49375 July 31, 2003) ...... 45739 Other Services 1131...... 46505 12724 (See: Notice of 1135...... 49375 Electronic and on-line services (voice) 741–6020 July 31, 2003) ...... 45739 Ch. XI...... 48574 Privacy Act Compilation 741–6064 13290 (See: Notice of 1778...... 46119 Public Laws Update Service (numbers, dates, etc.) 741–6043 July 31, 2003) ...... 45739 1910...... 50479 TTY for the deaf-and-hard-of-hearing 741–6086 13313...... 46073 1941...... 50479 13314...... 48249 1965...... 50479 13222 (See: Notice of ELECTRONIC RESEARCH 2200...... 48814 August 7, 2003) ...... 47833 2201...... 48814 World Wide Web Administrative Orders: 4279...... 46509 Notices: Full text of the daily Federal Register, CFR and other publications Notice of July 31, 8 CFR is located at: http://www.access.gpo.gov/nara 2003) ...... 45739 204...... 46925 Federal Register information and research tools, including Public Notice of August 7, 212...... 46926 Inspection List, indexes, and links to GPO Access are located at: 2003 ...... 47833 214...... 46926 http://www.archives.gov/federallregister/ Presidential 231...... 46926 E-mail Determinations: 233...... 46926 No. 1998–7 of FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is December 5, 1997 9 CFR an open e-mail service that provides subscribers with a digital (See No. 03–31 of 77...... 47201 form of the Federal Register Table of Contents. The digital form August 8, 2003) ...... 49325 82...... 45741 of the Federal Register Table of Contents includes HTML and No. 2003–30 of August 92...... 50053 PDF links to the full text of each document. 7, 2003 ...... 49323 94...... 47835 To join or leave, go to http://listserv.access.gpo.gov and select No. 2003–31 of August 206...... 47802 8, 2003 ...... 49325 Online mailing list archives, FEDREGTOC-L, Join or leave the list 10 CFR (or change settings); then follow the instructions. No. 2003–28 ...... 47441 No. 2003–29 ...... 47443 72...... 49683 PENS (Public Law Electronic Notification Service) is an e-mail 140...... 46929 service that notifies subscribers of recently enacted laws. 5 CFR 600...... 50646 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Proposed Rules: 1015...... 48531 and select Join or leave the list (or change settings); then follow 532...... 47877 1018...... 48531 the instructions. Proposed Rules: 7 CFR FEDREGTOC-L and PENS are mailing lists only. We cannot 30...... 45172 respond to specific inquiries. 51...... 46433 72...... 49726 250...... 46434 170...... 46439 Reference questions. Send questions and comments about the 300...... 50039 171...... 46439 Federal Register system to: [email protected] 319...... 50039 1015...... 48575 The Federal Register staff cannot interpret specific documents or 340...... 46434 1018...... 48575 regulations. 916...... 48251, 48767 917...... 48251, 48767 11 CFR 958...... 48529 104...... 47386 FEDERAL REGISTER PAGES AND DATE, AUGUST 993...... 46436 107...... 47386 45157–45740...... 1 996...... 46919 110...... 47386 45741–46072...... 4 1000...... 48770 9001...... 47386 1032...... 48770 9003...... 47386 46073–46432...... 5 1427...... 49327 9004...... 47386 46433–46918...... 6 1481...... 49329 9008...... 47386 46919–47200...... 7 1580...... 50048 9031...... 47386 47201–47440...... 8 1778...... 46077 9032...... 47386 47441–47834...... 11 1794...... 45157 9033...... 47386 47835–48248...... 12 Proposed Rules: 9034...... 47386 48249–48528...... 13 Ch. I ...... 48574 9035...... 47386 48529–48766...... 14 52...... 46504 9036...... 47386 48767–49322...... 15 91...... 48322 9038...... 47386 49323–49682...... 18 96...... 48322 Proposed Rules: 49683–50038...... 19 331...... 45787 100...... 50481 50039–50456...... 20 762...... 49723 102...... 50488 50457–50680...... 21 783...... 47499 106...... 50481 Ch. IX...... 48574 110...... 50488

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114...... 50481 740...... 50470 26 CFR Proposed Rules: 9004...... 50481 744...... 50470 1 ...... 45745, 45772, 46081 7...... 47524 9034...... 50481 750...... 50470 300...... 48785 219...... 49395 752...... 50470 242...... 49734 12 CFR 301...... 46081 754...... 50470 602...... 46081 294...... 49395 19...... 48256 758...... 50470 Proposed Rules: 37 CFR 24...... 48771 770...... 50470 1 ...... 46516, 46983, 48331, 263...... 48256 772...... 50470 1...... 48286 50087 303...... 50457 902...... 49683 2...... 48286 301...... 49729 308...... 48256 911...... 45160 Proposed Rules: 333...... 50457 Proposed Rules: 27 CFR 263...... 50493 347...... 50457 303...... 45177 348...... 50457 Proposed Rules: 39 CFR 359...... 50457 16 CFR 9...... 48839 111...... 49362 513...... 48256 305...... 47449 28 CFR 224...... 47527 701...... 46439 261...... 47527 Proposed Rules: 17 CFR 549...... 47847 262...... 47527 Proposed Rules 263...... 47527 3...... 45900 4...... 47221 16...... 47519 264...... 47527 7...... 46119 18...... 48549 522...... 46138 265...... 47527 34...... 46119 30...... 46446 266...... 47527 208...... 45900 240...... 46446 225...... 45900 29 CFR 267...... 47527 325...... 45900 Proposed Rules: 697...... 46949 268...... 47527 1...... 46516 567...... 45900 4022...... 48787 3001...... 48293 240...... 48724 614...... 47502 4044...... 48787 Proposed Rules: 615...... 47502 18 CFR Proposed Rules 111...... 45192, 49396 Ch. X...... 46983 14 CFR 35...... 49846 1926...... 48843 40 CFR 15...... 48543 1304...... 46930 52 ...... 45897, 46089, 46099, 25 ...... 46428, 47202, 47445, Proposed Rules: 30 CFR 46101, 46479, 46484, 46487, 49332, 50054 2...... 46452 926...... 46460 47466, 47468, 47473, 47477, 39 ...... 46441, 46443, 46444, 35...... 49974 938...... 48789 47482, 48557, 48803 284...... 48133 47202, 47204, 47207, 47208, Proposed Rules 60...... 46489 388...... 46456 47211, 47213, 47216, 47218, 57...... 48668 62 ...... 48558, 49363, 49706 47447, 47842, 48274, 48544, 63...... 46102 19 CFR 72...... 47886 48546, 48783, 49334, 49336, 206...... 50087 70...... 46489 49337, 49340, 49342, 49344, 4...... 48279 210...... 50087 71...... 45167 49686, 49688, 50055, 50057, 103...... 47453 943...... 48844 81...... 47964 50058, 50061, 50064, 50461, 111...... 47455 86...... 48561 50462 Proposed Rules: 31 CFR 180 ...... 46491, 47246, 48299, 71 ...... 47447, 47448, 47449, 103...... 48327 50...... 48280 48302, 48312 47637, 47844, 47846, 48994, 261...... 46951 20 CFR 591...... 45777 49345, 49346, 49348, 49349, 592...... 45777 300...... 48314 49350, 49546, 49690, 49691, 218...... 45315 Proposed Rules: Proposed Rules: 50068, 50222, 50464, 50465, 225...... 45315 210...... 50672 Ch. 1 ...... 46435 50466, 50468 Proposed Rules: 19...... 45788 91...... 50054 404...... 45180, 47877 32 CFR 27...... 45788 97...... 48276, 48277 416...... 45180 21...... 47150 51...... 46436 119...... 47798 52 ...... 46141, 46437, 47279, 121...... 50054, 50069 21 CFR 22...... 47150 32...... 47150 47530, 45731, 47532, 47533 125...... 50054, 50069 172 ...... 46364, 46403, 50069 62...... 48581, 49406 135...... 50054, 50069 34...... 47150 510...... 49703 37...... 47150 63...... 46142 1260...... 50468 522 ...... 48784, 49350, 49703 70...... 46438 Proposed Rules: Proposed Rules 81...... 48848 558...... 47237 199...... 46526, 49732 21...... 46283 886...... 49351 141...... 47640, 49548 39 ...... 45176, 45177, 46514, Proposed Rules: 33 CFR 142...... 47640, 49548 47267, 47513, 48326, 48576, 143...... 49548 310...... 48133 100 ...... 46087, 47237, 48553 48833, 48835, 49390, 50491 334...... 48133 194...... 47887 61...... 46283 117 ...... 45784, 47462, 47850, 271...... 45192 510...... 47272 47851 65...... 46283 558...... 47272 300...... 48331, 49406 71 ...... 47515, 47516, 47518, 165 ...... 45164, 45165, 47237, 432...... 48472 49727, 50081, 50082, 50083, 22 CFR 47239, 47241, 47243, 47245, 50084 47464, 47465, 47852, 47854, 41 CFR 41 ...... 46948, 47460, 49351 73...... 48579 48282, 48284, 48555, 48798, Proposed Rules: 42...... 49353 77...... 46283 49356, 49359, 49704 51-3...... 45195 91...... 47269, 50085 24 CFR Proposed Rules: 51-4...... 45195 107...... 46283 100...... 48846 109...... 46283 905...... 45730 110...... 45190 42 CFR 121 ...... 46283, 47269, 50085 Proposed Rules: 117 ...... 46139, 47520, 47522, 409...... 46036 135 ...... 46283, 47269, 50085 960...... 45734 49393 411...... 46036 145...... 46283 3282...... 47881 165...... 46984, 47277 412 ...... 45346, 45674, 47637 154...... 46283 326...... 50108 413...... 45346, 46036 25 CFR 1260...... 48837, 48838 424...... 48805 170...... 48549 36 CFR 440...... 46036 15 CFR Proposed Rules: 4...... 46477 483...... 46036 732...... 50470 Ch. 1 ...... 45787 7...... 50073 488...... 46036

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489...... 46036 1825...... 45168 2933...... 48996 1544...... 49718 Proposed Rules: 1827...... 45168 2934...... 48996 1546...... 49718 405...... 50428 1844...... 45168 2935...... 48996 1548...... 49718 410...... 47966, 49030 1852...... 45168 2936...... 48996 1550...... 49718 414...... 49030 1872...... 45168 2937...... 48996 Proposed Rules: 419...... 47966 Proposed Rules: 2938...... 48996 71...... 47533 1601...... 48851 2939...... 48996 380...... 47890, 48863 44 CFR 1602...... 48851 2940...... 48996 385...... 49737 65...... 49365 1604...... 48851 2941...... 48996 390...... 49737 67...... 49371 1615...... 48851 2942...... 48996 391...... 47890 1631...... 48851 2943...... 48996 397...... 49737 46 CFR 1632...... 48851 2944...... 48996 571 ...... 46539, 46546, 49756 188...... 45785 1644...... 48851 2945...... 48996 585...... 46546 189...... 45785 1652...... 48851 2946...... 48996 586...... 46546 2901...... 48996 2947...... 48996 47 CFR 589...... 46546 2902...... 48996 2948...... 48996 590...... 46546 1...... 48446 2903...... 48996 2949...... 48996 596...... 46546 2...... 46957 2904...... 48996 2950...... 48996 1152...... 48332 13...... 46957 2905...... 48996 2951...... 48996 1507...... 49410 25...... 47856, 49372 2906...... 48996 2952...... 48996 54 ...... 47253, 49707, 50077 2907...... 48996 2953...... 48996 50 CFR 61...... 50077 2908...... 48996 9904...... 50111 69...... 46500 2909...... 48996 17...... 46684, 46870 80...... 46957 2910...... 48996 49 CFR 20...... 50496 73 ...... 45786, 46286, 46502, 2911...... 48996 71...... 49373, 49712 21...... 50496 47255, 47256, 48764, 49372 2912...... 48996 171...... 48562 679...... 50509 Proposed Rules: 2913...... 48996 172...... 48562 300...... 47256, 48572 2...... 49409 2914...... 48996 173...... 48562 622...... 47498 25...... 49409 2915...... 48996 177...... 48562 635...... 45169 73 ...... 46359, 47282, 47283, 2916...... 48996 178...... 48562 648...... 47264, 49693 47284, 47285, 49410 2917...... 48996 179...... 48562 660...... 46112, 49721 2918...... 48996 180...... 48562 679 ...... 45170, 45766, 46116, 48 CFR 2919...... 48996 191...... 46109 46117, 46502, 47265, 47266, 217...... 50474 2920...... 48996 192...... 46109 47875, 49374, 50079 219...... 50476 2921...... 48996 195...... 46109 Proposed Rules: 237...... 50476 2922...... 48996 229...... 49713 15...... 46559 252...... 50477 2923...... 48996 390...... 47860 17 ...... 46143, 46989, 48581 Proposed Rules: 2924...... 48996 398...... 47860 20...... 47424, 50016 242...... 50495 2925...... 48996 571 ...... 47485, 48571, 50077 32...... 48583 1806...... 45168 2926...... 48996 1500...... 49718 100...... 49734 1807...... 45168 2927...... 48996 1502...... 49718 600...... 45196 1811...... 45168 2928...... 48996 1503...... 49718 622...... 48592 1814...... 45168 2929...... 48996 1510...... 49718 635...... 45196, 47404 1815...... 45168 2930...... 48996 1511...... 49718 648...... 49758 1817...... 45168 2931...... 48996 1540...... 49718 660...... 49415 1819...... 45168 2932...... 48996 1542...... 49718 679...... 49416, 50120

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REMINDERS TREASURY DEPARTMENT Pacific halibut— Texas; comments due by 8- The items in this list were Alcohol and Tobacco Tax Oregon sport fisheries; 29-03; published 7-30-03 editorially compiled as an aid and Trade Bureau additional access; [FR 03-19278] to Federal Register users. Alcohol, tobacco, and other comments due by 8-29- Pesticides; tolerances in food, Inclusion or exclusion from excise taxes: 03; published 8-14-03 animal feeds, and raw this list has no legal Large cigars; statistical [FR 03-20680] agricultural commodities: significance. classes elimination; Ocean and coastal resource Buprofezin; comments due published 7-22-03 management: by 8-25-03; published 6- Coastal Zone Management 25-03 [FR 03-15767] RULES GOING INTO Act; Federal consistency COMMENTS DUE NEXT Flufenacet, etc.; comments EFFECT AUGUST 21, process; comments due due by 8-25-03; published 2003 WEEK by 8-25-03; published 7-7- 6-25-03 [FR 03-15905] 03 [FR 03-17033] Superfund program: AGRICULTURE DEFENSE DEPARTMENT COMMERCE DEPARTMENT National oil and hazardous DEPARTMENT Acquisition regulations: Patent and Trademark Office substances contingency Caribbean Basin country; Agricultural Marketing Organization, functions, and plan— Service definition— authority delegations: National priorities list Dominican Republic; Cherries (tart) grown in— Power of attorney practice update; comments due published 8-21-03 Michigan et al.; comments clarification and by 8-26-03; published Competitiveness due by 8-25-03; published assignment rules revision; 7-28-03 [FR 03-18741] demonstration codes 7-25-03 [FR 03-18985] comments due by 8-26- National priorities list update; published 8-21-03 Dates (domestic) produced or 03; published 6-27-03 [FR update; comments due 03-16262] Multiyear contracting packed in— by 8-26-03; published authority revisions; California; comments due by ENVIRONMENTAL 7-28-03 [FR 03-18740] published 8-21-03 8-27-03; published 7-28- PROTECTION AGENCY National priorities list Security-guard functions; 03 [FR 03-19128] Air pollutants, hazardous; update; comments due contractor performance; Oranges, grapefruit, national emission standards: by 8-27-03; published published 8-21-03 tangerines, and tangelos List of hazardous air 7-28-03 [FR 03-19006] Vessel repair and alteration grown in— pollutants, petition FEDERAL contracts; liability for loss; Florida; comments due by process, lesser quantity COMMUNICATIONS published 8-21-03 8-27-03; published 7-28- designations, and source COMMISSION category list; comments 03 [FR 03-19129] Digital television stations; table HOMELAND SECURITY due by 8-28-03; published Prunes (dried) produced in— of assignments: DEPARTMENT 5-30-03 [FR 03-13428] California; comments due by Texas; comments due by 8- Coast Guard Air programs: Drawbridge operations: 8-25-03; published 6-24- 28-03; published 7-18-03 03 [FR 03-15832] Stratospheric ozone [FR 03-18148] Florida; published 7-22-03 protection— AGRICULTURE Frequency allocations and New Jersey; published 7-22- Methyl bromide; ban on DEPARTMENT radio treaty matters: 03 trade with non-parties to Animal and Plant Health 4.9 GHz band transferred Ports and waterways safety: Montreal Protocol; Inspection Service from Federal government Chesapeake Bay and comments due by 8-25- Exportation and importation of use; comments due by 8- tributaries, MD; safety and 03; published 7-25-03 animals and animal 29-03; published 6-30-03 security zones; published [FR 03-18856] products: [FR 03-16375] 7-22-03 Methyl bromide; ban on Disease-free regions; Radio broadcasting: INTERIOR DEPARTMENT trade with non-parties to reestablishment Montreal Protocol; AM directional antennas; Minerals Management procedures; comments comments due by 8-25- amendment; comments Service due by 8-25-03; published 03; published 7-25-03 due by 8-29-03; published Outer Continental Shelf; oil, 6-24-03 [FR 03-15907] [FR 03-18855] 7-28-03 [FR 03-19092] gas, and sulphur operations: Hawaiian and territorial Air quality implementation Radio stations; table of Documents incorporated by quarantine notices: plans: assignments: reference; published 7-22- Sweetpotatoes from Hawaii; Preparation, adoption, and Arizona; comments due by 03 irradiation treatment; submittal— 8-25-03; published 7-18- NATIONAL AERONAUTICS comments due by 8-25- Prevention of significant 03 [FR 03-18248] AND SPACE 03; published 6-26-03 [FR deterioration and non- Texas and New York; ADMINISTRATION 03-16182] attainment new source comments due by 8-25- Grant and Cooperative AGRICULTURE review; reconsideration; 03; published 7-18-03 [FR Agreement Handbook: DEPARTMENT comments due by 8-29- 03-18231] Financial reporting; Food Safety and Inspection 03; published 7-30-03 FEDERAL DEPOSIT published 8-21-03 Service [FR 03-19356] INSURANCE CORPORATION TRANSPORTATION Meat and poultry inspection: Air quality implementation Practice and procedure: DEPARTMENT plans; approval and Recordkeeping and promulgation; various Living trust accounts; Federal Aviation registration requirements; States; air quality planning insurance regulations; Administration policy statement; purposes; designation of comments due by 8-29- Airworthiness directives: comments due by 8-25- areas: 03; published 6-30-03 [FR 03; published 6-25-03 [FR 03-16400] Eurocopter France; Idaho; comments due by 8- 03-15741] published 7-17-03 29-03; published 7-30-03 HEALTH AND HUMAN McCauley Propeller COMMERCE DEPARTMENT [FR 03-19355] SERVICES DEPARTMENT Systems, Inc.; published National Oceanic and Air quality implementation Children and Families 8-21-03 Atmospheric Administration plans; approval and Administration Rolls-Royce plc; published International fisheries promulgation; various Child Support Enforcement 8-6-03 regulations: States: Program:

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Federal tax refund offset; 03; published 7-24-03 [FR 8-25-03; published 6-26- Columbia Gorge, Hood comments due by 8-25- 03-18761] 03 [FR 03-16194] River and Wasco 03; published 6-26-03 [FR HOUSING AND URBAN TRANSPORTATION Counties, OR and 03-14883] DEVELOPMENT DEPARTMENT Skamania and Klickitat HEALTH AND HUMAN DEPARTMENT Workplace drug and alcohol Counties, WA; comments due by 8-26-03; published SERVICES DEPARTMENT Public and Indian housing: testing programs: Medical review officers; 6-27-03 [FR 03-16324] Food and Drug Indian Housing Block Grant reporting specimens as Administration Program; minimum McMinnville, Yamhill County, dilute or substituted; funding; comments due by OR; comments due by 8- Animal drugs, feeds, and comments due by 8-26- related products: 8-25-03; published 6-24- 26-03; published 6-27-03 03; published 5-28-03 [FR [FR 03-16325] Liquid medicated and free- 03 [FR 03-15817] 03-13242] choice medicated animal INTERIOR DEPARTMENT TRANSPORTATION VETERANS AFFAIRS feed; requirements; Fish and Wildlife Service DEPARTMENT DEPARTMENT comments due by 8-26- Marine mammals: Federal Aviation Vocational rehabilitation and 03; published 5-28-03 [FR Administration 03-12974] Incidental take during education: specified activities— Airworthiness directives: Food for human consumption: Veterans education— Polar bears and Pacific Agusta S.p.A.; comments Infant formula; current good walrus; comments due due by 8-25-03; published Certification of enrollment; 6-26-03 [FR 03-15447] manufacturing practice, by 8-25-03; published comments due by 8-29- quality control procedures, 7-25-03 [FR 03-18907] Boeing; comments due by 03; published 6-30-03 etc.; comments due by 8- 8-25-03; published 7-9-03 [FR 03-16265] 26-03; published 6-27-03 JUSTICE DEPARTMENT [FR 03-17318] [FR 03-16357] Prisons Bureau Boeing and McDonnell Human drugs: Inmate control, custody, care, Douglas; comments due by 8-25-03; published 7-9- Oral health care products etc.: LIST OF PUBLIC LAWS 03 [FR 03-17317] (OTC)— Good conduct time; aliens with confirmed orders of Fokker; comments due by This is a continuing list of Antigingivitis/antiplaque 8-28-03; published 7-29- products; monograph deportation, exclusion, or public bills from the current removal; comments due 03 [FR 03-19195] session of Congress which establishment; Goodrich Avionics Systems, comments due by 8-27- by 8-25-03; published 6- have become Federal laws. It 25-03 [FR 03-15823] Inc.; comments due by 8- may be used in conjunction 03; published 5-29-03 29-03; published 6-30-03 [FR 03-12783] LABOR DEPARTMENT with ‘‘PLUS’’ (Public Laws [FR 03-15854] Update Service) on 202–741– Skin protectant products Veterans Employment and International Aero Engines; 6043. This list is also (OTC)— Training Service comments due by 8-25- available online at http:// Astringent products; final Services to veterans; Funding 03; published 6-25-03 [FR www.nara.gov/fedreg/ monograph; comments formats for grants to states; 03-15994] plawcurr.html. due by 8-27-03; comments due by 8-29-03; Pratt & Whitney; comments published 6-13-03 [FR published 6-30-03 [FR 03- due by 8-25-03; published The text of laws is not 03-14818] 16481] 7-21-03 [FR 03-18244] published in the Federal Astringent products; final NUCLEAR REGULATORY Rolls-Royce Corp.; Register but may be ordered monograph; comments COMMISSION comments due by 8-29- in ‘‘slip law’’ (individual due by 8-27-03; 03; published 6-30-03 [FR pamphlet) form from the Production and utilization 03-15993] published 6-13-03 [FR facilities; domestic licensing: Superintendent of Documents, Class E airspace; comments 03-14819] Risk-informed categorization U.S. Government Printing due by 8-28-03; published Office, Washington, DC 20402 Topical antimicrobial and treatment of 7-29-03 [FR 03-19158] products (OTC)— (phone, 202–512–1808). The structures, systems, and TRANSPORTATION Health-care antiseptic components for nuclear text will also be made DEPARTMENT available on the Internet from products; monograph power reactors; comments Federal Railroad amendment; comments due by 8-30-03; published GPO Access at http:// Administration www.access.gpo.gov/nara/ due by 8-27-03; 7-30-03 [FR 03-19320] Alcohol and drug use control: published 5-29-03 [FR nara005.html. Some laws may PERSONNEL MANAGEMENT Random testing and other not yet be available. 03-13317] OFFICE requirements application HOMELAND SECURITY Basic concepts and definitions to employees of foreign H.R. 1018/P.L. 108–70 DEPARTMENT (general); regulatory review; railroad based outside Coast Guard plain language; comments U.S. and perform train or To designate the building located at 1 Federal Plaza in Drawbridge operations: due by 8-29-03; published dispatching service in 6-30-03 [FR 03-16410] U.S.; comments due by 8- New York, New York, as the Illinois and Iowa; comments ‘‘James L. Watson United POSTAL SERVICE 27-03; published 7-28-03 due by 8-28-03; published [FR 03-19042] States Court of International 7-29-03 [FR 03-19257] Domestic Mail Manual: TREASURY DEPARTMENT Trade Building’’. (Aug. 14, Massachusetts; comments Merchandise Return Service Foreign Assets Control 2003; 117 Stat. 886) due by 8-25-03; published labels; routing barcodes; Office H.R. 1761/P.L. 108–71 6-26-03 [FR 03-15999] comments due by 8-25- Iraqi sanctions regulations: 03; published 7-25-03 [FR Ports and waterways safety: New transactions To designate the facility of the 03-18996] Portland, OR; large authorization; comments United States Postal Service passenger vessels; safety STATE DEPARTMENT due by 8-26-03; published located at 9350 East and security zone; Visas; nonimmigrant 6-27-03 [FR 03-16216] Corporate Hill Drive in Wichita, Kansas, as the comments due by 8-27- documentation: TREASURY DEPARTMENT ‘‘Garner E. Shriver Post Office 03; published 7-28-03 [FR Victims of severe forms of Alcohol and Tobacco Tax Building’’. (Aug. 14, 2003; 117 03-19145] trafficking in persons; new and Trade Bureau Stat. 887) Ventura, CA; safety zone; visa classification (T) Alcohol; viticultural area comments due by 8-27- added; comments due by designations: Last List August 15, 2003

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Public Laws Electronic Notification Service (PENS)

PENS is a free electronic mail notification service of newly enacted public laws. To subscribe, go to http:// listserv.gsa.gov/archives/ publaws-l.html Note: This service is strictly for E-mail notification of new laws. The text of laws is not available through this service. PENS cannot respond to specific inquiries sent to this address.

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