Pages 44415±44726 Vol. 60 8±28±95 No. 166 federal register August 28,1995 Monday this issue. Atlanta, GA,seeannouncementontheinsidecoverof For informationonbriefingsinWashington,DCand Briefings onHowToUsetheFederalRegister 1 II Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995
SUBSCRIPTIONS AND COPIES
PUBLIC Subscriptions: Paper or fiche 202–512–1800 FEDERAL REGISTER Published daily, Monday through Friday, Assistance with public subscriptions 512–1806 (not published on Saturdays, Sundays, or on official holidays), by Online: the Office of the Federal Register, National Archives and Records Telnet swais.access.gpo.gov, login as newuser 2 III Contents Federal Register Vol. 60, No. 166 Monday, August 28, 1995 Agriculture Department NOTICES See Animal and Plant Health Inspection Service Meetings: See Rural Utilities Service National Educational Research Policy and Priorities Board, 44480 Animal and Plant Health Inspection Service President’s Advisory Commission on Educational RULES Excellence for Hispanic Americans, 44479–44480 Interstate transportation of animals and animal products Postsecondary education: (quarantine): Accrediting agencies list; Institutional Quality and Brucellosis in cattle and bison— Integrity National Advisory Committee; appeal of State and area classification, 44416–44417 previous recommendations, 44480–44481 Tuberculosis in cattle and bison— State and area classification, 44416 Employment and Training Administration Plant-related quarantine, domestic: NOTICES Pink bollworm, 44415–44416 Adjustment assistance: Brazos Gas Compressing Co., 44512 Architectural and Transportation Barriers Compliance Board Energy Department NOTICES See Energy Efficiency and Renewable Energy Office Meetings: See Federal Energy Regulatory Commission Access Board, 44477 Assassination Records Review Board Energy Efficiency and Renewable Energy Office NOTICES NOTICES Formal determinations on records release; correction, Consumer product test procedures; waiver petitions: 44477–44478 York International, 44481–44483 Centers for Disease Control and Prevention Environmental Protection Agency NOTICES RULES Meetings: Air quality implementation plans; approval and Vital and Health Statistics National Committee, 44502 promulgation; various States: District of Columbia, 44431–44435 Coast Guard Water pollution control: RULES Clean Water Act— Ports and waterways safety: Alternate test procedures for determination of total Barbers Point NAS, Oahu, HI; safety zone, 44430 kjeldahl nitrogen in wastewater, 44670–44672 Safety and security zones, etc.; list of temporary rules, PROPOSED RULES 44428–44429 Air quality implementation plans; approval and Waimanalo Bay, HI; safety zone, 44429–44430 promulgation; various States: Regattas and marine parades: District of Columbia, 44452 Ninth Coast Guard District Annual Marine Events, Air quality planning purposes; designation of areas: 44424–44427 Idaho, 44452–44457 Water programs: Commerce Department Underground injection control regulations; Class V wells See National Institute of Standards and Technology determination and minor revisions and Class I wells Committee for the Implementation of Textile Agreements technical corrections, 44652–44668 NOTICES NOTICES Clean Air Act: Cotton, wool, and man-made textiles: Acid rain provisions— Korea, 44478–44479 Sulfur dioxide emissions limitations, 44487 Singapore, 44479 Meetings: Defense Department Analytical methods promulgation streamlining; and trace RULES metals analysis workshop, 44487–44488 Federal Acquisition Regulation (FAR): Superfund program: Contract award implementation State deferral guidance and response to comments; Correction, 44548 availability, 44488–44489 Records examination authority; consolidation and Water pollution control; discharge of pollutants (NPDES): revision Idaho; concentrated animal feeding operations; general Correction, 44548 permit, 44489–44498 Education Department Executive Office of the President PROPOSED RULES See Management and Budget Office Pupil rights protection, 44696–44701 See Presidential Documents IV Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Contents Federal Aviation Administration Federal Reserve System RULES NOTICES Airworthiness directives: Applications, hearings, determinations, etc.: Bombardier, 44419–44421 FCFT, Inc., et al., 44500 British Aerospace, 44417–44419 NationsBank Corp., 44501 Scheibe Flugzeugbau GmbH, 44421–44422 Pikeville National Corp. et al., 44501 Stemme, 44423–44424 PROPOSED RULES Federal Trade Commission Airworthiness directives: Beech, 44450–44451 PROPOSED RULES NOTICES Energy Policy and Conservation Act: Airport noise compatibility program: Recycled oil; test procedures and labeling standards, Noise exposure map— 44712–44717 Springfield-Beckley Municipal Airport, OH, 44537– 44538 Fish and Wildlife Service Passenger facility charges; applications, etc.: PROPOSED RULES Houghton County Memorial Airport, MI, 44538–44539 Migratory bird hunting: Late-season migratory game bird regulations; proposed Federal Communications Commission frameworks, 44463–44476 RULES Radio and television broadcasting: Food and Drug Administration Indecency prohibitions, 44439 NOTICES PROPOSED RULES Agency information collection activities under OMB Medical devices: review, 44499 Electrode lead wires; standard to prevent hazardous connections between patients and electrical power Federal Energy Regulatory Commission sources NOTICES Correction, 44451, 44548 Electric rate and corporate regulation filings: NOTICES Cortes Operating Co., S.A. de C.V. et al., 44483–44485 Human drugs: Natural gas certificate filings: Export applications— Colorado Interstate Gas Co. et al., 44485–44487 Telfast (fexofenadine hydrochloride) tablets 60 mg, Applications, hearings, determinations, etc.: 44502–44503 Transcontinental Gas Pipe Line Corp., 44487 Organization, functions, and authority delegations: Drug Evaluation and Research Center, Compliance Office, Federal Financial Institutions Examination Council 44503 NOTICES Agency information collection activities under OMB General Services Administration review, 44499–44500 RULES Federal Acquisition Regulation (FAR): Federal Highway Administration Contract award implementation RULES Correction, 44548 Motor carrier safety standards: Records examination authority; consolidated and revision Accident recordkeeping requirements; accident Correction, 44548 definition, 44439–44441 NOTICES NOTICES Security mission and responsibilities of GSA and Federal Freight transportation; framework for guiding policy Protective Service; response to Oklahoma City decisions, 44539–44543445 bombing, 44501–44502 Federal Maritime Commission RULES Government Ethics Office Household Goods Forwarders Association of America, Inc.; RULES exemption from tariff and bonding requirements, Conflict of interests: 44436–44438 Miscellaneous exemptions for Federal Government NOTICES executive branch employees; personal financial Freight forwarder licenses: interest, 44706–44709 Blair, Elaine, et al., 44500 Federal Railroad Administration Health and Human Services Department See Centers for Disease Control and Prevention PROPOSED RULES See Food and Drug Administration Railroad locomotive safety standards: See Health Care Financing Administration Locomotive conspicuity; auxiliary external lights; See Public Health Service minimum standards, 44457–44463 NOTICES Exemption petitions, etc.: Health Care Financing Administration Algers, Winslow & Western Railway Co., 44544 NOTICES Railroad user fees, 44543 Medicare, medicaid, and clinical laboratories improvement: Traffic control systems; discontinuance and removal: Permit-holding laboratories exemption; New York, Consolidated Rail Corp. et al., 44544 44503–44507 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Contents V Housing and Urban Development Department National Archives and Records Administration NOTICES RULES Agency information collection activities under OMB Records management: review: Electronic mail (E-mail) systems, 44634–44642 Proposed agency information collection activities; NOTICES comment request, 44550–44631 General records schedule 20; disposition of electronic records, 44643–44650 Indian Affairs Bureau National Highway Traffic Safety Administration NOTICES RULES Meetings: Motor vehicle safety standards: Tribal consultation on trust funds management, 44704 Passenger car brake systems— Hydraulic brake systems; correction, 44548 Interior Department See Fish and Wildlife Service National Institute of Standards and Technology See Indian Affairs Bureau NOTICES See Land Management Bureau Meetings: Computer System Security and Privacy Advisory Board, Interstate Commerce Commission 44478 NOTICES Nuclear Regulatory Commission Railroad operation, acquisition, construction, etc.: NOTICES CSX Transportation, Inc., 44512 Environmental statements; availability, etc.: Duke Power Co. et al., 44513–44514, 44515–44516 Labor Department Georgia Power Co. et al., 44514–44515 See Employment and Training Administration Applications, hearings, determinations, etc.: See Labor Statistics Bureau Boston Edison Co., 44516–44517 RMI Titanium Co., 44517 Labor Statistics Bureau Tennessee Valley Authority, 44517–44519 NOTICES Agency information collection activities under OMB Office of Management and Budget review: See Management and Budget Office Proposed agency information collection activities; Presidential Documents comment request, 44512–44513 ADMINISTRATIVE ORDERS Bosnia; emergency military assistance in support of Rapid Land Management Bureau Reaction Force under the Foreign Assistance Act of RULES 1961 (Presidential Determination No. 95-34 of August Public land orders: 3, 1995), 44721 California, 44435–44436 Food, Agriculture, Conservation and Trade Act of 1990; NOTICES qualification as emerging democracies (Presidential Realty actions; sales, leases, etc.: Determination No. 95-35 of August 10, 1995), 44723 Colorado, 44511–44512 Palestine Liberation Organization; suspension of restrictions on U.S. relations (Presidential Determination No. 95-36 Management and Budget Office of August 14, 1995), 44725 NOTICES Race and ethnicity Federal data; classification standards, Public Health Service 44674–44693 See Centers for Disease Control and Prevention See Food and Drug Administration NOTICES Maritime Administration Organization, functions, and authority delegations: RULES Centers for Disease Control and Prevention, 44507–44511 Merchant marine training: Nomination and admission of persons from American Rural Utilities Service Samoa and Panama and authority for certain cost NOTICES recovery, 44438–44439 Environmental statements; availability, etc.: Brazos Electric Power Cooperative, Inc., 44477 National Aeronautics and Space Administration RULES Securities and Exchange Commission Federal Acquisition Regulation (FAR): NOTICES Contract award implementation Meetings; Sunshine Act, 44546 Correction, 44548 Self-regulatory organizations; proposed rule changes: Records examination authority; consolidation and American Stock Exchange, Inc., 44519–44522 revision American Stock Exchange, Inc.; correction, 44548 Correction, 44548 Chicago Board Options Exchange, Inc., 44522–44530 NOTICES National Association of Securities Dealers, Inc., 44532– Patent licenses; non-exclusive, exclusive, or partially 44533 exclusive: Philadelphia Stock Exchange, Inc., 44530–44532, 44533– Hargens, Alan R., 44513 44537 VI Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Contents Small Business Administration Part III NOTICES National Archives and Records Administration, 44634– Disaster loan areas: 44650 Texas, 44537 Tennessee Valley Authority Part IV NOTICES Environmental Protection Agency, 44652–44668 Meetings; Sunshine Act, 44546–44547 Part V Textile Agreements Implementation Committee Environmental Protection Agency, 44670–44672 See Committee for the Implementation of Textile Agreements Part VI Thrift Supervision Office Office of Management and Budget, 44674–44693 PROPOSED RULES Federal regulatory review, 44442–44449 Part VII Transportation Department Department of Education, 44696–44701 See Coast Guard See Federal Aviation Administration Part VIII See Federal Highway Administration Department of Interior, Bureau of Indian Affairs, 44704 See Federal Railroad Administration See Maritime Administration See National Highway Traffic Safety Administration Part IX NOTICES Office of Government Ethics, 44706–44709 Aviation proceedings: Agreements filed; weekly receipts, 44537 Part X Certificates of public convenience and necessity and foreign air carrier permits; weekly applications, Federal Trade Commission, 44712–44717 44537 Part XI Treasury Department The President, 44721–44725 See Thrift Supervision Office United States Information Agency NOTICES Reader Aids Art objects; importation for exhibition: Additional information, including a list of public laws, Dutch and Flemish Cabinet Galleries and Adriaen telephone numbers, and finding aids, appears in the Reader Brower: Youth Making Faces, 44544–44545 Aids section at the end of this issue. John Singleton Copley in England, 44545 Separate Parts In This Issue Electronic Bulletin Board Free Electronic Bulletin Board service for Public Law Part II numbers, Federal Register finding aids, and a list of Department of Housing and Urban Development, 44550– documents on public inspection is available on 202–275– 44631 1538 or 275–0920. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Contents VII CFR PARTS AFFECTED IN THIS ISSUE A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue. 3 CFR 46 CFR Administrative Orders: 310...... 44438 514...... 44436 Presidential Determinations: 583...... 44436 No. 95±34 of August 3, 1995 ...... 44721 47 CFR No. 95±35 of August 73...... 44439 10, 1995 ...... 44723 49 CFR No. 95±36 of August 390...... 44439 14, 1995 ...... 44725 Proposed Rules: 5 CFR 229...... 44457 2640...... 44706 50 CFR 7 CFR 301...... 44415 Proposed Rules: 20...... 44463 9 CFR 77...... 44416 78...... 44416 12 CFR Proposed Rules: 500...... 44442 504...... 44442 510...... 44442 515...... 44442 529...... 44442 533...... 44442 543...... 44442 545...... 44442 552...... 44442 556...... 44442 562...... 44442 563...... 44442 563d...... 44442 563g...... 44442 567...... 44442 571...... 44442 583...... 44442 584...... 44442 14 CFR 39 (4 documents) ...... 44417, 44419, 44421, 44423 Proposed Rules: 39...... 44450 16 CFR Proposed Rules: 311...... 44712 21 CFR Proposed Rules: 898...... 44451 33 CFR 100 (2 documents) ...... 44424, 44428 165 (3 documents) ...... 44428, 44429, 44430 34 CFR Proposed Rules: 98...... 44696 36 CFR 1220...... 44634 1222...... 44634 1228...... 44634 1234...... 44634 40 CFR 52...... 44431 136...... 44670 Proposed Rules: 52...... 44452 81...... 44452 144...... 44652 146...... 44652 43 CFR Public Land Orders: 7154...... 44435 44415 Rules and Regulations Federal Register Vol. 60, No. 166 Monday, August 28, 1995 This section of the FEDERAL REGISTER Officer, Domestic and Emergency Because prior notice and other public contains regulatory documents having general Operations, PPQ, APHIS, Suite 4C03, procedures with respect to this action applicability and legal effect, most of which 4700 River Road Unit 134, Riverdale, are impracticable and contrary to the are keyed to and codified in the Code of MD 20737–1236, (301) 734–8247. public interest under these conditions, Federal Regulations, which is published under we find good cause under 5 U.S.C. 553 50 titles pursuant to 44 U.S.C. 1510. SUPPLEMENTARY INFORMATION: to make it effective upon publication in The Code of Federal Regulations is sold by Background the Federal Register. We will consider the Superintendent of Documents. Prices of The pink bollworm, Pectinophora comments that are received within 60 new books are listed in the first FEDERAL gossypiella (Saunders), is one of the days of publication of this rule in the REGISTER issue of each week. world’s most destructive pests of cotton. Federal Register. After the comment This insect spread to the United States period closes, we will publish another from Mexico in 1917 and now exists document in the Federal Register. It DEPARTMENT OF AGRICULTURE throughout most of the cotton- will include a discussion of any producing States west of the Mississippi comments we receive and any Animal and Plant Health Inspection amendments we are making to the rule Service River. The pink bollworm regulations, as a result of the comments. 7 CFR Part 301 contained in 7 CFR 301.52 through Executive Order 12866 and Regulatory 301.52–10 (referred to below as the Flexibility Act [Docket No. 95±026±1] regulations), quarantine certain States This rule has been reviewed under Pink Bollworm Regulated Areas and restrict the interstate movement of Executive Order 12866. For this action, regulated articles from regulated areas the Office of Management and Budget AGENCY: Animal and Plant Health in quarantined States for the purpose of has waived its review process required Inspection Service, USDA. preventing the interstate spread of pink by Executive Order 12866. ACTION: Interim rule and request for bollworm. This regulation relieves restrictions comments. Regulated areas for the pink bollworm on the interstate movement of regulated are designated as either suppressive SUMMARY: We are amending the pink articles from certain previously areas or generally infested areas. regulated areas in Arkansas. There are bollworm regulations by removing Restrictions are imposed on the portions of Clay, Crittenden, and 571 cotton related commercial activities interstate movement of regulated in the three counties, including cotton Mississippi Counties in Arkansas from articles from both types of areas in order the list of suppressive areas for pink producers, cotton gins, seed storage to prevent the movement of pink facilities, and cotton harvesting and bollworm. We are taking this action bollworm into noninfested areas. because trapping surveys show that the equipment dealers. Approximately 90 Prior to the effective date of this percent are small entities according to pink bollworm no longer exists in these document, Clay, Crittenden, and areas. This action is necessary to relieve standards set by the Small Business Mississippi Counties in Arkansas were Administration. They will experience a unnecessary restrictions on the designated as suppressive areas. Based interstate movement of regulated modest economic benefit as a result of on 2 years of negative trapping surveys this rule, since they will no longer be articles from these previously regulated conducted by inspectors of Arkansas areas. required to comply with the treatment State and county agencies, and by and handling requirements contained in DATES: Interim rule effective August 28, inspectors of the Animal and Plant the pink bollworm regulations. We 1995. Consideration will be given only Health Inspection Service (APHIS), we estimate that affected entities will save to comments received on or before have determined that pink bollworm no October 27, 1995. between $1.52 to $2.28 per cotton bale longer exists in portions of these for current treatments and about $250 ADDRESSES: Please send an original and counties. We are, therefore, removing per piece of harvesting equipment for three copies of your comments to those portions of these counties from current fumigations. Docket No. 95–026–1, Regulatory the list of suppressive areas in § 301.52– Further, since the total production of Analysis and Development, PPD, 2a. The portions of the counties that cotton and cottonseed by the affected APHIS, Suite 3C03, 4700 River Road remain listed as suppressive areas are counties is less than 3 percent of the Unit 118, Riverdale, MD 20737–1238. described in the rule portion of this U.S. production of cotton, the effect on Please state that your comments refer to document. national prices is expected to be Docket No. 95–026–1. Comments Immediate Action insignificant. received may be inspected at USDA, Under these circumstances, the room 1141, South Building, 14th Street The Administrator of the Animal and Administrator of the Animal and Plant and Independence Avenue SW., Plant Health Inspection Service has Health Inspection Service has Washington, DC, between 8 a.m. and determined that there is good cause for determined that this action will not 4:30 p.m., Monday through Friday, publishing this interim rule without have a significant economic impact on except holidays. Persons wishing to prior opportunity for public comment. a substantial number of small entities. inspect comments are requested to call Immediate action is warranted to relieve ahead on (202) 690–2817 to facilitate unnecessary restrictions on the Executive Order 12372 entry into the comment reading room. interstate movement of regulated This program/activity is listed in the FOR FURTHER INFORMATION CONTACT: Mr. articles from areas where the pink Catalog of Federal Domestic Assistance Sidney Cousins, Senior Operations bollworm no longer exists. under No. 10.025 and is subject to 44416 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations Executive Order 12372, which requires 9 CFR Part 77 PART 77ÐTUBERCULOSIS intergovernmental consultation with State and local officials. (See 7 CFR part Accordingly, we are adopting as a [Docket No. 95±020±2] 3015, subpart V.) final rule, without change, the interim rule that amended 9 CFR 77.1 and that Executive Order 12778 Tuberculosis in Cattle and Bison; State was published at 60 FR 18728–18729 on Designation This rule has been reviewed under April 13, 1995. Executive Order 12778, Civil Justice AGENCY: Animal and Plant Health Authority: 21 U.S.C. 111, 114, 114a, 115– Reform. This rule: (1) Preempts all State Inspection Service, USDA. 117, 120, 121, 134b, and 134f; 7 CFR 2.17, and local laws and regulations that are 2.51, and 371.2(d). inconsistent with this rule; (2) has no ACTION: Affirmation of interim rule as Done in Washington, DC, this 18th day of retroactive effect; and (3) does not final rule. August 1995. require administrative proceedings Lonnie J. King, before parties may file suit in court SUMMARY: We are adopting as a final Administrator, Animal and Plant Health challenging this rule. rule, without change, an interim rule Inspection Service. Paperwork Reduction Act that amended the tuberculosis [FR Doc. 95–21186 Filed 8–25–95; 8:45 am] regulations concerning the interstate BILLING CODE 3410±34±P This rule contains no information movement of cattle and bison by raising collection or recordkeeping the designation of North Carolina from requirements under the Paperwork a modified accredited State to an 9 CFR Part 78 Reduction Act of 1980 (44 U.S.C. 3501 accredited-free State. We have [Docket No. 95±033±2] et seq.). determined that North Carolina meets List of Subjects in 7 CFR Part 301 the criteria for designation as an Brucellosis in Cattle; State and Area accredited-free State. Agricultural commodities, Plant Classifications; Nebraska diseases and pests, Quarantine, EFFECTIVE DATE: September 27, 1995. AGENCY: Animal and Plant Health Reporting and recordkeeping FOR FURTHER INFORMATION CONTACT: Dr. Inspection Service, USDA. requirements, Transportation. ACTION: Affirmation of interim rule as Accordingly, 7 CFR part 301 is Mitchell A. Essey, Senior Staff final rule. amended as follows: Veterinarian, Cattle Diseases and Surveillance, VS, APHIS, Suite 3B08, SUMMARY: We are adopting as a final PART 301ÐDOMESTIC QUARANTINE 4700 River Road Unit 36, Riverdale, rule, without change, an interim rule NOTICES MD, 20737–1231, (301) 734–7727. that amended the brucellosis regulations 1. The authority citation for part 301 SUPPLEMENTARY INFORMATION: concerning the interstate movement of continues to read as follows: cattle by changing the classification of Background Authority: 7 U.S.C. 150bb, 150dd, 150ee, Nebraska from Class A to Class Free. 150ff, 161, 162, and 164–167; 7 CFR 2.17, In an interim rule effective and The interim rule was necessary to 2.51, and 371.2(c). published in the Federal Register on relieve certain restrictions on the interstate movement of cattle from 2. In § 301.52–2a the entry for April 13, 1995 (60 FR 18728–18729, Nebraska. Arkansas is revised to read as follows: Docket No. 95–020–1), we amended the tuberculosis regulations in 9 CFR part EFFECTIVE DATE: September 27, 1995. § 301.52±2a Regulated areas; suppressive 77 by removing North Carolina from the FOR FURTHER INFORMATION CONTACT: Dr. and generally infested areas. list of modified accredited States in Michael J. Gilsdorf, Senior Staff * * * * * § 77.1 and adding it to the list of Veterinarian, Cattle Diseases and Arkansas accredited-free States in that section. Surveillance Staff, vs, APHIS, USDA, Suite 3B08, 4700 River Road Unit 36, (1) Generally infested area. None. Comments on the interim rule were (2) Suppressive area. required to be received on or before June Riverdale, MD 20737–1236; (301) 734– Clay County. That portion of the county 12, 1995. We did not receive any 4918. bounded by Highway 90 west from the comments. The facts presented in the SUPPLEMENTARY INFORMATION: Missouri State line to Highway 139, Highway interim rule still provide a basis for the 139 north to the junction of Highways 62 and rule. Background 1, and Highway 1 east to the Missouri State In an interim rule effective and line. This action also affirms the Crittenden County. T. 8 N., R. 8 E. information contained in the interim published in the Federal Register on Mississippi County. That portion of the rule concerning Executive Order 12866 May 31, 1995 (60 FR 28322–28323, county bounded by Highway 120 west from and the Regulatory Flexibility Act, Docket No. 95–033–1), we amended the the Mississippi River to Highway 61, Executive Orders 12372 and 12778, and brucellosis regulations in 9 CFR part 78 Highway 61 south to Highway 158, Highway the Paperwork Reduction Act. by removing Nebraska from the list of 158 west to Highway 77, Highway 77 north Class A States in § 78.41(b) and adding to Highway 119, and Highway 119 north to Further, for this action, the Office of it to the list of Class Free States in the Missouri State line. Management and Budget has waived the § 78.1(a). * * * * * review process required by Executive Comments on the interim rule were Done in Washington, DC, this 21st day of Order 12866. required to be received on or before July August 1995. List of Subjects in 9 CFR Part 77 31, 1995. We did not receive any Lonnie J. King, comments. The facts presented in the Administrator, Animal and Plant Health Animal diseases, Bison, Cattle, interim rule still provide a basis for the Inspection Service. Reporting and recordkeeping rule. [FR Doc. 95–21188 Filed 8–25–95; 8:45 am] requirements, Transportation, This action also affirms the BILLING CODE 3410±34±P Tuberculosis. information contained in the interim Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44417 rule concerning Executive Order 12866 of the airplane and damage to the tail 1. Drilling, reaming, and deburring and the Regulatory Flexibility Act, surface structure. new drain holes in the underside of the Executive Orders 12372 and 12778, and DATES: Effective September 12, 1995. left- and right-elevators; the Paperwork Reduction Act. The incorporation by reference of 2. Applying protective treatment to Further, for this action, the Office of certain publications listed in the the left- and right-hand elevators; 3. Performing a visual inspection to Management and Budget has waived the regulations is approved by the Director determine if all of the seams on the review process required by Executive of the Federal Register as of September elevators are sealed, and resealing, if Order 12866. 12, 1995. necessary; and List of Subjects in 9 CFR Part 78 Comments for inclusion in the Rules 4. Plugging (blanking off) certain Docket must be received on or before existing drain holes with a grommet (for Animal diseases, Bison, Cattle, Hogs, October 27, 1995. Quarantine, Reporting and certain airplanes). recordkeeping requirements, ADDRESSES: Submit comments in Accomplishment of this modification Transportation. triplicate to the Federal Aviation will improve the drainage of water from Administration (FAA), Transport the elevators and minimize the PART 78ÐBRUCELLOSIS Airplane Directorate, ANM–103, accumulation of water in the elevators. Attention: Rules Docket No. 95–NM– The CAA classified the service Accordingly, we are adopting as a 135–AD, 1601 Lind Avenue, SW., bulletin as mandatory in order to assure final rule, without change, the interim Renton, Washington 98055–4056. the continued airworthiness of these rule that amended 9 CFR 78.41 and that The service information referenced in airplanes in the United Kingdom. was published in 60 FR 28322–28323 on this AD may be obtained from British This airplane model is manufactured May 31, 1995. Aerospace Holdings, Inc., Avro in the United Kingdom and is type Authority: 21 U.S.C. 111–114a-1, 114g, International Aerospace Division, P.O. certificated for operation in the United 115, 117, 120, 121, 123–126, 134b, and 134f; Box 16039, Dulles International Airport, States under the provisions of section 7 CFR 2.17, 2.51, and 371.2(d). Washington DC 20041–6039. This 21.29 of the Federal Aviation Done in Washington, DC, this 18th day of information may be examined at the Regulations (14 CFR 21.29) and the August 1995. FAA, Transport Airplane Directorate, applicable bilateral airworthiness Lonnie J. King, 1601 Lind Avenue, SW., Renton, agreement. Pursuant to this bilateral Administrator, Animal and Plant Health Washington; or at the Office of the airworthiness agreement, the CAA has Inspection Service. Federal Register, 800 North Capitol kept the FAA informed of the situation [FR Doc. 95–21187 Filed 8–25–95; 8:45 am] Street, NW., suite 700, Washington, DC. described above. The FAA has BILLING CODE 3410±34±P FOR FURTHER INFORMATION CONTACT: examined the findings of the CAA, William Schroeder, Aerospace Engineer, reviewed all available information, and Standardization Branch, ANM–113, determined that AD action is necessary DEPARTMENT OF TRANSPORTATION FAA, Transport Airplane Directorate, for products of this type design that are 1601 Lind Avenue, SW., Renton, certificated for operation in the United Federal Aviation Administration Washington 98055–4056; telephone States. Since an unsafe condition has been (206) 227–2148; fax (206) 227–1149. 14 CFR Part 39 identified that is likely to exist or SUPPLEMENTARY INFORMATION: The Civil develop on other airplanes of the same [Docket No. 95±NM±135±AD; Amendment Aviation Authority (CAA), which is the 39±9343; AD 95±17±13] type design registered in the United airworthiness authority for the United States, this AD is being issued to Kingdom, recently notified the FAA that Airworthiness Directives; British minimize accumulation of water in the an unsafe condition may exist on certain Aerospace Model BAe 146 and Model elevators, which could lead to elevator British Aerospace Model BAe 146 and Avro 146±RJ Airplanes oscillations. This AD requires Model Avro 146–RJ airplanes. The CAA modification of the left- and right-hand AGENCY: Federal Aviation advises that it received several reports elevators (Mod. No. HCMO1490B). The Administration, DOT. indicating that elevator oscillations have actions are required to be accomplished, ACTION: Final rule; request for occurred, which resulted in airplane in part, in accordance with the service comments. pitch oscillations. Investigation revealed bulletin described previously. that, when the airplane had completed In addition, the FAA has received a SUMMARY: This amendment adopts a steep climb maneuvers, water had recommendation from the CAA that new airworthiness directive (AD) that is accumulated in the left- and right-hand certain additional procedures be applicable to certain British Aerospace elevators. Accumulation of water, if not accomplished concurrent with the Model BAe 146 and Model Avro 146– corrected, may upset the balance of the modification. These procedures have RJ airplanes. This action requires elevators, which could result in elevator been added to this AD. modification of the left- and right-hand oscillation and subsequent airplane This is considered to be interim elevators to improve water drainage. pitch oscillations; this condition could action until final action is identified, at This amendment is prompted by reports result in reduced controllability of the which time the FAA may consider that elevator oscillations and resultant airplane or damage to the tail surface further rulemaking. airplane pitch oscillations have structure. As a result of recent communications occurred due to the elevator balance British Aerospace Regional Aircraft with the Air Transport Association changes as a result of accumulation of Limited, Avro International Division, (ATA) of America, the FAA has learned water in the elevators. The actions has issued Service Bulletin SB.55–13– that, in general, some operators may specified in this AD are intended to 01490B, dated July 7, 1995, which misunderstand the legal effect of AD’s minimize accumulation of water in the describes procedures for modification of on airplanes that are identified in the elevators, which could lead to elevator the left- and right-hand elevators. The applicability provision of the AD, but and airplane pitch oscillations with a modification involves the following that have been altered or repaired in the subsequent reduction of controllability actions: area addressed by the AD. The FAA 44418 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations points out that all airplanes identified in States, on the relationship between the provision, regardless of whether it has been the applicability provision of an AD are national government and the States, or modified, altered, or repaired in the area legally subject to the AD. If an airplane on the distribution of power and subject to the requirements of this AD. For has been altered or repaired in the airplanes that have been modified, altered, or responsibilities among the various repaired so that the performance of the affected area in such a way as to affect levels of government. Therefore, in requirements of this AD is affected, the compliance with the AD, the owner or accordance with Executive Order 12612, owner/operator must use the authority operator is required to obtain FAA it is determined that this final rule does provided in paragraph (c) of this AD to approval for an alternative method of not have sufficient federalism request approval from the FAA. This compliance with the AD, in accordance implications to warrant the preparation approval may address either no action, if the with the paragraph of each AD that of a Federalism Assessment. current configuration eliminates the unsafe provides for such approvals. A note has The FAA has determined that this condition; or different actions necessary to been included in this rule to clarify this regulation is an emergency regulation address the unsafe condition described in long-standing requirement. this AD. Such a request should include an that must be issued immediately to assessment of the effect of the changed Since a situation exists that requires correct an unsafe condition in aircraft, configuration on the unsafe condition the immediate adoption of this and that it is not a ‘‘significant addressed by this AD. In no case does the regulation, it is found that notice and regulatory action’’ under Executive presence of any modification, alteration, or opportunity for prior public comment Order 12866. It has been determined repair remove any airplane from the hereon are impracticable, and that good further that this action involves an applicability of this AD. cause exists for making this amendment emergency regulation under DOT Compliance: Required as indicated, unless effective in less than 30 days. Regulatory Policies and Procedures (44 accomplished previously. Comments Invited FR 11034, February 26, 1979). If it is Note 2: This AD references certain portions determined that this emergency of a British Aerospace service bulletin for Although this action is in the form of regulation otherwise would be applicability and modification information. a final rule that involves requirements significant under DOT Regulatory In addition, this AD specifies further detailed instructions, and in certain cases, specifies affecting flight safety and, thus, was not Policies and Procedures, a final preceded by notice and an opportunity that a different sealant be used. Where there regulatory evaluation will be prepared are differences between the AD and the for public comment, comments are and placed in the Rules Docket. A copy invited on this rule. Interested persons service bulletin, the AD prevails. of it, if filed, may be obtained from the To minimize accumulation of water in the are invited to comment on this rule by Rules Docket at the location provided submitting such written data, views, or elevators, which could lead to elevator and under the caption ADDRESSES. airplane pitch oscillations with a subsequent arguments as they may desire. reduction of controllability of the airplane Communications shall identify the List of Subjects in 14 CFR Part 39 and tail surface structural damage. Rules Docket number and be submitted Air transportation, Aircraft, Aviation (a) Within 30 days after the effective date in triplicate to the address specified safety, Incorporation by reference, of this AD, accomplish paragraphs (a)(1) and under the caption ADDRESSES. All Safety. (a)(2) of this AD, as applicable. communications received on or before (1) For all airplanes: Accomplish the the closing date for comments will be Adoption of the Amendment following requirements of paragraph (a)(1)(i), considered, and this rule may be (a)(2)(ii), (a)(3)(iii) of this AD: Accordingly, pursuant to the (i) Drill, ream, and deburr new drain holes amended in light of the comments authority delegated to me by the in the left- and right-elevators in accordance received. Factual information that Administrator, the Federal Aviation with British Aerospace Service Bulletin supports the commenter’s ideas and Administration amends part 39 of the SB.55–13–01490B, dated July 7, 1995. The suggestions is extremely helpful in Federal Aviation Regulations (14 CFR following procedures shall be accomplished evaluating the effectiveness of the AD part 39) as follows: in addition to procedures specified in the action and determining whether service bulletin. Identify the drain hole additional rulemaking action would be PART 39ÐAIRWORTHINESS positions to be added in accordance with needed. DIRECTIVES Drawing No. 1 of the service bulletin. Where Comments are specifically invited on drain holes already exist in the same rib bay 1. The authority citation for part 39 within a distance of 2 inches of the new the overall regulatory, economic, continues to read as follows: drain hole position defined in the service environmental, and energy aspects of bulletin, no additional drain holes shall be the rule that might suggest a need to Authority: 49 USC 106(g), 40101, 40113, added. Drawing No. 1 of the service bulletin modify the rule. All comments 44701. shows the required number and bay locations submitted will be available, both before § 39.13 [Amended] of drain holes after the accomplishment of and after the closing date for comments, this paragraph. No drain holes other than 2. Section 39.13 is amended by those specified in drawing No. 1 shall be in the Rules Docket for examination by adding the following new airworthiness interested persons. A report that added. directive: (ii) Apply protective treatment in the areas summarizes each FAA-public contact of the new drain holes in the left- and right- concerned with the substance of this AD 95–17–13 British Aerospace Regional Aircraft Limited, AVRO International hand elevators in accordance with the service will be filed in the Rules Docket. bulletin. Commenters wishing the FAA to Aerospace Division (Formerly British Aerospace, plc; British Aerospace (iii) Perform a visual inspection to determine if all of the seams on the elevator acknowledge receipt of their comments Commercial Aircraft Limited): are sealed as specified in Drawing No. 5 of submitted in response to this rule must Amendment 39–9343. Docket 95–NM– the service bulletin. Accomplish the submit a self-addressed, stamped 135–AD. inspection in accordance with the service postcard on which the following Applicability: Model British Aerospace statement is made: ‘‘Comments to bulletin. BAe 146 and Model Avro 146–RJ airplanes; (A) If all the seams of the elevators are Docket Number 95–NM–135–AD.’’ The as listed in British Aerospace Service sealed, as specified in Drawing No. 5 of the postcard will be date stamped and Bulletin SB.55–13–01490B, dated July 7, service bulletin, no further action is required returned to the commenter. 1995; certificated in any category. by this paragraph. The regulations adopted herein will Note 1: This AD applies to each airplane (B) If any seam is not sealed, as specified not have substantial direct effects on the identified in the preceding applicability in Drawing No. 5 of the service bulletin, prior Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44419 to further flight, seal the seam in accordance 14 CFR Part 39 FOR FURTHER INFORMATION CONTACT: with the procedures specified in the service Peter Cuneo, Aerospace Engineer, bulletin. Only Thiokol sealant PR–1431 Type [Docket No. 95±NM±139±AD; Amendment Systems and Equipment Branch, ANE– 39±9344; AD 95±17±14] 1, PR–1431 Type 2, PR–1431–T, PR–1431– 173, FAA, New York Aircraft T6, PR–1422B–2NA, or PR–1422B–4NA shall Airworthiness Directives; Bombardier Certification Office, Engine and be used to seal the seam. Model CL±600±1A11 (CL±600), CL± Propeller Directorate, 10 Fifth Street, (2) For airplanes on which Modification Third Floor, Valley Stream, New York HCM00912A has been accomplished: At the 600±2A12 (CL±601), and CL±600±2B16 (CL±601±3A and ±3R) Series Airplanes 11581; telephone (516) 256–7506; fax positions shown in Drawing No. 4 of the (516) 568–2716. service bulletin, plug (blank off) the drain AGENCY: Federal Aviation SUPPLEMENTARY INFORMATION: Transport holes with a grommet, fill the inside of each Administration, DOT. grommet with sealant, and insert it into the Canada Aviation, which is the drain hole to be plugged, in accordance with ACTION: Final rule; request for airworthiness authority for Canada, the procedures specified in the service comments. recently notified the FAA that an unsafe bulletin. Only Thiokol sealant PR–1431 Type condition may exist on certain SUMMARY: This amendment adopts a 1, PR–1431 Type 2, PR–1431–T, PR–1431– Bombardier Model CL–600–1A11 (CL– new airworthiness directive (AD) that is T6, PR–1422B–2NA or PR–1422B–4NA shall 600), CL–600–2A12 (CL–601), and CL– be used to fill the inside of each grommet. applicable to certain Bombardier Model 600–2B16 (CL–601–3A and –3R) series (b) As of the effective date of this AD, no CL–600–1A11, CL–600–2A12, and CL– airplanes. Transport Canada Aviation person shall install any elevator on any 600–2B16 series airplanes. This action advises that it has received reports of airplane affected by this AD unless that requires functional testing of the brake overspeed annunciation of the pitch elevator has been modified in accordance of the horizontal stabilizer trim actuator trim. Each time such annunciation with this AD. (HSTA); and exercising the pitch trim occurred, the horizontal stabilizer trim (c) An alternative method of compliance or system, revising the FAA-approved actuator (HSTA) mechanical brake adjustment of the compliance time that Airplane Flight Manual (AFM), prevented uncommanded movement of provides an acceptable level of safety may be operational testing of the HSTA, and the HSTA, i.e., HSTA runaway. used if approved by the Manager, replacing the HSTA or horizontal Investigation has revealed that the Standardization Branch, ANM–113, FAA, stabilizer trim control unit, if necessary. reported overspeed annunciation of the Transport Airplane Directorate. Operators This amendment is prompted by reports pitch trim may be attributed to slippage shall submit their requests through an of overspeed annunciation of the pitch of the no-back device on the HSTA. appropriate FAA Principal Maintenance trim due to slippage of the no-back Further investigation revealed that the Inspector, who may add comments and then device on the HSTA. The actions no-back device on the HSTA failed to send it to the Manager, Standardization specified in this AD are intended to Branch, ANM–113. operate properly at low temperatures, prevent uncommanded movement of the but operated properly at ambient Note 3: Information concerning the HSTA due to failure of the no-back temperatures above zero degrees existence of approved alternative methods of device on the HSTA to operate properly; centigrade. This condition, if not compliance with this AD, if any, may be this condition could adversely affect the corrected, could result in obtained from the Standardization Branch, controllability of the airplane. ANM–113. uncommanded movement of the HSTA, DATES: Effective September 12, 1995. which could adversely affect the (d) Special flight permits may be issued in The incorporation by reference of controllability of the airplane. accordance with sections 21.197 and 21.199 certain publications listed in the Bombardier has issued Alert Service of the Federal Aviation Regulations (14 CFR regulations is approved by the Director Bulletins A600–0645 (for Model CL– 21.197 and 21.199) to operate the airplane to of the Federal Register as of September a location where the requirements of this AD 600–1A11 series airplanes), and A601– 12, 1995. 0443 (for Model CL–600–2A12 and CL– can be accomplished. Comments for inclusion in the Rules (e) The actions shall be done in accordance 600–2B16 series airplanes), both dated Docket must be received on or before with British Aerospace Service Bulletin January 11, 1995, which describe SB.55–13–01490B, dated July 7, 1995, where October 27, 1995. procedures for an operational test of the specified. This incorporation by reference ADDRESSES: Submit comments in HSTA brake, and replacement of the was approved by the Director of the Federal triplicate to the Federal Aviation HSTA or horizontal stabilizer trim Register in accordance with 5 U.S.C. 552(a) Administration (FAA), Transport control unit (HSTCU) with a serviceable and 1 CFR part 51. Copies may be obtained Airplane Directorate, ANM–103, unit. Transport Canada Aviation from British Aerospace Holding, Inc., Avro Attention: Rules Docket No. 95–NM– approved these service bulletins and International Aerospace Division, P.O. Box 139–AD, 1601 Lind Avenue, SW., issued Canadian airworthiness directive 16039, Dulles International Airport, Renton, Washington 98055–4056. CF–95–02, dated February 28, 1995, in Washington DC 20041–6039. Copies may be The service information referenced in order to assure the continued inspected at the FAA, Transport Airplane this AD may be obtained from airworthiness of these airplanes in Directorate, 1601 Lind Avenue, SW., Renton, Bombardier, Inc., Canadair, Aerospace Canada. Washington; or at the Office of the Federal Group, P.O. Box 6087, Station Centre- This airplane model is manufactured Register, 800 North Capitol Street, NW., suite ville, Quebec H3C 3G9, Canada. This in Canada and is type certificated for 700, Washington, DC. information may be examined at the operation in the United States under the (f) This amendment becomes effective on FAA, Transport Airplane Directorate, provisions of section 21.29 of the September 12, 1995. 1601 Lind Avenue, SW., Renton, Federal Aviation Regulations (14 CFR Issued in Renton, Washington, on August Washington; or at the FAA, New York 21.29) and the applicable bilateral 15, 1995. Aircraft Certification Office, Engine and airworthiness agreement. Pursuant to Darrell M. Pederson, Propeller Directorate, 10 Fifth Street, this bilateral airworthiness agreement, Acting Manager, Transport Airplane Third Floor, Valley Stream, New York; Transport Canada Aviation has kept the Directorate, Aircraft Certification Service. or at the Office of the Federal Register, FAA informed of the situation described [FR Doc. 95–20629 Filed 8–25–95; 8:45 am] 800 North Capitol Street, NW., suite above. The FAA has examined the BILLING CODE 4910±13±U 700, Washington, DC. findings of Transport Canada Aviation, 44420 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations reviewed all available information, and arguments as they may desire. List of Subjects in 14 CFR Part 39 determined that AD action is necessary Communications shall identify the Air transportation, Aircraft, Aviation for products of this type design that are Rules Docket number and be submitted safety, Incorporation by reference, certificated for operation in the United in triplicate to the address specified Safety. States. under the caption ADDRESSES. All Since an unsafe condition has been communications received on or before Adoption of the Amendment identified that is likely to exist or the closing date for comments will be develop on other airplanes of the same considered, and this rule may be Accordingly, pursuant to the type design registered in the United amended in light of the comments authority delegated to me by the States, this AD is being issued to received. Factual information that Administrator, the Federal Aviation prevent uncommanded movement of the supports the commenter’s ideas and Administration amends part 39 of the HSTA. This AD requires repetitive suggestions is extremely helpful in Federal Aviation Regulations (14 CFR functional testing of the HSTA brake for evaluating the effectiveness of the AD part 39) as follows: all airplanes. If certain conditions are action and determining whether PART 39ÐAIRWORTHINESS found to exist during the functional additional rulemaking action would be DIRECTIVES tests, this AD also requires exercising of needed. the pitch trim system, revising the Comments are specifically invited on 1. The authority citation for part 39 Limitations Section of the FAA- the overall regulatory, economic, continues to read as follows: approved Airplane Flight Manual environmental, and energy aspects of (AFM), operational testing of the HSTA, the rule that might suggest a need to Authority: 49 U.S.C. 106(g), 40101, 40113, 44701. and replacing the HSTA or HSTCU with modify the rule. All comments a serviceable unit. Accomplishment of submitted will be available, both before § 39.13 [Amended] the replacement terminates the and after the closing date for comments, 2. Section 39.13 is amended by requirement to exercise the pitch trim in the Rules Docket for examination by adding the following new airworthiness system and revise the AFM. interested persons. A report that directive: Operational testing of the HSTA and summarizes each FAA-public contact replacement of the HSTA or HSTCU are concerned with the substance of this AD 95–17–14 Bombardier, Inc. (Formerly required to be accomplished in will be filed in the Rules Docket. Canadair): Amendment 39–9344. Docket accordance with the applicable alert Commenters wishing the FAA to 95–NM–139–AD. service bulletin described previously. acknowledge receipt of their comments Applicability: Model CL–600–1A11 (CL– 600) series airplanes having serial numbers As a result of recent communications submitted in response to this rule must 1004 through 1085 inclusive; Model CL–600– with the Air Transport Association submit a self-addressed, stamped 2A12 (CL–601) series airplanes having serial (ATA) of America, the FAA has learned postcard on which the following numbers 3001 through 3066 inclusive; and that, in general, some operators may statement is made: ‘‘Comments to Model CL–600–2B16 (CL–601–3A and –3R) misunderstand the legal effect of AD’s Docket Number 95–NM–139–AD.’’ The series airplanes having serial numbers 5001 on airplanes that are identified in the postcard will be date stamped and through 5137 inclusive, and 5139 through applicability provision of the AD, but returned to the commenter. 5299 inclusive; certificated in any category. that have been altered or repaired in the The regulations adopted herein will Note 1: This AD applies to each airplane area addressed by the AD. The FAA not have substantial direct effects on the identified in the preceding applicability points out that all airplanes identified in States, on the relationship between the provision, regardless of whether it has been the applicability provision of an AD are national government and the States, or modified, altered, or repaired in the area subject to the requirements of this AD. For legally subject to the AD. If an airplane on the distribution of power and responsibilities among the various airplanes that have been modified, altered, or has been altered or repaired in the repaired so that the performance of the affected area in such a way as to affect levels of government. Therefore, in requirements of this AD is affected, the compliance with the AD, the owner or accordance with Executive Order 12612, owner/operator must use the authority operator is required to obtain FAA it is determined that this final rule does provided in paragraph (e) of this AD to approval for an alternative method of not have sufficient federalism request approval from the FAA. This compliance with the AD, in accordance implications to warrant the preparation approval may address either no action, if the with the paragraph of each AD that of a Federalism Assessment. current configuration eliminates the unsafe provides for such approvals. A note has The FAA has determined that this condition; or different actions necessary to regulation is an emergency regulation address the unsafe condition described in been included in this rule to clarify this this AD. Such a request should include an long-standing requirement. that must be issued immediately to correct an unsafe condition in aircraft, assessment of the effect of the changed Since a situation exists that requires configuration on the unsafe condition the immediate adoption of this and that it is not a ‘‘significant addressed by this AD. In no case does the regulation, it is found that notice and regulatory action’’ under Executive presence of any modification, alteration, or opportunity for prior public comment Order 12866. It has been determined repair remove any airplane from the hereon are impracticable, and that good further that this action involves an applicability of this AD. cause exists for making this amendment emergency regulation under DOT Compliance: Required as indicated, unless effective in less than 30 days. Regulatory Policies and Procedures (44 accomplished previously. FR 11034, February 26, 1979). If it is To prevent uncommanded movement of Comments Invited determined that this emergency the horizontal stabilizer trim actuator Although this action is in the form of regulation otherwise would be (HSTA), accomplish the following: a final rule that involves requirements significant under DOT Regulatory (a) Within 20 hours time-in-service after affecting flight safety and, thus, was not Policies and Procedures, a final the effective date of this AD, perform the following ‘‘Functional Test Procedures of the preceded by notice and an opportunity regulatory evaluation will be prepared HSTA Brake’’: for public comment, comments are and placed in the Rules Docket. A copy (1) Press the CHAN 1 INOP/CHAN 2 INOP invited on this rule. Interested persons of it, if filed, may be obtained from the switch/light and then the OVSP/CHNG are invited to comment on this rule by Rules Docket at the location provided CHAN switch/light on the center pedestal submitting such written data, views, or under the caption ADDRESSES. control panel. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44421 (2) Set and hold the pitch trim switch on 2A12 and CL–600–2B16 series airplanes), as Issued in Renton, Washington, on August the pilot’s control wheel until the stabilizer applicable. Replacement of the unserviceable 15, 1995. is in full NOSE UP position. unit with a serviceable unit constitutes Darrell M. Pederson, (3) Set and hold the pitch trim switch on terminating action for the requirements of Acting Manager, Transport Airplane the pilot’s control wheel to NOSE DOWN paragraphs (c)(1) and (c)(2) of this AD. Directorate, Aircraft Certification Service. position and, while the stabilizer is moving, Following such replacement, exercise of the press the PITCH TRIM DISC switch on the pitch trim system may be discontinued and [FR Doc. 95–20632 Filed 8–25–95; 8:45 am] pilot’s control wheel when the needle on the the limitation may be removed from the BILLING CODE 4910±13±U stabilizer trim position indicator reaches the AFM. first marking of the take-off configuration (4) Thereafter at intervals not to exceed 100 green band. Verify that both CHAN INOP hours time-in-service repeat the functional 14 CFR Part 39 lights are on. test of the HSTA brake as specified in (4) Verify that the stabilizer over-travel is paragraph (a) of this AD. [Docket No. 94±CE±35±AD; Amendment 39± less than one degree, as read on the stabilizer (d) For airplanes on which the stabilizer 9349; AD 95±18±01] trim position indicator on the center over-travel is shown to be more than 1 degree instrument panel. during the functional test required by Airworthiness Directives; Scheibe Note 2: One increment on the stabilizer paragraph (a) of this AD, accomplish the Flugzeugbau GmbH SF34 and SF34B trim position indicator is equal to one degree requirements of paragraphs (d)(1) and (d)(2) Gliders of stabilizer travel. of this AD. (1) Prior to further flight, perform an AGENCY: Federal Aviation (i) If the stabilizer over-travel is less than operational test to identify the unserviceable Administration, DOT. or equal to one degree, the pitch trim brake HSTA or HSTCU and replace it with a ACTION: Final rule. performance meets the ground performance serviceable unit, prior to further flight, in requirements and is considered serviceable. accordance with Bombardier Alert Service SUMMARY: This amendment adopts a (ii) If the stabilizer over-travel is more than Bulletin A600–0645, dated January 11, 1995 one degree, dispatch is prohibited. Correction new airworthiness directive (AD) that (for Model CL–600–1A11 series airplanes), or applies to Scheibe Flugzeugbau GmbH is required prior to further flight, in A601–0443, dated January 11, 1995 (for accordance with Bombardier Alert Service Model CL–600–2A12 and CL–600–2B16 SF34 and SF34B gliders. This action Bulletin A600–0645, dated January 11, 1995 series airplanes), as applicable. requires adding armature (supportive (for Model CL–600–1A11 series airplanes), or (2) Thereafter at intervals not to exceed 100 covering) to both wings, modifying the A601–0443, dated January 11, 1995 (for hours time-in-service repeat the functional root rib of the left wing and Model CL–600–2A12 and CL–600–2B16 test of the HSTA brake as specified in incorporating changes and operating series airplanes), as applicable. paragraph (a) in this AD. limitations to the flight manual. Failure (b) For airplanes on which the stabilizer (e) An alternative method of compliance or over-travel is shown to be equal to or less of the left wing root rib on one of the adjustment of the compliance time that affected gliders while in flight prompted than 1 degree during the functional test provides an acceptable level of safety may be required by paragraph (a) of this AD, and no used if approved by the Manager, New York this action. The actions specified by this overspeed annunciation has been reported Aircraft Certification Office (ACO), FAA, AD are intended to prevent fatigue previously, repeat the functional test Engine and Propeller Directorate. Operators failure of the wing, which could result thereafter at intervals not to exceed 100 hours shall submit their requests through an in loss of control of the glider. time-in-service. appropriate FAA Principal Maintenance DATES: Effective October 16, 1995. (c) For airplanes on which the stabilizer Inspector, who may add comments and then over-travel is shown to be equal to or less The incorporation by reference of send it to the Manager, New York ACO. certain publications listed in the than 1 degree during the functional test Note 3: Information concerning the required by paragraph (a) of this AD, and regulations is approved by the Director existence of approved alternative methods of of the Federal Register as of October 16, overspeed annunciation has been reported compliance with this AD, if any, may be previously, accomplish paragraphs (c)(1), obtained from the New York ACO. 1995. (c)(2), (c)(3), and (c)(4) of this AD. ADDRESSES: Service information that (1) Prior to each flight, exercise the pitch (f) Special flight permits may be issued in accordance with sections 21.197 and 21.199 applies to this AD may be obtained from trim system by accomplishing the following: Scheibe Flugzeugbau GmbH, August ‘‘Command full NOSE DOWN, then full of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to NOSE UP and re-position.’’ Pfaltz—Strasse 23, Dachau, Germany. a location where the requirements of this AD (2) Prior to further flight following This information may also be examined can be accomplished. accomplishment of the functional test at the Federal Aviation Administration (g) The operational test and replacement required by paragraph (a) of this AD, revise (FAA), Central Region, Office of the shall be done in accordance with Bombardier the Limitations Section of the FAA-approved Alert Service Bulletin A600–0645, dated Assistant Chief Counsel, Attention: Airplane Flight Manual (AFM) to include the January 11, 1995, or Bombardier Alert Rules Docket 94–CE–35–AD, Room following information. This may be Service Bulletin A601–0443, dated January 1558, 601 E. 12th Street, Kansas City, accomplished by inserting a copy of this AD 11, 1995, as applicable. This incorporation by Missouri 64106; or at the Office of the in the AFM. reference was approved by the Director of the Federal Register, 800 North Capitol ‘‘1. Do not engage autopilot at an altitude Federal Register in accordance with 5 U.S.C. Street NW., suite 700, Washington, DC. below 1,000 feet AGL. 552(a) and 1 CFR part 51. Copies may be FOR FURTHER INFORMATION CONTACT: ‘‘2. Monitor 8 CH annunciator for FLT obtained from Bombardier, Inc., Canadair, CONT light. Aerospace Group, P.O. Box 6087, Station Mr. Herman C. Belderok, Project Officer, ‘‘3. Maximum flap setting to be used is Centreville, Quebec H3C 3G9, Canada. Gliders, Small Airplane Directorate, Flap 20 degrees.’’ Copies may be inspected at the FAA, Aircraft Certification Service, FAA, (3) Within 50 hours time-in-service after Transport Airplane Directorate, 1601 Lind 1201 Walnut, suite 900, Kansas City, the effective date of this AD, perform an Avenue, SW., Renton, Washington; or at the Missouri 64106; telephone (816) 426– operational test to identify the unserviceable FAA, New York Aircraft Certification Office, 6932; facsimile (816) 426–2169. HSTA or horizontal stabilizer trim control Engine and Propeller Directorate, 10 Fifth SUPPLEMENTARY INFORMATION: A unit (HSTCU) and replace it with a Street, Third Floor, Valley Stream, New York; serviceable unit, in accordance with or at the Office of the Federal Register, 800 proposal to amend part 39 of the Federal Bombardier Alert Service Bulletin A600– North Capitol Street, NW., suite 700, Aviation Regulations (14 CFR part 39) to 0645, dated January 11, 1995 (for Model CL– Washington, DC. include an AD that would apply to 600–1A11 series airplanes), or A601–0443, (h) This amendment becomes effective on Scheibe Flugzeugbau GmbH SF34 and dated January 11, 1995 (for Model CL–600– September 12, 1995. SF34B gliders was published in the 44422 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations Federal Register on March 30, 1995 (60 of it may be obtained by contacting the (1) Replaces pages 1 and 13 of the flight FR 16398). The action proposed to Rules Docket at the location provided manual with revised pages 1 and 13 included require adding armature (supportive under the caption ADDRESSES. with Scheibe TN No. 336–2, dated March 10, covering) to both wings, modifying the 1989. List of Subjects in 14 CFR Part 39 root rib of the left wing, and (2) Replace pages 1 and 11 in the incorporating changes and operating Air transportation, Aircraft, Aviation Instructions for Continued Airworthiness limitations to the flight manual. safety, Incorporation by reference, with the revised pages 1 and 11 included Accomplishment of the proposed action Safety. with Scheibe TN No. 336–2, dated March 10, 1989. would be in accordance with Scheibe Adoption of the Amendment Technical Note (TN) No. 336–2, dated (3) In page 8 of the flight manual, add 1 March 10, 1989. Accordingly, pursuant to the kg to the current empty weight of the glider Interested persons have been afforded authority delegated to me by the and deduct 1 kg from the current maximum an opportunity to participate in the Administrator, the Federal Aviation load as specified in paragraph 3 of the making of this amendment. No Administration amends part 39 of the Instructions section of Scheibe TN No. 336– comments were received on the Federal Aviation Regulations (14 CFR 2, dated March 10, 1989. proposed rule or the FAA’s part 39) as follows: (4) Remove existing operating limitations determination of the cost to the public. and incorporate new operating limitations After careful review of all available PART 39ÐAIRWORTHINESS into the Limitations section of the flight information related to the subject DIRECTIVES manual as specified in paragraph 4 of the presented above, the FAA has 1. The authority citation for part 39 Instructions section of Scheibe TN No. 336– determined that air safety and the continues to read as follows: 2, dated March 10, 1989. public interest require the adoption of (d) Special flight permits may be issued in the rule as proposed except for minor Authority: U.S.C. 106(g); 40101, 40113, accordance with sections 21.197 and 21.199 44701. editorial corrections. The FAA had of the Federal Aviation Regulations (14 CFR determined that these minor corrections § 39.13 [Amended] 21.197 and 21.199) to operate the glider to a will not change the meaning of the AD 2. Section 39.13 is amended by location where the requirements of this AD and will not add any additional burden adding a new airworthiness directive to can be accomplished. upon the public than was already read as follows: (e) An alternative method of compliance or proposed. adjustment of the compliance time that The FAA estimates that 2 gliders in 95–18–01 Scheibe Flugzeugbau Gmbh: provides an equivalent level of safety, may be Amendment 39–9349; Docket No. 94– approved by the Manager, Small Airplane the U.S. registry will be affected by this CE–35–AD. AD, that it will take approximately 20 Directorate, FAA, 1201 Walnut, suite 900, workhours per glider to accomplish the Applicability: Models SF34 and SF34B Kansas City, Missouri 64106. gliders (serial numbers 5102 through 5131), The request shall be forwarded through an required action, and that the average certificated in any category. labor rate is approximately $60 an hour. appropriate FAA Maintenance Inspector, Note 1: This AD applies to each glider who may add comments and then send it to Parts cost approximately $50 per glider. identified in the preceding applicability the Manager, Small Airplane Directorate. Based on these figures, the total cost provision, regardless of whether it has been impact of the AD on U.S. operators is modified, altered, or repaired in the area Note 2: Information concerning the estimated to be $2,500 ($1,250 per subject to the requirements of this AD. For existence of approved alternative methods of glider). This figure is based upon the gliders that have been modified, altered, or compliance with this AD, if any, may be assumption that no affected owner/ repaired so that the performance of the obtained from the Small Airplane operator of the affected gliders has requirements of this AD is affected, the Directorate. owner/operator must use the authority incorporated the proposed modification. (f) The modifications required by this AD The regulations adopted herein will provided in paragraph (e) of this AD to request approval from the FAA. This shall be done in accordance with Scheibe not have substantial direct effects on the approval may address either no action, if the Technical Note 336–2, dated March 10, 1989. States, on the relationship between the current configuration eliminates the unsafe This incorporation by reference was national government and the States, or condition, or different actions necessary to approved by the Director of the Federal on the distribution of power and address the unsafe condition described in Register in accordance with 5 U.S.C. 552(a) responsibilities among the various this AD. Such a request should include an and 1 CFR part 51. Copies may be obtained levels of government. Therefore, in assessment of the effect of the changed from Scheibe Flugzeugbau GmbH, August accordance with Executive Order 12612, configuration on the unsafe condition Pfaltz—Strasse 23, Dachau, Germany. Copies it is determined that this final rule does addressed by this AD. In no case does the may be inspected at the FAA, Central Region, presence of any modification, alteration, or Office of the Assistant Chief Counsel, Room not have sufficient federalism repair remove any glider from the implications to warrant the preparation applicability of this AD. 1558, 601 E. 12th Street, Kansas City, Missouri, or at the Office of the Federal of a Federalism Assessment. Compliance: Required within the next 50 For the reasons discussed above, I hours time in service (TIS) after the effective Register, 800 North Capitol Street, NW., 7th certify that this action (1) is not a date of this AD, unless already accomplished. Floor, suite 700, Washington, DC. ‘‘significant regulatory action’’ under To prevent fatigue failure of the wing, (g) This amendment (39–9349) becomes Executive Order 12866; (2) is not a which could result in loss of control of the effective on October 16, 1995. ‘‘significant rule’’ under DOT glider, accomplish the following: Issued in Kansas City, Missouri, on August Regulatory Policies and Procedures (44 (a) Add armature (supportive covering) to 16, 1995. both wings in accordance with the job FR 11034, February 26, 1979), and (3) Gerald W. Pierce, will not have a significant economic instructions section of Scheibe Technical Acting Manager, Small Airplane Directorate, impact, positive or negative, on a Note (TN) No. 336–2, dated March 10, 1989. (b) Modify the root rib of the left wing in Aircraft Certification Service. substantial number of small entities accordance with the job instructions section [FR Doc. 95–20804 Filed 8–25–95; 8:45 am] under the criteria of the Regulatory of Scheibe TN No. 336–2, dated March 10, BILLING CODE 4910±13±U±M Flexibility Act. A copy of the final 1989. evaluation prepared for this action is (c) Accomplish the following flight manual contained in the Rules Docket. A copy changes: Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44423 14 CFR Part 39 After careful review of all available PART 39ÐAIRWORTHINESS information related to the subject DIRECTIVES [Docket No. 94±CE±32±AD; Amendment 39± 9338; AD 95±17±08] presented above, the FAA has determined that air safety and the 1. The authority citation for part 39 continues to read as follows: Airworthiness Directives; Stemme public interest require the adoption of GmbH S10 Gliders the rule as proposed except for minor Authority: 49 U.S.C. 106(g), 40101, 40113, editorial corrections. The FAA has 44701. AGENCY: Federal Aviation determined that these minor corrections § 39.13 [Amended] Administration, DOT. will not change the meaning of the AD ACTION: Final rule. and will not add any additional burden 2. Section 39.13 is amended by upon the public than was already adding a new airworthiness directive to SUMMARY: This amendment adopts a proposed. read as follows: new airworthiness directive (AD) that The FAA estimates that 3 gliders in 95–17–08. Stemme GmbH: Amendment 39– applies to Stemme GmbH (Stemme) S10 the U.S. registry will be affected by this 9338; Docket No. 94–CE–32–AD. gliders. This action requires modifying AD, that it will take approximately 4 Applicability: Model S10 Gliders (serial the rudder control cable system. workouts per glider to accomplish the numbers 10–03 through 10–58), certificated Rupture of a turnbuckle eye bolt in the required action, and that the average in any category. rudder control cable system on one of labor rate is approximately $60 an hour. Note 1: This AD applies to each glider the affected gliders prompted this Parts cost approximately $60 per glider. identified in the preceding applicability provision, regardless of whether it has been action. The actions specified by this AD Based on these figures, the total cost are intended to prevent rudder control modified, altered, or repaired in the area impact of the AD on U.S. operators is subject to the requirements of this AD. For cable system failure caused by rupture estimated to be $900 ($300 per glider). of the turnbuckle eye bolt, which, if not gliders that have been modified, altered, or This figure is based upon the repaired so that the performance of the detected and corrected, could result in assumption that no affected owner/ requirements of this AD is affected, the loss of rudder control and eventual loss operator of the affected gliders has owner/operator must use the authority of control of the glider. accomplished the proposed provided in paragraph (c) of this AD to DATES: Effective October 10, 1995. modification. request approval from the FAA. This The incorporation by reference of The regulations adopted herein will approval may address either no action, if the current configuration eliminates the unsafe certain publications listed in the not have substantial direct effects on the regulations is approved by the Director condition, or different actions necessary to States, on the relationship between the address the unsafe condition described in of the Federal Register as of October 10, national government and the States, or 1995. this AD. Such a request should include an on the distribution of power and assessment of the effect of the changed ADDRESSES: Service information that responsibilities among the various configuration on the unsafe condition applies to this AD may be obtained from levels of government. Therefore, in addressed by this AD. In no case does the Stemme GmbH & Co. KG, Flugplatz accordance with Executive Order 12612, presence of any modification, alteration, or Gebaude 47, D–15344 Staussberg, it is determined that this final rule does repair remove any glider from the Germany. This information may also be not have sufficient federalism applicability of this AD. examined at the Federal Aviation implications to warrant the preparation Compliance: Required upon the Administration (FAA), Central Region, of a Federalism Assessment. accumulation of 150 hours time-in-service Office of the Assistant Chief Counsel, For the reasons discussed above, I (TIS) or within the next 20 hours TIS after Attention: Rules Docket 94–CE–32–AD, the effective date of this AD, whichever certify that this action (1) is not a occurs later, unless already accomplished. Room 1558, 601 E. 12th Street, Kansas ‘‘significant regulatory action’’ under City, Missouri 64106; or at the Office of To prevent rudder control cable system Executive Order 12866; (2) is not a failure caused by rupture of the turnbuckle the Federal Register, 800 North Capitol ‘‘significant rule’’ under DOT eye bolt, which, if not detected and Street, NW, suite 700, Washington, DC. Regulatory Policies and Procedures (44 corrected, could result in loss of rudder FOR FURTHER INFORMATION CONTACT: FR 11034, February 26, 1979); and (3) control, accomplish the following: Mr. Herman C. Belderok, Project Officer, will not have a significant economic (a) Modify the rudder control cable system Gliders, Small Airplane Directorate, impact, positive or negative, on a in accordance with the instructions in Aircraft Certification Service, FAA, substantial number of small entities Stemme Service Bulletin A31–10–018 (pages 1201 Walnut, suite 900, Kansas City, 4–6), dated June 3, 1994. under the criteria of the Regulatory (b) Special flight permits may be issued in Missouri 64106; telephone (816) 426– Flexibility Act. A copy of the final 6932; facsimile (816) 426–2169. accordance with sections 21.197 and 21.199 evaluation prepared for this action is of the Federal Aviation Regulations (14 CFR SUPPLEMENTARY INFORMATION: A contained in the Rules Docket. A copy 21.197 and 21.199) to operate the glider to a proposal to amend part 39 of the Federal of if may be obtained by contacting the location where the requirements of this AD Aviation Regulations (14 CFR part 39) to Rules Docket at the location provided can be accomplished. include an AD that would apply to under the caption ADDRESSES. (c) An alternative method of compliance or Stemme S10 gliders was published in adjustment of the compliance time that the Federal Register on March 30, 1995 List of Subjects in 14 CFR Part 39 provides an equivalent level of safety may be (60 FR 16395). The proposal would Air transportation, Aircraft, Aviation approved by the Manager, Small Airplane require modifying the rudder control safety, Incorporation by reference, Directorate, FAA, 1201 Walnut, suite 900, cable system in accordance with Kansas City, Missouri 64106. The request Safety. shall be forwarded through an appropriate Stemme Service Bulletin (SB) A31–10– Adoption of the Amendment FAA Maintenance Inspector, who may add 018 (pages 4–6), dated June 3, 1994. comments and then send it to the Manager, Interested persons have been afforded Accordingly, pursuant to the Small Airplane Directorate. an opportunity to participate in making authority delegated to me by the Note 2: Information concerning the of this amendment. No comments were Administrator, the Federal Aviation existence of approved alternative methods of received on the proposed rule or the Administration amends part 39 of the compliance with this AD, if any, may be FAA’s determination of the cost to the Federal Aviation Regulations (14 CFR obtained from the Small Airplane public. part 39) as follows: Directorate. 44424 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations (d) The modifications required by this AD SUPPLEMENTARY INFORMATION: and locations for the annual events. It shall be done in accordance with Stemme Drafting Information should be noted that Table 1 in the Service Bulletin A31–10–018 (pages 4–6), regulation is not a complete list of all dated June 3, 1994. This incorporation by The drafters of these regulations are marine events that will occur in the reference was approved by the Director of the Lieutenant Junior Grade Byron D. Ninth Coast Guard District. It does not Federal Register in accordance with 5 U.S.C. Willeford, Ninth Coast Guard District, include events which the District 552(a) and 1 CFR part 51. Copies may be project officer, Aids to Navigation and Commander has determined do not obtained from Stemme GmbH & Co. KG, Waterway Management Branch and require establishment of regulations for Flugplatz Gebaude 47, D–15344 Staussberg, Lieutenant Charles D. Dahill, Ninth the safety of life, limb, and property on Germany. Copies may be inspected at the Coast Guard District, project attorney, or adjacent to navigable waters. It also FAA, Central Region, Office of the Assistant Legal Office. does not include nonannual events or Chief Counsel, Room 1558, 601 E. 12th Street, Kansas City, Missouri, or at the Office Regulatory History events which have not been scheduled in time for this publication. of the Federal Register, 800 North Capitol On June 21, 1995, the Coast Guard Street, NW., 7th Floor, suite 700, published a notice of proposed Federalism Implications Washington, DC. rulemaking entitled Special Local This action has been analyzed in (f) This amendment (39–9338) becomes Regulations; Great Lakes Annual Marine accordance with the principles and effective on October 10, 1995. Events in the Federal Register (60 FR criteria contained in Executive Order Issued in Kansas City, Missouri, on August 32288). The deadline for the submission 12612, and it has been determined that 10, 1995. of comments was August 7, 1995. The the rulemaking does not have sufficient Gerald W. Pierce, Coast Guard received no letters federalism implications to warrant the Acting Manager, Small Airplane Directorate, commenting on the proposal. A public preparation of a Federalism Assessment. Aircraft Certification Service. hearing was not requested and one was Environment not held. The Commander Ninth Coast [FR Doc. 95–20276 Filed 8–25–95; 8:45 am] The Coast Guard is simply revising its Guard District has decided to publish BILLING CODE 4910±13±M list of annual marine events. The listing the final rule as proposed. itself will not affect the environment. Background and Purpose Upon receipt of applications, the Coast Coast Guard This rulemaking updates an existing Guard will conduct an environmental analysis for each event in accordance 33 CFR Part 100 list of anticipated annual events. Each year various public and private with section 2.B.2.c of Coast Guard organizations sponsor marine events on Commandant Instruction M16475.1B, [CGD 09±95±005] the navigable waters of the United and the Coast Guard Notice of final States within the Ninth Coast Guard agency procedures and policy for Special Local Regulations; Great categorical exclusions found at 59 FR Lakes Annual Marine Events District. These events include slow moving boat parades, sailboat races, 38654 (July 29, 1994). AGENCY: Coast Guard, DOT. high speed hydroplane races, fireworks Economic Assessment and Certification displays, and other water related events. These regulations are not a significant ACTION: Final rule. The listed events are held in regulatory action under section 3(f) of approximately the same location during Executive Order 12866 and do not SUMMARY: The Coast Guard is revising the same general period of time each require an assessment of potential costs its list of annual marine events which year. Exact times and dates will be and benefits under section 6(a)(3) of that occur within the Ninth Coast Guard published in the Local Notice to order. They have been exempted from District. Publication of this list in part Mariners instead of being published in review by the Office of Management and 100 of the Code of Federal Regulations this final rule. This will streamline the Budget under that order. They are not will establish permanent special local marine event process for those regattas significant under the regulatory policies regulations for marine events within the and marine events that have very little and procedures of the Department of Ninth Coast Guard District which recur annual variation and will significantly Transportation (DOT) (44 FR 11040; on an annual basis and which have been reduce the Coast Guard’s administrative February 26, 1979). The Coast Guard determined by the District Commander burden for managing these type events expects the economic impact of these to require the issuance of special local with no reduction in services to the regulations to be so minimal that a full regulations. This action is being taken to maritime community. The nature of Regulatory Evaluation under paragraph ensure the safety of life, limb and each event is such that special local 10e of the regulatory policies and property during each event, while regulations are deemed necessary to procedures of the DOT is unnecessary. avoiding the necessity of publishing a ensure the safety of life, limb, and separate temporary regulation each year property on and adjacent to navigable Collection of Information for each event. The list reflects the waters during the events. Group These regulations will impose no approximate dates and locations of each Commanders have consulted and will collection information requirements annual marine event. continue to consult with parties under the Paperwork Reduction Act, 44 EFFECTIVE DATE: This regulation is potentially affected by any significant U.S.C. 3501, et seq. effective September 27, 1995. changes to the nature, date, time, and location proposed by an event sponsor List of Subjects in 33 CFR Part 100 FOR FURTHER INFORMATION CONTACT: for any of the events covered in this Marine safety, Navigation (water), Marine Science Technician Second rule. Reporting and recordkeeping Class Jeffrey M. Yunker, Ninth Coast Table 1 gives the approximate dates, requirements, Waterways. Guard District, Aids to Navigation and times, and locations for the annual Waterways Management Branch, 1240 events listed. Each year, one or more Final Regulations East Ninth Street, Cleveland, Ohio, Local Notice to Mariners will be In consideration of the foregoing, the 44199–2060, (216) 522–3990. published giving the exact dates, times, Coast Guard is amending Part 100 of Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44425 Title 33, Code of Federal Regulations, as Latitude Longitude Date: 1st or 2nd weekend of July follows: 42°54.4′ N 078°54.1′ W, thence Location: That portion of Lake to Ontario, Port Bay Harbor, NY PART 100Ð[AMENDED] 42°54.4′ N 078°54.4′ W, thence within a 500 foot radius along the Inter- surrounding a barge anchored in 1. The authority citation for Part 100 national Border to approximate position 43°17′46′′ N. continues to read as follows: 42°52.9′ N 078°54.9′ W, thence ° ′ ′′ to 076 50 02 W. (NAD 83). Authority: 33 U.S.C. 1233; 49 CFR 1.46 and 42°52.5′ N 078°54.3′ W, thence Thunder Island Offshore Challenge 33 CFR 100.35. to Sponsor: Thunder on the Water Inc. ° ′ ° ′ 2. Section 100.901 is amended by 42 52.7 N 078 53.9 W, thence Date: 3rd or 4th weekend of June revising Table 1 to read as follows: to Location: That portion of Lake 42°52.8′ N 078°53.8′ W, thence Ontario, Oswego Harbor from the § 100.901 Great Lakes Annual Marine to West Pier Head Light (LLNR 2080) ° ′ ° ′ Events. 42 53.1 N 078 53.6 W, thence north to: to * * * * * 42°53.2′ N 078°53.6′ W, thence Latitude Longitude to 43°29′02′′ N 076°32′04′′ W, Table 1 42°53.3′ N 078°53.7′ W, thence thence to ° ′ ′′ ° ′ ′′ Group Buffalo, NY along the 43 26 18 N 076 39 30 W, breakwall to thence to Fireworks by Grucci 42°54.4′ N 078°54.1′ W. 43°24′55′′ N 076°37′45′′ W, Sponsor: New York Power Authority (NAD 83). thence along the Date: Last Weekend of July shoreline to the Geneva Offshore Grand Prix Location: Lake Ontario, Wright’s West Pier Head Sponsor: Great Lakes Offshore Landing/Oswego Harbor, NY within Light (LLNR 2080). Powerboat Racing Association an 800-foot radius of the fireworks (NAD 83). Date: 3rd or 4th weekend of May We Love Erie Days Fireworks launching platform located in Location: That portion of Lake Erie ° ′ ′′ Sponsor: We Love Erie Days Festival, approximate position 43 28 10 N from: 076°31′04′′ W. (NAD 83). Inc. Latitude Longitude Flagship International Kilo Speed Date: 3rd weekend of August 41°51.5′ N 080°58.2′ W, thence Location: That portion of Lake Erie, Challenge to Sponsor: Presque Isle Powerboat ° ′ ° ′ Erie Harbor, within a 900 foot 41 52.4 N 080 53.4 W, thence radius, surrounding the Erie Sand Racing Association to and Gravel Pier, located in position Date: 3rd or 4th weekend of June 41°53′ N 080°53.4′ W, thence 42°08′16′′ N 080°05′40′′ W. (NAD Location: That portion of Lake Erie, to ° ′ ° ′ 83). Presque Isle Bay, south of a line 41 52.2 N 080 58.2 W, thence ° ′ ′′ to drawn from 42 08 54 N, ° ′ ° ′ Group Detroit, MI ° ′ ′′ ° ′ ° ′ 41 51.5 N 080 58.2 W. 080 05 42 W; to 42 07 N 080 21 (NAD 83). Bay City Fireworks Display W will be a regulated area. That Sponsor: Bay City Fraternal Order of portion of Lake Erie, Presque Isle Sodus Bay 4th of July Fireworks Police, Lodge 103 Sponsor: Sodus Bay Historical Society Bay, north of a line drawn from Date: 4th of July holiday Date: 4th of July holiday 42°08′54′′ N 080°05′42′′ W; to Location: Saginaw River, from the Location: Lake Ontario, within a 500 42°07′ N 080°21′ W (NAD 83) will Veterans Memorial Bridge to foot radius around a barge anchored be a ‘‘caution area’’. All vessels approximately 1000 yards south to in approximate position 43°15.73′ N transiting the caution area will be the River Walk Pier, near Bay City, 076°58.23′ W (NAD 83), in Sodus operated at bare steerageway, MI. Bay. keeping the vessel’s wake at a Detroit APBA Gold Cup Race minimum, and will exercise a high Tallship Erie Sponsor: Spirit of Detroit Association degree of caution in the area. The Sponsor: Erie Maritime Programs, Inc. Date: 1st or 2nd weekend of June bay entrance will not be affected. Date: 1st or 2nd weekend of July Location: Detroit River, between Belle Location: That portion of Lake Erie, Flagship International Offshore Isle and the U.S. shoreline, near Presque Isle Bay Entrance Channel Challenge Detroit, MI. Bound on the west by and Presque Isle Bay from: Sponsor: Preque Isle Powerboat the Belle Isle Bridge and on the east Racing Association Latitude Longitude by a north-south line drawn 42°10′ N 080°03′ W, thence to through the Waterworks Intake Crib Date: 3rd or 4th weekend of June ° ′ ° ′ 42 08.1 N 080 07 W, thence to Light (LLNR 1022). Location: That portion of Lake Erie, 42°07.9′ N 080°06.8′ W, thence Presque Isle Bay, Entrance Channel, east along the Buick Watersports Weekend and the enclosed area from Erie shoreline and Sponsor: Adore Ltd. and APBA Harbor Pier Head Light (LLNR structures to: Date: 3rd or 4th weekend of July 3430) northeast to 42°12′48′′ N 42°09.2′ N 080°02.6′ W, thence Location: That portion of the Saginaw 079°57′24′′ W (NAD 83), thence to River from the Liberty Bridge on the ° ′ ° ′ south to shore just east of Shades 42 10 N 080 03 W. north to the Veterans Memorial Beach. (NAD 83). Bridge on the south, near Bay City, MI. Friendship Festival Airshow Thomas Graves Memorial Fireworks Cleveland Charity Classic Sponsor: Friendship Festival Display Sponsor: Port Bay Improvement Sponsor: Lake Erie Offshore Racing, Date: 4th of July holiday Association Ltd. Location: That portion of the Niagara Date: 3rd or 4th weekend of July River and Buffalo Harbor from: 44426 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations Location: That portion of Lake Erie, 41°32.5′ N 081°38.3′ W, (Dis- Latitude Longitude Cleveland Harbor from the posal Light B, 42°58.8′ N 082°26′ W, to Cleveland Waterworks Intake Crib LLNR 4045), 42°58.4′ N 082°24.8′ W, thence thence to, northward along Light (LLNR 4030) to: ° ′ ° ′ 41 33 N 081 45 W, (Cleve- the International Latitude Longitude land Waterworks Boundary to 41°30.7′ N 081°43.1′ W, (West Intake Crib Light 43°02.8′ N 082°23.8′ W, to Pierhead Light, LLNR 4030) (NAD 43°02.8′ N 082°26.8′ W, thence LLNR 4160), 83). southward along thence along the Flatsfest the U.S. shoreline breakwater to, to Sponsor: Flats Riverfest Corporation 41°30.4′ N 081°42.9′ W, (West 42°58.9′ N 082°26′ W, thence to Breakwater Light, Date: 3rd or 4th weekend of July 42°58.8′ N 082′26′ W. LLNR 4175), Location: Cuyahoga River, Conrail (NAD 83). Railroad Bridge at Mile 0.8 above thence to, Thunder on the River Hydroplane Race 41°30.2′ N 081°42.8′ W, (West the mouth of the river to the Eagle Sponsor: Toledo Prop Spinners Pier Light, LLNR Avenue Bridge, near Cleveland, OH. Date: 3rd or 4th weekend of August 4185), thence International Bay City River Roar Location: Maumee River, between the along the shoreline Sponsor: Bay City River Roar, Inc. Martin Luther King and Anthony and structures to, ° ′ ° ′ Date: 3rd or 4th weekend of June Wayne bridges, near Toledo, OH 41 32.5 N 081 38.3 W, (Dis- Location: That portion of the Saginaw posal Light B, Toledo 4th of July Fireworks LLNR 4045), River from the Liberty Bridge on the Sponsor: City of Toledo thence to, north to the Veterans Memorial Date: 4th of July holiday 41°33′ N 081°45′ W, (Cleve- Bridge on the south, near Bay City, Location: Maumee River, between the land Waterworks MI Martin Luther King and Anthony Intake Crib Light International Freedom Festival Wayne bridges, near Toledo, OH LLNR 4030). (NAD Fireworks Toledo Labor Day Fireworks 83). Sponsor: Reams Broadcasting Sponsor: Detroit Renaissance Corporation Foundation Cleveland National Air Show Date: Labor Day Sponsor: Cleveland National Air Date: 3rd or 4th week of June Location: Maumee River, between the Location: The Detroit River between Martin Luther King and Anthony Show ° ′ 083 03 W (Cobo Hall) and Wayne bridges, near Toledo, OH Date: Labor Day Weekend 083°01′27′′ W (NAD 83) (Huron Location: That portion of Lake Erie Cement). Group Sault Ste. Marie, MI and Cleveland Harbor (near Burke International Freedom Festival Tug Bridgefest Regatta Lakefront Airport) from shore Across the River Sponsor: Bridgefest Committee ° ′ ′′ ° ′ ′′ position 41 31 52 N 081 39 17.5 Sponsor: Detroit Renaissance Date: 2nd weekend of June W, northwest to 41°32′19′′ N Foundation Location: Keweenaw Waterway, from ° ′ ′′ 081 39 42.3 W, then southwest to Date: 3rd or 4th week of June the Houghton Hancock Lift Bridge the East Pierhead Light (LLNR Location: That portion of the Detroit to 100 yards west of the bridge, near 4075), thence southeast on a bearing River bounded on the south by the Houghton, MI of 145 degrees true to shore. (NAD International Boundary, on the west Duluth Fourth Fest Fireworks Sponsor: Office of the Mayor, Duluth, 83). by 083°03′ W, on the east by 083°02′ MN W (NAD 83) and on the north by the Cleveland Offshore Grand Prix Date: 4th of July Holiday U.S. shoreline. Sponsor: Great Lakes Offshore Location: That portion of the Duluth Powerboat Racing Association Port Clinton Offshore Grand Prix Harbor Basin Northern Section Sponsor: Great Lakes Offshore bounded on the south by a line Date: 1st or 2nd weekend of August Powerboat Racing Association drawn on a bearing of 087° true Location: That portion of Lake Erie, Date: 1st or 2nd weekend of July from the Cargill Pier through Cleveland Harbor from the Location: That portion of western Duluth Basin Lighted Buoy #5 Cleveland Waterworks Intake Crib Lake Erie: (LLNR 15905) to the opposite shore Light (LLNR 4030) to: Latitude Longitude on the north by the Duluth Aerial ° ′ ° ′ Latitude Longitude 41 31.2 N 082 56.1 W, thence Bridge. That portion of Duluth along the shoreline Harbor Basin Northern Section 41°30.7′ N 081°43.1′ W, (West and structures to Pierhead Light, within 600 yards of position 41°33.3′ N 082°51.3′ W, thence ° ′ ′′ ° ′ ′′ LLNR 4160), 46 46 47 N 092 06 10 W. (NAD to thence along the 83). 41°33.3′ N 082°52.8′ W, thence breakwater to, July 4th Fireworks ° ′ ° ′ to 41 30.4 N 081 42.9 W, (West 41°31.2′ N 082°56.1′ W. Sponsor: City of Sault Ste Marie, MI Breakwater Light, (NAD 83). Date: 4th of July holiday LLNR 4175), Location: That portion of the St. thence to, Port Huron to Mackinac Island Race Marys River, Sault Ste. Marie, MI 41°30.2′ N 081°42.8′ W, (West Sponsor: Bayview Yacht Club within a 1000 foot radius of Brady Pier Light, LLNR Date: 2nd or 3rd weekend of July Park, located on the south shore of 4185), thence the river. These waters are enclosed along the shoreline Location: That portion of the Black and structures to, River, St. Clair river, and Lower by the Locks to the west and to the Lake Huron from: east from a line drawn from the pier light of the east center pier to the Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44427 U.S. Coast Guard Base to the Bascule Bridge (mile 2.89). Sponsor: Chicago Park District southeast. Tulip Time Fireworks and Water Ski Date: 3rd or 4th weekend of August National Cherry Festival Blue Angels Show Location: That portion of Lake Air Demonstration Sponsor: Holland Tulip Time Festival Michigan from 41°55′54′′ N at the Sponsor: National Cherry Festival Inc. Inc. shoreline, then east to a point at Date: 1st week of July Date: 1st weekend of May 41°55′54′′ N 87°37′12′′ W, thence Location: That portion of the Western Location: That portion of Lake southeast to a point at 41°54′ N arm of the Grand Traverse Bay, Macatawa, Holland Harbor, east of 87°36′ W, (NAD 83) then a line Traverse City, MI, enclosed by a north-south line, from shore to ° ′ drawn southwestward to the straight lines connecting the shore, at position 086 08 W. (NAD northeast corner of the Central following geographic coordinates: 83). District Filtration Plant Breakwall, Latitude Longitude Tulip Time Water Ski Show thence due west to shore. ° ′ ° ′ Sponsor: Holland Tulip Time Festival 44 46.8 N 085 38.3 W, to Festa Italiana 44°46.5′ N 085°35.5′ W, to Inc. 44°46′ N 085°35.8′ W to Date: 2nd weekend of May Sponsor: The Italian Community 44°46.5′ N 085°38.5′ W, thence Location: That portion of Lake Center to Macatawa, Holland Harbor, east of Date: 3rd weekend of July ° ′ ° ′ 44 46.8 N 085 38.3 W. a north-south line, from shore to Location: The uncharted lagoon or (NAD 83). ° ′ shore, at position 086 08 W. (NAD basin in Milwaukee Harbor north of Venetian Festival Yacht Parade 83). the mouth of the Milwaukee River Sponsor: Charlevoix Chamber of Waves of Thunder Offshore Race and directly adjacent to the Commerce Sponsor: Michigan Offshore Summerfest grounds, enclosed by Date: 3rd or 4th weekend of July Powerboat Racing Association shore on the west and a ‘‘comma’’ Date: 3rd weekend of June Location: That portion of the upper shaped man-made rock wall on the Location: That portion of Lake and lower section of the Pine River, east. The construction of the lagoon Michigan, from the South Pierhead to include Round Lake, from: is such that a small ‘‘basin’’ has Light (LLNR 18520) south along the Latitude Longitude been created with one entrance shoreline to: 45°19.3′ N 085°15.9′ W, (North located at the northwest end, thus, Pierhead Light, there is no ‘‘thru traffic’’. LLNR 17920) thence to, Milwaukee Summerfest Latitude Longitude 45°18.9′ N 085°14.7′ W, (Pine Sponsor: Milwaukee World Festival, ° ′ ° ′ River Light 3, 42 19 N 086 19.3 W, thence Inc. LLNR 17945) to, 42°19.5′ N 086°19.8′ W, thence Date: Last week of June through 2nd thence to, weekend of July 45°18.8′ N 085°14.7′ W, (Pine to, ° ′ ° ′ River Channel 42 23.9 N 086 18.7 W, thence Location: The uncharted lagoon or Lighted Buoy 2, to, basin in Milwaukee Harbor north of ° ′ ° ′ LLNR 17950) 42 23.9 N 086 17 W. the mouth of the Milwaukee River thence to, (NAD 83). and directly adjacent to the 45°19′ N 085°15.9′ W, (South West Michigan Offshore Powerboat Summerfest grounds, enclosed by Pierhead Light, Challenge shore on the west and a ‘‘comma’’ LLNR 17925) Sponsor: Michigan Offshore shaped man-made rock wall on the thence to, ° ′ ° ′ Powerboat Racing Association east. The construction of the lagoon 45 19.3 N 085 15.9 W, (NAD Date: 1st or 2nd weekend of 02). is such that a small ‘‘basin’’ has September been created with one entrance Group Grand Haven, MI Location: That portion of Lake located at the northwest end, thus, Michigan from: Coast Guard Festival Fireworks there is no ‘‘thru traffic’’. Four Sponsor: Grand Haven Coast Guard Latitude Longitude special buoys will be set by the Festival, Inc. 43°03.4′ N 086°15.3′ W (Grand sponsor to delineate the entrance to Date: 1st weekend of August Haven South the lagoon. Location: That portion of the Grand Pierhead Entrance Light, LLNR Racine on the Lakefront Airshow River, Grand Haven, MI, from a 18965), thence Sponsor: Rotary Club of Racine north-south line drawn from the along the break- Date: 2nd weekend of June North Pierhead Light Number 1 water and shore- Location: That portion of Racine (LLNR 18045) on the north to the line to South Pierhead Entrance Light 42°54.8′ N 086°13′ W, thence to, Harbor, Lake Michigan bounded by (LLNR 18035) on the south, thence 42°54.8′ N 086°15.7′ W, thence the following corner points: down river to the US 31 Bascule to, Southeast Corner—42°41.95′ N 87°45.5′ W ° ′ ° ′ ° ′ ° ′ Bridge (mile 2.89). 43 03.4 N 086 15.7 W, thence Southwest Corner—42 41.95 N 87 47.2 W to Northwest Corner—42°45.6′ N 87°46.2′ W Grand Haven Area Jaycees Annual 4th 43°03.4′ N 086°15.3′ W (Grand Northeast Corner—42°45.6′ N 87°45.5′ W of July Fireworks Display Haven South (NAD 83). Sponsor: Grand Haven Area Jaycees Pierhead Entrance Dated: August 11, 1995. Date: 1st week of July Light, LLNR G.F. Woolever, Location: That portion of the Grand 18965). (NAD 83). Rear Admiral, U.S. Coast Guard, Commander, River, Grand Haven, MI from the Group Milwaukee, WI Ninth Coast Guard District. pier heads (mile 0.0) to the US 31 Chicago Air and Water Show [FR Doc. 95–21296 Filed 8–25–95; 8:45 am] BILLING CODE 4910±14±M 44428 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 33 CFR Parts 100 and 165 Commander Stephen J. Darmody, Because mariners are notified by Executive Secretary, Marine Safety Coast Guard officials on-scene prior to [CGD 95±071] Council at (202) 267–1477 between the enforcement action, Federal Register Safety Zones, Security Zones, and hours of 8 a.m. and 3 p.m., Monday notice is not required to place the Special Local Regulations through Friday. special local regulation, security zone, SUPPLEMENTARY INFORMATION: District or safety zone in effect. However, the AGENCY: Coast Guard, DOT. Commanders and Captains of the Port Coast Guard, by law, must publish in ACTION: Notice of temporary rules (COTP) must be immediately responsive the Federal Register notice of issued. to the safety needs of the waters within substantive rules adopted. To discharge their jurisdiction; therefore, District this legal obligation without imposing SUMMARY: This document provides Commanders and COTPs have been undue expense on the public, the Coast required notice of substantive rules delegated the authority to issue certain adopted by the Coast Guard and Guard periodically publishes a list of local regulations. Safety zones may be these temporary special local temporarily effective between April 1, established for safety or environmental 1995 and June 31, 1995, which were not regulations, security zones, and safety purposes. A safety zone may be zones. Permanent regulations are not published in the Federal Register. This stationary and described by fixed limits quarterly notice lists temporary local included in this list because they are or it may be described as a zone around published in their entirety in the regulations, security zones, and safety a vessel in motion. Security zones limit zones, which were of limited duration Federal Register. Temporary regulations access to vessels, ports, or waterfront may also be published in their entirety and for which timely publication in the facilities to prevent injury or damage. Federal Register was not possible. if sufficient time is available to do so Special local regulations are issued to before they are placed in effect or DATES: This notice lists temporary Coast assure the safety of participants and Guard regulations that became effective terminated. These safety zones, special spectators at regattas and other marine local regulations and security zones and were terminated between April 1, events. Timely publication of these 1995 and June 31, 1995, as well as have been exempted from review under regulations in the Federal Register is E.O. 12866 because of their emergency several regulations which were not often precluded when a regulation included in the previous quarterly list. nature, or limited scope and temporary responds to an emergency, or when an effectiveness. ADDRESSES: The complete text of these event occurs without sufficient advance temporary regulations may be examined notice. However, the affected public is The following regulations were placed at, and is available on request, from informed of these regulations through in effect temporarily during the period Executive Secretary, Marine Safety Local Notices to Mariners, press April 1, 1995 and June 31, 1995, unless Council (G–LRA), U.S. Coast Guard releases, and other means. Moreover, otherwise indicated. Headquarters, 2100 Second Street SW., actual notification is provided by Coast Stephen J. Darmody, Washington, DC 20593–0001. Guard patrol vessels enforcing the Acting Commander, U.S. Coast Guard, FOR FURTHER INFORMATION CONTACT: restrictions imposed by the regulation. Executive Secretary, Marine Safety Council. QUARTERLY REPORT Effective Docket No. Location Type date Charleston 95±017 ...... Cooper River, Charleston, SC ...... Safety Zone .. 5/6/95 Charleston 95±025 ...... Ashley River, Charleston, SC ...... Safety Zone .. 6/11/95 Hampton Roads 95±020 ...... Chesapeake Bay, Hampton Roads, VA ...... Safety Zone .. 4/20/95 Houston 95±001 ...... Houston Ship Channel, TX ...... Safety Zone .. 1/30/95 Houston 95±001A ...... San Jacinto River, TX ...... Safety Zone .. 1/31/95 Jacksonville 95±011 ...... Patrick AFB, FL ...... Safety Zone .. 4/1/95 Jacksonville 95±013 ...... St. Johns River, Jacksonville, FL ...... Safety Zone .. 4/9/95 Jacksonville 95±026 ...... Sisters Creek, Jacksonville, FL ...... Safety Zone .. 5/30/95 LA/Long Beach 95±001 ...... San Pedro Bay, CA ...... Safety Zone .. 2/27/95 LA/Long Beach 95±003 ...... Port of Long Beach, CA ...... Safety Zone .. 5/30/95 Miami 95±009 ...... Fort Lauderdale, FL ...... Safety Zone .. 5/5/95 Miami 95±021 ...... U.S. Coast Guard Base Miami Beach, FL ...... Safety Zone .. 5/13/95 Mobile 95±001 ...... Santa Rosa Sound, Ft Walton Beach, FL ...... Safety Zone .. 6/2/95 Mobile 95±002 ...... East Pascagoula River, Pascagoula, MS ...... Safety Zone .. 6/15/95 Port Arthur 95±002 ...... Port Arthur, TX ...... Safety Zone .. 2/20/95 Port Arthur 95±003 ...... Port Arthur, TX ...... Safety Zone .. 2/28/95 Port Arthur 95±004 ...... Port Arthur, TX ...... Safety Zone .. 3/3/95 Port Arthur 95±005 ...... Gibbstown, LA ...... Safety Zone .. 4/3/95 San Francisco Bay 95±002 ...... Monterey Bay, CA ...... Safety Zone .. 4/20/95 San Francisco Bay 95±004 ...... San Francisco Bay, CA ...... Safety Zone .. 4/27/95 San Juan 95±022 ...... St. Croix, VI ...... Safety Zone .. 5/24/95 St. Louis 95±004 ...... Kaskaskia River, M. 0.0 to M. 22.0 ...... Safety Zone .. 5/19/95 01±95±053 ...... East River, New York, NY ...... Security Zone 4/30/95 01±95±054 ...... Hackensack River, NJ ...... Safety Zone .. 5/11/95 01±95±059 ...... Hudson River, NY ...... Safety Zone .. 5/29/95 01±95±060 ...... Hudson River, NY ...... Safety Zone .. 6/17/95 01±95±061 ...... Metedeconk River, Brick, NJ ...... Safety Zone .. 6/3/95 01±95±070 ...... Upper New York Bay, NY and NJ ...... Safety Zone .. 6/1/95 01±95±071 ...... Long Island Sound, NY ...... Safety Zone .. 6/17/95 01±95±080 ...... Upper New York Bay, NY and NJ ...... Safety Zone .. 6/7/95 01±95±081 ...... Hempstead Harbor, NY ...... Safety Zone .. 6/17/95 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44429 QUARTERLY REPORTÐContinued Effective Docket No. Location Type date 01±95±085 ...... Charles River, Boston, MA ...... Security Zone 6/11/95 01±95±086 ...... Boston Inner Harbor, Boston, MA ...... Safety Zone .. 6/30/95 01±95±088 ...... Bridgeport, CT ...... Safety Zone .. 6/30/95 02±95±037 ...... Ohio River, M. 309 to M. 311 ...... Special Local 6/3/95 02±95±038 ...... Ohio River, M. 604 to M. 605 ...... Special Local 6/9/95 05±95±027 ...... Norfolk & Portsmouth, VA ...... Special Local 6/2/95 07±95±006 ...... Key West, FL ...... Special Local 5/20/95 07±95±007 ...... Miami Beach, FL ...... Special Local 6/11/95 07±95±014 ...... Fort Pierce, FL ...... Special Local 4/29/95 07±95±015 ...... Lake Worth, ICW, Mile 1022 ...... Special Local 5/3/95 07±95±024 ...... San Juan, PR ...... Special Local 5/28/95 07±95±029 ...... Augusta, GA ...... Special Local 6/9/95 07±95±030 ...... Georgetown, SC ...... Special Local 6/25/95 07±95±031 ...... St James & Cowpet Bays, St. Thomas, VI ...... Special Local 6/16/95 07±95±034 ...... Sarasota, FL ...... Special Local 6/30/95 08±95±009 ...... South Padre Island, TX ...... Special Local 5/12/95 09±95±011 ...... Detroit River, Fleming Channel, MI ...... Special Local 6/9/95 11±95±006 ...... San Diego and Mission Bays, CA ...... Special Local 4/21/95 13±95±026 ...... Coos Bay, North Bend, OR ...... Safety Zone .. 6/1/95 13±95±027 ...... Columbia River, Richland, WA ...... Safety Zone .. 6/30/95 [FR Doc. 95–21293 Filed 8–25–95; 8:45 am] Safety Office, Honolulu, Hawaii, (808) destruction, loss, or injury from BILLING CODE 4910±14±M 522–8260. accidents or other causes of a similar nature. SUPPLEMENTARY INFORMATION: 33 CFR Part 165 Background and Purpose Regulatory Evaluation This rule is not a significant The situation requiring this regulation [COTP Honolulu 95±002] regulatory action under section 3(f) of is a joint naval exercise involving U.S. Executive Order 12866 and does not Naval and Russian personnel and RIN 2115±AA97 require an assessment of potential costs vessels conducting amphibious and benefits under section 6(a)(3) of that Safety Zone; Waimanalo Bay, Oahu, HI operations off Bellows AFS, Hawaii. order. It has not be reviewed by the This exercise will be widely advertised Office of Management and Budget under AGENCY: Coast Guard, DOT. through the local media which may that order. It is not significant under the ACTION: Temporary rule. generate public interest in observing regulatory policies and procedures of military maneuvers, especially by the SUMMARY: the Department of Transportation (DOT) The Coast Guard is Russians. There is some risk of an (44 FR 11040; February 26, 1979). The establishing a temporary safety zone on accident whenever vessels are in close Coast Guard expects the economic Waimanalo Bay off Bellows Air Force proximity to one another. Having impact of this proposal to be so minimal Station, Oahu, Hawaii. The zone is spectator or commercial vessels in the that a full Regulatory Evaluation under needed to ensure the safety of the public middle of an amphibious operation paragraph 10e of the regulatory policies as well as U.S. Naval and Russian increases the risk of destruction, loss, or and procedures of DOT is unnecessary. vessels and personnel participating in injury to vessels, personnel Exercise Cooperation from the Sea 95. participating in this exercise, spectators, Collection of Information The increased vessel usage of and to the environment. These risks can Waimanalo Bay caused by this military This rule contains no information be minimized if not eliminated by collection requirements under the exercise increases the potential risks of keeping military and non-military collision, fire, pollution, harm to the Paperwork Reduction Act (44 U.S.C. vessels separate from one another 3501 et seq.). environment, etc., if participating during the amphibious exercise. The military vessels are not separated from area of the safety zone encompasses the Federalism private recreational or commercial navigable waters bounded by these The Coast Guard has analyzed this vessels. Entry of vessels or persons into coordinates: 21°22.8′ N, 157°40.4′ W; this zone is prohibited unless rule under the principles and criteria 21°22.8′ N, 157°42.3′ W; 21°20.8′ N, contained in Executive Order 12612 and specifically authorized by the Captain of 157°42.2′ W; 21°20.8′ N, 157°40.4′ W; the Port. has determined that this rule does not (Datum: WGS 84). have sufficient federalism implications DATES: This regulation becomes In accordance with 5 U.S.C. 553, a to warrant the preparation of a effective at 8 a.m. HST on August 29, notice of proposed rulemaking was not Federalism Assessment. 1995 and terminates at 4 p.m. HST on published for this regulation and good August 29, 1995 and again becomes cause exists for making it effective in Environment effective at 8 a.m. HST on August 30, less than 30 days after Federal Register The Coast Guard considered the 1995 and terminates at 4 p.m. HST on publication. Publication of a notice of environmental impact of this rule and August 30, 1995. proposed rulemaking and delay of concluded that, under paragraph 2.B.2 FOR FURTHER INFORMATION CONTACT: effective date would be contrary to the of Commandant Instruction M16475.1B, Lieutenant Junior Grade Michael Sakaio, public interest because immediate this rule is categorically excluded from Port Safety and Security Branch, Marine action is necessary to prevent further environmental documentation. 44430 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations List of Subjects in 33 CFR Part 165 prohibited unless specifically Federalism authorized by the Captain of the Port. Harbors, Marine safety, Navigation The Coast Guard has analyzed this (water), Reporting and recordkeeping DATES: This regulation becomes rule under the principles and criteria requirements, Security measures, effective at 1 p.m. on September 1, 1995, contained in Executive Order 12612 and Waterways. and terminates at 4 p.m. on September has determined that this rule does not For the reasons set out in the 1, 1995, and again becomes effective at have sufficient federalism implications 1 p.m. on September 3, 1995, and preamble, the Coast Guard amends 33 to warrant the preparation of a terminates at 4 p.m. on September 3, CFR Part 165 as follows: Federalism Assessment. 1. The authority citation for Part 165 1995. continues to read as follows: FOR FURTHER INFORMATION CONTACT: Environment Authority: 33 U.S.C. 1231; 50 U.S.C. 191; Lieutenant Junior Grade Michael Sakaio, The Coast Guard considered the 33 CFR 1.05–1(g), 6.04–1, 6.04–6, and 160.5; Port Safety and Security Branch, Marine 49 CFR 1.46. environmental impact of this rule and Safety Office, Honolulu, Hawaii, (808) concluded that, under paragraph 2.B.2 2. A new temporary 165.T14–002 is 522–8260. of Commandant Instruction M16475.1B, added to read as follows: SUPPLEMENTARY INFORMATION: this rule is categorically excluded from § 165.T14±002 Safety Zone; Waimanalo further environmental documentation. Bay, Oahu, Hawaii. Background and Purpose List of Subjects in 33 CFR Part 165 (a) Location. The following area is a The situation requiring this regulation Safety Zone: 21°22.8′ N, 157°40.4′ W; is the U.S. Navy Blue Angels Aerial Harbors, Marine safety, Navigation ° ′ ° ′ ° ′ 21 22.8 N, 157 42.3 W; 21 20.8 N, Demonstration. Aircraft will perform (water), Reporting and recordkeeping ° ′ ° ′ ° ′ 157 42.2 W; 21 20.8 N, 157 40.4 W; low level, high speed aerobatics to requirements, Security measures, (Datum: WGS 84). demonstrate the proficiency of the Waterways. (b) Effective dates. This section aircraft and the USN pilots. This becomes effective at 8 a.m. HST on regulation is intended to minimize the PART 165Ð[AMENDED] August 29, 1995 and terminates at 4 risk to vessels, mariners, and observers p.m. HST on August 29, 1995, and again from these aircraft. This regulation is For the reasons set out in the becomes effective at 8 a.m. HST on issued pursuant to 33 U.S.C. 1225 and preamble, the Coast Guard amends 33 August 30, 1995 and terminates at 4 1231 as set out in the authority citation CFR Part 165 as follows: p.m. HST on August 30, 1995. for all of Part 165. 1. The authority citation for Part 165 (c) Regulations. In accordance with In accordance with 5 U.S.C. 553, a continues to read as follows: the general regulations in § 165.23 of notice of proposed rulemaking was not this part, entry into this zone is published for this regulation and good Authority: 33 U.S.C. 1231; 50 U.S.C. 191; prohibited except as authorized by the cause exists for making it effective in 33 CFR 1.05–1(g), 6.04–1, 6.04–6, and 160.5; Captain of the Port. less than 30 days after Federal Register 49 CFR 1.46. Dated: August 11, 1995. publication. Publication of a notice of 2. A new temporary § 165.T14–003 is Samuel E. Burton, proposed rulemaking and delay of added to read as follows: Captain, U.S. Coast Guard, Captain of the effective date would be contrary to the Port. public interest since immediate action is § 165.T14±003 Safety Zone; Barbers Point [FR Doc. 95–21295 Filed 8–25–95; 8:45 am] needed to protect vessels, mariners, and NAS, Oahu, Hawaii. BILLING CODE 4910±14±M observers from possible hazards in the (a) Location. The following area is a vicinity of the U.S. Navy Blue Angels Safety Zone: 21°18′ N, 158°4.15′ W; demonstration area. 21°17′ N, 158°4.15′ W; 21°17′ N, 33 CFR Part 165 Regulatory Evaluation 158°3.06′ W; 21°18.06′ N, 158°3.06′ W; [COTP Honolulu 95±003] (Datum: WGS 84). This rule is not a significant RIN 2115±AA97 regulatory action under section 3(f) of (b) Effective dates. This section Executive Order 12866 and does not becomes effective at 1 p.m. on Safety Zone; Barbers Point NAS, Oahu, require an assessment of potential costs September 1, 1995 and terminates at 4 HI and benefits under section 6(a)(3) of that p.m. on September 1, 1995 and again AGENCY: Coast Guard, DOT. order. It has not been reviewed by the becomes effective at 1 p.m. on Office of Management and Budget under September 3, 1995 and terminates at 4 ACTION: Temporary rule. that order. It is not significant under the p.m. on September 3, 1995. SUMMARY: The Coast Guard is regulatory policies and procedures of (c) Regulations. In accordance with establishing a temporary safety zone the Department of Transportation (DOT) the general regulations in § 165.23 of offshore of Barbers Point Naval Air (44 FR 11040; February 26, 1979). The this part, entry into this zone is Coast Guard expects the economic Station, Oahu, Hawaii. The zone is prohibited except as authorized by the impact of this proposal to be so minimal rectangular in shape and is enclosed Captain of the Port. within these coordinates: 21°18′ N, that a full Regulatory Evaluation under 158°4.15′ W; 21°17′ N, 158°4.15′ W; paragraph 10e of the regulatory policies Dated: August 11, 1995. 21°17′ N, 158°3.06′ W; 21°18.06′ N, and procedures of DOT is unnecessary. Samuel E. Burton, ° ′ 158 3.06 W; (Datum: WGS 84). This Collection of Information Captain, U.S. Coast Guard, Captain of the zone is needed to protect vessels, Port. mariners, and observers from possible This rule contains no information [FR Doc. 95–21294 Filed 8–25–95; 8:45 am] safety hazards associated with the U.S. collection requirements under the BILLING CODE 4910±14±M Navy Blue Angels Air Show. Entry of Paperwork Reduction Act (44 U.S.C. vessels or persons into this zone is 3501 et seq.). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44431 ENVIRONMENTAL PROTECTION hours at the Air, Radiation, and Toxics these revisions remain current District AGENCY Division, U.S. Environmental Protection law. Agency, Region III, 841 Chestnut Summary of SIP Revision 40 CFR Part 52 Building, Philadelphia, Pennsylvania [DC24±1±6793a; FRL±5271±1] 19107; the Air and Radiation Docket The regulatory content of the current and Information Center, U.S. District of Columbia SIP consists of Approval and Promulgation of Air Environmental Protection Agency, 401 Sections 8–2:701 through 8–2:731 of the Quality Implementation Plans; District M Street, SW, Washington, DC 20460; District’s Health Regulations. The of ColumbiaÐRecodification of the and District of Columbia Department of District restructured its regulations as District's Air Pollution Control Consumer and Regulatory Affairs, 2100 part of the District of Columbia Air Regulations Martin Luther King Ave, S.E., Pollution Control Act of 1984 (D.C. Law Washington, DC 20020. 5–165), effective March 15, 1985. This AGENCY: Environmental Protection FOR FURTHER INFORMATION CONTACT: act created Title 20 (District of Columbia Agency (EPA). Harold A. Frankford, (215) 597–1325. Air Quality Control Regulations) of the ACTION: Direct final rule. SUPPLEMENTARY INFORMATION: On June District of Columbia Municipal SUMMARY: EPA is approving a State 21, 1985, the District of Columbia Regulations [cited as 20 DCMR], which Implementation Plan (SIP) revision submitted to EPA Region III both a replaced Title 8 (Health Regulations) submitted by the District of Columbia. revised format and numerous Section 2 of the District of Columbia Air This revision consists of a revised amendments to its air pollution control Pollution Control Act originally enacted format for the District’s air pollution regulations, and requested that these July 30, 1968 and Regulation 72–12 of control regulations. Except as otherwise changes be reviewed and processed as the District of Columbia Regulations, indicated, the changes are revisions of the District’s State originally enacted on July 7, 1972. administrative in nature, and do not Implementation Plan (SIP). The The revised 20 DCMR is organized as substantively revise the current SIP. The District’s regulations have undergone follows: intended effect of this action is to many changes, both substantive and Chapter 1—General ensure that the District of Columbia’s nonsubstantive. Many of the Chapter 2—General and Non-attainment current regulatory numbering format nonsubstantive changes were made to Area Permits the regulations to improve their clarity and the District of Columbia SIP Chapter 3 (Reserved) and simplicity. The new format of the numbering format are consistent with Chapter 4—Ambient Monitoring and each other. This action is being taken in regulations organizes the emission standards and other provisions into Emergency Procedures accordance with section 110 of the Chapter 5—Source Monitoring and Clean Air Act. eight chapters and four appendices. This rulemaking takes action on the Testing DATES: This final rule is effective non-substantive format changes to the Chapter 6—Particulates October 27, 1995 unless notice is District’s SIP submitted in June 1985. Chapter 7—Volatile Organic compounds received on or before September 27, The substantive revisions have been or 1995 that adverse or critical comments Chapter 8—Asbestos, Sulfur and will be considered in separate Nitrogen Oxides will be submitted. If the effective date rulemaking actions. is delayed, timely notice will be While the revised regulatory format Appendices published in the Federal Register. include provisions governing odor and Appendix No. 1 (Emission Limits for ADDRESSES: Comments may be mailed to certain non-criteria pollutants, EPA has Nitrogen Oxide) Marcia L. Spink, Associate Director, Air not reviewed the changes made to these Appendix No. 2 [Table of Allowable Programs, Air, Radiation, and Toxics rules since they are not part of the Particulate Emissions from Process Division, U.S. Environmental Protection District’s SIP. Sources] Agency, Region III, 841 Chestnut The District certified that public Appendix No. 3 [Allowable VOC Emissions under Section 710] Building, Philadelphia, Pennsylvania hearings pertaining to these revisions 19107. Copies of the documents relevant were held on May 9, 1984 in The following list cross-references the to this action are available for public Washington, DC as required by 40 CFR citations found in 20 DCMR with the inspection during normal business Section 51.102. As of August 28, 1995, current SIP provisions. SIP citation (regulation 8±2:XXX) 20 DCMR citation 701 Purpose of Regulation ...... 100 Purpose, Scope and Construction. 729 Construction of Regulation. 722 Inspection ...... 101 Inspection. 723 Order for Compliance ...... 102 Order for Compliance. 725 Hearings ...... 104 Hearings. 726 Penalty ...... 105 Penalties. 727 Public Disclosure of Records and Information: Confidentiality ...... 106 Confidentiality of Reports. 716 Control Devices and Practices ...... 107 Control Devices or Practices. 702 Definitions ...... 199 Definitions and Abbreviations.* 703 Abbreviations. 728 Air Pollution Monitoring ...... 400 Air Pollution Reporting Index. 719 Emergencies ...... 401 Emergency Procedures. 717 Records, Reports and Monitoring Devices ...... 500 Records and Reports. 501 Monitoring Devices. 718 Sampling, Tests and Measurements ...... 502 Sampling, Tests and Measurements.** 708 Fuel Burning Particulate Emissions ...... 600 Fuel Burning Particulate Emissions. 601 Rotary Cup Burners. 709 Incinerators ...... 602 Incinerators. 710 Process Emissions ...... 603 Particulate Process Emissions. 44432 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations SIP citation (regulation 8±2:XXX) 20 DCMR citation 803 Sulfur Process Emissions. 711 Open Burning ...... 604 Open Burning. 712 Control of Fugitive Dust ...... 605 Control of Fugitive Dust. 713 Visible Emissions ...... 606 Visible Emissions. 704 Use of Certain Fuel Oils Forbidden ...... 801 Sulfur Content of Fuel Oils. 705 Use of Certain Coal Forbidden ...... 802 Sulfur Content of Coal. 706 Nitrogen Oxide Emissions ...... 804 Nitrogen Oxide Emissions. * Codification scheme to be approved, but not all definitions. ** The regulations in Section 502 reference the Part 60 (NSPS) requirements in effect as of July 1, 1982. As part of the transition between the As another result of this EPA’s evaluation in this action is current SIP regulatory scheme and the recodification, these are several SIP limited to the regulation restructuring revised scheme, the District of Columbia provisions which have no equivalent in format and all associated administrative has submitted the following generic the 20 DCMR provisions. Similarly, 20 changes. As a result of the Clean Air Act changes found throughout 20 DCMR: DCMR contains new provisions, both Amendments of 1990, the District of substantive and administrative, not Columbia was required to revise and Current SIP wording New SIP wording found currently in the District’s SIP. submit to EPA many of the provisions These provisions are summarized 1. ``Regulation'' ...... ``Subtitle''. found in Chapters 2 and 7 of 20 DCMR. 2. ``Commissioner'' .... ``Mayor''. below: The District has also submitted various 3. ``He/Him'' ...... ``He or She/His or Section 8–2:721 (Complaints and revised definitions and terms found Her/Mayor''. Investigations) throughout 20 DCMR. The changes to 4. ``Any'' ...... ``Each'', Section 8–2:730 (Independence of Sections 2 and 7 resulting from the 5. ``Such'' ...... ``The''. Sections) recodification are revised below: 6. ``Shall'' ...... ``Should''. Section 8–2:731 (Effective Date) SIP citation (regulation 8±2:XXX) 20 DCMR citation (Chapter 2) 720a Permit to Operate ...... 200.1 Permit requirements. 720b ...... 200.2,2a,3 720c ...... 200.6±200.10, 200.12 720d ...... 200.4 720f ...... 200.5 720e General Requirement for the Issuance of Permit ...... 201 General Requirements for Permit Issu- ance. 720g Modification, Revocation and Termination of Permits ...... 202 Modification, Revocation and Termi- nation of Permits. 720e6 Permits in Nonattainment Areas ...... 204 Permits in Nonattainment Areas. 720h Permits for Fuel-Burning Equipment ...... 200.11 (Chapter 7) 707f Organic Solvents ...... 700 Organic Solvents. 707a Storage of Petroleum Products ...... 701 Storage of Petroleum Products. 702 Control of VOC Leaks from Petroleum Refinery Equipment. 707b Gasoline Loading ...... 703 Terminal Vapor RecoveryÐGasoline or VOC. 707b Trailer and Railroad Tank Car. 707c Gasoline Transfer Vapor Control ...... 704 Stage I Vapor Recovery. 707d Control of Evaporative Losses From the Filling of Vehicular Tanks ...... 705 Stage II Vapor Recovery. 707e Dry Cleaners ...... 706 Petroleum Dry Cleaners. 707 Perchlorethylene Dry Cleaning. 707j Solvent Cleaning Degreasing ...... 708 Solvent Cleaning Degreasing. 707k Asphalt Operations ...... 709 Asphalt Operations. 707g Pumps and Compressors ...... 711 Pumps and Compressors. 707h Waste Gas Disposal from Ethylene Producing Plant ...... 712 Waste Gas Disposal from Ethylene Producing Plant. 707i Waste Gas Disposal from Vapor Blow Down System ...... 713 Waste Gas Disposal from Vapor Blow Down System. On March 24, 1995 (60 FR 15483), action. It should be noted that Section provisions found in Section 203 (Good EPA disapproved the revised 710 (Engraving and Plate Printing) was Engineering Practice Stack Height) as a substantive provisions to Chapter 2, approved by EPA as a revision to the revision of the District’s SIP. In Sections 200, 201, 202, 204 and 299 of District of Columbia SIP on August 4, addition, as part of the June 21, 1985 20 DCMR as a revision to the District’s 1992 (57 FR 34251) and codified at 40 submittal, the District of Columbia also SIP. Similarly, EPA will review the CFR 52.470(c)(27) and 52.472(d). As of revised the provisions of Section 103 revised substantive provisions to the date of this action, the District has (SIP Section 8–2:724) governing Chapter 7 in a separate rulemaking not formally submitted any of the procedures for granting variances. EPA Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44433 will review these revised provisions in In addition, 20 DCMR adds Sections Chapters 2 (General Permit a separate rulemaking action. X99 of Chapters 2 and 4 through 8, Requirements) and 7 (Volatile Organic which cross-references the definitions Compounds) in order to satisfy the Definitions/Abbreviations Added in 20 and abbreviations listed in Section 199. revised requirements of the Clean Air DCMR The entire list of terms, including those Act. Many definitions in Section 199 The District’s recodification SIP not being reviewed in this action, are associated with the provisions of submittal affects many definitions of enumerated in the accompanying Chapters 2 and 7 have also been revised. terms. For the reasons stated above, EPA technical support document. Because these revisions supersede those is not reviewing in this action, any term EPA will not review Section 205 (New which were submitted in June 1985, found exclusively in Chapter 2 and Source Performance Standards) since it EPA will take action on these provisions Chapter 7 (other than Section 710). The merely cross-references 40 CFR part 60. in separate rulemaking actions. terms being reviewed as part of this Similarly, EPA will not review the B. Enforceability Issues recodification action are listed below: following 20 DCMR provisions since Affected facility, Building, structure, they govern provisions not included in With the exceptions noted below, facility, or installation, Cartridge filter, the current District of Columbia SIP: there are no enforceability issues. The Component, Containers and conveyers of Sections 502.11, 502.12—Test Methods provisions that are revised solely to solvent, Crude oil, Cylinder wipe, Emission for Odors conform with the format of 20 DCMR unit, Federally enforceable, Flexography, Section 502.14—Test methods for are clear in their wording and intent. Fugitive emission, Gas services, Gas services First, Section 502.4(d) is designed to for pipeline/valves and pressure relief valves, stationary sources of hazardous pollutants replace SIP regulation 8–2:718(a)(3)(D). Gravure, Heatset, Hydrocarbon, Ink, Inking However, the expression ‘‘fuel and/or cylinder, Innovative control technology, Section 800—Asbestos Intaglio, Leaking component, Lease custody Chapter 9—Motor Vehicular Pollutants, raw materials’’ found in the current SIP transfer, Letterpress, Letterset, Liquid service, Lead, Odors and Nuisance Pollutants provision has been inadvetently Necessary preconstruction, Net emission (all provisions) replaced with ‘‘fuel raw materials’’ in increase, Offset printing process, Offset Appendix 4—April 5, 1984 Federal Section 502.4(d). The District of lithography, Paper wipe, Perceptible, leak, Register notice announcing revisions Columbia maintains, and EPA agrees, Petroleum solvent, Plate, Printing, Printing to rules and regulations codified in 40 that this wording discrepancy operation, Printing Unit, Refinery operator, CFR Part 61 represents a typographical error, and Refinery unit, Routing, Secondary emissions, that EPA will continue to consider ‘‘fuel Substrate, Vacuum still, Valves not externally EPA Evaluation regulated, Water-based solvent, Wiping and/or raw materials’’ as the SIP- solution. In order to evaluate the approvability approved language. In addition, in 20 as a SIP revision of District of DCMR Section 401, subections 401.5 Abbreviations—CFR, EPA, GEP, Columbia’s formal submittal, the critical through 401.8 are used twice to cite ppmv. factors to be considered are (1) Whether distinctive provisions of this revised SIP Definitions/Abbreviations Revised the revised emission limitation section. Again, the District maintains, by the Recodification demonstrates attainment and and EPA agrees, that this format Air pollution, Distillate oil, Dry maintenance of the National Ambient discrepancy represents a typographical cleaning, Existing source, Fugitive dust, Air Quality Standards (NAAQS); (2) error, and thus does not impose an Incinerator, Loading facilities, Person, whether issues of enforceability arise; enforcement concern. Start-up, Stationary source, Vapor tight, and (3) whether all of the applicable Other subsections of Sections 502 and Wipe cleaning. requirements (both procedural and 600 reference the test methods and substantive) of 40 CFR Part 51 are met. requirements of 40 CFR Part 60 (New SIP Definitions/Abbreviations Deleted in Source Performance Standards) as it A. Impacts on Attainment/Maintenance the Recodification existed on July 1, 1982. This citation in on the NAAQS Act, Air quality standard of the Section 502 was meant to update the District of Columbia, Dry cleaning The majority of the revisions to the referenced test methods that are listed operation, Freeboard ratio, Mayor, District of Columbia’s air pollution in the old SIP regulation 8–2:718. Vehicular fuel tank. control regulations resulting from the Inasmuch as 40 CFR Part 60 has been Abbreviations—(Degree), VOC, ‘‘%’’. recodification have had no effect on the revised numerous times since July 1, attainment and maintenance of the 1982, and inasmuch as the current SIP Definitions/Abbreviations national ambient air quality standards version of 40 CFR Part 60, being a Unchanged by the Recodification (NAAQS). The wording of many federal regulation, is already federally (Except for the Numbering Format) provisions has been revised to conform enforceable, EPA will apply the most Air Pollutant, Control Device, with the format of 20 DCMR, but the current provisions of 40 CFR Part 60 Conveyorized Degreaser, Cutback Asphalt, emissions standards that are currently where any conflict exists with the Cold Cleaner, District, Emission, Episode in the Federally-enforceable District of citations in Section 502. Stage, Fossil Fuel, Fossil-Fuel-Fired Steam- Columbia SIP remain in the provisions Generating Unit, Freeboard, Fuel Burning of 20 DCMR. Similarly, the wording of C. Conformity With the Clean Air Act, Equipment, Gasoline, Malfunction, Multiple many defined terms and abbreviations as Amended, and the Applicable Chamber Incinerator, Opacity, Open-top Requirements of 40 CFR Part 51 Vapor Degreaser, Organic Solvents, currently in the SIP have been revised Particulate Matter, Photochemically Reactive (using one or more of the six format The provisions of 20 DCMR being Solvent, Process, Process Weight, Process changes listed above) to reflect the considered in this rulemaking action do Rate Per Hour, Ringelmann Smoke Chart, change in the format from Title 8, not represent substantive changes to the Smoke, Solid Waste, Standard Conditions, Section 2 (the current SIP format) to 20 current federally-enforceable provisions Submerged Fill Pipe, Volatile Organic DCMR. The substantive meaning of the which previously had met all applicable Compounds. defined term remains unchanged. requirements of 40 CFR part 51. Abbreviations—B.T.U., cal., CO, However, since November 15, 1990, EPA is approving this SIP revision COHs, cfm, g., Hi-Vol., hr., lb., max., the District of Columbia has been without prior proposal because the 3 NO2, No., ppm, psia, SO2, µg/m , U.L. required to revise the provisions in Agency views this as a noncontroversial 44434 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations amendment and anticipates no adverse the submittal preceded the date of result in estimated costs of $100 million comments. However, in a separate enactment. or more to either State, local, or tribal document published elsewhere in this Nothing in this action should be governments in the aggregate, or to the Federal Register, EPA is proposing to construed as permitting or allowing or private sector. This Federal action approve the SIP revision should adverse establishing a precedent for any future approves pre-existing requirements or critical comments be filed. This request for revision to any state under State or local law, and imposes action will be effective October 27, 1995 implementation plan. Each request for no new Federal requirements. unless, on or before September 27, 1995 revision to the state implementation Accordingly, no additional costs to adverse or critical comments are plan shall be considered separately in State, local, or tribal governments, or to received. light of specific technical, economic, the private sector, result from this If EPA receives such comments, this and environmental factors and in action. action will be withdrawn before the relation to relevant statutory and Under section 307(b)(1) of the Clean effective date by publishing a regulatory requirements. Air Act, petitions for judicial review of subsequent document that will Under the Regulatory Flexibility Act, this action must be filed in the United withdraw the final action. All public 5 U.S.C. 600 et seq., EPA must prepare States Court of Appeals for the comments received will then be a regulatory flexibility analysis appropriate circuit by October 27, 1995. addressed in a subsequent final rule assessing the impact of any proposed or Filing a petition for reconsideration by based on this action serving as a final rule on small entities. 5 U.S.C. 603 the Administrator of this final rule does proposed rule. EPA will not institute a and 604. Alternatively, EPA may certify not affect the finality of this rule for the second comment period on this action. that the rule will not have a significant purposes of judicial review nor does it Any parties interested in commenting impact on a substantial number of small extend the time within which a petition on this action should do so at this time. entities. Small entities include small for judicial review may be filed, and If no such comments are received, the businesses, small not-for-profit shall not postpone the effectiveness of enterprises, and government entities public is advised that this action will be such rule or action. This action to with jurisdiction over populations of effective on October 27, 1995. approve the revisions associated with less than 50,000. the recodified District of Columbia SIP Final Action SIP approvals under section 110 and may not be challenged later in subchapter I, part D of the Clean Air Act EPA is approving the revised do not create any new requirements but proceedings to enforce its requirements. regulatory format for the District of simply approve requirements that the (See section 307(b)(2).) Columbia’s air pollution control State is already imposing. Therefore, List of Subjects in 40 CFR Part 52 regulations is approvable as a revision because the Federal SIP approval does to the District of Columbia SIP. not impose any new requirements, the Environmental protection, Air Therefore, this format will be Administrator certifies that it does not pollution control, Carbon monoxide, incorporated by reference into the have a significant impact on any small Hydrocarbons, Incorporation by District’s SIP, and codified at 40 C.F.R. entities affected. Moreover, due to the reference, Intergovernmental relations, Section 52.470(c)(34). nature of the Federal-State relationship Nitrogen dioxide, Ozone, Particulate EPA has not reviewed the substance under the CAA, preparation of a matter, Reporting and recordkeeping of certain regulations at this time. These flexibility analysis would constitute requirements, Sulfur Oxides. rules, which pertain to substantive Federal inquiry into the economic Dated: July 18, 1995. revisions of and definitions associated reasonableness of state action. The W. Michael McCabe, with the District of Columbia’s good Clean Air Act forbids EPA to base its Regional Administrator, Region III. engineering practice (GEP) stack height, actions concerning SIPs on such volatile organic compounds (VOC), and grounds. Union Electric Co. v. U.S. EPA, 40 CFR part 52 is amended as follows: new source review provisions will be 427 U.S. 246, 255–66 (1976); 42 U.S.C. PART 52Ð[AMENDED] acted upon in separate rulemaking 7410(a)(2). actions. The EPA is now only approving Under Section 202 of the Unfunded 1. The authority citation for part 52 the numbering system and associated Mandates Reform Act of 1995 continues to read as follows: administrative changes submitted by the (‘‘Unfunded Mandates Act’’), signed Authority: 42 U.S.C. 7401–7671q. State. The EPA’s approval of the into law on March 22, 1995, EPA must renumbering system, at this time, does prepare a budgetary impact statement to Subpart JÐDistrict of Columbia not imply any position with respect to accompany any proposed or final that the approvability of the substantive rule includes a Federal mandate that may 2. Section 52.470 is amended by changes to the above-listed changes. To result in estimated costs to State, local, adding paragraph (c)(34) to read as the extent EPA has issued any SIP calls or tribal governments in the aggregate; follows: to the State with respect to the adequacy or to the private sector, of $100 million § 52.470 Identification of plan. of any of the rules subject to this or more. Under section 205, EPA must recodification, EPA will continue to select the most cost-effective and least * * * * * require the State to correct any such rule burdensome alternative that achieves (c) * * * deficiencies despite EPA’s approval of the objectives of the rule and is (34) Revisions to Title 20 the District this recodification. consistent with statutory requirements. of Columbia Municipal Regulations The Agency has reviewed this request Section 203 requires EPA to establish a (DCMR) on June 21, 1985 by the District for revision of the Federally-approved plan for informing and advising any of Columbia: State implementation plan for small governments that may be (i) Incorporation by reference. conformance with the provisions of the significantly or uniquely impacted by (A) Letter of June 21, 1985 from the 1990 amendments enacted on November the rule. Mayor of the District of Columbia 15, 1990. The Agency has determined EPA has determined that the approval transmitting Act 5–165, representing the that this action conforms with those action proposed/promulgated does not air pollution cotrol regulations codified requirements irrespective of the fact that include a Federal mandate that may in 20 DCMR. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44435 (B) The revised provisions of 20 Section 401 (Emergency Procedures), (ii) Additional material. DCMR, effective March 15, 1985, as subsections 401.1 through 401.4, 401.2 (A) Remainder of June 21, 1985 described below: through 401.8, 401.7 (duplicate) and 401.8 District of Columbia submittal (1) Chapter 1—General. (duplicate) pertaining to the provisions listed Section 499 (Definitions and Section 100 (Purpose, Scope, and Abbreviations), subsections 499.1 and above. Construction), subsections 100.1 through 499.2 [FR Doc. 95–20985 Filed 8–25–95; 8:45 am] 100.5 Section 101 (Inspection), subsection 101.1 (3) Chapter 5—Source Monitoring and BILLING CODE 6560±50±P Section 102 (Orders for Compliance), Testing. subsections 102.1 through 102.3 Section 500 (Source Monitoring and Section 104 (Hearings), subsections 104.1 Testing), subsections 500.1 through 500.3 DEPARTMENT OF THE INTERIOR through 104.5 Section 501 (Monitoring Devices), Section 105 (Penalty), subsections 105.1 subsections 501.1 through 501.3 Bureau of Land Management through 105.4 Section 502 (Sampling, Tests, and Section 106 (Confidentiality of Reports), Measurements), subsections 502.1 through 43 CFR Public Land Order 7154 subsections 106.1 and 106.2 502.15 (except for subsections 502.11, [CA±930±1430±01; CACA 33632] Section 107 (Control Devices or Practices), 502.12, and 502.14) subsections 107.1 through 107.4 Section 599 (Definitions and Withdrawal of National Forest System Section 199 The following definitions and Abbreviations), subsections 599.1 and abbreviations: 599.2 Land To Protect the Harlow Cabin Site, Definitions (Section 199.1)—Added: Heritage Resources Site No. RR±133; Affected facility, Building, structure, facility, (4) Chapter 6—Particulates. California or installation, Cartridge filter, Component, Section 600 (Fuel-Burning Particulate Containers and conveyers of solvent, Crude Emission), subsections 600.1 through 600.7 AGENCY: Bureau of Land Management, oil, Cylinder wipe, Emission unit, Federally Section 601 (Rotary Cup Burners), Interior. enforceable, Flexography, Fugitive emission, subsections 601.1 and 601.2 ACTION: Public Land Order. Gas services, Gas services for pipeline/valves Section 602 (Incinerators), subsections and pressure relief valves, Gravure, Heatset, 602.1 through 602.6 SUMMARY: This order withdraws 20 acres Hydrocarbon, Ink, Inking cylinder, Section 603 (Particulate Process Emissions), of National Forest System land from Innovative control technology, Intaglio, subsections 603.1 through 603.3 mining for a period of 50 years to Leaking component, Lease custody transfer, Section 604 (Open Burning), subsections protect the historic Harlow Cabin Site. Letterpress, Letterset, Liquid service, 604.1 and 604.2 Necessary preconstruction, Net emission The land has been and will remain open Section 605 (Control of Fugitive Dust), to mineral leasing. increase, Offset printing process, Offset subsections 605.1 through 605.4 lithography, Paper wipe, Perceptible, leak, Section 606 (Visible Emissions), EFFECTIVE DATE: August 28, 1995. Petroleum solvent, Plate, Printing, Printing subsections 606.1 through 606.9 FOR FURTHER INFORMATION CONTACT: operation, Printing Unit, Refinery operator, Section 699 (Definitions and Marcia Sieckman, BLM California State Refinery unit, Routing, Secondary emissions, Abbreviations), subsections 699.1 and Office (CA–931), 2800 Cottage Way, Substrate, Vacuum still, Valves not externally 699.2 regulated, Water-based solvent, Wiping Sacramento, CA 95825, 916–979–2858. solution. Revised: Air pollution, Distillate oil, (5) Chapter 8—Asbestos, Sulfur and By virtue of the authority vested in Dry cleaning, Existing source, Fugitive dust, Nitrogen Oxides. the Secretary of the Interior by Section Incinerator, Loading facilities, Person, Start- Section 801 (Sulfur Content of Fuel Oils), 204 of the Federal Land Policy and up, Stationary source, Vapor tight, Wipe subsection 801.1 Management Act of 1976, 43 U.S.C. cleaning. Section 802 (Sulfur Content of Coal), 1714 (1988), it is ordered as follows: Unchanged from Section 8–2:702: Air subsections 802.1 and 802.2 1. Subject to valid existing rights, the Pollutant, Control Device, Conveyorized Degreaser, Cutback Asphalt, Cold Cleaner, Section 803 (Sulfur Process Emissions), following described National Forest District, Emission, Episode Stage, Fossil Fuel, subsections 803.1 through 803.4 System land is hereby withdrawn from Fossil-Fuel-Fired Steam-Generating Unit, Section 804 (Nitrogen Oxide Emissions), location and entry under the United Freeboard, Fuel Burning Equipment, subsection 804.1 States mining laws (30 U.S.C. Ch. 2 Gasoline, Malfunction, Multiple Chamber Section 899 (Definitions and (1988)), but not from leasing under the Incinerator, Opacity, Open-top Vapor Abbreviations), subsections 899.1 and 899.2 mineral leasing laws, to protect the Degreaser, Organic Solvents, Particulate Forest Service’s Harlow Cabin Site: Matter, Photochemically Reactive Solvent, (6) Appendices. Process, Process Weight, Process Rate Per Mount Diablo Meridian Hour, Ringelmann Smoke Chart, Smoke, Appendix No. 1 (Emission Limits for Solid Waste, Standard Conditions, Nitrogen Oxide) Rogue River National Forest Submerged Fill Pipe, Volatile Organic Appendix No. 2 [Table of Allowable T. 48 N., R. 11 W., Compounds. Particulate Emissions from Process sec. 14, Tract 49. Abbreviations (Section 199.2)—Added: Sources] The area described contains 20 acres Appendix No. 3 [Allowable VOC Emissions CFR, EPA, ppmv Unchanged from Section 8– in Siskiyou County. 2:702: B.T.U., cal., CO, COHs, cfm, g., Hi- under Section 710] Vol., hr., lb., max., NO2, No., ppm, psia, SO2, (7) Deletion of the following SIP 2. The withdrawal made by this order µ 3 g/m , U.L. provisions: does not alter the applicability of those Note: Section 199 of Chapter 1 lists all of land laws governing the use of National the applicable definitions and abbreviations, Section 8–2:721 (Complaints and Forest System land under lease, license, while Sections X99.1 and X99.2 of each Investigations) or permit, or governing the disposal of chapter contain a cross-reference to Section 8–2:730 (Independence of Sections) Section 8–2:731 (Effective Date) their mineral or vegetative resources definitions listed in Section 199.1 and other than under the mining laws. abbreviations listed in Section 199.2. The following definitions and 3. This withdrawal will expire 50 (2) Chapter 4—Ambient Monitoring abbreviations: Definitions: Act, Air quality standard of the years from the effective date of this and Emergency Procedures. District of Columbia, Dry cleaning operation, order unless, as a result of a review Section 400 (Air Pollution Reporting Freeboard ratio, Mayor, Vehicular fuel tank. conducted before the expiration date Index), subsection 400.1 Abbreviations: (Degree), VOC, ‘‘%’’. pursuant to Section 204(f) of the Federal 44436 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations Land Policy and Management Act of 833a, and Rule 69 of the Commission’s requisite experience, financial 1976, 43 U.S.C. 1714(f) (1988), the Rules of Practice and Procedure, 46 CFR responsibility, a quality control Secretary determines that the 502.69. The Petition seeks an exemption program, and the ability to perform the withdrawal shall be extended. for non-vessel-operating common service. Each participant must provide a Dated: August 17, 1995. carriers (‘‘NVOCCs’’) from the tariff performance bond in the minimum filing requirement of 46 CFR Part 514 Bob Armstrong, amount of $75,000 or 2.5 percent of the and the bonding requirement of 46 CFR carrier’s gross annual revenue derived Assistant Secretary of the Interior. Part 583, to the extent they engage in the from the GSA international program for [FR Doc. 95–21220 Filed 8–25–95; 8:45 am] transportation of used household goods the previous year, whichever is greater, BILLING CODE 4310±40±P and personal effects of employees of and also must maintain cargo liability federal civilian executive agencies in insurance in an aggregate minimum of the domestic and foreign commerce of $150,000. FEDERAL MARITIME COMMISSION the United States, pursuant to a GSA will establish baseline rates for solicitation issued and administered by certain traffic channels. Each qualified 46 CFR Parts 514 and 583 the General Services Administration NVOCC can then file door-to-door [Docket No. P2±95] (‘‘GSA’’). through rates which are a percentage of Notice of filing of the Petition was the GSA baseline rates. The shipments Household Goods Forwarders published in the Federal Register, 60 FR will move on a through Government Bill Association of America, Inc., Petition 20494 (April 26, 1995), and interested of Lading (‘‘GBL’’). for Exemption persons were invited to submit their HHGFAA contends that filing tariffs views. Comments in support of the AGENCY: Federal Maritime Commission. with the FMC covering these GSA Petition were submitted by North international shipments would ACTION: Final rule. American Van Lines, Inc., the American duplicate the rate-filing requirements of Movers Conference (‘‘AMC’’), the SUMMARY: the GSA Tender and would result in The Federal Maritime United States Atlantic and Gulf Ports/ Commission (‘‘Commission’’ or ‘‘FMC’’) unnecessary additional costs. It further Eastern Mediterranean and North submits that the filing of through rates is amending its regulations to exempt 1 African Freight Conference as a percentage of a GSA baseline non-vessel-operating common carriers (‘‘Conference’’), and Mr. William P. by water from the tariff filing cannot presently be accomplished under Hobson, Manager of the Centralized the Commission’s tariff rules or ATFI. requirement of Part 514 and the bonding Household Goods Traffic Management requirement of Part 583, to the extent HHGFAA further argues that NVOCC Program of GSA. No comments were bonds would duplicate the GSA that they transport used household filed in opposition to the Petition. goods and personal effects of federal bonding requirement, and result in civilian employees pursuant to a The Petition additional, unnecessary costs. solicitation issued and administered by Petitioner points out that the Moreover, it claims that the reasons the General Services Administration. Commission has previously exempted which caused the Commission to These carriers are already subject to a NVOCCs engaged in the transportation exempt used military household goods GSA requirement that they post a of military used household goods and from tariff filing apply in this case. performance bond in excess of the personal effects from the NVOCC tariff HHGFAA likewise maintains that the Commission’s bonding requirement, and filing and bonding requirements, citing reasons for exempting NVOCCs engaged the rates for such services will be filed 46 CFR 550.1(a)(6), 580.1(c)(7), and in the transportation of used household with GSA. The exemption will remove 583.3(c). It contends that the same goods exclusively for the Department of duplicative requirements and result in reasons for granting that exemption Defense from filing bonds warrant a lower costs. warrant the tariff and bonding similar exemption here. In this regard, it points out that GSA’s bonding EFFECTIVE DATE: Effective August 28, exemption requested herein for used 1995. household goods and personal effects of requirement is significantly greater than the Commission’s. FOR FURTHER INFORMATION CONTACT: federal civilian employees pursuant to a Robert D. Bourgoin, General Counsel, GSA solicitation. Comments on Petition HHGFAA advises that GSA issued an Federal Maritime Commission, 800 International Tender of Service (‘‘GSA The Conference anticipates North Capitol Street NW., Tender’’) on January 2, 1995, soliciting substantial GSA program oversight, and Washington, DC 20573, (202) 523– bids from carriers for the transportation therefore has no objection to elimination 5740; of used household goods and personal of the bonding requirement. However, it and effects of federal civilian employees also argues that an exemption from tariff Bryant L. VanBrakle, Director, Bureau of between points in the United States and filing should be conditioned on making Tariffs, Certification and Licensing, foreign points. This procurement will such rates publicly available through Federal Maritime Commission, 800 commence on October 1, 1995. GSA or another organization. North Capitol Street NW., HHGFAA members intend to participate AMC believes that GSA’s Tender Washington, DC 20573, (202) 523– in this solicitation. would be greatly enhanced by an FMC 5796. The GSA Tender sets forth the terms exemption from tariff filing and SUPPLEMENTARY INFORMATION: The and conditions for participation, bonding. In light of the GSA’s stringent Household Goods Forwarders including the services to be provided standards, AMC submits that there is no Association of America, Inc. and how rates are to be quoted, and need for a separate bonding requirement (‘‘HHGFAA’’ or ‘‘Petitioner’’) has filed a requires each participant to file a or tariff filing requirement. AMC further Petition for Exemption (‘‘Petition’’) performance bond with GSA. GSA notes that military household goods pursuant to section 16 of the Shipping ensures that each carrier has the have been exempt from FMC tariff filing Act of 1984 (‘‘1984 Act’’), 46 U.S.C. app. for several years and that this exemption 1715, and section 35 of the Shipping 1 Farrell Lines, Inc. and Lykes Bros. Steamship has had no detrimental effects. It Act, 1916 (‘‘1916 Act’’), 46 U.S.C. app. Co. disassociated themselves from these comments. believes that the instant GSA rate Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44437 solicitation will operate in a similar competitive nature of GSA’s program 2. Section 514.3 is amended by manner. will remain unchanged in that carriers adding a new paragraph (b)(5) reading GSA’s Mr. Hobson notes that the GSA seeking to participate in certain trade as follows: Tender covers service to be provided lanes will have to competitively bid for under Government bills of lading at the cargo. Lastly, the exemption should § 514.3 Exemptions and exclusions. through rates solicited by GSA on a be beneficial to commerce. It will * * * * * competitive basis. In order to ensure a remove certain duplicative activities (b) * * * competitive environment, GSA has which serve no useful purpose, and (5) Used household goods—General established uniform rules and charges should reduce the overall costs for all Services Administration. Transportation governing accessorial charges. In involved in the GSA program. of used household goods and personal addition, GSA will establish baseline Bonds and other forms of surety effects by non-vessel-operating common rates, and qualified carriers will submit issued after the effective date of this carriers shipped by federal civilian bids below, above, or at the baseline exemption will contain express executive agencies under the rates for the traffic channels they wish language indicating that they do not International Household Goods Program to serve. The carriers’ through rates will apply to civilian household goods administered by the General Services be effective for twelve months and carried under the GSA program. If, after Administration is exempt from the filing available for use by all federal executive this date, NVOCCs desire to have this requirements of the 1916 and 1984 Acts agencies. Each carrier must certify that exemption apply to their existing bonds, and the rules of this part. its rates were established they can request that the bonding * * * * * independently. Mr. Hobson claims that companies reissue their bonds with the tariff filing with the Commission would appropriate language included. PART 583Ð[AMENDED] not benefit GSA since all bid rates will The Federal Maritime Commission be filed with GSA and maintained in its certifies, pursuant to section 605(b) of 3. The authority citation for Part 583 computer. He likewise maintains that an the Regulatory Flexibility Act, 5 U.S.C. continues to read as follows: FMC bond is of no benefit since the 605(b), that this rule will not have a Authority: 5 U.S.C. 553; 31 U.S.C. 9701; 46 GSA bond is higher. He argues that the significant economic impact on a U.S.C. App. 1702, 1707, 1709, 1710–1712, tariff exemption will reduce carriers’ substantial number of small entities, 1716, and 1721. costs by relieving them of the expense including small businesses, small 4. Paragraph (c) of § 583.3 is revised of filing rates with the FMC, as will the organizational units and small to read as follows: bonding exemption. This, in turn, government jurisdictions. The allegedly should allow carriers to exemption will permit NVOCCs who are § 583.3 Proof of financial responsibility, submit lower rates to GSA. engaged in the GSA civilian household when required. goods program to reduce their costs by Discussion * * * * * removing duplicative or unnecessary (c) Any person which exclusively Section 16 of the 1984 Act states in requirements. transports used household goods and pertinent part: This final rule does not contain any personal effects for the account of the The Commission, upon application or on collections of information as defined by Department of Defense, or for the its own motion, may by order or rule exempt the Paperwork Reduction Act of 1980, account of the federal civilian executive for the future any class of agreements as amended. Therefore, OMB review is agencies shipping under the between persons subject to this Act or any not required. specified activity of those persons from any International Household Goods Program requirement of this Act if it finds that the List of Subjects administered by the General Services Administration, or both, is not subject to exemption will not substantially impair 46 CFR Part 514 effective regulation by the Commission, be the requirements of this part, but may be unjustly discriminatory, result in a Freight, Harbors, Maritime carriers, subject to other requirements, such as substantial reduction in competition, or be Reporting and recordkeeping alternative surety bonding, imposed by detrimental to commerce. requirements. the Department of Defense or the The exemption sought here meets the 46 CFR Part 583 General Services Administration. standards of section 16. It will provide 5. Appendix A to Part 583 is amended relief from the tariff filing and bonding Freight, Maritime carriers, Reporting by revising the last sentence in the requirements for NVOCCs who transport and recordkeeping requirements, Surety fourth paragraph to read as follows: federal civilian household goods bonds. pursuant to a GSA monitored program Therefore, pursuant to 5 U.S.C. 553, Appendix A to part 583ÐNon-Vessel- and is virtually identical to an section 43 of the Shipping Act, 1916, 46 Operating Common Carrier (NVOCC) exemption that already exists for the U.S.C. app. 841a, and section 17 of the Band Form transportation of military household Shipping Act of 1984, 46 U.S.C. app. 1716, Parts 514 and 583 of Title 46, * * * * * goods. ** * However, the bond shall not apply The exemption should not Code of Federal Regulations, are to shipments of used household goods and substantially impair effective regulation amended as follows: personal effects for the account of the by the Commission. Although the rates Department of Defense or the account of under which this transportation will be PART 514Ð[AMENDED] federal civilian executive agencies shipping provided will not be filed with the 1. The authority citation for Part 514 under the International Household Goods Commission, they will be available continues to read as follows: Program administered by the General through GSA. Moreover, these rates only Services Administration. Authority: 5 U.S.C. 552 and 553; 31 U.S.C. * * * * * apply to a single shipper, GSA, or the 9701; 46 U.S.C. app. 804, 812, 814–817(a), federal civilian agency participating in 820, 833a, 841a, 843, 844, 845, 845a, 845b, 6. Appendix D to Part 583 (Form its program. Accordingly, there should 847, 1702–1712, 1714–1716, 1718, 1721 and FMC–69) is amended by revising the be little or no cause for concern about 1722; and sec. 2(b) of Pub. L. 101–92, 103 last sentence in the fourth paragraph to potential discrimination. The Stat. 601. read as follows: 44438 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations Appendix D to part 583ÐNon-Vessel- Academy. Previously, the Governor of not have sufficient federalism Operating Common Carrier (NVOCC) American Samoa had been authorized to implications to warrant the preparation Group Bank Form [FMC±69] appoint persons to the Academy until a of a Federalism Assessment. delegate to the House of Representatives Regulatory Flexibility Act * * * * * from American Samoa took office. (2) It ** * However, the bond shall not apply reflects the added authority of the The Maritime Administration certifies to shipments of used household goods and Secretary of Transportation (Secretary) that this rulemaking will not have a personal effects for the account of the significant economic impact on a Department of Defense or the account of to exercise discretion to recover from federal civilian executive agencies shipping USMMA graduates the Federal substantial number of small entities. under the International Household Goods Government’s costs for their education Environmental Assessment Program administered by the General if they fail to fulfill certain conditions Services Administration. of their service obligation. Previously, The Maritime Administration has * * * * * the only consequence of a breach of considered the environmental impact of By the Commission. contract by USMMA graduates was that this rulemaking and has concluded that Joseph C. Polking, they be ordered to active military an environmental impact statement is not required under the National Secretary. service. (3) It also recognizes the Environmental Policy Act of 1969. [FR Doc. 95–20949 Filed 8–25–95; 8:45 am] authority of the Secretary of BILLING CODE 6730±01±M Transportation to allow an unlimited Paperwork Reduction Act number of Panamanians to be admitted to the Academy on a reimbursable basis. This rulemaking contains no reporting Previously, the Secretary had been requirement that is subject to OMB DEPARTMENT OF TRANSPORTATION limited to allowing six appointments approval under 5 CFR part 1320, annually, on a reimbursable basis. pursuant to the Paperwork Reduction Maritime Administration Act of 1980 (44 U.S.C. 3501, et seq.). Rulemaking Analysis and Notices 46 CFR Part 310 List of Subjects in 46 CFR Part 310 Executive Order 12866 (Federal Education, Grant programs, Seamen. RIN 2133±AB22 Planning and Review) and DOT [Docket No. R±161] Regulatory Policies and Procedures. PART 310ÐMERCHANT MARINE This rulemaking is not considered to TRAINING [AMENDED] Merchant Marine Training be an economically significant Accordingly, MARAD hereby amends AGENCY: Maritime Administration, regulatory action under section 3(f) of 46 CFR part 310, subpart C as follows: Department of Transportation. E.O. 12866, and it is not considered to 1. The authority citation continues to ACTION: Final rule. be a significant rule under the read as follows: Department’s Regulatory Policies and Authority: Secs. 204(b), 1301–1308, SUMMARY: The Maritime Administration Procedures. (44 FR 11034, February 26, 1979). Accordingly, it was not reviewed Merchant Marine Act, 1936, as amended, (46 (MARAD) is amending its regulations App. U.S.C. 1114(b), 1295–1295g); 49 CFR for the admission and training of by the Office of Management and 1.66. midshipman at the United States Budget. Merchant Marine Academy to conform A full regulatory evaluation is not § 310.53 [Amended] them to changes in the law. The required since this rule provides for 2. Section 310.53(a) is amended as amendments are with respect to the regulatory costs that are allowed by follows: nomination and admission to the statute, within the discretion of the a. In paragraph (a)(1) by removing the Academy of persons from American Secretary of Transportation. text beginning with the words, ‘‘the Samoa and Panama and the authority of MARAD has determined that this Governor of American Samoa’’, the Secretary of Transportation to rulemaking presents no substantive preceding the word ‘‘may’’, and recover from graduates of the Academy issue which it could reasonably expect inserting in lieu thereof the words, ‘‘the costs of their education if they fail to would produce meaningful public Delegate to the House of Representatives fulfill certain conditions of their service comment since it merely recognizes from American Samoa.’’ obligations. changes in the law with respect to the b. In paragraph (a)(2) in the table by nomination process for the USMMA and EFFECTIVE DATE: August 28, 1995. amending the entry for American Samoa the discretion granted to the Secretary to by revising the entry under the heading FOR FURTHER INFORMATION CONTACT: recover costs of education at the ‘‘To be nominated by—’’ to read ‘‘The Crawford Ellerbe, Academy Program USMMA from persons who did not Delegate to the House of Representatives Analyst, Office of Maritime Labor and fulfill their service obligations. representing American Samoa.’’ Training, Maritime Administration, Accordingly, pursuant to the Department of Transportation, 400 Administrative Procedure Act, 5 U.S.C. § 310.58 [Amended] Seventh Street SW., Room 7302, 553(c) and (d), MARAD finds that good 3. Section 310.58 is amended in Washington, DC 20590, Telephone: cause exists to publish this as a final paragraph (e)(2) by adding at the end (202) 366–2643. rule, without opportunity for public thereof the following sentence. ‘‘If the SUPPLEMENTARY INFORMATION: This comment, and to make it effective on Secretary of Defense is unable or rulemaking amends MARAD regulations the date of publication. unwilling to order an individual to applicable to the U.S. Merchant Marine active duty, the Secretary of Academy (USMMA) to implement Federalism Transportation may recover from the provisions of Pub.L. 101–595, as The Maritime Administration has individual the cost of education follows: (1) It recognizes that there is analyzed this rulemaking in accordance provided by the Federal Government by now a Delegate to the House of with the principles and criteria requesting the Attorney General to begin Representatives from American Samoa contained in Executive Order 12612, court proceedings to recover the costs of who may appoint persons to the and it has been determined that it does that education.’’ Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44439 § 310.66 [Amended] ‘‘with instructions to limit its ban on the ACTION: Final rule; technical 4. Section 310.66 is amended in broadcasting of indecent programs to amendments. paragraph (c) by adding at the end the period from 6:00 a.m. to 10:00 p.m.’’ thereof the following sentence: ‘‘The Id., slip op. at 30. The effect of the SUMMARY: This document technically Secretary may allow, upon approval of Court’s instruction is to make the time amends the definition of the term the Secretary of State, additional periods during which the indecency ban accident in FHWA’s Federal motor individuals from the Republic of applies the same for both public carrier safety regulations to include Panama to receive instruction at the broadcasters and commercial language that was inadvertently omitted Academy on a reimbursable basis.’’ broadcasters. Thus, we are hereby from a previous final rule, and technically amends those regulations to Dated: August 22, 1995. amending Section 73.3999 of the Commission’s Rules, 47 C.F.R. indicate that the Office of Management By Order of the Maritime Administrator. § 73.3999, to provide that no licensee of and Budget has approved the accident Joel Richard, a radio or television broadcast station recordkeeping requirements as amended Secretary, Maritime Administration. shall broadcast on any day between 6 by this rule. The full intention of the [FR Doc. 95–21194 Filed 8–25–95; 8:45 am] a.m. and 10 p.m. any material which is FHWA was to require interstate motor BILLING CODE 4910±81±P indecent. carriers to include their accidents 2. Accordingly, it is ordered, That involving a commercial motor vehicle Section 73.3999 of the Commission’s engaged in intrastate commerce on FEDERAL COMMUNICATIONS Rules, 47 CFR § 73.399, is amended as accident registers. The definition of the COMMISSION set forth below. term accident is amended to reflect this intention. 47 CFR Part 73 List of Subjects in 47 CFR Part 73 EFFECTIVE DATE: September 27, 1995. [GC Docket No. 92±223; FCC 95±346] Radio broadcasting, Television FOR FURTHER INFORMATION CONTACT: Mr. broadcasting. Peter C. Chandler, Office of Motor Broadcast Indecency Federal Communications Commission. Carrier Research and Standards, (202) 366–5763, or Mrs. Allison Smith, Office AGENCY: Federal Communications William F. Caton, of the Chief Counsel, (202) 366–0834, Commission. Acting Secretary. Federal Highway Administration, ACTION: Final rule. Appendix—Amendatory Text Department of Transportation, 400 SUMMARY: The Commission is amending Part 73, Chapter I of Title 47 of the Seventh Street, SW., Washington, DC its rules on enforcement of prohibitions Code of Federal Regulations is amended 20590. Office hours are from 7:45 a.m. against broadcast indecency so as to be as follows: to 4:15 p.m., e.t., Monday through in compliance with the instructions Friday, except Federal holidays. given by the United States Court of PART 73ÐRADIO BROADCAST SUPPLEMENTARY INFORMATION: On Appeals for the D.C. Circuit in Action SERVICES February 2, 1993, the FHWA published a final rule in the Federal Register (58 for Children’s Television v. FCC. The 1. The authority citation for Part 73 FR 6726) which removed the accident intended effect of the Court’s instruction continues to read as follows: is to make the time periods during notification and reporting requirements which the indecency ban applies the Authority: 47 U.S.C. 154, 303, 334. in part 394 of the Federal Motor Carrier same for both public broadcasters and 2. Section 73.3999 is revised to read Safety Regulations (FMCSRs) and added commercial broadcasters. as follows: a requirement in part 390 that motor EFFECTIVE DATE: August 28, 1995. carriers maintain an accident register § 73.3999 Enforcement of 18 U.S.C. 1464 consisting of a list of information about FOR FURTHER INFORMATION CONTACT: (restrictions on the transmission of accidents and copies of all accident Steve Bailey, Office of General Counsel, obscene and indecent material). reports required by governmental (202) 418–1720. (a) No licensee of a radio or television authorities or insurers. The accidents SUPPLEMENTARY INFORMATION: broadcast station shall broadcast any that must be included in an accident material which is obscene. Memorandum Opinion and Order register were specified by the definition (b) No licensee of a radio or television of the term accident in 49 CFR 390.5. Adopted: August 7, 1995. broadcast station shall broadcast on any The term accident, as currently defined, Released: August 18, 1995. day between 6 a.m. and 10 p.m. any does not include an accident involving By the Commission: material which is indecent. a commercial motor vehicle engaged in 1. By this Order, the Commission [FR Doc. 95–21247 Filed 8–25–95; 8:45 am] intrastate commerce. This type of conforms its rules to comply with the BILLING CODE 6712±01±M accident was covered by the accident instructions given by the United States notification and reporting requirements Court of Appeals for the District of in part 394. The FHWA inadvertently Columbia Circuit in Action for failed to include this type of accident in Children’s Television v. FCC, No. 92– DEPARTMENT OF TRANSPORTATION the definition of the term accident. The 1092 (decided en banc June 30, 1995; full intention of the FHWA was to mandate issued July 12, 1995). Although Federal Highway Administration require interstate motor carriers to the Court generally upheld the include their accidents involving a 49 CFR Part 390 Commission’s implementation of commercial motor vehicle engaged in Section 16(a) of the Public intrastate commerce on accident Telecommunications Act of 1992, Pub. RIN 2125±AC51 registers. L. No. 102–356, 106 Stat. 949 (1992), Accident Recordkeeping Requirements The FHWA is therefore making a relating to the prohibition on indecent technical amendment to the definition programming by broadcast stations, it AGENCY: Federal Highway of the term accident to include remanded the case to the Commission Administration (FHWA), DOT. accidents involving a commercial motor 44440 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations vehicle engaged in intrastate commerce. action within the meaning of Executive for this funding or has any other impact The phrase ‘‘in interstate or intrastate Order 12866 or significant within the upon State governments. commerce’’ is being inserted into the meaning of Department of Executive Order 12372 definition of the term accident. This Transportation regulatory policies and (Intergovernmental Review) technical amendment will require procedures. The FHWA estimates that interstate motor carriers to include approximately 87,000 accidents, as Catalog of Federal Domestic accidents involving a commercial motor defined in 49 CFR 390.5, occur Assistance Program Number 20.217, vehicle engaged in interstate or annually. The FHWA believes that the Motor Carrier Safety. The regulations intrastate commerce in their accident amount of time needed for interstate implementing Executive Order 12372 registers. There is a long precedent of motor carriers to collect and record the regarding intergovernmental interstate motor carriers being required seven elements of information on consultation on Federal programs and to file and/or maintain reports about accident registers is minimal because activities apply to this program. accidents involving a commercial motor the information is readily available. In Paperwork Reduction Act vehicle engaged in interstate, foreign, or consideration of the total number of intrastate commerce. This technical accidents which must be included on The information collection amendment clarifies the FHWA’s intent accident registers and the short period requirements as amended by this rule regarding this issue. of time necessary to record information have been approved by the Office of An accident register, which includes about each accident, the economic Management and Budget in accordance all accidents meeting this amended burden imposed by the accident with the provisions of the Paperwork definition, assists the FHWA in recordkeeping requirements is minimal. Reduction Act of 1980, 44 U.S.C. 3501– evaluating a motor carrier’s accidents Since the economic burden for 3520, and assigned the control number and developing countermeasures to maintaining records about all accidents of 2125–0526 which expires on March reduce future accidents. The FHWA is as defined in 49 CFR 390.5 is not 31, 1998. also able to compare a motor carrier’s significant, the economic burden of the National Environmental Policy Act accident register with the accident data recordkeeping for the portion of these from the automated State accident accidents which occur in intrastate The agency has analyzed this action reporting system to ensure that all commerce is also not significant. for the purpose of the National accidents as defined in § 390.5 are Therefore, a full regulatory evaluation is Environmental Policy Act of 1969 (42 accounted for in the system. not required. U.S.C. 4321 et seq.) and has determined that this action would not have any Rulemaking Analyses and Notices Regulatory Flexibility Act effect on the quality of the environment. Prior notice and opportunity for In compliance with the Regulatory Regulation Identification Number comment are unnecessary under 5 Flexibility Act (5 U.S.C. 601–612), the U.S.C. 553(b)(3)(B) because this rule FHWA has evaluated the effects of this A regulation identification number does not impose any additional duty or action on small entities. This action (RIN) is assigned to each regulatory obligation on any motor carrier. Instead, does not impose any additional duty or action listed in the Unified Agenda of it simply reinstates the requirement to obligation on any motor carrier, Federal Regulations. The Regulatory keep records on accidents involving a regardless of its size, because this action Information Service Center publishes commercial motor vehicle operating in simply reinstates a requirement which the Unified Agenda in April and intrastate commerce, which was was inadvertently omitted when the October of each year. The RIN contained inadvertently omitted when the accident recordkeeping requirements in the heading of this document can be accident recordkeeping requirements were last revised. The majority of small used to cross reference this action with were last revised, and provides notice to motor carriers do not have an accident, the Unified Agenda. the public that the Office of as defined in 49 CFR 390.5, in a given List of Subjects in 49 CFR Part 390 Management and Budget has approved year. Any motor carrier without an Highway safety, Motor carriers, Motor the information collection burden of the accident, as defined in 49 CFR 390.5, in vehicle safety, Reporting and accident recordkeeping requirements of a given year is not required to maintain recordkeeping requirements. part 390, as amended by this rule. an accident register for this year. The Therefore, in this purely procedural FHWA certifies that this action will not Issued on: August 21, 1995. action, the FHWA is not exercising its have a significant impact on a Rodney E. Slater, discretion in a way that could be substantial number of small entities. Federal Highway Administrator. meaningfully affected by public In consideration of the foregoing, the comment. In addition, due to the Executive Order 12612 (Federalism Assessment) FHWA hereby amends title 49, Code of technical nature of this final rule, the Federal Regulations, subtitle B, chapter FHWA has determined that prior notice This action has been analyzed in III, part 390 as set forth below: and opportunity for comment are not accordance with the principles and required under Department of criteria contained in Executive Order PART 390Ð[AMENDED] Transportation’s regulatory policies and 12612, and it has been determined that procedures, as it is anticipated that such this action does not have sufficient 1. The authority citation for Part 390 action would not result in the receipt of federalism implications to warrant the continues to read as follows: useful information. Therefore, the preparation of a federalism assessment. Authority: 49 U.S.C. 5901–5907, 31132, FHWA is proceeding directly to a final Nothing in this document preempts 31133, 31136, 31502, and 31504; and 49 CFR rule. any State law or regulation. This final 1.48. rule does not limit the policymaking 2. Section 390.5 is amended by Executive Order 12866 (Regulatory discretion of the States. Federal funding revising the definition of Accident to Planning and Review) and DOT is available to assist States in read as follows: Regulatory Policies and Procedures implementing and operating their The FHWA has determined that this accident reporting systems. Nothing in § 390.5 Definitions. action is not a significant regulatory this document changes any condition * * * * * Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44441 Accident means— scene by a tow truck or other motor require the motor vehicle to be marked (1) Except as provided in paragraph vehicle. or placarded in accordance with (2) of this definition, an occurrence (2) The term accident does not § 177.823 of this title. include: involving a commercial motor vehicle * * * * * operating on a public road in interstate (i) An occurrence involving only or intrastate commerce which results in: boarding and alighting from a stationary § 390.15 [Amended] motor vehicle; or (i) A fatality; (ii) An occurrence involving only the 3. Section 390.15 is amended by (ii) Bodily injury to a person who, as loading or unloading of cargo; or adding the following parenthetical a result of the injury, immediately (iii) An occurrence in the course of language at the end of the section to receives medical treatment away from the operation of a passenger car or a read as follows: the scene of the accident; or multipurpose passenger vehicle (as (Approved by the Office of Management and (iii) One or more motor vehicles defined in § 571.3 of this title) by a Budget under control number 2125–0526) incurring disabling damage as a result of motor carrier and is not transporting the accident, requiring the motor passengers for hire or hazardous [FR Doc. 95–21304 Filed 8–25–95; 8:45 am] vehicle to be transported away from the materials of a type and quantity that BILLING CODE 4910±22±P 44442 Proposed Rules Federal Register Vol. 60, No. 166 Monday, August 28, 1995 This section of the FEDERAL REGISTER Office of Thrift Supervision, 1700 G contained in chapter V of the CFR to contains notices to the public of the proposed Street NW., Washington, D.C. 20552, ‘‘streamline and modify those issuance of rules and regulations. The Attention Docket No. 95–160. These regulations and policies in order to purpose of these notices is to give interested submissions may be hand-delivered to improve efficiency, reduce unnecessary persons an opportunity to participate in the 1700 G Street NW., from 9:00 a.m. to costs, * * * eliminate unwarranted rule making prior to the adoption of the final rules. 5:00 p.m. on business days; they may be constraints on credit availability [and] sent by facsimile transmission to FAX remove inconsistencies and outmoded Number (202) 906–7755. Comments will and duplicative requirements.’’ 3 DEPARTMENT OF THE TREASURY be available for inspection at 1700 G Preliminary staff recommendations Street NW., from 1:00 p.m. until 4:00 for improvements to the regulations Office of Thrift Supervision p.m. on business days. were based on the following criteria: FOR FURTHER INFORMATION CONTACT: • Is the regulation current? 12 CFR Parts 500, 504, 510, 515, 529, Therese L. Monahan, Project Manager, • Can the regulation be eliminated 533, 543, 545 552, 556, 562, 563, 563d, Thrift Policy (202) 906–5740; or Valerie without endangering safety and 563g, 567, 571, 583, and 584 J. Lithotomos, Counsel (Banking and soundness, diminishing consumer [No. 95±160] Finance), Regulations and Legislation protection, or violating statutory Division, Chief Counsel’s Office, (202) requirements? RIN 1550±AA85 906–6439, Office of Thrift Supervision, • Is the regulation’s subject matter 1700 G Street NW., Washington, DC Regulatory Review more suited for a policy statement? 20552. • Is the regulation consistent with the AGENCY: Office of Thrift Supervision, SUPPLEMENTARY INFORMATION: regulations of the other federal banking Treasury. I. Background agencies? ACTION: Notice of proposed rulemaking; • Can the regulation be understood Today, the OTS is publishing the first request for comment. without consulting an attorney? in a series of proposals to streamline, • Is the regulation written as a stand- SUMMARY: Pursuant to section 303(a) of update, and generally improve its alone regulation, without confusing the Community Development and regulations. The OTS conducted a cross-references? comprehensive review of its regulations Regulatory Improvement Act of 1994 • Is the regulation required by in the spring of 1995 pursuant to section (CDRIA) and the Regulatory Reinvention statute? 303 of CDRIA and the Administration’s Initiative of the Vice President’s • Are the regulations/parts/sections Reinvention Initiative.1 In response to National Performance Review, the ordered in a logical fashion? the Administration’s mandate to create Office of Thrift Supervision (OTS) has This review identified a number of grass roots partnerships and the desire reviewed chapter V of the Code of ways in which OTS’s regulations could to negotiate, not dictate rules, OTS Federal Regulations (CFR), where OTS be improved. The agency is undertaking regulations are codified. OTS reviewed sought specific industry comments on regulatory burden through town a five-step process to improve its each regulation to determine whether it regulations. Today’s proposal reflects is necessary, imposes the least possible meetings and industry roundtable meetings held by the Acting Director the first two steps of that process. burden consistent with safety and First, the agency seeks public soundness, and is written in a clear, and Regional Directors. In addition, OTS obtained further industry input comment on a number of potential ways straightforward manner. OTS could streamline and restructure As a result of this review, OTS has from America’s Community Bankers (ACB).2 The ACB surveyed some of its its regulations to make them more user- identified a number of regulations that friendly. These potential improvements, can be eliminated as duplicative or members and offered a summary of survey findings to the OTS. ACB’s discussed in Section II of this preamble, unnecessary. The agency is today have been suggested by OTS proposing to remove those sections from survey collected industry feedback on OTS’s regulatory structure and various Washington and Regional staff. OTS is its regulations. OTS has also identified particularly interested in whether such a number of ways in which its communication vehicles used to disseminate OTS interpretations and reorganization and restructuring would regulations could be streamlined or make OTS’s regulations easier for the reorganized into a more user-friendly guidance. ACB reported a generally favorable response to OTS’s overall plan public to use. document. Before proposing such Second, the proposal seeks comment structural changes, however, the agency to streamline and reorganize its regulations in order to reduce regulatory on the deletion of a number of specific is today requesting comment on parts and sections the agency has whether such changes would burden. OTS Staff in both the Washington and identified as outdated or unnecessary. sufficiently improve the CFR to merit These regulations are discussed more the effort to make the changes and the Regional Offices reviewed the regulations and policy statements fully in Section III of this preamble. The effort required from the industry to agency also seeks comment on some become familiar with the new structure. 1 See the Department of Treasury’s Summary technical modifications to its DATES: Comments must be received on Report on the President’s Regulatory Reform regulations, including changes made to or before October 27, 1995. Initiatives. update cross-references and definitions. 2 ADDRESSES: Send comments to Chief, America’s Community Bankers is a trade association representing 2,000 savings associations Dissemination Branch, Records and community financial institutions and related 3 Section 303 of CDRIA, 12 U.S.C. 4803(a)(1)(A), Management and Information Policy, business firms. (B). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44443 As a third step in this reinvention of subchapters of chapter V of the CFR. If the OTS were drafting its regulations, the agency expects to issue Regulations in former subchapter B (12 regulations on a totally clean slate, the over the next year a series of more CFR 520 et seq.) were promulgated regulations would not be organized as substantive proposals to make more pursuant to the FHLBB’s authority they are now. However, the cost of significant changes in a number of key under the Federal Home Loan Bank Act changing an existing and familiar areas of its regulations, including (FHLBA); regulations in subchapter C structure could exceed the benefit regulations governing lending, (12 CFR 540 et seq.) were promulgated derived from creating a more logical subsidiaries, charter and by-laws, under the FHLBB’s chartering authority organizational structure. As part of the insurance, preemption, and adjustable- for federal savings associations under substantive review of major areas of rate mortgages. Comments received on the Home Owner’s Loan Act (HOLA); OTS regulations such as lending, the organizational changes proposed and regulations in subchapter D (12 CFR subsidiaries, and corporate governance, today will also be considered in each of 560 et seq.) were promulgated under the OTS is considering, and seeks public those more substantive reviews. FHLBB’s authority as operating head of input on, how much restructuring The fourth step in this reinvention is the Federal Savings and Loan Insurance related regulations would help CFR OTS’s participation in the interagency Corporation (FSLIC) under title IV of the users. Some specific types of review of its regulations, along with National Housing Act (NHA) for all reorganization that would cut across those of the other federal banking FSLIC-insured institutions. subject areas are set forth below. agencies, with a view to implementing The Financial Institutions Reform, A. Should OTS Consolidate Common section 303(a)(2) of CDRIA by making Recovery, and Enforcement Act Definitions of General Applicability now regulations and guidance implementing (FIRREA) created the OTS in 1989 and in Parts 541, 561, 563, and 583 in a new common statutory provisions and substantially overhauled the statutes Part 501? supervisory policies more uniform. This governing the regulation of savings review is taking place under the associations. Title IV of the NHA was 1. Background auspices of the Federal Financial repealed and some authorities under Institutions Examination Council. Currently, several subchapters of which the FHLBB had issued OTS’s regulations have definitional Finally, the agency has identified regulations pursuant to the FHLBA and some regulations that would require parts. In the 1989 recodification of title IV of the NHA were transferred to OTS’s regulations, the agency removed statutory changes before the regulation the HOLA, which itself was revised. The could be removed or updated. These duplicative definitions from parts 541 HOLA now serves as the primary include removing the liquidity (definitional part for subchapter C) and statutory authority for OTS regulation of regulation at part 566, which is required 561 (definitional part for subchapter D) all savings associations, regardless of by section 6 of the HOLA, removing the and clarified that definitions in each of charter. requirement that Federal savings those parts applied to both subchapters In October, 1989, OTS, the Federal associations maintain membership in a unless a specific regulation provided Deposit Insurance Corporation (FDIC), Federal Home Loan Bank, which is otherwise. Subchapter F, the regulations required by section 5(f) of the HOLA, and the Federal Housing Finance Board for savings and loan holding companies, and providing additional lending divided up the regulations of the former has its own definitional part, part 583, flexibility under the Qualified Thrift FHLBB and FSLIC among themselves in with some duplicative, some unique, Lender test, which is required by accordance with their new statutory and some slightly different definitions. section 10(m) of the HOLA. The agency responsibilities. In November, 1989, Other parts and sections, such as part has submitted potential legislative OTS published a recodification of its 564 (Appraisals), part 567 (Capital), and changes on these and other burdensome regulations. This recodification reflected § 563.51 (Qualified Thrift Lender), statutory provisions to the Congress. some reorganization of the regulations contain definitions that generally apply into a more user-friendly format, but only to that part or section. Recent OTS II. Request for Comment on Possible because of time constraints did not regulations have included definitions Reorganization of OTS Regulations include a total structural overhaul. for new terms in the revised section, in OTS’s current regulatory structure has From January, 1992 until January, part because this is the common evolved over the years in response to 1993, OTS reviewed and revised its practice at the other banking agencies. sweeping statutory changes and changes regulations with a view to removing Some of these section- or part-specific in policy direction based on the outdated and unnecessary regulations. It regulations have themselves been cross- difference in the general condition and held public hearings in February, 1992 referenced in other sections. For makeup of the thrift industry. When and requested industry comments on example, the agency’s transactions-with- chapter V of the CFR is viewed as a regulations that could be removed or affiliates regulation, 12 CFR 563.41, whole, some subject areas are addressed modified. It published a notice of defines ‘‘subsidiary’’ by referring to in multiple areas of the regulations. For proposed rulemaking in September, § 567.1(dd), the capital regulation, but example, a savings association 1992 and adopted a final regulation in defines ‘‘savings association’’ by considering whether to create a service January, 1993 that removed a number of referring to § 583.21, the definitions corporation or an operating subsidiary obsolete or redundant regulations. The used for savings and loan holding would currently, at a minimum, look at agency did not propose as part of that companies. §§ 545.74, 545.81, 563.37, 563.41, and process to restructure the regulations, 2. Possible Revision 571.21. An institution considering a remove regulations that duplicated merger with another depository statutory authority, or revise regulations The OTS is considering consolidating institution might have to review setting forth certain implied powers. At all definitions used or referenced in regulations in parts 546, 552, and 563. that time, the agency believed that such more than one part or section into a new Historically, OTS’s predecessor changes could result in more confusion part 501. Definitions used only in a agency, the Federal Home Loan Bank than benefit for those subject to OTS particular part or section would remain Board (FHLBB), looked at the source of regulations.4 with that unit. Placing all common statutory authority and charter type of definitions in a new part 501 would affected institutions in organizing 4 See 57 FR 40350 (September 3, 1992). significantly simplify the structure of 44444 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules OTS’s regulations. We expect that it regulations on whether its regulations FHLBB, have generally omitted or may save time for users searching for a would be improved by consolidating all removed regulations that do no more definition and trying to determine the safety-and-soundness-based regulations than repeat statutory language or cite regulations to which the definition into part 563. The purpose of this statutory authority in the course of other applies. It may also minimize confusion consolidation would be to simplify and regulatory burden reduction projects. resulting from duplicative or conflicting streamline the structure of OTS The agency’s view has been that definitions of the same term and reduce regulations, not to impose additional removing duplicative language from the the amount of cross-referencing needed. restrictions on state-chartered regulations can minimize necessary As with any structural change, users institutions. If institutions find the updating when Congress amends a might experience initial confusion until current structure familiar and workable, statute. they became familiar with the new such a consolidation could create an Currently, OTS has specific structure. When OTS did a similar unnecessary burden. The agency is also regulations and portions of regulations consolidation of definitions on a smaller concerned that such a consolidation that repeat statutory language (e.g., scale in 1989, however, no major could be perceived as an attempt to §§ 545.44 (mortgage transactions with problems were reported. increase the regulatory burden on state- the Federal Home Loan Mortgage chartered associations, rather than an Corporation) and 584.3 (transactions B. Should OTS Consolidate the attempt to consolidate requirements with affiliates)). Other regulations repeat Remaining Safety and Soundness applicable to savings associations statutory authority in one paragraph and Regulations in Part 545 Into Part 563? regardless of their charters that are then set limitations on that authority in 1. Background currently scattered in several succeeding paragraphs (e.g., §§ 545.39 subchapters of chapter V. (loans guaranteed under the Foreign In 1989, FIRREA amended both the Assistance Act) and 545.46 (commercial HOLA and the Federal Deposit As part of today’s proposal, the agency is proposing to eliminate a loans)). Insurance Act (FDIA) in a number of b. Implied powers. Some OTS ways that subjected both federally and number of regulations applicable to federal savings associations that merely regulations set forth an implied power state chartered savings associations to of savings associations (a power that is similar requirements. Additional cross-reference or duplicate requirements found in part 563. If OTS incidental to the exercise of powers statutory changes in the Federal Deposit expressly set forth in statutes or Insurance Corporation Improvement Act decided to consolidate the regulations further, it would first review the regulations), such as §§ 545.17 (funds of 1991 (FDICIA) have resulted in more transfer services) and 556.12 (deposit similar authority and safety-and- targeted regulations in part 545 to determine which safety-and-soundness- assurance of direct deposit of Social soundness-based restrictions for state Security payments). Other implied and federally chartered entities. Under based regulations or portions of those regulations originally applicable to powers of savings associations, and section 28 of the FDIA, the type and interpretations of the scope of express amount of activities in which state- federal savings associations were appropriate for all savings associations. statutory powers, have not been codified chartered savings associations may as regulations. Savings associations engage without specific FDIC approval Any remaining restrictions found to be unnecessary would be removed from the must look to legal opinions or regulatory are tied more closely to the types and handbooks for information on these levels of activities permitted for federal regulations before the regulations were consolidated into part 563. powers. This reflects the factually savings associations. specific manner in which issues on As a result of these statutory changes C. Should OTS’s Regulations implied powers are usually first and a general effort by OTS to remove Comprehensively Codify Thrift Powers presented to the agency. OTS’s duplicative regulations and apply or Should OTS Delete Regulations That regulations have never completely regulations consistently to institutions Only Repeat Statutory Authority or set reflected all of savings associations’ regardless of charter type, most new Forth an Implied Power? implied powers or restrictions on these safety-and-soundness-based regulations powers. have been placed in subchapter D, 1. Background usually in part 563. Additionally, over Chapter V of the CFR, where OTS’s 2. Proposed revisions the years a number of regulations found regulations are codified, is inconsistent. OTS is considering which of two in parts 545 and 563 have been written It repeats some, but not all, statutory diametrically opposed approaches to include cross-references to powers and restrictions and some, but might result in a more useful Chapter V. regulations found in the other part. For not all, implied powers and restrictions The first alternative would be to example, definitional parts 541 and 561 on those powers. This has led to include all statutory and implied each already cross-reference their confusion. powers of thrifts in OTS regulations. counterpart. The real estate regulation In discussing regulations with OTS This would create a comprehensive, but for federal savings associations at field personnel, some institutions have significantly longer, regulatory § 545.32 cross-references the agency’s indicated that they believe that chapter document. A truly self-contained general real estate lending regulations at V of the CFR is a self-contained document that includes a complete §§ 563.35(d), 563.100, and 563.101. document. Others, while recognizing recitation of both statutory and implied Similarly, the regulation on high loan- that Chapter V is not currently the sole powers might be a valuable resource, to-value loans by all savings repository of information on thrift but could become quickly outdated as associations found at § 563.37 cross- powers, believe that it would be more statutes are amended. Given the references restrictions found in the useful if it codified all implied and evolving nature of the market for federal savings association regulations statutory powers. Still others believe financial services, a comprehensive at § 545.38. that Chapter V should be simplified by listing of implied powers in the removing all regulations that merely regulations would definitely require 2. Possible Revisions repeat statutory authority. frequent updating. The OTS seeks input from the a. Statutory powers. Over the years, The second alternative would be to industry and other users of its the OTS and its predecessor, the eliminate all regulations that merely Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44445 repeat statutory powers or that list regulatory handbooks. This would communications on implied powers implied powers. Handbooks or legal streamline the CFR and aid in providing usually take the form of legal opinions, opinions would provide a more a more concise and less confusing which are available through complete discussion. This would organizational structure. computerized legal databases that may decrease total CFR pages and streamline Another alternative would be to not be regularly accessed by some the regulations. A variation of this continue to include some policy savings associations. alternative might be to increase specific statements in Chapter V of the CFR The agency has also heard complaints citations to statutory authority in the where the agency believed that this from some users that some of the more regulations but remove repetitions of would be the best vehicle for informal means of communication, such statutory language. A regulation could acquainting savings associations and as press releases, speeches, and CEO set forth the existence of implied other CFR users of the agency’s most letters are not indexed or numbered and powers and the standards used to significant interpretations. The agency are thus more difficult to identify and determine those powers. seeks comments on what criteria would obtain after issuance. Pending public comment on these be most useful in choosing which policy 2. Request for Comment in Developing alternatives, today’s proposal takes a statements to codify, if this approach Possible Revisions middle position. It suggests deletion of were chosen. several regulations that merely refer to The agency is considering, and seeks E. What is the Best Method of statutory authority without any public input on, establishing standards Communicating Different Types of additional regulatory interpretation. for which means of communication Information, Guidance, Policies, Today’s proposal would not, however, would be preferred for particular types Restrictions, and Requirements? remove those regulations that contain of information. Among the criteria that paragraphs setting forth both statutory 1. Background could be used in determining the authority and regulatory restrictions on appropriate method would be: (1) The Savings associations that look only at urgency of communicating the that authority because the OTS seeks the CFR for information on OTS public input on whether this format is information; (2) the audience to be interpretive rules, policies, procedures, reached (both primary and secondary more helpful than burdensome. The and guidance have barely scratched the audiences); (3) whether industry or proposal also neither removes the surface of available materials. New public input must be obtained through regulations listing certain implied issues arise and are addressed in fact- notice and comment rulemaking; and (4) powers of savings associations nor adds specific situations. Some are first whether the situation to be addressed is regulations setting forth other implied presented by a request for a legal evolving, increasing the likelihood for powers. opinion, others through an on-site changes in the agency’s position. The D. Should Policy Statements in Parts examination, others in discussions with agency is also considering whether there 556 and 571 Be Deleted and Recast an interagency task force. OTS also are more ways in which the agency can Either as Regulations or Placed as communicates policy positions via receive and make information available Guidance Placed in the Appropriate Regulatory Handbooks, Transmittals, electronically. Regulatory Handbook? Thrift and Regulatory Bulletins, legal opinions, Letters to Chief Executive III. Proposed Deletions and 1. Background Officers (CEO Letters), preambles to Modifications to Regulations Parts 556 and 571 of the CFR contain regulations, instructions to the Thrift Set forth below are regulations that policy statements adopted by OTS or its Financial Report, press releases, and OTS is proposing to delete because they predecessor agency, the FHLBB, after speeches. are no longer useful. The OTS is also notice and comment rulemaking. The There are vast differences in the types proposing to delete cross-references to original concept behind codifying and time sensitivity of information sections that are being deleted. policy statements in the CFR was to communicated. It is not likely that the A. Regulations To Be Removed or make these agency interpretations and agency could ever adopt just one form Modified Because of Obsolescence or guidance readily available to savings of communication. However, the agency Redundancy associations. Since 1989, however, OTS is striving to keep communications as has been gradually eliminating policy clear, simple, and timely as possible. 1. Recordkeeping statements from these parts and Because not all methods of a. Statements of Condition (562.3). incorporating their substance either into communication reach all of OTS’s The OTS is proposing to remove the regulations after notice and comment audiences equally, confusion has arisen regulation requiring savings associations rulemaking or as guidance in regulatory in some rapidly developing areas. For to publish an annual statement of handbooks. These handbooks are example, OTS sent CEO Letters to condition in a newspaper and to make provided to all savings associations and savings associations notifying them of such ‘‘counter statements’’ available at are available to others by subscription. delays in implementation of the each home and branch office. These The handbooks compile information interest-rate risk component of the requirements have proven burdensome from various sources on current agency capital regulation while the agency and unnecessary. The newspaper interpretations and guidance and developed an appeals process. Law publication requirement was added to contain more detail than the CFR. firms who needed that information in parallel a statutory requirement that preparing disclosure statements national banks publish such statements 2. Possible Revisions discussing capital requirements for of condition. That requirement for One alternative is to review each of those savings associations did not national banks was repealed in 1994. the policy statements currently receive this information directly. Some The Acting Director of OTS waived the appearing in the CFR and determine, discussions on the scope of regulations requirement for savings associations to after notice and comment, whether it appear only in the preamble make such publications in December, should be adopted as a regulation. accompanying those regulations when 1994. Those not adopted as regulations would they are published in the Federal The agency has found that counter be placed as guidance in the appropriate Register, not in the CFR. The agency’s statements are not often used by savings 44446 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules association customers and duplicate part in its entirety because it is 4. Regulations on Savings and Loan information already available. The other unnecessary and may cause confusion. Holding Companies and Affiliates federal banking agencies do not impose By its terms, Regulation E applies to a. Loans and other transactions with a similar requirement on the depository consumer electronic funds transfers at affiliates and subsidiaries (563.41(d)(1)). institutions they regulate. A savings all financial institutions, including The statutory provisions limiting thrifts’ association customer seeking such savings associations. Other regulations full use of the sister bank and thrift information may ask the savings that apply to all financial or depository exemption provisions of sections 23A association for it, or may obtain the institutions are not separately cross- and 23B of the Federal Reserve Act information from the OTS. referenced in OTS’s regulations. expired on December 31, 1994. OTS b. Filing and signature requirements therefore proposes to remove this (563g.5). The OTS proposes to decrease b. Withdrawal requests (545.15). The the required number of copies of an OTS is proposing to remove this section parallel regulatory provision. b. Transactions with affiliates (584.3). offering circular filed in connection because it imposes unnecessary with securities offerings under part 563g restrictions. This section is proposed for deletion to reduce the regulatory burden and c. Issuance of mutual capital because it merely sets forth a statutory associated costs. The number of certificates (545.18); Issuance of net restriction without any regulatory required copies of offering circulars worth certificates (545.19); Borrowing, interpretation or guidance. would be reduced from 25 to 9. issuing obligations and giving security c. Penalty for loss of QTL status (584.6). This section is proposed for (545.20); Employment contracts 2. Policy Statements (556.4, 556.6, deletion because it duplicates the (545.122); Negotiable order of 556.8, 556.9, 556.11, 556.14, 556.15) penalties stated in section 563.52, withdrawal accounts authorized (563.8); which OTS proposes to amend to refer As discussed above in Section II, the and Form, return and maturity of to the statutory penalties. OTS is seeking comment on whether it securities (563.72). These sections are should remove all of its policy proposed for deletion because they 5. Organizational Revisions (Parts 500, statements from the CFR, adopting some either merely repeat that a savings 504, 515, and 529; Sections 510.1, 510.3, as regulations after notice and comment association has the authority to do 543.12, 563d.200.30, and 584.11) and transferring others to guidance. As something that is authorized elsewhere a. Simplification of Part 500. The OTS part of its review, the OTS has or that the activity is subject to identified a number of policy statements is proposing today to simplify part 500, restrictions set forth in other which sets forth its statutory authority that are either outdated, merely reflect regulations. Section 545.18 repeats current business practice, or otherwise and organizational structure. The OTS authority found in section 5(b)(5) of the proposes to delete sections 500.3, 500.4, provide no meaningful guidance beyond HOLA and refers to § 563.74, which that contained in the regulations and 500.5 and incorporate them into the governs all mutual capital certificates general statement of authority at § 500.1. themselves. The agency is proposing to issued by savings associations. Section delete those statements. Section 556.4 Because the current recitation of OTS’s 545.19 repeats authority found in structure is out of date, the OTS (Insurance) duplicates sections 571.4 section 13 of the FDIA. Section 545.20 and 563.35. Section 556.8 (Suretyship) proposes to delete sections 500.11 repeats authority found in section 5(b) through 500.17 and to modify section duplicates section 545.103; section of the HOLA. Section 545.122 556.9 (Imposition of late charges and 500.10 accordingly. The OTS will duplicates section 563.39. Section 563.8 due-on-sale clauses) duplicates the publish a notice setting forth its current repeats authority found in 12 U.S.C. contents of parts 590 and 591; section organizational structure. As that 1832. Section 563.72 merely reiterates 556.11 (Prepayment penalty on structure is modified in the future, that securities approved by OTS under mortgage loans) reiterates section revised notices will be published. other provisions are approved. 545.34(c); and section 556.14 (Chief b. National Security Information (Part executive officer of a branch office) d. Financial futures transactions 504). The OTS proposes to delete part duplicates information found in the (545.136) and Financial options 504 in its entirety. Part 504 was issued model bylaws for Federal mutual transactions (545.137). These sections by the FHLBB, predecessor to the OTS, associations. Section 556.6 (Savings are proposed for deletion because they pursuant to the requirements of subpart accounts) is not totally consistent with merely reiterate that federal savings E of Executive Order 12356, April 2, Regulation DD,5 and is otherwise associations may engage in these types 1982 (Order). The Order applies to the outdated. Section 556.15 (Drive-in and of transactions subject to the limitations Department of the Treasury, which has pedestrian facilities) contains some set forth in 12 CFR Part 563, Subpart F. issued implementing regulations. These outdated provisions and otherwise The agency is separately reviewing regulations apply to the OTS as a merely reiterates common business Subpart F for potential future updating component part of the Treasury practice. and revision. Department. Thus, the OTS proposes to delete this part because it is 3. Operational Regulations e. Limitation on transaction of unnecessary. business (552.2–4). This section is The OTS proposes to remove a c. Use of Penalty Mail in the Location proposed for deletion because it merely number of obsolete or duplicative and Recovery of Missing Children (Part reiterates that part 552 sets forth when regulations addressing a variety of 515). The Department of Justice’s Office companies may engage in business as a operational issues for savings of Juvenile Justice and Delinquency Federal stock association. associations. Prevention guidelines are promulgated a. Electronic Fund Transfers (Part f. Membership in a Federal Home pursuant to the authority of § 3220(a)(1) 533). Part 533 provides that electronic Loan Bank (563.49). This section of title 39 of the United States Code. fund transfers by savings associations expired on April 19, 1995, and, thus, Pursuant to § 3220(a)(2), each are subject to Regulation E, 12 CFR part should be removed. Federal savings ‘‘executive department and independent 205 (1995). OTS proposes to delete this associations are still required to establishment of the Government of the maintain FHLB membership by section United States shall prescribe regulations 5 12 CFR Part 230 (1995). 5(f) of the HOLA and the FHLBA. under which penalty mail sent by such Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44447 department or establishment may be regulations. Delegations of authority are risk weight category, such sovereign used in conformance with the now contained in Director’s Orders and debt must not have been restructured in guidelines prescribed under paragraph do not need to be codified in regulation. the previous five years. For purposes of (1).’’ As a component of the Treasury Therefore, OTS proposes to remove this rule, an event of restructuring of Department, rather than itself an these regulations and issue the external sovereign debt generally would executive department or independent appropriate delegations in Director’s include renegotiations of terms arising establishment, the OTS is subject to any Orders. from the country’s inability or regulations Treasury may adopt on this h. Hearings (584.11). This regulation unwillingness to meet its external debt topic. Accordingly, OTS proposes to applies to hearings on applications to service obligations. Renegotiations of remove part 515. the OTS regarding savings and loan debt in the normal course of business d. Nondiscrimination in Federally holding companies. The OTS is generally do not indicate transfer risk of Assisted Programs (Part 529). The preparing a Thrift Bulletin setting forth the kind that would preclude an OECD- purpose of part 529 was to effectuate the the agency’s current procedures for based country from qualifying for lower provisions of title VI of the Civil Rights hearings or other appeals on all types of risk-weight treatment. One example of Act of 1964, which prohibits, among applications. Accordingly, the OTS such a routine renegotiation would be a other things, discrimination in programs proposes to remove § 584.11. renegotiation to allow the borrower to and activities receiving federal B. Other Technical Amendments take advantage of a change in market assistance. The OTS is not authorized to conditions, such as a decline in interest extend any federal financial assistance 1. Definition of Unimpaired Capital and rates. to any program or activity. Unimpaired Surplus (563.41 and This part was initially adopted by the 563.43) IV. Executive Order 12866 FHLBB. The FHLBB established a In March, 1995, the OTS revised its The Director of the OTS has Housing Opportunity Allowance definition of ‘‘unimpaired capital and determined that this proposed rule does Program in the early 1970’s that unimpaired surplus’’ for purposes of its not constitute a ‘‘significant regulatory provided federal assistance through the loans-to-one-borrower regulation 6, 12 action’’ for the purposes of Executive Federal Home Loan Banks to provide CFR 563.93, to follow the newly revised Order 12866. housing for low- and middle-income definition of ‘‘capital and surplus’’ V. Regulatory Flexibility Act Analysis families. That program effectively promulgated by the Office of the ceased to exist in 1978. Thus, part 529 Comptroller of the Currency (OCC) 7 for Pursuant to section 605(b) of the is unnecessary and the OTS proposes to its lending limits regulation. Recently, Regulatory Flexibility Act, the OTS delete it. the Board of Governors of the Federal certifies that this proposal will not have e. Miscellaneous Organizational Reserve System has proposed to adopt a significant economic impact on a Regulations (Sections 510.1, 510.3). the OCC definition of capital and substantial number of small entities. Section 510.1 sets forth agency policy surplus for its insider lending The proposal does not impose any on ex parte communications in regulations at Regulation O.8 To reduce additional burdens or requirements contested applications. Section 510.1 is confusion, OTS is today proposing to upon small entities and lowers several proposed for deletion because it is adopt the same definition of paperwork and other burdens on all confusing, not consistent with the ‘‘unimpaired capital and surplus’’ for savings associations. Administrative Procedure Act (APA), transactions with affiliates and insider and does not reflect current agency lending regulations as it adopted for the VI. Unfunded Mandates Act of 1995 policy. This proposed deletion would loans-to-one-borrower regulation. This The OTS has determined that the not affect ex parte communications in will make these regulations consistent requirements of this proposed rule will adjudicative proceedings under the with the proposed change to the Federal not result in expenditures by State, APA, which are governed by part 509. Reserve Board definition. local, and tribal governments, or by the OTS will review the procedures private sector, of more than $100 currently contained in § 510.1 and 2. Definition of Organization of million in any one year. Accordingly, a transfer any remaining relevant Economic Cooperation and budgetary impact statement is not provisions to the Applications Development (OECD)-based country required under section 202 of the Processing Handbook. The OTS also (567.1(p)) Unfunded Mandates Act of 1995. proposes to delete section 510.3 because The other federal banking agencies it is unnecessary. The section simply have proposed to modify the definition List of Subjects repeats the obvious: organizational of ‘‘OECD-based country’’ in their 12 CFR Part 500 regulations of the OTS are to be read as capital regulations and guidelines to a whole with other regulations of the reflect a new standard for when the Organization and functions agency. sovereign debt of a country would (Government agencies). f. Bank Insurance Fund-insured qualify for the lowest risk-weight 12 CFR Part 504 Federal savings banks (543.12). This category under the risk-based capital regulation merely repeats OTS’s regulations.9 This proposed change is Classified information. statutory authority under section 5(o) of identical to that proposed by the other 12 CFR Part 510 the HOLA to issue a Federal charter to agencies. It would add a requirement a former state-chartered savings bank that in order to qualify for the lowest Administrative practice and that will maintain its deposit insurance procedure. by the Bank Insurance Fund. OTS 6 60 FR 15861 (March 28, 1995), amending 12 12 CFR Part 515 proposes to delete the regulation. CFR 563.93(b)(11). g. Delegation of authority to the Chief 7 See 60 FR 8526 (February 15, 1995). Infants and children, Postal service. Counsel (563d.200–30 and 563g.22). In 8 60 FR 19869 (April 20, 1995). 9 12 CFR Part 529 order to provide greater organizational For a more complete discussion of the background for this proposed change, see the flexibility, the OTS has been removing proposed rule published by the OCC at 54 FR 45243 Administrative practice and specific delegations of authority from its (September 1, 1994). procedure, Civil rights. 44448 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 12 CFR Part 533 V, title 12, Code of Federal Regulations, PART 543ÐINCORPORATION, as set forth below. Consumer protection, Electronic ORGANIZATION, AND CONVERSION OF FEDERAL MUTUAL funds transfers, Savings associations. SUBCHAPTER A—ORGANIZATION AND PROCEDURES ASSOCIATIONS 12 CFR Part 543 11. The authority citation for part 543 Reporting and recordkeeping PART 500ÐORGANIZATION AND continues to read as follows: requirements, Savings associations. CHANNELLING OF FUNCTIONS Authority: 12 U.S.C. 1462, 1462a, 1463, 12 CFR Part 545 1. The authority citation for part 500 1464, 1467a, 2901 et seq. Accounting, Consumer protection, continues to read as follows: §§ 543.12±543.13 [Removed] Credit, Electronic funds transfers, Authority: 12 U.S.C. 1462a, 1463, 1464. 12. Sections 543.12 and 543.13 are Investments, Manufactured homes, removed. Mortgages, Reporting and recordkeeping § 501.1 [Amended] requirements, Savings associations. PART 545ÐOPERATIONS §§ 500.3±500.5 [Removed] 12 CFR Part 552 13. The authority citation for part 545 2. The existing text of § 500.1 is continues to read as follows: Reporting and recordkeeping designated as paragraph (a), the existing requirements, Savings associations, texts of §§ 500.3, 500.4 and 500.5 are Authority: 12 U.S.C. 1462a, 1463, 1464, 1828. Securities. redesignated as paragraphs (b), (c) and 12 CFR Part 556 (d), respectively, of § 500.1, and §§ 545.15, 545.18±545.20, 545.44, 545.122, §§ 500.3, 500.4, and 500.5 are removed. 545.136±545.137 [Removed] Savings associations. 3. Section 500.10 is amended by 14. Sections 545.15, 545.18 through 12 CFR Part 562 adding two new sentences at the end of 545.20, 545.44, 545.122, 545.136 and 545.137 are removed. Accounting, Reporting and the section to read as follows: recordkeeping requirements, Savings § 500.10 The OTS or The Office. PART 552ÐINCORPORATION, associations. ORGANIZATION, AND CONVERSION ** * The Director directs and carries OF FEDERAL STOCK ASSOCIATIONS 12 CFR Part 563 out the mission of the OTS with the Accounting, Advertising, Crime, assistance of offices reporting directly to 15. The authority citation for part 552 Currency, Flood insurance, Investments, him. One of these offices oversees the continues to read as follows: Mortgages, Reporting and recordkeeping direct examination and supervision of Authority: 12 U.S.C. 1462, 1462a, 1463, requirements, Savings associations, savings associations by regulatory staff 1464, 1467a. Securities, Surety bonds. to ensure the safety and soundness of the industry. § 552.2±4 [Removed] 12 CFR Part 563d 16. Section 552.2–4 is removed. §§ 500.11±500.17 [Removed] Authority delegations (Government § 552.6±2 [Amended] agencies), Reporting and recordkeeping 4. Sections 500.11 through 500.17 are 17. Section 552.6–2 is amended by requirements, Savings associations, removed. removing the phrase ‘‘§ 545.122 of this Securities. subchapter’’ in paragraph (b), and by PART 504Ð[REMOVED] 12 CFR Part 563g adding in lieu thereof the phrase ‘‘§ 563.39 of this chapter’’. Reporting and recordkeeping 5. Part 504 is removed. requirements, Savings associations, PART 556ÐSTATEMENTS OF POLICY Securities. PART 510ÐMISCELLANEOUS ORGANIZATIONAL REGULATIONS 18. The authority citation for part 556 12 CFR Part 567 continues to read as follows: Capital, Savings associations. 6. The authority citation for part 510 Authority: 5 U.S.C. 552, 559; 12 U.S.C. continues to read as follows: 1464, 1701j–3; 15 U.S.C. 1693–1693r. 12 CFR Part 571 Authority: 5 U.S.C. 301; 12 U.S.C. 1462a, §§ 556.4, 556.6, 556.8±556.9, 556.11, 556.14± Accounting, Conflicts of interest, 1463, 1464. 556.15 [Removed] Investments, Reporting and 19. Sections 556.4, 556.6, 556.8 recordkeeping requirements, Savings § 510.3 [Removed] through 556.9, 556.11, and 556.14 associations. 7. Section 510.3 is removed. through 556.15 are removed. 12 CFR Part 583 PART 515Ð[REMOVED] PART 562ÐREGULATORY Holding companies, Savings REPORTING STANDARDS associations. 8. Part 515 is removed. 20. The authority citation for part 562 12 CFR Part 584 SUBCHAPTER B—CONSUMER-RELATED continues to read as follows: REGULATIONS Administrative practice and Authority: 12 U.S.C. 1463. procedure, Holding companies, PART 529Ð[REMOVED] Reporting and recordkeeping § 562.3 [Removed] requirements, Savings associations, 21. Section 562.3 is removed. 9. Part 529 is removed. Securities. PART 563ÐOPERATIONS Accordingly, and under the authority PART 533Ð[REMOVED] of 12 U.S.C. 1462a, the Office of Thrift 22. The authority citation for part 563 Supervision proposes to amend chapter 10. Part 533 is removed. continues to read as follows: Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44449 Authority: 12 U.S.C. 375b, 1462, 1462a, § 563d.200±30 [Removed] any OECD country which has 1463, 1464, 1467a, 1468, 1817, 1828, 3806; 29. Section 563d.200–30 is removed. rescheduled its external sovereign debt 42 U.S.C. 4106. in the previous five years. These PART 563gÐSECURITIES OFFERINGS §§ 563.8, 563.49, 563.72 [Removed] countries are hereinafter referred to as OECD countries. *** 23. Sections 563.8, 563.49 and 563.72 30. The authority citation for part are removed. 563g continues to read as follows: * * * * * 24. Section 563.41 is amended by Authority: 12 U.S.C. 1462a, 1463, 1464; 15 PART 571ÐSTATEMENTS OF POLICY removing the period at the end of U.S.C. 78c(b), 78l, 78m, 78n, 78p, 78w. paragraph (b)(10)(iv) and adding a 31. Section 563g.5 is amended by semicolon in its place, by adding 35. The authority citation for part 571 revising paragraphs (b)(1) and (b)(2) to paragraph (b)(11), by removing continues to read as follows: read as follows: paragraph (d)(1), by redesignating Authority: 5 U.S.C. 552, 559; 12 U.S.C. paragraphs (d)(2) through (d)(7) as § 563g.5 Filing and signature 1462a, 1463, 1464. paragraphs (d)(1) through (d)(6), requirements. § 571.24 [Amended] respectively, and by removing the * * * * * phrase ‘‘After January 1, 1995, any’’ in (b) Number of copies. (1) Unless 36. Section 571.24 is amended by the introductory text of newly otherwise required, any filing under this removing the phrase ‘‘parts 528 and designated paragraph (d)(1) and adding part shall include nine copies of the 529’’ in paragraph (a), and by adding in the word ‘‘Any’’ in its place, to read as document to be filed with the OTS, as lieu thereof the phrase ‘‘part 528’’. follows: follows: (i) Seven copies, which shall include PART 583ÐDEFINITIONS § 563.41 Loans and other transactions with affiliates and subsidiaries. one manually signed copy with exhibits, three conformed copies with exhibits, 37. The authority citation for part 583 * * * * * and three conformed copies without is revised to read as follows: (b) * * * exhibits, to the Dissemination Branch, (11) The term capital stock and Authority: 12 U.S.C. 1462, 1462a, 1463, Records Management and Information 1464, 1467a, 1468. surplus of the savings association means Policy; and ‘‘unimpaired capital and unimpaired (ii) Two copies, which shall include § 583.17 [Amended] surplus’’ as defined at § 563.93(b)(11) of one manually signed copy with exhibits 38. Section 583.17 is amended by this part. and one conformed copy, without removing the phrase ‘‘§ 584.6 of this * * * * * exhibits, to the Regional Director. (2) Within five days after the effective subchapter’’, and by adding in lieu § 563.42 [Amended] date of an offering circular or the thereof the phrase ‘‘12 U.S.C. 25. Section 563.42 is amended by commencement of a public offering after 1467a(m)’’. removing the phrase ‘‘§ 563.41, any the effective date, whichever occurs PART 584ÐREGULATED ACTIVITIES bank, any savings association in a later, nine copies of the offering circular structure qualifying under § 563.41(d)(1) used shall be filed with the OTS, as of this part or, after January 1, 1995,’’ in 39. The authority citation for part 584 follows: seven copies to the continues to read as follows: paragraph (d)(1), and by adding in lieu Dissemination Branch, Records thereof the phrase ‘‘§ 563.41 of this part, Management and Information Policy, Authority: 12 U.S.C. 1462, 1462a, 1463, any bank, or’’. and two copies to the Regional Director. 1464, 1467a, 1468. 26. Section 563.43 is amended by * * * * * adding paragraph (f) to read as follows: § 584.2a [Amended] § 563g.22 [Removed] § 563.43 Loans by savings associations to 40. Section 584.2a is amended by their executive officers, directors and 32. Section 563g.22 is removed. removing the phrase ‘‘§ 584.6 of this principal shareholders. subchapter’’ in paragraph (a)(2), and by PART 567ÐCAPITAL * * * * * adding in lieu thereof the phrase ‘‘12 (f) References to the term 33. The authority citation for part 567 U.S.C. 1467a(m)’’. ‘‘unimpaired capital and unimpaired continues to read as follows: § 584.2±1 [Amended] surplus’’ shall be deemed to refer to Authority: 12 U.S.C. 1462, 1462a, 1463, ‘‘unimpaired capital and unimpaired 1464, 1467a, 1828 (note). 41. Section 584.2–1 is amended by surplus’’ as defined at § 563.93(b)(11) of removing the phrase ‘‘§ 584.3 of this this part. 34. Section 567.1 is amended by part’’ where it appears in paragraphs revising the first two sentences of (b)(2) and (b)(3) introductory text, and § 563.52 [Amended] paragraph (p) to read as follows: by adding in lieu thereof the phrase ‘‘12 27. Section 563.52 is amended by § 567.1 Definitions. U.S.C. 1467a(m)’’. removing the phrase ‘‘§ 584.6 of this chapter’’ in paragraph (b), and by * * * * * §§ 584.3, 584.6, 584.11 [Removed] (p) OECD-based country. The term adding in lieu thereof the phrase ‘‘12 42. Sections 584.3, 584.6 and 584.11 U.S.C. 1467a(m)’’. OECD-based country means a member of the grouping of countries that are full are removed. PART 563dÐSECURITIES OF members of the Organization of Dated: August 21, 1995. SAVINGS ASSOCIATIONS Economic Cooperation and By the Office of Thrift Supervision. Development, plus countries that have 28. The authority citation for part concluded special lending arrangements Jonathan L. Fiechter, 563d is revised to read as follows: with the International Monetary Fund Acting Director. Authority: 12 U.S.C. 1462a, 1463, 1464; 15 (IMF) associated with the IMF’s General [FR Doc. 95–21160 Filed 8–25–95; 8:45 am] U.S.C. 78c(b), 78l, 78m, 78n, 78w, 78d–1. Arrangements to Borrow, but excludes BILLING CODE 6720±01±P 44450 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules DEPARTMENT OF TRANSPORTATION SUPPLEMENTARY INFORMATION: dim to an unacceptable level when Comments Invited normal electrical power is lost. The Federal Aviation Administration cause of the unacceptable level of Interested persons are invited to lighting has been attributed to the 14 CFR Part 39 participate in the making of the design of the standby instrument proposed rule by submitting such lighting system. [Docket No. 95±NM±76±AD] written data, views, or arguments as If normal electrical power is lost or they may desire. Communications shall turned off as a result of fire or smoke in Airworthiness Directives; Beech Model identify the Rules Docket number and the cockpit, the standby instrument 400, 400A, and 400T (Military T±1A) be submitted in triplicate to the address lighting system could fail to adequately Airplanes specified above. All communications illuminate the standby instrument. received on or before the closing date Lighting of the standby airspeed AGENCY: Federal Aviation for comments, specified above, will be indicator, standby altimeter indicator, Administration, DOT. considered before taking action on the and standby attitude indicator may not ACTION: Notice of proposed rulemaking proposed rule. The proposals contained be adequate for the pilot to discern (NPRM). in this notice may be changed in light during an emergency procedure. of the comments received. The FAA has reviewed and approved SUMMARY: This document proposes the Comments are specifically invited on Beechcraft Service Bulletin 2563, dated adoption of a new airworthiness the overall regulatory, economic, February 1995, which describes directive (AD) that is applicable to environmental, and energy aspects of procedures for modification of the certain Beech Model 400, 400A, and the proposed rule. All comments standby instrument lighting system. The 400T (military T–1A) airplanes. This submitted will be available, both before modification will ensure that the proposal would require modification of and after the closing date for comments, standby instrument lights are fully the standby instrument lighting system. in the Rules Docket for examination by illuminated in the event of loss of This proposal is prompted by a report interested persons. A report normal electrical power. that, due to the design of the standby summarizing each FAA-public contact Since an unsafe condition has been instrument lighting system, the lighting concerned with the substance of this identified that is likely to exist or for the standby instruments dimmed to proposal will be filed in the Rules develop on other products of this same an unacceptable level when the main Docket. type design, the proposed AD would electrical power was turned off. The Commenters wishing the FAA to require modification of the standby actions specified by the proposed AD acknowledge receipt of their comments instrument lighting system. The actions are intended to ensure that the standby submitted in response to this notice would be required to be accomplished instrument lighting system adequately must submit a self-addressed, stamped in accordance with the service bulletin illuminates the standby instrument, if postcard on which the following described previously. normal electrical power is lost or is statement is made: ‘‘Comments to As a result of recent communications turned off as a result of fire or smoke in Docket Number 95–NM–76–AD.’’ The with the Air Transport Association the cockpit. postcard will be date stamped and (ATA) of America, the FAA has learned DATES: Comments must be received by returned to the commenter. that, in general, some operators may October 10, 1995. misunderstand the legal effect of AD’s Availability of NPRMs on airplanes that are identified in the ADDRESSES: Submit comments in Any person may obtain a copy of this applicability provision of the AD, but triplicate to the Federal Aviation NPRM by submitting a request to the that have been altered or repaired in the Administration (FAA), Transport FAA, Transport Airplane Directorate, area addressed by the AD. The FAA Airplane Directorate, ANM–103, ANM–103, Attention: Rules Docket No. points out that all airplanes identified in Attention: Rules Docket No. 95–NM– 95–NM–76–AD, 1601 Lind Avenue, the applicability provision of an AD are 76–AD, 1601 Lind Avenue, SW., SW., Renton, Washington 98055–4056. legally subject to the AD. If an airplane Renton, Washington 98055–4056. has been altered or repaired in the Comments may be inspected at this Discussion affected area in such a way as to affect location between 9:00 a.m. and 3:00 The FAA has received a report compliance with the AD, the owner or p.m., Monday through Friday, except indicating that, during evaluation operator is required to obtain FAA Federal holidays. checks of the cockpit lighting of Beech approval for an alternative method of The service information referenced in Model 400 airplanes, the lighting for the compliance with the AD, in accordance the proposed rule may be obtained from standby instruments (airspeed indicator, with the paragraph of each AD that Beech Aircraft Corporation, Commercial altimeter indicator, and attitude provides for such approvals. A note has Service Department, P.O. Box 85, indicator) dimmed to an unacceptable been included in this notice to clarify Wichita, Kansas 67201–0085. This level when the main electrical power this long-standing requirement. information may be examined at the was turned off. There are approximately 189 Model FAA, Transport Airplane Directorate, During normal operations, the 400, 400A, and 400T airplanes of the 1601 Lind Avenue, SW., Renton, internal lighting for the standby affected design in the worldwide fleet. Washington. instruments is provided through the The FAA estimates that 189 airplanes of FOR FURTHER INFORMATION CONTACT: dimming control of the pilot’s U.S. registry would be affected by this Harvey Nero, Aerospace Engineer, instrument panel. If normal electrical proposed AD, that it would take Systems and Propulsion Branch, ACE– power is lost, the lighting power is then approximately 6 work hours per 116W, FAA, Wichita Aircraft provided through the dimming control airplane to accomplish the proposed Certification Office, Small Airplane of the co-pilot’s instrument panel. actions, and that the average labor rate Directorate, 1801 Airport Road, Room Investigation has revealed that setting is $60 per work hour. The cost of the 100, Mid-Continent Airport, Wichita, the dimming control of the co-pilot’s required parts could range from $21 to Kansas 67209; telephone (316) 946– instrument panel to the dim position as much as $471 per airplane. Based on 4137; fax (316) 946–4407. could cause the standby instruments to these figures, the total cost impact of the Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44451 proposed AD on U.S. operators is numbers RK–1 through RK–80 inclusive; and DEPARTMENT OF HEALTH AND estimated to be between $72,009 (or 400T (military T–1A) airplanes, serial HUMAN SERVICES $381 per airplane) and $157,059 (or numbers TT–1 through TT–108 inclusive; $831 per airplane). certificated in any category. The total cost impact figure discussed Note 1: This AD applies to each airplane Food and Drug Administration above is based on assumptions that no identified in the preceding applicability operator has yet accomplished any of provision, regardless of whether it has been 21 CFR Part 898 the proposed requirements of this AD modified, altered, or repaired in the area action, and that no operator would subject to the requirements of this AD. For accomplish those actions in the future if airplanes that have been modified, altered, or this AD were not adopted. repaired so that the performance of the [Docket No. 94N±0078] The regulations proposed herein requirements of this AD is affected, the would not have substantial direct effects owner/operator must use the authority Medical Devices; Proposed on the States, on the relationship provided in paragraph (b) to request approval Performance Standards for Electrode between the national government and from the FAA. This approval may address Lead Wires; Correction the States, or on the distribution of either no action, if the current configuration power and responsibilities among the eliminates the unsafe condition; or different various levels of government. Therefore, actions necessary to address the unsafe AGENCY: Food and Drug Administration, in accordance with Executive Order condition described in this AD. Such a HHS. 12612, it is determined that this request should include an assessment of the proposal would not have sufficient effect of the changed configuration on the federalism implications to warrant the unsafe condition addressed by this AD. In no ACTION: Proposed rule; correction. preparation of a Federalism Assessment. case does the presence of any modification, For the reasons discussed above, I alteration, or repair remove any airplane from certify that this proposed regulation (1) the applicability of this AD. SUMMARY: is not a ‘‘significant regulatory action’’ The Food and Drug Compliance: Required as indicated, unless Administration (FDA) is correcting a under Executive Order 12866; (2) is not accomplished previously. a ‘‘significant rule’’ under the DOT proposal that appeared in the Federal To ensure that the standby instrument Register of June 21, 1995 (60 FR 32406). Regulatory Policies and Procedures (44 lighting system adequately illuminates the That document proposed to establish a FR 11034, February 26, 1979); and (3) if standby instrument, if normal electrical promulgated, will not have a significant power is lost or is turned off as a result of performance standard for electrode lead economic impact, positive or negative, a fire or smoke in the cockpit, accomplish the wires. The agency inadvertently on a substantial number of small entities following: designated a part number that was used under the criteria of the Regulatory (a) Within 200 hours time-in-service after in another rulemaking. This document Flexibility Act. A copy of the draft the effective date of this AD, modify the corrects that error. regulatory evaluation prepared for this standby instrument lighting system in action is contained in the Rules Docket. accordance with Beechcraft Service Bulletin FOR FURTHER INFORMATION CONTACT: A copy of it may be obtained by 2563, dated February 1995. Marquita B. Steadman, Center for contacting the Rules Docket at the (b) An alternative method of compliance or Devices and Radiological Health (HFZ– location provided under the caption adjustment of the compliance time that 84), Food and Drug Administration, ADDRESSES. provides an acceptable level of safety may be 2094 Gaither Rd., Rockville, MD 20850, used if approved by the Manager, Wichita List of Subjects in 14 CFR Part 39 301–594–4765, ext. 145. Aircraft Certification Office (ACO), FAA, Air transportation, Aircraft, Aviation Small Airplane Directorate. Operators shall SUPPLEMENTARY INFORMATION: FR Doc. safety, Safety. submit their requests through an appropriate 95–15086 appearing on page 32406 in The Proposed Amendment FAA Principal Maintenance Inspector, who the Federal Register of June 21, 1995, is may add comments and then send it to the corrected as follows: Accordingly, pursuant to the Manager, Wichita ACO. authority delegated to me by the 1. On page 32406, in the first column, Administrator, the Federal Aviation Note 2: Information concerning the in the heading, the CFR citation ‘‘897’’ existence of approved alternative methods of Administration proposes to amend part is corrected to read ‘‘898’’. compliance with this AD, if any, may be 39 of the Federal Aviation Regulations 2. On page 32415, in the third (14 CFR part 39) as follows: obtained from the Wichita ACO. (c) Special flight permits may be issued in column, ‘‘21 CFR Part 897’’ is corrected PART 39ÐAIRWORTHINESS accordance with sections 21.197 and 21.199 to read ‘‘21 CFR Part 898’’. DIRECTIVES of the Federal Aviation Regulations (14 CFR 3. On page 32417, in the first column, 21.197 and 21.199) to operate the airplane to amendatory instruction ‘‘3’’ is corrected 1. The authority citation for part 39 a location where the requirements of this AD continues to read as follows: to read ‘‘3. New part 898 is added to can be accomplished. read as follows:’’. Authority: 49 USC 106(g), 40101, 40113, Issued in Renton, Washington, on August 4. On page 32417, in the first column, 44701. 22, 1995. part 897 is correctly designated as part § 39.13 [Amended] Darrell M. Pederson, 898. 2. Section 39.13 is amended by Acting Manager, Transport Airplane adding the following new airworthiness Directorate, Aircraft Certification Service. Dated: August 21, 1995. directive: [FR Doc. 95–21257 Filed 8–25–95; 8:45 am] William K. Hubbard, Beech Aircraft Corporation: Docket 95–NM– BILLING CODE 4910±13±U Acting Deputy Commissioner for Policy. 76–AD. [FR Doc. 95–21226 Filed 8–25–95; 8:45 am] Applicability: Model 400 airplanes, serial BILLING CODE 4160±01±F number RJ–61; 400A airplanes, serial 44452 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules ENVIRONMENTAL PROTECTION Division, U.S. Environmental Protection Agency, Air and Radiation Branch (AT– AGENCY Agency, Region III, 841 Chestnut 082), 1200 Sixth Avenue, Seattle Building, Philadelphia, Pennsylvania Washington, 98101. 40 CFR Part 52 19107; and the Delaware Department of FOR FURTHER INFORMATION CONTACT: Natural Resources & Environmental [DC24±1±6793b; FRL±5271±2] Steven K. Body, 206–553–0782, Air and Control, District of Columbia Radiation Branch (AT–082), Approval and Promulgation of Air Department of Consumer and Environmental Protection Agency, 1200 Quality Implementation Plans; District Regulatory Affairs, 2100 Martin Luther Sixth Avenue, Seattle, Washington, of ColumbiaÐProposed Recodification King Avenue, SE., Washington, DC 98101. of the District's Air Pollution Control 20020. SUPPLEMENTARY INFORMATION: Regulations FOR FURTHER INFORMATION CONTACT: Harold A. Frankford, (215) 597–1325. I. Background AGENCY: Environmental Protection SUPPLEMENTARY INFORMATION: See the Agency (EPA). A. CAA Requirements Concerning information provided in the Direct Final Designation and Classification ACTION: Proposed rule. action of the same title pertaining to the Areas meeting the requirements of SUMMARY: EPA proposes to approve the recodification of the District of section 107(d)(4)(B) of the Act 1 were State Implementation Plan (SIP) Columbia’s air pollution control designated nonattainment for PM–10 by revision submitted by the District of regulations which is located in the operation of law and classified Columbia. This proposed revision Rules and Regulations Section of this ‘‘moderate’’ upon enactment of the 1990 consists of a revised format for the Federal Register. Clean Air Act Amendments. See District’s air pollution control List of Subjects in 40 CFR Part 52 generally Section 107(d)(4)(B). These regulations. Except as otherwise Environmental protection, Air areas included all former Group I PM– indicated, the proposed changes are pollution control, Carbon monoxide, 10 planning areas identified in 52 FR administrative in nature, and do not Incorporation by reference, 29383 (August 7, 1987), as further substantively revise the current SIP. The Intergovernmental relations, Nitrogen clarified in 55 FR 45799 (October 31, intended effect of this proposed action dioxide, Ozone, Particulate matter, 1990), and any other areas violating the is to ensure that the District of Reporting and recordkeeping National Ambient Air Quality Standards Columbia’s current regulatory requirements, Sulfur Oxides. (NAAQS) for PM–10 prior to January 1, numbering format and the District of 1989.2 A Federal Register notice Columbia SIP numbering format are Authority: 42 U.S.C. 7401–7671q. announcing the areas designated consistent with each other. This Dated: July 18, 1995. nonattainment for PM–10 upon proposed action is being taken in W. Michael McCabe, enactment of the 1990 Amendments, accordance with section 110 of the Regional Administrator, Region III. known as ‘‘initial’’ PM–10 Clean Air Act. [FR Doc. 95–20986 Filed 8–25–95; 8:45 am] nonattainment areas, was published on In the Final Rules section of this BILLING CODE 6560±50±P March 15, 1991 (56 FR 11101), and a Federal Register, EPA is approving the subsequent Federal Register notice District’s SIP revision as a direct final correcting the description of some of rule without prior proposal because the 40 CFR Part 81 those areas was published on August 8, Agency views this as a noncontroversial 1991 (56 FR 37654). See 56 FR 56694 SIP revision and anticipates no adverse [ID±5±2±7075; FRL±5284±7] (November 6, 1991) and 40 CFR 81.313 comments. A detailed rationale for the Clean Air Act Promulgation of (for codified air quality designations approval is set forth in the direct final Reclassification of PM±10 and classifications in the State of Idaho). rule. If no adverse comments are Nonattainment Areas in Idaho All initial moderate PM–10 received in response to this proposed nonattainment areas have the same rule, no further activity is contemplated AGENCY : Environmental Protection applicable attainment date of December in relation to this rule. If EPA receives Agency (EPA). 31, 1994. adverse comments, the direct final rule ACTION: Notice of proposed rule. will be withdrawn and all public States containing initial moderate comments received will be addressed in SUMMARY: This action identifies those PM–10 nonattainment areas were a subsequent final rule based on this nonattainment areas in the State of required to develop and submit to EPA proposed rule. EPA will not institute a Idaho which have failed to attain the by November 15, 1991, a SIP revision second comment period on this action. National Ambient Air Quality Standards providing for, among other things, Any parties interested in commenting (NAAQS) for particulate matter with an implementation of reasonably available on this action should do so at this time. aerodynamic diameter of less than or control measures (RACM), including equal to ten micrometers (PM–10) by the reasonably available control technology DATES: Comments must be received in (RACT), and a demonstration either that writing by September 27, 1995. applicable attainment date. This action also proposes to grant a one-year the plan would provide for attainment ADDRESSES: Written comments on this of the PM–10 NAAQS by December 31, action should be addressed to Marcia L. extension of the attainment date for the Power-Bannock Counties PM–10 1994 or that attainment by that date was Spink, Associate Director, Air Programs, impracticable. See Section 189(a). Air, Radiation, and Toxics Division nonattainment area and the Sandpoint PM–10 nonattainment area in Idaho. (3AT00), U.S. Environmental Protection 1 The 1990 Amendments to the Clean Air Act Agency, Region III, 841 Chestnut DATES: Comments on this proposed made significant changes to the Act. See Public Law Building, Philadelphia, Pennsylvania action must be received in writing by No. 101–549, 104 Stat. 2399. References herein are 19107. Copies of the documents relevant September 27, 1995. to the Clean Air Act as amended (‘‘Act’’ or ‘‘CAA’’), which is codified at 42 U.S.C. 7401 et seq. ADDRESSES: to this action are available for public Written comments should 2 Many of these other areas were identified in inspection during normal business be addressed to: Montel Livingston, SIP footnote 4 of the October 31, 1990 Federal Register hours at the Air, Radiation, and Toxics Manager, Environmental Protection notice. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44453 B. Attainment Determinations two ways. First, EPA has general areas, EPA examines, in addition to the All PM–10 areas designated discretion to reclassify a moderate PM– two statutory criteria discussed above, nonattainment pursuant to section 10 area to serious if at any time EPA the air quality planning progress made 107(d)(4)(B) of the Act were initially determines the area cannot practicably in the moderate area. See November 14, classified ‘‘moderate’’ by operation of attain the PM–10 standard by the 1994 Memorandum from Sally L. law upon enactment of the 1990 Clean applicable attainment date. See Section Shaver, Director, Air Quality Strategies Air Act Amendments. See Section 188(b)(1). EPA bases its decisions to and Standards Division entitled 188(a). Pursuant to sections 179(c) and reclassify an area as serious before the ‘‘Criteria for Granting 1-Year Extensions 188(b)(2) of the Act, EPA has the attainment date on special facts or of Moderate PM–10 Nonattainment Area circumstances related to the affected responsibility of determining within six Attainment Dates, Making Attainment nonattainment area which demonstrate months of the December 31, 1994, Determinations, and Reporting on that the area cannot practicably attain attainment date whether PM–10 Quantitative Milestones.’’ EPA is the standard by the applicable nonattainment areas have attained the disinclined to grant an attainment date attainment date. extension unless a State has, in NAAQS. Determinations under section Second, under section 188(b)(2) of the substantial part, addressed its moderate 179(c)(1) of the Act are to be based upon Act, a moderate area will be reclassified PM–10 nonattainment area planning an area’s ‘‘air quality as of the as serious by operation of law if EPA attainment date.’’ Section 188(b)(2) is finds that the area is not in attainment obligations. In order to determine consistent with this requirement. by the applicable attainment date. whether the State has substantially met Generally, EPA will determine whether Pursuant to section 188(b)(2)(B) of the these planning requirements, EPA an area’s air quality is meeting the PM– Act, EPA must publish a Federal reviews the State’s application for the 10 NAAQS for purposes of section Register notice within six months after attainment date extension to determine 179(c)(1) and 188(b)(2) based upon data the applicable attainment date whether the State has: (1) Adopted and gathered at established State and Local identifying those areas which have substantially implemented control Air Monitoring Stations (SLAMS) in the failed to attain the standard and are measures that represent RACM/RACT in nonattainment area and entered into the reclassified to serious by operation of the moderate nonattainment area; and Aerometric Information Retrieval law. See Section 188(b)(2); see also (2) demonstrated that the area has made System (AIRS). Data entered into the Section 179(c)(1). emission reductions amounting to AIRS has been determined by EPA to reasonable further progress (RFP) meet federal monitoring requirements D. Extension of the Attainment Date toward attainment of the PM–10 (see 40 CFR 50.6 and appendix J, 40 The Act provides the Administrator NAAQS as defined in section 171(1) of CFR part 53, 40 CFR part 58, appendix with the discretion to grant a one-year the Act. RFP for PM–10 nonattainment A & B) and may be used to determine extension of the attainment date for a areas is defined in section 171(1) of the the attainment status of areas. EPA will moderate PM–10 nonattainment area, Act as annual incremental emission also consider air quality data from other provided certain criteria are met. See reductions to ensure attainment of the air monitoring stations in the Section 188(d). If an area does not have applicable NAAQS (PM–10) by the nonattainment area provided that it the necessary number of consecutive applicable attainment date. meets the federal monitoring years of clean air quality data to show If the State does not have the requisite requirements for SLAMS. All data will attainment of the NAAQS, a State may number of years of clean air quality data be reviewed to determine the area’s air apply for up to two one-year extensions quality status in accordance with EPA of the attainment date for that area. The to show attainment and does not apply guidance at 40 CFR part 50, appendix K. statute sets forth two criteria a moderate or qualify for an attainment date Attainment of the annual PM–10 nonattainment area must satisfy in order extension, the area will be reclassified standard is achieved when the annual to obtain an extension: (1) The State has to serious by operation of law under arithmetic mean of four valid quarterly complied with all the requirements and section 188(b)(2) of the Act. If an averages of the PM–10 concentration commitments pertaining to the area in extension of the attainment date is over a three-year period (1992, 1993 and the applicable implementation plan; granted, at the end of the extension year 1994 for areas with a December 31, 1994 and (2) the area had no more than one EPA will again determine whether the attainment date) is equal to or less than exceedance of the 24-hour PM–10 area has attained the PM–10 NAAQS. If 50 micrograms per cubic meter (µg/m3). standard in the year preceding the the requisite three consecutive years of Attainment of the 24-hour standard is extension year, and the annual mean clean air quality data needed to determined by calculating the expected concentration of PM–10 in the area for determine attainment are not met for the number of days in a year with PM–10 the year preceding the extension year is area, the State may apply for a second concentrations greater than 150 µg/m3. less than or equal to the standard. See one-year extension of the attainment The 24-hour standard is attained when Section 188(d). date. In order to qualify for the second the expected number of days with levels The authority delegated to the one-year extension of the attainment above 150 µg/m3 (averaged over a three- Administrator to extend attainment date, the State must satisfy the same year period) is less than or equal to one dates for moderate PM–10 requirements listed above for the first (1.0). Three consecutive years of air nonattainment areas is discretionary: extension. In addition, EPA will quality data is generally necessary to Section 188(d) of the Act provides that consider the State’s PM–10 planning show attainment of the annual and 24- the Administrator ‘‘may’’ extend the progress for the area during the year for hour standard for PM–10. See 40 CFR attainment date for areas that meet the which the first extension was granted. If part 50 and appendix K. minimum requirements specified above. a second extension is granted and the The provision does not dictate or area does not have the requisite three C. Reclassification to Serious compel that EPA grant extensions to consecutive years of clean air quality A PM–10 nonattainment area may be such areas even if these conditions are data needed to demonstrate attainment reclassified from ‘‘moderate’’ to met. at the end of the second extension, no ‘‘serious,’’ which imposes new air In exercising this discretionary further extensions of the attainment date quality planning obligations, in one of authority for PM–10 nonattainment can be granted and the area will be 44454 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules reclassified serious by operation of law. 10 standard at any of the sites. Power-Bannock Counties PM–10 See Section 188(d). Measured PM–10 concentrations above nonattainment area. the level of the 24-hour NAAQS were a. Compliance with Applicable SIP. II. Summary of EPA’s Proposed Action recorded at two SLAMS monitoring Based on information available to EPA, Today’s action announces EPA’s sites on January 7, 1993. As a result of EPA believes that the State of Idaho is determination that the Power-Bannock the State’s sampling frequency of one in in compliance with all requirements Counties PM–10 nonattainment area every six day, the expected number of and commitments in the applicable and the Sandpoint PM–10 exceedances for the 1993 calendar year implementation plan that pertain to the nonattainment area have each failed to at the SLAMS sites is 6.0 at one site and Power-Bannock Counties PM–10 attain the PM–10 NAAQS by the 6.2 at the second (calculated in nonattainment area. EPA provides applicable attainment date of December accordance with appendix K). No oversight of the Idaho air program, 31, 1994. This determination is based measured values above the level of the including implementation of the Idaho upon air quality data which show there 24-hour NAAQS were reported in 1992 State Implementation Plan (SIP). EPA were violations of the PM–10 NAAQS or 1994. Therefore, the three-year conducts annual oversight inspections during the period from 1992 to 1994. average (1992, 1993 and 1994) expected of sources throughout the State of Idaho. The State of Idaho has requested a exceedance rate of the 24-hour standard Results from these inspections indicate one-year extension of the PM–10 at the SLAMS sites is 2.0 and 2.3 that the State is meeting the attainment date for both the Power- respectively, (calculated in accordance requirements and commitments of the Bannock Counties PM–10 with appendix K). statewide SIP. Although the State has nonattainment area and the Sandpoint Private industry in the Power- submitted its moderate PM–10 PM–10 nonattainment area. EPA has Bannock Counties PM–10 nonattainment plan for the Power- reviewed the extension requests and is, nonattainment area funded and Bannock Counties nonattainment area with this notice, proposing to grant a operated a seven-station monitoring as a SIP revision, EPA has not yet taken one-year extension of the attainment network in and near a portion of the action on that plan. Therefore, this plan date for each area. This determination is nonattainment area known as the is not yet an ‘‘applicable based upon available air quality data implementation plan’’ for the Power- ‘‘industrial complex’’ for one year, from and a review of the State’s progress in Bannock Counties PM–10 October 1, 1993 through September 30, implementing the planning nonattainment area. For further 1994 (referred to as the ‘‘EMF requirements that apply to moderate discussion of the State’s compliance network’’). EPA has determined the data PM–10 nonattainment areas. with the applicable SIP, please refer to from this network are valid. There were the Technical Support Document. A. Power-Bannock Counties PM–10 no reported 24-hour concentrations b. Air Quality Data. As discussed Nonattainment Area above the level of the 24-hour NAAQS above, there were no measured levels during the year the network was in The Power-Bannock Counties PM–10 # above the 24-hour NAAQS at any of the nonattainment area is comprised of operation. EMF Site 2, which is located SLAMS monitoring sites or any of the State lands within portions of both at the site in the nonattainment area EMF monitoring sites during calendar Power and Bannock Counties and both predicted to have the maximum year 1994. In addition, the annual mean trust and fee lands within a portion of industrial air quality impact, is located concentration of PM–10 at each of the the exterior boundaries of the Fort Hall immediately adjacent to the industrial SLAMS monitoring sites during complex on State lands, adjacent to the Indian Reservation. The State of Idaho # calendar year 1994 was below the level operates four PM–10 SLAMS Reservation boundary. EMF Site 2 of the annual NAAQS. monitoring sites in the nonattainment reported an annual concentration As discussed above, however, EMF µ 3 area, all of which are on State lands. greater than the 50 g/m level of the Site #2 recorded an annual average Data from these State sites have been annual PM–10 standard for the one-year above the annual standard for the one- period the network was in operation. year period from October 1, 1993 to deemed valid by EPA and have been # submitted by the State of Idaho for EMF Site 2 also reported several 24 September 30, 1994. EPA believes that inclusion in the AIRS network. hour PM–10 concentrations at or near the recorded PM–10 levels at several of the level of the 24-hour PM–10 NAAQS. the monitoring sites in the EMF 1. Air Quality Data # 2. Attainment of the PM–10 NAAQS network, particularly EMF Site 2, Whether an area has attained the PM– indicate that air quality problems 10 NAAQS is based exclusively upon The Power-Bannock Counties PM–10 continue in the Power-Bannock measured air quality levels over the nonattainment area does not attain the Counties PM–10 nonattainment area most recent and complete three calendar 24-hour PM–10 NAAQS. The PM–10 and that additional controls will likely year period. See 40 CFR part 50 and concentrations reported at two SLAMS be necessary to bring the area into appendix K. For areas with an monitoring stations on January 7, 1993, attainment. EPA does not believe, attainment date of December 31, 1994, exceeded the level of the NAAQS. however, that the data recorded at EMF this three-year period covers calendar Because of the sampling frequency (one Site #2 precludes EPA from granting the years 1992, 1993 and 1994. Data from in every six days), the expected State’s request for a one-year extension calendar year 1994 is also used in exceedance rate for the three-year of the attainment date under section determining whether an area with a period from 1992 through 1994 at two 188(d) of the Act. The EMF monitoring December 31, 1994 attainment date sites is greater than one (1.0) which network did not collect a year’s worth meets the air quality criteria for granting represents a violation of the 24-hour of data in calendar year 1994. Appendix a one-year extension to the attainment NAAQS. K of 40 CFR part 50 specifies the data requirements that apply in determining date under section 188(d). 3. Extension of Attainment Date A review of the data reported for the an area’s attainment status and provides SLAMS sites in the Power-Bannock EPA is action proposing to grant the methods for filling gaps in data. EPA Counties PM–10 nonattainment area for State’s request for a one-year extension believes that these same data the calendar years 1992, 1993 and 1994 of the attainment date, from December requirements should be applied in shows no violations of the annual PM– 31, 1994 to December 31, 1995, for the determining the annual mean Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44455 concentration of PM–10 in connection expeditious and that the State is making Act to demonstrate annual incremental with an extension request under section progress on the workplan. Because the emission reductions and reasonable 188(d) of the Act. Even after applying contribution of precursors came to light further progress. In that report, the State the appendix K ‘‘gap-filling’’ techniques only late in the planning process, EPA discusses implementation of the control for the reported data from EMF Site #2 does not believe that the State’s failure measures adopted as part of the control for the missing quarter of data in 1994, to have actually adopted or strategy in the SIP and the emission the question of whether the annual implemented controls on sources of reductions that have been achieved as a mean concentration is above the level of PM–10 precursors on State lands within result of the State’s control strategy. the annual standard during 1994 the nonattainment area is grounds, in Implementation of these control remains ambiguous. In other words, the and of itself, for denying the State’s measures represents a reduction in data does not conclusively show a request for a one-year extension. annual allowable emissions in the violation of the annual standard during With respect to PM–10 sources nonattainment area of 1439.63 tons per calendar year 1994. Accordingly, EPA located on Tribal lands within the year from point sources. does not believe that the PM–10 nonattainment area, a gap in planning The effect of the area source control concentrations recorded at EMF Site #2 responsibilities for these sources measures on air quality is reflected in preclude EPA from exercising its currently exists. In developing its the reported ambient measurements at discretion to grant the State’s request for control strategy, the State did not seek the SLAMS monitoring sites, most of a one-year extension of the attainment to impose controls on any sources which have been operating for more date. Please refer to the Technical located within the Reservation portion than seven years. Data from these sites Support Document for further analysis of the nonattainment area or attempt to show no violations of the 24-hour of the EMF data. demonstrate to EPA that it had the standard attributable to primary c. Substantial Implementation of authority to issue and enforce such particulate since 1992 and that the Control Measures. The State of Idaho, controls on Reservation sources. As EPA expected exceedance rate has decreased along with several local agencies, has has previously stated, EPA does not at all sites, with the exception of the developed and implemented several believe a Clean Air Act program January 1993 violations which are significant control measures on sources submitted by a State should be attributable to secondary aerosol. The located on State lands within the Power- disapproved because it fails to address annual average concentrations have Bannock Counties PM–10 air resources within the exterior likewise shown a downward trend from nonattainment area. The State submitted boundaries of an Indian Reservation. a maximum of 51 ug/m3 at the STP site these control measures to EPA as a SIP See 59 FR 43956, 43982 (August 25, in 1990 to 34.5 ug/m3 at the STP site in revision in May 1993 and in 1994) (proposed rule implementing 1994. This trend is further evidence that supplemental submittals since that time. section 301(d)). the State’s implementation of control These measures consist of a Nor does EPA currently have the measures on sources of primary comprehensive residential wood authority to recognize as federally particulate on State lands has resulted combustion program, including a enforceable controls that the Shoshone- in emission reductions amounting to mandatory woodstove curtailment Bannock Tribes have imposed or could reasonable further progress in the program; stringent controls on fugitive impose on PM–10 sources located on Power-Bannock Counties PM–10 road dust, including controls on winter Reservation lands within the nonattainment area. road sanding and a limited unpaved nonattainment area. Although the Clean In summary, EPA proposes to grant road paving program; and operating Air Act Amendments of 1990 greatly the State’s request for a one-year permits that represent RACT for J.R. expanded the role of Indian Tribes in extension of the attainment date, from Simplot’s facility in the industrial implementing the provisions of the December 31, 1994 to December 31, complex and Ashgrove Cement’s facility Clean Air Act on Reservation lands, 1995, for the Power-Bannock Counties near Inkom, the only two major EPA has not yet issued the final rules PM–10 nonattainment area. In doing so, stationary sources of PM–10 on State necessary for EPA to recognize Tribal air EPA emphasizes that the authority to lands in the nonattainment area. EPA programs as federally enforceable. See grant an extension of the attainment has conducted a preliminary review of Section 301(d); 59 FR 43956. date under section 188(d) is these measures and believes that they EPA is currently working on a discretionary and that EPA might, under substantially meet EPA’s guidance for proposed rule imposing controls on other circumstances, be disinclined to RACM, including RACT, for sources of sources of PM–10 on the Tribal portion grant an extension for an area with primary particulate for purposes of an of the nonattainment area. EPA believes similar air quality data. In particular, extension under section 188(d). it would be unfair to burden the State EPA notes that the data collected from After the State submitted its moderate and the Pocatello area with new serious certain monitors in the EMF network area SIP in May 1993, the State learned nonattainment area planning indicate that air quality problems that PM–10 precursors contribute requirements because of the gap in the remain and must still be addressed in significantly to wintertime violations of planning process and the resulting lack the Power-Bannock Counties PM–10 the PM–10 standard in the area. In of federally-enforceable controls on nonattainment area. EPA believes, cooperation with the Tribes and EPA, Tribal sources at this time. Accordingly, however, that the high 24-hour and the State developed a work plan for EPA believes that the State has annual PM–10 levels recorded at some developing an emission inventory of adequately demonstrated, for purposes of the EMF monitors are primarily sources of PM–10 precursors in the of an extension under section 188(d) of attributable to the gap in planning nonattainment area and controls for the Act, that it has adopted and responsibility for the Tribal portion of such sources. The State is moving substantially implemented control the nonattainment area. Because of the forward on this precursor plan and measures representing RACT/RACM in unique jurisdictional issues related to expects to have controls in place on the nonattainment area. this particular nonattainment area, the major stationary sources of PM–10 d. Emission Reduction Progress. On fact that the area technically meets the precursors by March 1997. EPA believes March 30, 1995, the State of Idaho data requirements for an extension and that the State’s schedule for addressing submitted to EPA the milestone report the fact that the State has demonstrated the contribution of precursors is as required by section 189(c)(2) of the that it has adopted and substantially 44456 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules implemented control measures on 1995, for the Sandpoint PM–10 In that report, the State discusses sources of primary particulate on State nonattainment area. implementation of the control measures lands resulting in emission reductions a. Compliance with Applicable SIP. adopted as part of the control strategy in amounting to reasonable further Based on information available to EPA, the SIP and the emission reductions that progress, EPA proposes to exercise its EPA believes the State of Idaho is in have been achieved as a result of the discretion to grant the Power-Bannock compliance with all requirements and State’s control strategy. EPA believes Counties nonattainment area a one-year commitments in the applicable that the reductions in allowable extension of the attainment date. implementation plan that pertains to the emissions for the industrial sources Sandpoint PM–10 nonattainment area. demonstrates reasonable further B. Sandpoint PM–10 Nonattainment As discussed above, EPA believes that progress in the Sandpoint Area the State is meeting the requirements nonattainment area. The Sandpoint PM–10 nonattainment and commitments of the statewide SIP. In summary, for the reasons discussed area includes the Cities of Sandpoint, Although the State has submitted its above, EPA proposes to grant the State’s Kootenai and Ponderay and is located in moderate PM–10 nonattainment area request for a one-year extension of the the northern part of the Idaho plan as a SIP revision, EPA has not yet attainment date for the Sandpoint PM– panhandle. taken action on that plan. Therefore, the 10 nonattainment area from December submitted plan is not yet an ‘‘applicable 31, 1994 to December 31, 1995. 1. Air Quality Data implementation plan’’ for the Sandpoint III. Requests for Public Comments The Sandpoint nonattainment area PM–10 nonattainment area. has one PM–10 monitoring site at the b. Air Quality Data. As discussed EPA is requesting comments on all Post Office building in downtown above, there was one measured level aspects of today’s proposal. As Sandpoint. This SLAMS site was above the 24-hour NAAQS during indicated at the outset of this notice, established in 1986. Sampling calendar year 1994. The annual mean EPA will consider any comments frequencies vary seasonally, with one concentration of PM–10 was 37 µg/m3 received by September 27, 1995. sample every other day during the during 1994, well below the standard. IV. Administrative Review winter (October 1 through March 31), Therefore, the Sandpoint PM–10 and one sample every six days during nonattainment area meets the extension Under the Regulatory Flexibility Act, the rest of the year. Data from this site criteria of no more than one exceedance 5 U.S.C. 600 et. seq., EPA must prepare has been deemed valid by EPA and of the 24-hour NAAQS and an annual a regulatory flexibility analysis submitted by the State of Idaho for mean concentration less than or equal to assessing the impact of any proposed or inclusion in the AIRS system. the standard for the year preceding the final rule on small entities. 5 U.S.C. 603 A review of the data for calendar extension year. and 604. Alternatively, EPA may certify years 1992, 1993 and 1994 shows no c. Substantial Implementation of that the rule will not have a significant violations of the annual PM–10 standard Control Measures. The State of Idaho, impact on a substantial number of small in the Sandpoint PM–10 nonattainment along with several local agencies, has entities. Small entities include small area. During this same three-year period, developed and implemented several businesses, small not-for-profit there were three reported measurements significant control measures on sources enterprises, and government entities above the level of the 24-hour NAAQS. within the Sandpoint PM–10 with jurisdiction over populations of In calendar year 1992 there was one nonattainment area. The State submitted less than 50,000. level above the NAAQS in the first these control measures to EPA as a SIP Under E.O. 12866, 58 FR 51735 quarter (during every other day revision on May 18, 1993, and in (October 4, 1993), EPA is required to sampling) and one in the third quarter supplemental submissions since that determine whether regulatory actions (during one in every six day sampling). time. These measures consist of a are significant and therefore should be There were no measured levels above comprehensive residential wood subject to OMB review, economic the 24-hour NAAQS in calendar year combustion program, including a analysis, and the requirements of the 1993. In calendar year 1994, there was mandatory woodstove curtailment Executive Order. The Executive Order one measurement above the 24-hour program; stringent controls on fugitive defines a ‘‘significant regulatory action’’ NAAQS in the first quarter during every road dust, including controls on winter as one that is likely to result in a rule other day sampling. road sanding and a limited unpaved that may meet at least one of the four road paving program; and new or criteria identified in section 3(f), 2. Attainment of the PM–10 NAAQS revised operating permits for the four including, under paragraph (1), that the The Sandpoint PM–10 nonattainment major point sources in the rule may ‘‘have an annual effect on the area does not attain the 24-hour PM–10 nonattainment area, Lake Pre-Mix, L.D. economy of $100 million or more or NAAQS. PM–10 concentrations McFarland Co., Interstate Concrete and adversely affect, in a material way, the reported from the SLAMS monitoring Asphalt, and Louisiana-Pacific economy, a sector of the economy, station at the Post Office exceeded the Corporation. EPA has conducted a productivity, competition, jobs, the level of the NAAQS three times from preliminary review of these measures environment, public health or safety, or 1992 to 1994. Because of the sampling and believes that they substantially State, local, or tribal governments or frequency, the expected exceedance rate meet EPA’s guidance for RACM, communities.’’ for this three-year period is 3.5 including RACT for purposes of The Agency has determined that the (calculated in accordance with granting an extension under section determinations of nonattainment and appendix K), which represents a 188(d) of the Act. attainment date extensions proposed violation of the 24-hour standard. d. Emission Reduction Progress. On today would result in none of the effects March 30, 1995, the State of Idaho identified in section 3(f). Under section 3. Extension of Attainment Date submitted to EPA the milestone report 188(b)(2), findings of nonattainment are EPA is by this action proposing to required by section 189(c)(2) of the Act based upon air quality considerations grant the State’s request for a one-year to demonstrate annual incremental and must occur by operation of law in extension of the attainment date, from emission reductions and reasonable light of certain air quality conditions. December 31, 1994 to December 31, further progress in the Sandpoint area. They do not, in and of themselves, Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44457 impose any new requirements on any EPA has determined that this action without incurring additional expense or sectors of the economy. In addition, conforms with those requirements. delay. because the statutory requirements are Nothing in this action should be Public hearing. If requested by clearly defined with respect to the construed as permitting or allowing or September 27, 1995, FRA will schedule differently classified areas, and because establishing a precedent for any future a public hearing to receive oral those requirements are automatically request for revision to any SIP. Each comments from any interested party. triggered by classifications that, in turn, request for revision to the SIP shall be ADDRESSES: Written comments. are triggered by air quality values, the considered separately in light of specific Comments should identify the docket nonattainment determinations and technical, economic and environmental and notice numbers, and must be reclassification cannot be said to impose factors and in relation to relevant submitted in triplicate to the Docket a materially adverse impact on State, statutory and regulatory requirements. Clerk, Office of Chief Counsel, Federal local, or tribal governments or This action has been classified as a Railroad Administration, 400 Seventh communities. In addition, attainment Table 3 action for signature by the Street, S.W., Room 8201, Washington, date extensions under section 188(d) of Regional Administrator under the D.C. 20590. Parties who want notice that the CAA do not impose any new procedures published in the Federal FRA has received their comments requirements on any sectors of the Register on January 19, 1989 (54 FR should include a stamped, self- economy; nor do they result in a 2214–2225), as revised by a July 10, addressed postcard with their filing. materially adverse impact on State, 1995 memorandum from Mary Nichols, The Docket Clerk will indicate on the local, or tribal governments or Assistant Administrator for Air and postcard the date of receipt and will communities. Radiation. The Office of Management return the card to the addressee. Written Determinations of nonattainment and Budget (OMB) has exempted this comments will be available for areas under section 188(b)(2) of the CAA regulatory action from E.O. 12866 examination before and after the closing and extensions under section 188(d) of review. date for comments during regular the CAA do not create any new List of Subjects in 40 CFR Part 52 business hours at the above address. requirements. Therefore, because these Public hearing. FRA will hold a actions do not impose any new Environmental protection, Air public hearing on this proposed rule if requirements, I certify that it does not pollution control, Particulate matter, requested by a party to this rulemaking. Intergovernmental relations, Reporting have a significant impact on small FOR FURTHER INFORMATION CONTACT: and recordkeeping requirements. entities. Gordon Davids, Bridge Engineer, Office Under Section 202 of the Unfunded Dated: April 10, 1995. of Safety, FRA, 400 Seventh Street SW., Mandates Reform Act of 1995 Charles Findley, Washington, D.C. 20590 (telephone: (‘‘Unfunded Mandates Act’’), signed Acting Regional Administrator. 202–366–9186); Grady Cothen, Jr., into law on March 22, 1995, EPA must [FR Doc. 95–21277 Filed 8–25–95; 8:45 am] Deputy Associate Administrator for prepare a budgetary impact statement to BILLING CODE 6560±50±P Safety Standards, FRA, 400 Seventh accompany any proposed or final rule Street SW., Washington, D.C. 20590 that includes a Federal mandate that (telephone: 202–366–0897); or Kyle M. may result in estimated costs to State, DEPARTMENT OF TRANSPORTATION Mulhall, Trial Attorney, Office of Chief local, or tribal governments in the Counsel, FRA, 400 Seventh Street, S.W., aggregate; or to the private sector, of Federal Railroad Administration Washington, D.C. 20590 (telephone: $100 million or more. Under Section 202–366–0635). 205, EPA must select the most cost- 49 CFR Part 229 SUPPLEMENTARY INFORMATION: On effective and least burdensome [FRA Docket No. RSGC±2, Notice No. 8] February 3, 1993, FRA published an alternative that achieves the objectives interim rule (58 FR 6899, codified at 49 of the rule and is consistent with RIN 2130±AA80 C.F.R. 229.133), with request for statutory requirements. Section 203 comments, concerning measures to requires EPA to establish a plan for Locomotive Visibility; Minimum Standards for Auxiliary Lights enhance the visibility of locomotives. informing and advising any small The interim rule implemented mandates governments that may be significantly AGENCY: Federal Railroad of section 14 of the Amtrak or uniquely impacted by the rule. Administration (FRA), Department of Authorization and Development Act EPA has determined that the approval Transportation (DOT). (Pub. L. 102–533). This enabling action promulgated does not include a ACTION: Notice of proposed rulemaking. legislation added a new subsection (u) Federal mandate that may result in to § 202 of the Federal Railroad Safety estimated costs of $100 million or more SUMMARY: FRA proposes to amend the Act of 1970 (FRSA) [45 U.S.C. 431(u)], to either State, local, or tribal locomotive safety standards to increase to address locomotive visibility. On July governments in the aggregate, or to the train visibility. This action requires that 5, 1994, § 202(u) of the FRSA, together private sector. This Federal action certain locomotives be equipped with with all the other general and approves pre-existing requirements auxiliary lights to enable motorists, permanent Federal railroad safety laws, under State or local law, and imposes railroad employees and pedestrians to was simultaneously repealed, revised no new Federal requirements. recognize approaching trains at a greater and reenacted without substantive Accordingly, no additional costs to distance. The proposed rule would change, and recodified as positive law at State, local, or tribal governments, or to require that locomotives operated over 49 U.S.C. 20143. As recodified, the the private sector, result from this public highway-rail crossings at greater section now reads as follows: action. speeds than 20 miles per hour be The EPA has reviewed this request for equipped with auxiliary lights. Locomotive Visibility revision of the federally-approved SIP DATES: Written comments. Comments (a) Definition.—In this section, for conformance with the provisions of must be received by October 27, 1995. ‘‘locomotive visibility’’ means the the 1990 Clean Air Act Amendments Comments received after that date will enhancement of day and night visibility enacted on November 15, 1990. The be considered to the extent possible of the front end unit of a train, 44458 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules considering in particular the visibility decides the exclusion is in the public used. Further, the research provides and perspective of a driver of a motor interest and is consistent with rail clues that appear helpful in vehicle at a grade crossing. safety, including grade-crossing safety. distinguishing among candidate (b) Interim Regulations.—Not later (3) A locomotive equipped with auxiliary lights. These findings are than December 31, 1992, the Secretary temporary visibility measures further discussed below. of Transportation shall prescribe prescribed under subsection (b) of this After review, FRA has found no basis temporary regulations identifying ditch, section when final regulations are for changing current requirements for crossing, strobe, and oscillating lights as prescribed under paragraph (1) of this placement and intensity of locomotive temporary locomotive visibility subsection is deemed to be complying headlights. The headlight serves its measures and authorizing and with the final regulations for 4 years purpose without blinding other people encouraging the installation and use of after the final regulations are prescribed. approaching the right-of-way. As those lights. Subchapter II of chapter 5 The interim rule was revised in discussed below, when augmented by of title 5 does not apply to a temporary response to comments and published on auxiliary alerting lights, the headlight regulation or to an amendment to a May 13, 1994 (59 FR 24960). The becomes a part of the unique light temporary regulation. revision broadened the permissible triangle that will make approaching (c) Review of Regulations.—The dimensions for placement of ditch trains more recognizable to motorists. Secretary shall review the Secretary’s lights, crossing lights and strobe lights, FRA is continuing to review the use regulations on locomotive visibility. Not and broadened and redefined the range of auxiliary lights to enhance side later than December 31, 1993, the of frequencies for flashing lights. visibility of locomotives. Displaying a Secretary shall complete the current The interim rules designate ditch distinct pattern is key to making the research of the Department of lights, crossing lights, strobe lights and side of a locomotive more readily Transportation on locomotive visibility. oscillating lights as interim locomotive recognizable in the dark. Use of retro- In conducting the review, the Secretary visibility measures. All locomotives not reflective materials (further discussed shall collect relevant information from excluded from the final regulations below) appears to be the most promising operational experience by rail carriers must be equipped by December 31, approach to increasing the visibility of using enhanced visibility measures. 1997, with either the interim visibility the sides of rail equipment. (d) Regulatory Proceeding.—Not later lighting arrangements or the than June 30, 1994, the Secretary shall arrangements mandated by the final Section Analysis begin a regulatory proceeding to regulation. Locomotives that comply 1. Three-Light Triangle: § 229.125(d) prescribe final regulations requiring with the interim rule or its amendments FRA believes that a uniform light substantially enhanced locomotive are deemed to comply with any final configuration on locomotives will help visibility measures. In the proceeding, rule for four years after the final rule’s the public become familiar with and the Secretary shall consider at least— issuance. quickly recognize the appearance of an (1) Revisions to the existing FRA Study of Auxiliary Lights locomotive headlight standards, approaching locomotive. A including standards for placement and FRA’s Office of Research and configuration of three front-mounted intensity; Development, through the Volpe lights (defined in the interim rule, (2) Requiring the use of reflective National Transportation Systems Center, together with the headlight, as ‘‘ditch material to enhance locomotive has studied the impact of auxiliary lights’’ or ‘‘crossing lights’’) is the most visibility; lights as alerting devices to improve common system adopted by the railroad (3) Requiring the use of additional locomotive visibility. A copy of the final industry since the issuance of the first alerting lights, including ditch, crossing, report will be placed in the docket of interim rule in 1993. Those three lights strobe, and oscillating lights; this rulemaking. form a triangle with one major (4) Requiring the use of auxiliary As part of this study, FRA initially dimension (base or vertical axis) of at lights to enhance locomotive visibility evaluated various lighting systems, least 60 inches. when viewed from the side; paint schemes, and reflective materials. The normal human eye can discern (5) The effect of an enhanced Four of the alerting light systems were two objects as separate when the objects visibility measure on the vision, health, selected for further study: standard are spaced to form a visual angle of and safety of train crew members; and locomotive headlights and crossing, approximately one-half of one degree. (6) Separate standards for self- ditch, and strobe lights. FRA evaluated When the lights are seen as separate, the propelled, push-pull, and multi-unit the lights for compliance with FRA’s observer can better estimate the speed of passenger operations without a interim advisory standards, cost and an approaching train because as the dedicated head end locomotive. reliability, and conducted field tests on locomotive moves closer the lights will (e) Final Regulations.—(1) Not later their ability to increase an approaching appear to move further apart. A space of than June 30, 1995, the Secretary shall train’s visibility. 60 inches between lights causes the prescribe final regulations requiring Preliminary results are showing that lights to appear separate at 572 feet from enhanced locomotive visibility the addition of auxiliary lights the observer. Beyond 572 feet the lights measures. The Secretary shall require significantly increases train visibility are commonly seen as one. This that not later than December 31, 1997, compared to use of standard headlights distance corresponds to an approach a locomotive not excluded from the alone. Results indicate a 10 to 20 time of 13 seconds for a train moving at regulations be equipped with temporary percent increase in the distance an 30 miles per hour, or 6.5 seconds for a visibility measures under subsection (b) approaching train can be recognized. train moving at 60 miles per hour. of this section or the visibility measures Tests also suggest that motorists are Given the prevalence and practicality the final regulations require. better able to predict the time it takes for of the three-light triangle system, the (2) In prescribing regulations under an approaching train to enter a crossing. desire for a uniform appearance of an paragraph (1) of this subsection, the Limited data collected from three approaching locomotive, and the Secretary may exclude a category of railroads participating in the study physical advantages of this system, FRA trains or rail operations from a specific suggest that accident rates drop believes it to be the best lighting system visibility requirement if the Secretary significantly when auxiliary lights are to accomplish the purpose of this rule. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44459 The dimensions proposed for the away from commuter lines. FRA lights, drawing permissible features three-light triangle are the same as those therefore believes that the minimum from both the ‘‘ditch lights’’ and specified in the interim rule as revised height of 36 inches for auxiliary lights ‘‘crossing lights’’ as described in the on May 13, 1994. Those dimensions should be retained for all other interim requirements. were prescribed as the result of applications. It should be noted that nomenclature comments made on the first interim rule Horizontal orientation of the auxiliary for auxiliary lights is not standard. For of February 3, 1993. They are lights should also be reasonably uniform example, most non-pulsing installations functionally the same, but the second in order to ensure recognition. FRA has referred to by railroads as ‘‘ditch lights’’ interim rule permits more flexibility in selected the ‘‘crossing light’’ have, in practice, been aligned within light placement on locomotives to configuration (focused within plus or 15 degrees of centerline and would accommodate various locomotive minus 15 degrees of a line parallel to the therefore meet FRA’s proposed configurations and placement of other centerline of the locomotive) in lieu of requirements for permanent auxiliary vital appliances. the extreme ‘‘ditch light’’ configuration lights. This proposed rule does not elect Since the second interim rule was as described in the grandfathering rule a single option from among the issued, FRA has received no negative (turned outward up to 45 degrees). In configurations that railroads continue to comments and no indication of the extreme ditch light configuration, evaluate. Rather, it proposes a minimum problems with the prescribed light there appears to be a risk that the standardization of placement and placement. If any problems have arisen auxiliary lights might affect the night alignment of the two auxiliary lights with these prescribed dimensions, FRA vision of motorists on parallel that, with the locomotive headlight, would be most interested in knowing roadways. form the distinct triangle. the nature of the problem, and any Research on locomotive conspicuity FRA has considered the use of suggested alternatives that would has noted that the alerting lights oscillating lights and strobe lights for maintain the effectiveness of visibility meeting the criteria of the interim rule inclusion in this section. Both light devices. are considerably higher in effective systems offer significant advantages but The 36-inch minimum height candela than lights used for similar have unique drawbacks. An oscillating requirement will permit maintenance of purposes in aviation and marine service. light can provide a startling effect when the 60-inch vertical dimension on In addition, it was noted that a ditch the light rapidly reflects off nearby locomotives with the headlight mounted light application with the lights aligned objects, fog, or snow. However, in in a low front hood. This height outwardly might produce glare affecting general, oscillating lights are costly and requirement also aids the observer’s motorist vision. Presumably in light of difficult to maintain. Oscillating lights sight distance. The maximum vertical similar considerations, railroads have often been used individually, a curve recommended by the American applying auxiliary alerting lights have configuration inconsistent with the Railway Engineering Association for generally opted for alignment directly triangular signature common in main track has a rate of change of grade down the railroad or inward alignment European rail. of 0.2 percent per 100 feet. On this at about 1 degree (‘‘crosseyed’’). FRA Desirable effects can also be achieved vertical curve, a light three feet above specifically requests comment as to with pulsating strobe lights, particularly the track will be visible to an observer whether the final rule should contain those lights operated in pairs. However, at a distance of 1,095 feet, provided the more severe restrictions than the 15- extensive use of strobe and oscillating- observer’s eyes are three feet above the degree latitude provided in the interim type lights on emergency vehicles has track. A reduction in height of one foot, rule and this notice. reduced their usefulness as a distinct of either the observer or the light, FRA also requests comment as to warning of an approaching train. reduces the sight distance by whether a dimmer feature should be Further, strobe lights can tend to wash approximately 100 feet. required for auxiliary lights similar to out against a light background and may One comment to the first interim rule the dimmer used on headlights, the not compete well for attention in a requested a lower height above the rail minimum and/or maximum candela nighttime environment with a variety of for lights on cab control cars in that should result, and, if a dimmer is light sources. suburban passenger service. FRA required, when use of the feature might Research in support of this believes that an inflexible requirement be warranted. In addition, FRA requests proceeding indicates that crossing lights to place lights on cab control cars or comment as to whether a maximum and ditch lights—the auxiliary lights other multiple unit locomotives as luminous intensity should be specified most widely used by U.S. railroads— defined in this regulation at a height of for auxiliary alerting lights. also appear to perform well under both 36 inches might lead to a reduction in The interim rule and the proposed experimental conditions and in revenue the integrity of the car body structure at rule provide a minimum intensity service. Experimental field tests this critical location. Such reduced requirement of 200,000 candela for each compared the performance of a lone structural integrity could increase the auxiliary light. The criterion assumes headlight with combinations of a risk of injury to the occupants of the steady-state operation. Field headlight and each of the following: (i) equipment in the event of an accident. observations suggest that current pulsing ‘‘crossing lights’’ that were The proposed final rule would therefore alerting light pulsing systems provide aligned straight down the railroad, (ii) permit auxiliary lights to be mounted at more than adequate effective candela; steady burning ‘‘ditch lights’’ that were heights down to 24 inches above the rail however, research conducted to date outwardly aligned at 15 degrees, and on equipment that would not readily evaluated only strobe lights for effective (iii) dual strobe lights mounted on the accommodate a higher placement. intensity in a pulsing or flashing mode. top of the locomotive. All three types of However, the lower, 24-inch Should a separate effective intensity auxiliary lights outperformed the lone minimum height for multiple unit requirement be stated in the final rule headlight by significantly increasing the locomotives and cab control cars is not for systems operating in the pulse distance a train can be detected and suitable for general railroad service, mode? If so, what are the appropropriate improving an observer’s ability to owing to the reduced visibility on standard and test procedure? estimate a train’s arrival time at the vertical curves, and susceptibility to FRA proposes to permit use of either crossing. For detection distance, the damage from snow and foreign material the steady-state or pulsing auxiliary crossing light performed best, followed 44460 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules by the ditch and strobe lights. With conclusion of the study, FRA will 4. Other Uses of Auxiliary Lights: respect to estimation of time of arrival, review the data to determine if a § 229.125(g) the crossing lights were judged to result statistically significant difference can be Subsection (g) authorizes use of in the smallest estimation errors for discerned between the effectiveness of auxiliary lights for operations at lower actual arrival time intervals between 7 steady and flashing lights. The results of speeds over highway-rail grade and 22 seconds. However, the ditch the study should provide a factual basis crossings. Railroads are, in fact, utilizing lights clearly aided estimation of arrival, for determining whether further auxiliary lights for lower-speed as well.1 refinement of the rule is appropriate movements. However, circumstances The Volpe Center gathered limited and, if so, the degree of urgency data from Norfolk Southern, Conrail, may exist where use of the lights may associated with any such change. and CalTrans (California) comparing affect night vision of people along the railroad, outweighing the limited value accident experience of locomotives 2. Flash Rates: § 229.125(e) equipped with crossing lights to of the lights in preventing highway-rail locomotives equipped with a headlight Subsection (e) provides that auxiliary grade crossing accidents in areas of low alone. These data suggest that the use of lights may be illumined continuously or speed rail operations. The proposed rule crossing lights may result in a greater may be arranged to flash on approach to authorizes use of auxiliary lights along than 50-percent reduction in accident a highway-rail grade crossing. If flashing the railroad between grade crossings. rates. Although these trials lasted from lights are used, the rate must be not Auxiliary lights offer promise for gaining the attention of trespassers on only nine to twenty-four months, and fewer than 40 and not more than 180 rail rights-of-way who may be struck by some of the accident reduction may per minute, as provided in the second trains. Although it can be strongly have resulted from a ‘‘novelty effect’’ interim rule. FRA has received no argued that the railroads owe no duty of (an initial impact that wanes as risk- negative comments regarding the range taking motorists become accustomed to care to these people, it can be hoped of flash rates permitted for locomotive that the attention-getting light triangle the new lights), there is no reason to visibility lights in the second interim believe that there will not be substantial may discourage trespassing. rule. The rates are constrained by the FRA does not believe that requiring and continuing benefits from use of need for visibility but also the need to auxiliary lights. continuous operation of auxiliary lights avoid a ‘‘flicker vertigo’’ effect on train All of the service applications should be mandated. Circumstances examined by the Volpe Center involved crew members. differ widely among railroad operating pulsing auxiliary lights, and the FRA proposes to leave control of environments, and railroads require the experimental field tests potentially flashing lights to the discretion of the flexibility to adopt policies adequately relevant to this issue involved a railroad. Depending on their operations, suited to these environments. Railroads confounding variable (angle of some railroads might consider it may wish to extinguish auxiliary lights alignment). Accordingly, no advisable to interconnect the horn and when the headlight is dimmed under empirically-based comparisons can be lighting controls to provide joint existing operating rules. Rule 5.9 of the made at this time between lights that activation when approaching a crossing, General Code of Operating Rules, for pulse (alternately flash) on approach to but that question probably need not be instance, requires that the headlight be a crossing and those that burn steadily. addressed in a regulation. dimmed at stations and yards where Yet FRA is required to issue a rule that switching is done, when the engine is would require that by December 31, 3. Operation of Auxiliary Lights: stopped close behind another engine, 1997, locomotives be equipped with a § 229.125(f) when passing another train, and under form of auxiliary lights. In order to specified circumstances. Subsection (f) would require develop additional information that may operation of auxiliary lights for a period 5. Defective en Route: § 229.125(h) later provide a basis for distinguishing between steady burning and alternately of at least 20 seconds prior to arrival of Subsection (h) permits a lead pulsing arrangements, FRA has the locomotive at the crossing. This is locomotive with one defective auxiliary requested that Association of American the same minimum period of warning light to proceed to a point where repairs Railroads (AAR) conduct a further study utilized for automated warning systems can be made. FRA believes this is a under which two or more major at public highway-rail grade crossings reasonable accommodation, given the railroads would equip portions of their (see, e.g., 49 CFR 234.225). Railroads low risk of an accident at any given time fleets used in the same service with using locomotives with flashing lights and the ready availability of standard steady and pulsing lights. In order to would not be required to flash the lights lamps at railroad facilities along the eliminate transient effects, the study in all operations, but the auxiliary lights way. If both auxiliary lights are out, would follow the two matched fleets for would be required to be illumined for at § 229.9 (movement of non-complying a period of approximately three years. least 20 seconds prior to the arrival of locomotives) would apply, which would The progress of this study will be the locomotive. ordinarily require that the locomotive be tracked on an annual basis, and at the switched to a trailing position or be FRA specifically requests comment on operated at less than 20 miles per hour. whether allowance should be made for 1 It should be noted that the requirement In the field tests, observers wore headphones not illuminating auxiliary lights under to mask noise from the oncoming locomotive. FRA for auxiliary lights applies only to a lead has conducted separate analyses that indicate certain circumstances for the safety of locomotive. locomotive horns provide a very powerful (though motorists, railroad employees working not always sufficient) warning to motorists that the in the area, or others. FRA believes that 6. Grandfathering: § 229.133 train is present and its arrival at the crossing is imminent. FRA recognizes that some overlap may any such exception should be The interim provisions on auxiliary exist between the two warning systems; however, sufficiently objective in nature to avoid lights are contained in 49 CFR 229.133. to the extent this overlap may be beneficial in controversy subsequent to a grade Subsection (c), which makes use of modifying risky behavior, its potential should be crossing accident regarding the exploited. The actual service experience tends to auxiliary lights elective during the confirm the possibility that such an effect may appropriateness of the decision not to period prior to December 31, 1997, exist. use the auxiliary lights. would be repealed on that date. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44461 The interim provisions identify four locomotive of a train struck the motor determined that public safety required a alerting light arrangements that FRA vehicle in 3,171 of the accidents. The uniform floor of regulation for this believed would increase locomotive motor vehicle struck the lead growing segment of the railroad visibility. First, ditch lights, which are locomotive in 664 accidents. In the marketplace. Only those railroads composed of two white lights focused remaining 405 accidents, the motor deemed ‘‘insular’’ were excluded from within 45 degrees of the longitudinal vehicle struck the train at a point this exercise of jurisdiction; however, centerline of the locomotive. Second, behind the lead locomotive. several existing sets of regulations, strobe lights, which are two white This information suggests that including Part 229, do not apply to stroboscopic lights that flash at a rate enhancing the visibility of the front of passenger railroads that are not part of between one pulse every 1.0 to 1.3 the train could affect up to 90 percent the general rail system. Since a major seconds. Third, crossing lights, which of crossing accidents. The effect of criterion of non-insular status is the are two white standard lights that flash increasing the visibility of the side of presence of a public highway-rail grade at the same rate as the strobes and are the train does not have as clearly crossing, the issue is presented in this focused within 15 degrees of the defined a potential to reduce accidents. proceeding whether these non-general longitudinal centerline of the Nevertheless, FRA continues to conduct system railroads should be required to locomotive. And the final alerting lights research, including analysis of recently equip their locomotives with auxiliary system, an oscillating light, which is designed retro-reflective materials and alerting lights. composed of one white light that casts evaluation of the accident experience of Recently, FRA determined that all a moving beam in circular shapes in car fleets equipped with retro-reflective railroads with automated warning front of the locomotive. These alerting material. FRA is required by other devices at public highway-rail crossings light systems will be ‘‘grandfathered’’ legislation to consider the use of retro- should be subject to new regulations and considered in temporary reflective materials on railroad cars as governing the inspection, testing and compliance with any final rule. well as locomotives, and will address maintenance of these ‘‘grade crossing By law, ‘‘grandfathered’’ auxiliary the issue in a separate proceeding. See signals’’ (59 FR 50086; September 30, lights installed before the final rule is 49 U.S.C. 20148, Pub. L. 103–440, § 212 1994). The provision of the instant issued may continue in use for four (Nov. 2, 1994). As soon as sufficient proposal that would exclude years from the date the final rule is information becomes available to locomotives that do not operate at issued. FRA encourages early support a decision on whether to place greater than 20 miles per hour would installation of auxiliary lights. reflective material on cars and render the proposal inapplicable to locomotives, FRA will act accordingly. many non-steam locomotives owned Related Issues Such action might take the form of a and operated by non-insular passenger Other Light Systems proposal to amend this regulation before railroads off the general system. any rulemaking affecting railroad cars. However, in a minority of cases the FRA believes that the public will soon proposed rule might require application Applicability: Steam Locomotives; become accustomed to the appearance of auxiliary lights. There may be Locomotives Used Exclusively off the of the triangular light pattern at the front reasonable basis for excluding some or General System; and Private Grade of locomotives. The value of this all of these locomotives. For example, Crossings standardization is increased if the excursion service is often provided triangle’s base is uniform along the This proposal would amend Part 229 seasonally and on a limited basis. On lower front portion of the locomotive, of title 49, Code of Federal Regulations, some small passenger railroads, rather than the top (as with dual strobe which applies, in general, to railroads in crossings may be less numerous or less light installations). The limited number the general system and only to non- heavily used by highway traffic. In other of locomotives equipped exclusively steam locomotives. FRA believes that, as cases, service may be provided only in with strobe lights or oscillating lights a general rule, steam locomotives are the daytime (when, according to could eventually present a hazard to used with relatively less frequency or at experimental data, auxiliary lights may motorists and others who could draw lower speeds than non-steam be less effective in gaining the attention false visual clues from the lack of a locomotives. Equipping steam of motorists). triangular light pattern. Nothing in this locomotives with alerting lights would The statute permits FRA to exclude proposed rule would prohibit the use of likely cost more per unit, and some categories of operations if the exclusion such additional lights should the steam operators would likely view the is in the public interest and consistent operating railroad so desire, but their modification as detracting from the with safety. Although the statute does use would not meet the requirements of historic authenticity of this antique not expressly authorize use of cost/ the proposed rule. equipment. FRA presently has benefit analysis to make the findings insufficient specific information justifying an exclusion, FRA has applied Reflective Materials indicating that safety would benefit similar statutory language to consider The enabling legislation requires that from application of auxiliary lights to effectiveness and cost impacts to the Secretary consider the use of steam units. However, in light of the enlighten the agency’s deliberations. reflective materials to enhance broad statutory mandate, FRA reserves FRA solicits comment on the issue of locomotive visibility. Research has the right to require application of steam locomotives and locomotives shown that the frontal visibility of a auxiliary lights to such units in the final used exclusively off the general system. locomotive displaying a headlight is not rule. FRA has specifically invited the Tourist affected by reflective material or In 1992, FRA reviewed its policy Railroad Association (TRAIN) to address distinctive colors. The headlight is regarding tourist, scenic and excursion the question on behalf of its member visible at a far greater distance than any railroads that transport passengers on organizations. light reflected from the front of the lines separate from the general system of FRA is also concerned with the safety locomotive. rail transportation. While in the past of private grade crossings. The proposed Analysis of the 4,240 highway-rail FRA has usually limited its exercise of rule requires use of auxiliary lights only grade crossing accidents reported to jurisdiction over passenger operations to at public grade crossings. Railroads FRA in 1993 shows that the lead those on the general system, FRA clearly have an interest in reducing 44462 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules accidents at private crossings and accidents annually. FRA estimates that 12612, a Federalism Assessment is not therefore may elect on their own to use auxiliary lights will prevent necessary. auxiliary lights at such locations. FRA, approximately 6,300 accidents Under 49 U.S.C. 20106 (formerly however, requests comments on (involving 1,493 fatalities and 3,056 codified at 45 U.S.C. 434), issuance of whether the agency should require use injuries) valued at $2.424 billion over this regulation preempts any State law, of auxiliary lights at all highway-rail twenty years. Analysis indicates this rule, regulation, order, or standard grade crossings. accident reduction will almost certainly covering the same subject matter, except be achieved, and probably exceeded, by for a provision directed at a local safety Regulatory Impact using auxiliary lights. hazard if that provision is consistent Executive Order 12866 and DOT Costs and benefits associated with the with this rule and does not impose an Regulatory Policies and Procedures industry voluntary in-service tests are undue burden on interstate commerce. This proposed rule has been not quantified in this analysis. FRA List of Subjects in 49 CFR Part 229 recognizes that participating railroads evaluated in accordance with existing Railroad safety. policies and procedures and is will incur data collection costs. considered ‘‘nonsignificant’’ under However, given the permissive nature of The Proposed Rule Executive Order 12866. It is also the in-service tests, we cannot In consideration of the foregoing, FRA considered to be not significant under determine the level of participation or proposes to amend Part 229, Title 49, DOT policies and procedures. See 44 FR the magnitude of costs which the Code of Federal Regulations as follows: 11034. industry will incur. Nevertheless, safety Although the rule is ‘‘nonsignificant,’’ benefits resulting from the knowledge PART 229Ð[AMENDED] FRA nonetheless has prepared a gained should far outweigh costs incurred by the participants. Including 1. Revise the authority citation for regulatory evaluation addressing the Part 229 to read as follows: economic impact of the rule. This test costs would not change the outcome regulatory evaluation has been placed in of this analysis. Authority: 49 U.S.C. 20102–20103, 20110– the docket and is available for public 20112, 20114, 20137, 20143, 20301–20303, Regulatory Flexibility Act 20306, 20701–20703, 21301–21302, 21304, inspection and copying during normal 21306, and 21311; 49 CFR 1.49 (c), (g) and business hours in Room 8201, Office of The Regulatory Flexibility Act of 1980 (m). Chief Counsel, FRA, 400 Seventh Street, (5 U.S.C. 601 et seq.) requires a review 2. Amend § 229.125 by revising the S.W., Washington, D.C. 20590. Copies of rules to assess their impact on small section heading and by adding may also be obtained by submitting a entities, unless the Secretary certifies paragraphs (d),(e),(f), (g) and (h) to read written request to the FRA Docket Clerk that a final rule will not have a as follows: at the above address. significant economic impact on a The evaluation found costs and substantial number of small entities. It § 229.125 Headlights and auxiliary lights. benefits associated with the proposed is certified that this proposed rule will * * * * * rule calculated for a twenty-year period not have a significant economic impact (d) Effective December 31, 1997, each using the seven percent discount rate on a substantial number of small entities lead locomotive operated at a speed required by federal regulatory under the provisions of the Regulatory greater than 20 miles per hour over one evaluation guidelines. FRA expects Flexibility Act. or more public highway-rail crossings twenty-year auxiliary light installation Paperwork Reduction Act shall be equipped with operative and maintenance costs, which the auxiliary lights, in addition to the railroad industry would not incur in the This rule does not require information headlight required by paragraph (a) or absence of the proposed rule, to total collection; therefore, it is not necessary (b) of this section. A locomotive between $87 million and $106 million. to estimate the public reporting burden equipped on [date of publication of final The lower estimate is based on a for purposes of the Paperwork rule] with auxiliary lights in scenario in which all future auxiliary Reduction Act of 1980, 44 U.S.C. 3501 conformance with § 229.133 shall be lights are steady beam. The higher et seq. deemed to conform to the requirements estimate is based on a scenario in which Environmental Impact of this section until [date four years after all future auxiliary lights are pulsing. date of publication of final rule]. Information available to FRA suggests FRA has evaluated these regulations Auxiliary lights shall be composed as that about 7,946 locomotives are in accordance with its procedures for follows: currently equipped with auxiliary lights ensuring full consideration of the (1) Two white auxiliary lights shall be that comply with the proposed rule. environmental impact of FRA actions, placed at the front of the locomotive to About 52.84 percent of these as required by the National form a triangle with the headlight. locomotives have pulsing lights. The Environmental Policy Act (42 U.S.C. (i) The auxiliary lights shall be at least remaining 47.16 percent have steady 4321 et seq.), other environmental 36 inches above the top of the rail, beams. Assuming the industry statutes, Executive Orders, and DOT except on MU locomotives and control continues to install auxiliary lights in Order 5610.1c. It has been determined cab locomotives where such placement this proportion, FRA expects costs to that this rule will not have any effect on would compromise the integrity of the reach approximately $97 million over the quality of the environment. car body or be otherwise impractical. the next twenty years. Federalism Implications Auxiliary lights on such MU Although specifications for pulsing locomotives and control cab and steady beam lights differ, data are This rule will not have a substantial locomotives shall be at least 24 inches not available to establish that one light effect on the states, on the relationship above the top of the rail. system is the more effective. Assuming between the national government and (ii) The auxiliary lights shall be both are equally effective, to justify the states, or on the distribution of spaced at least 36 inches apart if the incurring $97 million in costs, auxiliary power and responsibilities among the vertical distance from the headlight to lights must provide a benefit of various levels of government. Therefore, the horizontal axis of the auxiliary lights preventing an average of at least 11 in accordance with Executive Order is 60 inches or more. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44463 (iii) The auxiliary lights shall be DEPARTMENT OF THE INTERIOR On June 22, 1995, a public hearing spaced at least 60 inches apart if the was held in Washington, DC, as vertical distance from the headlight to Fish and Wildlife Service announced in the March 24 and June 16 the horizontal axis of the auxiliary lights Federal Registers to review the status of is less than 60 inches. 50 CFR Part 20 migratory shore and upland game birds. RIN 1018-AC79 Proposed hunting regulations were (2) Each auxiliary light shall produce discussed for these species and for other at least 200,000 candela. Migratory Bird Hunting; Proposed early seasons. Frameworks for Late-Season Migratory On July 21, 1995, the Service (3) The auxiliary lights shall be Bird Hunting Regulations published in the Federal Register (60 focused horizontally within 15 degrees FR 37754) a third document which dealt of the longitudinal centerline of the AGENCY: Fish and Wildlife Service, specifically with proposed early-season locomotive. Interior. frameworks for the 1995-96 season. ACTION: Proposed rule; supplemental. On August 3, 1995, a public hearing (e) Auxiliary lights required by was held in Washington, DC, as paragraph (d) of this section may be SUMMARY: The Fish and Wildlife Service announced in the March 24, June 16, arranged to burn steadily or flash on (hereinafter the Service) is proposing to and July 21 Federal Registers, to review approach to a crossing. If the auxiliary establish the 1995-96 late-season the status of waterfowl. Proposed lights are arranged to flash, they shall hunting regulations for certain hunting regulations were discussed for flash alternately at a rate of at least 40 migratory game birds. The Service these late seasons. The Service later flashes per minute and at most 180 annually prescribes frameworks, or published a fourth document containing flashes per minute, for at least 20 outer limits, for dates and times when final frameworks for early seasons from seconds before the front of the train hunting may occur and the number of which wildlife conservation agency occupies the crossing. The flashing birds that may be taken and possessed officials from the States and Territories feature may be activated automatically in late seasons. These frameworks are selected early-season hunting dates, and shall be capable of manual necessary to allow State selections of hours, areas, and limits. This document is the fifth in the activation and deactivation by the seasons and limits and to allow series of proposed, supplemental, and locomotive engineer. recreational harvest at levels compatible with population and habitat conditions. final rulemaking documents for migratory bird hunting regulations and (f) Auxiliary lights required by DATES: The comment period for deals specifically with proposed paragraph (d) of this section shall be proposed late-season frameworks will frameworks for the late-season illuminated not less than 20 seconds end on September 7, 1995. migratory bird hunting regulations. It before the locomotive arrives at a public ADDRESSES: Comments should be will lead to final frameworks from highway-rail grade crossing. mailed to Chief, Office of Migratory Bird which States may select season dates, Management, U.S. Fish and Wildlife hours, areas, and limits. All pertinent (g) For the safety of persons along the Service, Department of the Interior, ms comments on the proposals received right of way, including railroad 634—ARLSQ, 1849 C Street, NW., through August 3, 1995, have been employees and contractors— Washington, DC 20240. Comments considered in developing this received will be available for public document. In addition, new proposals (1) Railroads may elect to operate inspection during normal business for certain late-season regulations are auxiliary lights when the speed over the hours in room 634, Arlington Square provided for public comment. The crossing is less than 20 miles per hour; Building, 4401 N. Fairfax Drive, comment period is specified above and Arlington, Virginia. under DATES. Final regulatory FOR FURTHER INFORMATION CONTACT: Paul frameworks for late-season migratory (2) Railroads shall have the discretion R. Schmidt, Chief, Office of Migratory game bird hunting are scheduled for to illuminate locomotive auxiliary lights Bird Management, U.S. Fish and publication in the Federal Register on in other circumstances in addition to Wildlife Service, (703) 358-1714. or about September 25, 1995. approaching a public highway-rail grade SUPPLEMENTARY INFORMATION: crossing. Presentations at Public Hearing Regulations Schedule for 1995 A report on the status of waterfowl (h) When one required auxiliary light On March 24, 1995, the Service was presented. This report is briefly and the headlight of a locomotive published for public comment in the reviewed below as a matter of public remain operative after the train has Federal Register (60 FR 15642) a information, and is a summary of departed its initial terminal, the proposal to amend 50 CFR part 20, with information contained in the ‘‘Status of locomotive may proceed as an equipped comment periods ending July 21 for Waterfowl and Fall Flight Forecast’’ locomotive until reaching the next point early-season proposals and September 4 report. at which repairs to the inoperative light for late-season proposals. Due to some Most goose and swan populations in can be made. If no required auxiliary unforeseen and uncontrollable North America remain numerically light remains operative, the locomotive publishing delays in the proposed late- sound and the size of most fall flights may be moved only if the requirements season regulations frameworks, the will be similar to those of last year. of § 229.9 are met. Service has extended the public Production of young in 1995 is expected comment period to September 7, 1995. to be above average for most Donald M. Itzkoff, On June 16, 1995, the Service published populations. Generally, spring Deputy Federal Railroad Administrator. for public comment a second document phenology was earlier than normal in (60 FR 31890) which provided the western Arctic and Ungave [FR Doc. 95–21143 Filed 8–25–95; 8:45 am] supplemental proposals for early- and Peninsula, later than normal in the late-season migratory bird hunting prairie pothole region, and near normal BILLING CODE 4910±06±P regulations frameworks. in other important nesting areas. Habitat 44464 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules conditions for nesting geese were Canada goose season throughout the programs are under attack through variable in southern Canada and the Atlantic Flyway. He stated that existing budget-balancing and any reductions northern U.S. Flooding in the western data do not support a limited 30-day could jeopardize future status and the U.S. likely reduced the productivity of season with a 1-bird daily bag limit in increases in hunting opportunity. several Canada goose populations. the New England States. He suggests Mr. Richard Elden, representing the Recent declines in sizes of the Atlantic, that survival rates on birds migrating Michigan Department of Natural Southern James Bay, and dusky Canada through the Maritime Provinces of Resources, commended the Service for goose populations are of continuing Canada are actually lower than those its efforts to improve the regulations- concern. breeding in northern Quebec and that setting process. He stated that the The 1995 estimate of total ducks in better data are needed to delineate this process has markedly improved and he the traditional survey area was 35.9 population. He encouraged the Service is optimistic about adaptive harvest million, an increase of 10 percent from to contact the Canadian Wildlife Service management. He summarized the that in 1994 and 11 percent higher than and request that the sport harvest on the development of Canada goose the long-term average. Mallards Atlantic Population Canada Geese be management plans in the Mississippi increased 18 percent to 8.3 million, the suspended in Quebec and Ontario by Flyway and their role in improving the highest estimate since 1972. Gadwalls, emergency closure this year. Further, he cooperative management of the various redheads, and canvasbacks also asked the Service to work with populations. He stated that, based on increased over 1994 estimates to record- representatives of the native the status of redheads this year, high levels. The number of ponds in communities to reduce subsistence liberalization of the daily bag limit for May was similar to that of last year, but taking in northern Quebec and ask the this species is warranted and was 38 percent above the long-term Canadian Wildlife Service to review the biologically supported, and requested average. In eastern areas of Canada and harvest and consider restrictions on that the Service reconsider its proposal the U.S., surveys of strata 51-56 were Canada geese in the Maritime Provinces. and increase the number of redheads in conducted for the sixth consecutive He commended the Service for the daily bag limit from 1 to 2 birds in year. In this area, the number of total extending the framework closing date the Mississippi Flyway. ducks was similar to that of last year, on greater snow geese to March 10th, Mr. Mike Harris, representing the but was 22 percent below the 1990-94 but asked the Service to consider the Maryland Guide Association average. Habitats in many eastern areas option of allowing states to split their commented that Canada geese have were drier than average. The seasons into 3 segments. He believed changed their movement patterns in preliminary fall-flight index for all that the requested option is needed to recent years and no longer migrate north ducks is about 80 million birds, allow more flexibility in helping farmers in the spring, as they once did. Rather, compared to 71 million last year. The deal with crop depredation problems. he believes they remain as resident fall flight will include approximately Mr. Bruce Barbour, representing the birds and breed locally. He maintains 11.1 million mallards, an increase of 15 National Audubon Society, indicated that although these geese are in good percent over that of 1994. that both the Eastern and Western numbers, early seasons on these birds During the 1994-95 hunting season, Populations of tundra swans are stable should not be allowed, because it there were increases in the number of and of no management concern. The reduces the overall numbers of geese hunters, their days afield, and in both National Audubon Society supports available during the regular season. He duck and goose harvests compared to efforts to restore trumpeter swans claims that it is difficult to stay in the previous year. However, the number throughout their former range, and business and suggests that if the hunting of waterfowl hunters continues to believes that issues related to the season is closed on Canada geese, the remain below levels observed in the incidental take of trumpeter swans guides and outfitters should receive 1970’s. The sport harvest of ducks during tundra swan seasons have been some financial assistance from the continues to increase from the record adequately addressed in this year’s Federal Government. He recommended low in 1988, but remains well below the proposal. He reminded the Service of that a 30-day season with a 1-bird daily historic average. Goose harvest has the concern for the Atlantic and bag limit be offered until the changing increased three-fold during 1961-94. Southern James Bay Populations of patterns of resident geese could be The rate at which ducks are harvested Canada geese and the dusky subspecies, reviewed. did not appear to increase during the and recommended that further Rollin W. Sparrowe, representing the 1994-95 season, in spite of restrictions should be sought for their Wildlife Management Institute, liberalizations in hunting regulations. recovery. Mr. Barbour then indicated supported overall the Service’s Harvest-survey data suggest that the concern for the extremely high regulatory proposals. He commended reproductive success of ducks in the populations of Mid-Continent Snow the Service and State cooperators for midcontinent region increased last year, Geese that have resulted in severe their commitment toward implementing but recruitment may have been poorer damage to Arctic nesting areas. He the Adaptive Harvest Management in other areas. Most goose species reviewed this year’s breeding duck approach to duck hunting and to experienced declines in recruitment in population status and supported the distance the process from political 1994 compared to the exceptionally Adaptive Harvest Management process influence. He supported partial good year of 1993. used in selecting this year’s liberal adoption of the Adaptive Harvest package and specified species Management approach this year which Review of Comments Received at Public restrictions. He indicated that increased recognized goals established in the Hearing hunting opportunity will occur on all North American Waterfowl Management Seven individuals presented species under the liberal option, and Plan. He was pleased that after years of statements at the August 3, 1995, public efforts should be initiated to concern about the status of ducks, more hearing. These comments are cooperatively develop harvest liberal seasons could be offered. He summarized below. approaches for these species. Finally, asked why the Service did not consider Mr. Lloyd Alexander, representing the many programs are responsible for the adding an additional redhead to the bag Delaware Division of Fish and Wildlife, recovery of the continent’s duck limit in the Mississippi and Central supported the proposal to close the resources; however, many of these Flyways when populations seemed Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44465 appropriate and urged the Service to Flyway, the liberal regulatory package, and urged the development of non-toxic reexamine this aspect before and the Adaptive Harvest Management alternatives. frameworks were finalized. He process that was used in this interim expressed continued concern about the year prior to its full implementation. He 1. Ducks status of pintails. He commended the thanked the Service for the assistance The categories used to discuss issues Service and the Atlantic Flyway Council with communication efforts on behalf of related to duck harvest management are for proposing the closure on Canada Adaptive Harvest Management, but as follows: (A) General Harvest Strategy, goose hunting in the Atlantic Flyway, pointed out that continuing efforts will (B) Framework Dates, (C) Season urged the Service to request the be necessary for successful Length, (D) Closed Seasons, (E) Bag Canadian Wildlife Service to take implementation in future years. He then Limits, (F) Zones and Split Seasons, and similar action in Canada, and initiate strongly suggested that the Service work (G) Special Seasons/Species research to understand the problem. He closely with the Flyway Councils in Management. Only those categories complimented the Service and Flyway developing regulatory packages for next containing substantial recommendations Councils in the regulatory process and year. He believed that this cooperation are included below. their systematic use of data in will be especially crucial for further A. General Harvest Strategy developing specific recommendations. implementation by facilitating All parties were urged to keep ownership and support for full Written Comments: The Pennsylvania explaining to their constituencies the implementation of Adaptive Harvest Game Commission expressed support Adaptive Harvest Management process. Management in 1996. Mr. Vandel for the proposed regulations strategies Rollin W. Sparrowe, also representing summarized the history of goose as an interim approach for 1995 only. The Trumpeter Swan Society, was population status in the Central Flyway They continue to be concerned, supportive of the ongoing efforts to and noted the great success of however, that the process relies on mid- restore and redistribute the Rocky cooperative management practices that continent mallards as a basis for Mountain Population of trumpeter has resulted in record high flyway regulatory changes in the Atlantic swans within the Tri-State Area. He harvest of geese in 1994. However, he Flyway. spoke of the conflict between range pointed out that the high population Likewise, the Delaware Department of expansion efforts and waterfowl hunting levels of light geese were of great Fish and Wildlife generally endorsed programs in the Pacific Flyway, concern. He recommended that the the concept of regulatory packages but including tundra swan seasons in Service work through an international remained concerned that the process Montana, Utah, and Nevada. However, was linked to the mid-continent The Trumpeter Swan Society was effort to identify specific actions needed populations of mallards and prairie satisfied with the Service’s proposal to to reduce these high populations and wetland conditions. allow significantly modified swan prevent further deterioration of The Illinois Department of seasons in those three States, which important nesting habitats. He pointed Conservation also expressed support for should enhance the likelihood for out the importance of maintaining the Adaptive Harvest Management successful range expansion by strong migratory bird survey efforts, as (AHM) process but were concerned that trumpeter swans. He thanked the Pacific these tools are vital to the development Flyway Council, the States of Montana, of our management approaches. Finally, there had been insufficient time to Utah, Nevada, and Oregon, and the he indicated that the recovery of duck properly educate the public about AHM. Service for successfully developing a populations was clear evidence that the They also felt that the set of regulatory compromise that meets everyone’s Conservation Reserve Program and other options offered may be too limited, needs. He said his organization was habitat programs are working. particularly with regard to bag limits. small, with limited resources, but wants The South Dakota Department of Flyway Council Recommendations and to assist all parties in the responsible Game, Fish and Parks expressed support Written Comments effort to manage swans. for AHM and the interim steps proposed for the 1995-95 hunting season. Scott Sutherland, representing Ducks The preliminary proposed rulemaking Unlimited, expressed support for Additionally, they supported the idea of which appeared in the March 24 expanding the status of duck breeding Adaptive Harvest Management and the Federal Register, opened the public- regulatory matrix proposed by the populations and habitat used in AHM comment period for late-season from mallards and prairie Canada ponds Service this year which resulted in the migratory game bird hunting liberal package recommendation. Under to include other duck species and ponds regulations. As of August 3, 1995, the in the Dakotas and Montana. full implementation of AHM, however, Service had received 27 comments; 25 The California Waterfowl Association Mr. Sutherland expressed a desire to of these specifically addressed late- commended the Service for moving modify the framework packages season issues. The Service also received towards AHM. They did express allowing a consideration of longer recommendations from all four Flyway concern, however, for the potential of a seasons with smaller daily bag limits. Councils. Late-season comments are season closure in California, the AHM Mr. Sutherland also expressed his summarized and discussed in the order terminology regarding regulations continued support for the Conservation used in the March 24 Federal Register. packages, and the use of only mid- Reserve Program and the North Only the numbered items pertaining to continent mallards and prairie habitat American Wetlands Conservation Act. late seasons for which written Mr. George Vandel, representing the conditions in the AHM process. comments were received are included. Central Flyway Council, indicated that Individuals from Mississippi, as Chairman of the Central Flyway General Oklahoma, Arkansas, and Tennessee Council, he was pleased with this year’s expressed support for the AHM process process for establishing the proposed Written Comments: An individual and the Service’s proposed regulatory frameworks for late seasons. The Central from Wisconsin expressed support for packages. However, one individual from Flyway supported the proposed use of the existing shooting hours of one-half Arkansas stated that future AHM criteria flexible framework opening and closing hour before sunrise to sunset. He also should be adjusted to be more dates for duck seasons in the Central opposed the requirement for steel shot conservative. 44466 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules B. Framework Dates 1 pintail, 1 canvasback, 2 wood ducks, and potential harvest. In brief, the Council Recommendations: The and 2 redheads. strategy stated that if population status Atlantic Flyway Council recommended The Lower-Region Regulations and expected production were sufficient framework dates of October 1 to January Committee of the Mississippi Flyway to permit a harvest of 1 canvasback per 20. Council recommended a 50-day season day nationwide for the entire length of The Upper-Region and Lower-Region with a 5-bird daily bag limit, including the regular duck season, the season on Regulations Committees of the no more than 4 mallards (no more than canvasbacks should be opened. Mississippi Flyway Council 1 of which may be a hen), 3 mottled Otherwise, the season on canvasbacks recommended framework dates of ducks, 1 black duck, 1 pintail, 1 should be closed nationwide. This spring, results from the May Breeding September 28 and January 23. canvasback, 2 wood ducks, and 2 Waterfowl and Habitat Survey indicate The Central and Pacific Flyway redheads. that habitat conditions and the size of Councils recommended framework The Central Flyway Council the canvasback population are sufficient dates of the Saturday nearest October 1 recommended a 60-day season (83 days to open the season on canvasbacks. (September 30) to the Sunday nearest in the High Plains Mallard Management Therefore, the Service proposes a bag January 20 (January 21). Unit with the last 23 days of the season limit of 1 canvasback per day during the Written Comments: The South Dakota taken no earlier than the Saturday 1995-96 regular duck season. Department of Game, Fish and Parks closest to December 10) with a 5-bird opposed a fixed framework opening daily bag limit, including no more than ii. Redheads date. 1 hen mallard, 1 mottled duck, 1 pintail, 1 canvasback, 2 wood ducks, and 1 Council Recommendations: The An individual from Mississippi Mississippi Flyway Council expressed support for a January 31 redhead. The Pacific Flyway Council recommended a bag limit of 2 redheads framework closing date. per day, an increase from the bag limit Service Response: Traditional recommended a 93-day season (100 days in the Columbia Basin of 1 redhead per day proposed by the framework opening and closing dates Service in March 1995. have been oriented to the period Management Unit) with a 6-bird daily bag limit, including no more than 1 hen Written Comments: The Texas Parks October 1 - January 20, either as fixed and Wildlife Department also requested mallard, 2 pintails, 1 canvasback, and 2 calendar dates or ‘‘floating’’ dates, using a bag limit of 2 redheads per day in the redheads. as a guideline the Saturday nearest Central Flyway. Written Comments: Individuals from October 1 and the Sunday nearest Service Response: The Service prefers January 20 to select opening and closing Tennessee, Virginia, Wisconsin, and that proposals for changes in species- or dates annually. The fixed framework Iowa expressed support for the population-specific regulations be based dates of September 28 - January 23 proposed increase in season length but on more long-term strategies rather than recommended for the Mississippi were against the proposed bag limit in response to short-term changes in Flyway this year would provide increase. An individual from Wisconsin population estimates. The Service consistently wider frameworks over the expressed support for a 70-day season. believes that such strategies should years than the fixed October 1 - January Another individual from Wisconsin include the following: (1) an assessment 20 dates recommended for the Atlantic supported a 50-day season and a 4-bird of how the population responds to Flyway and the floating dates daily bag limit, while an individual harvest and environmental conditions, recommended for the Central and from Tennessee supported a 40-day (2) criteria that prescribe when Pacific Flyways. To maintain season and a 4-bird daily bag limit. regulations should be changed (i.e., consistency among flyways in the An individual from Michigan was become more restrictive or more liberal), procedures for selecting framework against any increase in the daily bag (3) the range of regulatory options that dates, and because floating dates have limit. An individual from Louisiana was will be considered (e.g., ranges of season been recommended annually for the opposed to a 50-day season and 5-bird lengths and bag limits), and (4) Mississippi Flyway in recent years, the daily bag limit and an individual from considerations for determining the Service proposes to return to the use of Iowa was opposed to a 40- to 50-day efficacy of the harvest strategy. The floating framework dates for the season with the proposed 5-bird daily proposals to permit a bag limit of 2 Mississippi Flyway as well as the bag limit. One individual from redheads per day were received in late Central and Pacific Flyways. Kentucky expressed general support for July, and were based primarily in low limits. response to the estimated size of the C. Season Length and Bag Limits F. Zones and Split Seasons redhead population during spring 1995. Council Recommendations: The The Service believes that, due to the Atlantic Flyway Council recommended Written Comments: The Nebraska timing of the request, analyses of a 50-day season with a 5-bird daily bag Game and Parks Commission urged the biological data sufficient to address the limit, including no more than 1 black Service to modify its existing zoning four criteria above have not been duck, 1 hen mallard, 1 pintail, 1 policy related to special management conducted. Further, additional harvest canvasback, 2 wood ducks, 2 redheads, unit limitations. opportunities on redheads in all and no harlequin ducks. Further, the G. Special Seasons/Species Flyways will result from increases in Council recommended that States Management season lengths proposed for this year. maintain a 40-percent reduction in the The Service recommends that MBMO harvest of black ducks from the 1977-81 i. Canvasback and the Flyways cooperatively develop base period. Written Comments: An individual protocol and strategies which address The Upper-Region Regulations from Wisconsin supported the opening how to handle species- and population- Committee of the Mississippi Flyway of canvasback season. specific proposals within the context of Council recommended a 50-day season Service Response: In 1994, the Service the Adaptive Harvest Management with a 5-bird daily bag limit, including adopted a strategy to manage (AHM) Initiative, and believes the AHM no more than 4 mallards (no more than canvasback harvests that considered Working Group is the appropriate forum 1 of which may be a hen), 1 black duck, population status, habitat conditions, for this endeavor. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44467 iii. Other Species as it takes to rebuild the population to update its Canada goose management Written Comments: An individual the levels of the mid-1980s. plan, and make recommendations from Kentucky expressed support for An individual from Washington urged regarding an appropriate harvest keeping the black duck daily bag limit additional protection for the dusky strategy for this group of geese. at 1 bird. Canada goose population wintering The Service concurs with the Central along the Chehalis River. Flyway Council’s recommended 4. Canada Geese Service Response: Based on the increase in the dark goose aggregate bag continuing decline in the number of limit from 3 to 4 for the west-tier States. B. Regular Seasons breeding pairs of Atlantic Flyway However, while this increase is justified Council Recommendations: The Population Canada geese, the Service for Canada geese, the Service believes Atlantic Flyway Council recommended endorses the Atlantic Flyway Council’s that it is not appropriate for white- that the regular season on the Atlantic recommendation to suspend the 1995- fronted geese. In the Western Goose Flyway Population of Canada geese be 96 regular Canada goose season in the Zone in Texas, biologists have identified suspended; except for West Virginia, the Chesapeake and Mid-Atlantic regions of a large group of wintering white-fronted Southern James Bay Population harvest the Atlantic Flyway, with exceptions for geese believed to be part of the western areas of Pennsylvania, and a newly West Virginia and a portion of segment of the Mid-Continent Greater created New England Zone [Maine, New northwest Pennsylvania. The substantial White-fronted Goose Population. For Hampshire, Rhode Island, Vermont drop in numbers of migratory Atlantic this reason, the Service believes that the (excluding the Lake Champlain Zone), Flyway Canada geese (27 percent from bag limit for whitefronts should be Massachusetts (excluding the Western 1994 and 75 percent from 1988) has similar to those of other States in the Zone), and Connecticut (excluding continued despite harvest restrictions range of this segment in the east-tier of Litchford and Hartford Counties)]. In the imposed in 1992. However, the Service the Central Flyway. Therefore, the New England Zone, the Council does not support the recommendation to Service proposes a 5-bird dark goose bag recommended a 30-day season, with a provide a 30-day season, betweeen limit, including no more than 1 white- framework of October 1 through October 1 and November 30, with a 1- fronted goose and 4 Canada geese in the November 30, with a 1-bird daily bag bird daily bag limit, for States in the west-tier States of the Central Flyway. limit. New England Zone. The Atlantic The Atlantic Flyway Council also Flyway Population is currently managed C. Special Late Seasons recommended that, in light of the under an approved Flyway Management Council Recommendations: The decision to suspend the regular season Plan as a single Atlantic population Atlantic Flyway Council recommended on migrant Canada geese flyway-wide, unit, along with those birds breeding in a new experimental late season for the Service should immediately begin a the Ungava Bay and east-coastal Hudson resident Canada geese in New York, and review of framework dates for resident Bay areas of Quebec. The Service will additional days and area modifications Canada goose seasons to determine continue to manage geese on a for existing seasons in New Jersey, whether dates could be expanded to population basis, guided by South Carolina, and Georgia. In increase harvests. cooperatively developed management addition, because of the high harvest of The Upper-Region and Lower-Region plans. migrant Canada geese, the Council Regulations Committees of the The information available to recommended suspension of the special Mississippi Flyway Council objectively separate these populations late season in the Coastal Zone of recommended several changes in into two distinct management units, as Massachusetts. Canada goose quotas, season lengths, the basis for the New England Zone, is The Pacific Flyway Council etc., based on population status and currently very limited. Survival rates, recommended revision of the Canada population management plans and based on limited bandings, are actually goose season framework in Cowlitz programs. lower for the Maritimes component of County south of the Kalama River and The Central Flyway Council the population than for geese in the area Clark County, Washington, to allow a recommended several changes for west- where the Flyway Council special late season. The season would tier dark geese: (1) an increase in the recommended a complete season be subject to the following conditions: aggregate bag limit from 3 to 4 birds, (2) closure. Also, productivity information, (1) season dates would be February 5 an extension of the closing framework which would help assess the differences through March 10, (2) bag limits and from January 31 to the Sunday nearest in survival rates, is very limited. In checking requirements would be the February 15 (February 18) for the addition, only 2 years of population same as the regular season, except that Western Goose Zone of Texas, and (3) survey data are available for Canada the season on cackling Canada geese an increase in the dark goose bag limit geese breeding in the Maritimes, and would be closed, (3) the season would from 2 to 4 birds in Sheridan County, these are too inconclusive to indicate end upon the attainment of a quota of Montana. whether numbers of breeding pairs are 5 dusky Canada geese (this quota would The Pacific Flyway Council stable or declining. The Service does not be taken from the total of 90 allocated recommended that the bag limit for oppose the delineation of a Maritime under the regular season), and (4) fields Canada geese in central Montana, population of Atlantic Flyway Canada selected for the season would not have western Wyoming, and southeastern geese, if warranted, but believes that more than 10 percent duskys in the Idaho be increased from 3 to 4 birds. more information is needed before flocks using the fields. Additionally, the The Council also recommended that the beginning a harvest strategy different season would be contingent upon an daily bag limit for cackling Canada from that for the population breeding in operational hazing program in place in geese in the quota zones of western Quebec. Therefore, the Service the hunt area, administered by the U.S. Oregon and western Washington be encourages the Flyway Council to work Department of Agriculture, Animal increased from 1 to 2 birds. cooperatively with the Canadian Damage Control (ADC) in Washington. Written Comments: An individual Provinces during the coming year to ADC would identify fields receiving from the Eastern Shore of Maryland gather more data, review the key depredation and contact hunters from a expressed support for the closure of the population parameters involving the list supplied by the Washington regular Canada goose season for as long Maritime component of Canada geese, Department of Fish and Game (WDFG). 44468 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules WDFG would evaluate season primary wintering range of light geese in participate in a mandatory parts check effectiveness and estimate harvest, each flyway. The Service emphasizes at designated sites within 72 hours of subspecies composition, hunter that it believes that sport hunting harvest for species determination; and participation, and report band opportunities should be limited to the hunters in Montana would continue to recoveries. fall migration and winter periods. The participate in a voluntary bill- Service proposes to use Interstate measurement card program. The States 5. White-fronted Geese Highway 80 as the northern boundary of would continue to monitor harvest Council Recommendations: The this extension in the Central and composition, swan population during Central Flyway Council Mississippi Flyways and that it be the hunt, and collect related harvest recommendations regarding dark geese limited to the States of Delaware, data. This information would be involve white-fronted geese. See item 4. Maryland, Pennsylvania, New Jersey, reported to the Service in a preliminary Canada Geese. Specifically pertaining North Carolina, South Carolina, and report by March 31 and a final report by to white-fronted geese, the Council Virginia in the Atlantic Flyway. In the June 30, 1996. recommended an increase in the season coming year, the Service requests that The Council offered the proposed length in the Eastern Goose Zone of States identify important staging areas frameworks in an attempt to forward Texas from 72 to 86 days. for snow geese where they are co- trumpeter swan range expansion efforts The Pacific Flyway Council mingled with other species to the extent throughout the western states and to recommended several changes to white- that sport-hunting activities may cooperate with the Trumpeter Swan fronted goose frameworks. The Council potentially cause significant disturbance Society in their efforts with this species. recommended that special bag-limit to other species. A major staging area The quota on trumpeter swans is restrictions on whitefronts be removed has been identified in the Rainwater- believed to be biologically insignificant by placing them within the overall dark Basin Area of Nebraska, and the Service and estimated to be less than 1 percent goose limits except in the primary proposes not to extend the framework of the population. The combined sport whitefront harvest areas in Alaska; the date in the following counties or and subsistence harvest of Western Counties of Lake, Klamath, and Harney portions of counties that are south of the Population tundra swans has averaged in Oregon; and in the Northeastern and identified I-80 boundary: Adams, Clay, about 10 percent of the midwinter index Balance-of-State Zones in California. In Fillmore, Franklin, Gosper, Hall, during the past 10 years without Oregon, the Council recommended that Hamilton, Harland, Kearney, Nuckolls, negative impact to population status. In Utah, 26 percent of the swan harvest has all whitefront seasons be concurrent Phelps, Saline, Seward, Thayer, and occurred after December 1 and 15 with dark goose seasons. In California, York. percent after December 15, with the Council recommended that the December harvests as high as 57 percent whitefront season be extended by two 8. Swans in 1993. The Council believed that until weeks in the Sacramento Valley special Council Recommendations: The December hunts can be demonstrated to goose closure portion of the Balance-of- Pacific Flyway Council reiterated its threaten trumpeter swans they should State Zone. recommendations for a swan season in be allowed to continue. Between 1962- portions of Montana, Utah, and Nevada 7. Snow and Ross’s Geese 94, upwards of 99 percent of the Utah (see the June 16, 1995, Federal harvest occurred in the Great Salt Lake Council Recommendations: The Register), except that the period should area; therefore, closing of other areas Atlantic Flyway Council recommended be 3 years instead of 5 years and the will mainly remove local opportunity extending the framework closing date trumpeter swan quota allocation was but not have a great effect on the overall for snow geese to March 10. made. Features of the Council’s harvest. The 250 (10 percent) increase in The Upper-Region and Lower-Region recommendation include: (1) changing permits for Utah is requested to replace Regulations Committees of the ending framework dates in all three opportunity and harvest lost through Mississippi Flyway Council States from the Sunday closest to area and season closures. Nevada recommended that the framework January 20 to December 1 for Montana, biologists have no data suggesting that closing date for light geese be extended Sunday closest to December 15 for Utah, State’s season is having any impact on to March 10 and the daily bag limit be and the Sunday following January 1 for trumpeter migration between the increased to 10 birds. Nevada; (2) changing the hunt area in Tristate area and wintering areas in The Central Flyway Council Montana by deleting those portions of California. The Council offered these recommended that the framework Pondera and Teton Counties west of recommendations in an effort to closing date for east- and west-tier light U.S. Highways 287-89 but including all integrate Western Population tundra geese be extended to March 10. of Chouteau County; (3) reduce Utah’s swan and Rocky Mountain Population Written Comments: The Pennsylvania statewide season to just the Great Salt trumpeter swan management programs Game Commission recommended that Lake Basin, defined at those portions of and to move ahead and evaluate various the State of Pennsylvania be included in Box Elder, Weber, Davis, Salt Lake, and aspects of both programs. those wintering States offered an Tooele counties lying south of State Written Comments: Ruth E. Shea, a extended framework closing date of Highway 30 and I-80/84, west of I-15, wildlife biologist associated with March 10. They stated that increasing and north of I-80. Number of swan research and management of Rocky the framework would allow farmers to permits would remain unchanged for Mountain Population trumpeter swans deal with depredation problems and Montana (500) and Nevada (650) but since 1976, by letter of July 29, 1995, provide additional hunting opportunity would be increased from 2,500 to 2,750 described a proposal by her and Dr. Rod to Pennsylvania hunters. for Utah. A trumpeter swan quota of 20 Drewien which was the foundation of Service Response: The Service birds would be allocated, with 15 to recommendations from The Trumpeter concurs with the requests to extend the Utah and 5 to Nevada, with the season Swan Society and the Pacific Flyway framework closing date for light geese to being closed either by the framework Council included herein. The Shea- March 10 in the Atlantic, Mississippi, date or attainment of the quota, Drewien proposal incorporated two and Central Flyways, but believes that whichever occurs first. All hunters in primary strategies: (1) increasing this extension should be limited to the Utah and Nevada would be required to protection of migrant trumpeter swans Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44469 by tightly focusing tundra swan hunts in agreement with the Pacific Flyway and TTSS were obviously not made time and place; and (2) authorizing a Council’s recommendations as reported easily. For persons and groups solely small quota of trumpeter swans within in the Federal Register of June 16, 1995. interested in either restoration or each tundra swan hunt area in order to Because these trumpeter swans winter hunting but not both, those eliminate the liability of the otherwise in marginal habitat in the Tristate region recommendations will be perceived legitimate tundra swan hunters who of Montana, Idaho, and Wyoming, and only as without benefit. accidently shoot a trumpeter swan, with have a poor tradition for migrating Both sets of recommendations were mandatory check of birds to adequately elsewhere, they will suffer a die-off in similar, with the exception of the implement a quota system. She a severe winter. He believes a rapid contentious closing date in Utah. The attributes the vulnerable status of this redistribution to better winter habitat is Council recommends a closing date for population to a diminished tendency to critical to the population’s survival. Utah that would be the Sunday closest migrate and to a winter distribution that TTSS had previously endorsed a 5-year to December 15, which would range is largely in overcrowded, less favorable experimental plan proposed by Drewien between December 12 and 18. TTSS sites. She believes building a migration and Shea [see comments from TTSS and recommends a closing date of December southward from eastern Idaho, to the Shea elsewhere in this document]. Of 1, but believes there could be latitude to fall staging area of the Bear River Delta the numerous recommended changes, accommodate Sunday closing as is in Utah would be an important step in the most critical feature of the plan was traditional in most Western states. restoring a secure winter distribution. modification of hunting seasons in Utah The Service supports the basic To enhance survival of those few to increase survival of migrating swans. recommendations from both the Council trumpeters that currently migrate into The Great Salt Lake Basin is in the most and the TTSS; however, considering the Utah and Nevada, Shea and Drewein likely migration path for trumpeters significance of the general swan season, proposed focusing tundra swan hunting from the Tristate area. The December 1 the Service will propose a season only in areas and at times where tundra date is favored because: (1) it coincides ending date of the first Sunday in swans are abundant and trumpeters are with the average date for freezeup of December. This would allow the ending less likely to be present or have access many lakes in the Tristate area which date to range between December 1 and to suitable security areas. She deemed could force trumpeters south, (2) it is 7, with the season ending on December an ending date of ‘‘plus or minus’’ about the time that many wetlands 3 this year and, if changes are not December 1, in Utah to be the single within in Bear River Migratory Bird deemed essential, December 1 in 1996, most important feature of their proposal. Refuge which could increase the etc. Further, the Service believes it is Rationale for using this date included: vulnerability of Trumpeters that have important to annually review all (1) in most years security areas on the migrated to the refuge, and (3) it information and potentially modify Bear River Migratory Bird Refuge freeze anticipates increased trumpeter seasons in time and place should around Thanksgiving, potentially migrations and not past accidental shootings. TTSS does not object to a circumstances warrant. While TTSS forcing swans to use non-secure believes quotas on trumpeter swans are habitats; and (2) Service and Pacific quota system that would allow a take of trumpeter swans if other conditions of not as important to protect the species, Flyway efforts to assist in winter as are closing dates and other factors, distribution includes hazing swans from their proposal are met, including modification of seasons and boundaries the Service believes quotas will provide overcrowded areas, as early as practical additional protection to trumpeter in November, which when coupled with for swan hunting and of management on the Bear River Migratory Bird Refuge. swans until the experimental period can shrinking habitat with the onset of be fully evaluated. Further, we propose winter has potential for pushing swans The quota system is not intended to protect trumpeters but to protect that the overall evaluation be made after into the Great Salt Lake Basin by late a 5-year period, subject to annual November. She said that a December 1 hunters from liability if they accidentally shoot a trumpeter. He reporting and review. closure would still give Utah swan The Service insists upon assurance hunters about 45 days of opportunity regrets the potential loss of hunting opportunity that the December 1 closing from Utah and Nevada that birds will be and would provide future opportunity date would have on tundra swan physically examined by biologists and to translocated trumpeters from Idaho to hunters but believes it may be the only that maximum compliance with the Bear River Migratory Bird Refuge way to provided adequate protection to reporting be sought using whatever vicinity during December. She believes migrating trumpeters. means is appropriate for that particular trumpeter swan restoration efforts have The Humane Society of the United State. We do not believe reporting must been stymied by real or perceived States (Humane Society) by letter of July be done within 72 hours, but it seems conflicts with the swan hunt, but 21, 1995, requests that the Service close reasonable that it could be believes their recommended approach all swan hunting seasons and contends accomplished within 3 working days. would meet the very different that tundra swan hunting impedes, if Timely classification of swans is management needs for two species of not prevents, winter range expansion important if the trumpeter quota is to be swans. and recovery of trumpeter swans. The used effectively. The need or lack of Laurence N. Gillete, President of The Humane Society says the Pacific Flyway need for Montana to have a season Trumpeter Swan Society (TTSS), in a Council’s recommendation for increased without a quota or to use a different letter of July 31, 1995, again urged the permits in Utah and a quota on method of reporting harvest will be Service to adopt a closing date of trumpeter swans in exchange for season reviewed annually; and continued December 1 or the first Sunday in modifications should be denied. departure from the requirement in Utah December, if there is a tradition of Service Response: The Service and Nevada will likely be contingent ending seasons on a Sunday, for the commends both the Pacific Flyway upon the continued healthy status of tundra swan hunting season in Utah to Council and The Trumpeter Swan that segment of the trumpeter swan provide additional protection for Society for seeking ways to enhance population that has had the potential for migrating Rocky Mountain Population trumpeter swan range expansion while being affected by the Montana season, trumpeter swans. With the exception of retaining tundra swan hunting. The even without the conservative changes the closing date in Utah, TTSS is in recommendations from both the Council proposed herein. 44470 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules Public Comment Invited NEPA Consideration determined that it met the requirements NEPA considerations are covered by of E.O. 12866. In addition, the Service Based on the results of migratory prepared a Small Entity Flexibility game bird studies now in progress, and the programmatic document, ‘‘Final Supplemental Environmental Impact Analysis, under the Regulatory having due consideration for any data or Flexibility Act (5 U.S.C. 601 et seq), views submitted by interested parties, Statement: Issuance of Annual Regulations Permitting the Sport which further document the significant the possible amendments resulting from beneficial economic effect on a this supplemental rulemaking will Hunting of Migratory Birds (FSES 88- 14),’’ filed with EPA on June 9, 1988. substantial number of small entities. specify open seasons, shooting hours, Notice of Availability was published in This rule was not subject to review by and bag and possession limits for the Federal Register on June 16, 1988 the Office of Management and Budget designated migratory game birds in the (53 FR 22582). The Service’s Record of (OMB) under E.O. 12866. United States. Decision was published on August 18, These proposed regulations contain The Service intends that adopted final 1988 (53 FR 31341). However, this no information collections subject to rules be as responsive as possible to all programmatic document does not OMB review under the Paperwork concerned interests, and therefore prescribe year-specific regulations; Reduction Act of 1980 (44 U.S.C. 3501 desires to obtain for consideration the those are developed annually. The et seq.). However, the Service does comments and suggestions of the public, annual regulations and options are utilize information acquired through other concerned governmental agencies, being considered in the Environmental other various information collections in and private interests on these proposals. Assessment, ‘‘Waterfowl Hunting the formulation of migratory game bird Such comments, and any additional Regulations for 1995,’’ which is hunting regulations. These information information received, may lead to final available upon request. In addition, the collection requirements have been regulations that differ from these Service has prepared an Environmental approved by OMB and assigned proposals. Assessment, ‘‘Proposal to Establish clearance numbers 1018-0005, 1018- General Swan Hunting Seasons in Parts 0006, 1018-0008, 1018-0009, 1018-0010, Special circumstances are involved in 1018-0015, 1018-0019, and 1018-0023. the establishment of these regulations of the Pacific Flyway’’ to reconcile which limit the amount of time that the conflicting strategies for managing two Authorship Service can allow for public comment. swan species in the Pacific Flyway by The primary author is Ron W. Kokel, Specifically, two considerations establihsing for a trial period a general Office of Migratory Bird Management. compress the time in which the swan season in portions of Montana, rulemaking process must operate: (1) the Nevada, and Utah. The Environmental List of Subjects in 50 CFR Part 20 Assessment is available upon request. need to establish final rules at a point Exports, Hunting, Imports, Reporting early enough in the summer to allow Endangered Species Act Consideration and recordkeeping requirements, affected State agencies to appropriately Transportation, Wildlife. adjust their licensing and regulatory The Division of Endangered Species is completing a biological opinion on the mechanisms; and (2) the unavailability PART 20Ð[AMENDED] of specific, reliable data on this year’s proposed action. As in the past, hunting status before mid-June for migratory regulations this year will be designed, The authority citation for Part 20 is shore and upland game birds and some among other things, to remove or revised to read as follows: waterfowl, and before late July for most alleviate chances of conflict between Authority: 16 U.S.C. 703-711, 16 U.S.C. 712, and 16 U.S.C. 742 a-j. waterfowl. Therefore, the Service seasons for migratory game birds and believes that to allow comment periods the protection and conservation of Dated: August 17, 1995 past the dates specified is contrary to endangered and threatened species. The Robert P. Davison Service’s biological opinions resulting the public interest. Acting Assistant Secretary for Fish and from consultations under Section 7 are Wildlife and Parks Comment Procedure considered public documents and are available for inspection in the Division Proposed Regulations Frameworks for It is the policy of the Department of of Endangered Species (room 432) and 1995–96 Late Hunting Seasons on the Interior, whenever practical, to the Office of Migratory Bird Certain Migratory Game Birds afford the public an opportunity to Management (room 634), Arlington Pursuant to the Migratory Bird Treaty participate in the rulemaking process. Square Building, 4401 N. Fairfax Drive, Act and delegated authorities, the Accordingly, interested persons may Arlington, Virginia. Department has approved frameworks participate by submitting written for season lengths, shooting hours, bag comments to the Chief, Office of Regulatory Flexibility Act; Executive and possession limits, and outside dates Migratory Bird Management, U.S. Fish Order (E.O.) 12866 and the Paperwork within which States may select seasons and Wildlife Service, Department of the Reduction Act for hunting waterfowl and coots Interior, ms 634—ARLSQ, 1849 C Street, In the Federal Register dated March between the dates of September 1, 1995, NW., Washington, DC 20240. Comments 24, 1995 (60 FR 15642), the Service and March 10, 1996. received will be available for public reported measures it had undertaken to inspection during normal business comply with requirements of the General hours at the Service’s office in room Regulatory Flexibility Act and the Dates: All outside dates noted below 634, Arlington Square Building, 4401 N. Executive Order. These included are inclusive. Fairfax Drive, Arlington, Virginia. preparing an Analysis of Regulatory Shooting and Hawking (taking by All relevant comments received Effects and an updated Final Regulatory falconry) Hours: Unless otherwise during the comment period will be Impact Analysis (FRIA), and publication specified, from one-half hour before considered. The Service will attempt to of a summary of the latter. Although a sunrise to sunset daily. acknowledge comments received, but a FRIA is no longer required, the Possession Limits: Unless otherwise substantive response to individual economic analysis contained in the specified, possession limits are twice comments may not be provided. FRIA was reviewed and the Service the daily bag limit. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44471 Definitions: For the purpose of may split their Statewide seasons into Brant hunting regulations listed below, the two segments. Season Lengths, Outside Dates, and collective terms ‘‘dark’’ and ‘‘light’’ Canada Geese Limits: States may select a 50-day geese include the following species: season between October 1 and January Dark geese - Canada geese, white- Season Lengths, Outside Dates, and 20, with 2 brant per day. fronted geese, brant, and all other goose Limits: The canada goose season is species except light geese. suspended throughout the Flyway Mississippi Flyway Light geese - snow (including blue) except as noted below. Unless specified The Mississippi Flyway includes geese and Ross’ geese. otherwise, seasons may be split into two Area, Zone, and Unit Descriptions: Alabama, Arkansas, Illinois, Indiana, segments. Geographic descriptions that are new or Iowa, Kentucky, Louisiana, Michigan, modified from previous years are Connecticut: A special experimental Minnesota, Mississippi, Missouri, Ohio, contained in a later portion of this season may be held in the South Zone Tennessee, and Wisconsin. between January 15 and February 15, document. Ducks, Mergansers, and Coots Area-Specific Provisions: Frameworks with 5 geese per day. for open seasons, season lengths, bag Georgia: In specific areas, a 15-day Outside Dates: Between the Saturday and possession limits, and other special experimental season may be held nearest October 1 (September 30) and provisions are listed below by flyway. between November 15 and February 5, the Sunday nearest January 20 (January with a limit of 5 Canada geese per day. 21). Atlantic Flyway Massachusetts: In the Central Zone, a Hunting Seasons and Duck Limits: 50 The Atlantic Flyway includes 16-day season for resident Canada geese days with a daily bag limit of 5 ducks, Connecticut, Delaware, Florida, Georgia, may be held during January 21 to including no more than 4 mallards (no Maine, Maryland, Massachusetts, New February 5, with 5 geese per day. more than 1 of which may be a female), 3 mottled ducks, 1 black duck, 1 pintail, Hampshire, New Jersey, New York, New Jersey: An experimental special 2 wood ducks, 1 canvasback, and 1 North Carolina, Pennsylvania, Rhode season may be held in designated areas redhead. Island, South Carolina, Vermont, of Northeast, Northwest, and Southeast Merganser Limits: The daily bag limit Virginia, and West Virginia. New Jersey from January 27 to February is 5, only 1 of which may be a hooded 10, with 5 geese per day. Ducks, Mergansers, and Coots merganser. New York: A special experimental Outside Dates: Between October 1 and Coot Limits: The daily bag limit is 15 season may be held between January 21 January 20. coots. Hunting Seasons and Duck Limits: 50 and February 15, with 5 geese daily in Zoning and Split Seasons: Alabama, days and daily bag limit of 5 ducks, Westchester County and portions of Illinois, Indiana, Iowa, Kentucky, including no more than 1 hen mallard, Nassau, Putnam, and Rockland Louisiana, Michigan, Missouri, Ohio, 1 black duck, 1 pintail, 1 mottled duck, Counties. Tennessee, and Wisconsin may select 1 fulvous whistling duck, 2 wood ducks, Pennsylvania: Erie, Mercer, and hunting seasons by zones. 2 redheads, and 1 canvasback. Butler Counties - 70 days between In Alabama, Indiana, Iowa, Kentucky, Closures: The season on harlequin October 1 and January 31, with 1 goose Louisiana, Michigan, Ohio, Tennessee, ducks is closed. per day through October 15; 2 geese per and Wisconsin, the season may be split Sea Ducks: In all areas outside of day thereafter; 1 goose per day for the into two segments in each zone. special sea duck areas, sea ducks are first 8 days after the opening. In Minnesota and Mississippi, the included in the regular duck daily bag Crawford County - 35 days between season may be split into two segments. and possession limits. However, during October 1 and January 20; with 1 goose In Arkansas, the season may be split the regular duck season within the per day. into three segments. special sea duck areas, the sea duck An experimental season may be held Pymatuning Reservoir Area, Ohio: daily bag and possession limits may be in the Susquehanna/Juniata Zones from The seasons, limits, and shooting hours in addition to the regular duck daily bag January 20 to February 5 with 5 geese shall be the same as those selected in and possession limits. per day. the adjacent portion of Pennsylvania Merganser Limits: The daily bag limit South Carolina: A 12-day special (Northwest Zone). of mergansers is 5, only 1 of which may season may be held in the Central Geese be a hooded merganser. Piedmont, Western Piedmont, and Coot Limits: The daily bag limit is 15 Split Seasons: Seasons for geese may Mountain Hunt Units during November coots. be split into two segments. 15 to February 15, with a daily bag limit Lake Champlain Zone, New York: The Season Lengths, Outside Dates, and of 5 Canada geese per day. waterfowl seasons, limits, and shooting Limits: States may select seasons for hours shall be the same as those West Virginia: 70 days between geese not to exceed 70 days for dark selected for the Lake Champlain Zone of October 1 and January 20, with 3 geese geese between the Saturday nearest Vermont. per day. October 1 (September 30) and January Zoning and Split Seasons: Delaware, Light Geese 31, and 107 days for light geese between Maryland, North Carolina, Rhode the Saturday nearest October 1 Island, and Virginia may split their Season Lengths, Outside Dates, and (September 30) and February 14, except seasons into three segments; Limits: States may select a 107-day in those States and portions of States Connecticut, Maine, Massachusetts, season between October 1 and February south of Interstate Highway 80 in Iowa, New Hampshire, New Jersey, New York, 10, with 5 geese per day, except closing Illinois, Indiana, and Ohio, where Pennsylvania, Vermont, and West dates may be extended to March 10 in seasons for light geese may extend until Virginia may select hunting seasons by New Jersey, Delaware, Maryland, North March 10. The daily bag limit is 10 zones and may split their seasons into Carolina, Pennsylvania, South Carolina, geese, to include no more than 3 Canada two segments in each zone; while and Virginia. States may split their geese, 2 white-fronted geese, and 2 Florida, Georgia, and South Carolina seasons into two segments. brant. Specific regulations for Canada 44472 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules geese and exceptions to the above respective duck-hunting zones, except in the 51 days or when 2,000 birds have been general provisions are shown below by SJBP Zone, where the season may not exceed harvested, whichever occurs first. The State. 35 days. The daily bag limit is 3 Canada daily bag limit is 1 Canada goose. Alabama: In the SJBP Goose Zone, the geese, except in the SJBP Zone, where the (4) Tuscola/Huron GMU - The season daily bag limit is 2. season for Canada geese may not exceed for Canada geese will close after 51 days Iowa: The season may extend for 70 35 days. Elsewhere, the season for or when 750 birds have been harvested, days. The daily bag limit is 2 Canada Canada geese may extend for 70 days in whichever occurs first. The daily bag geese. the respective duck-hunting zones. The limit is 1 Canada goose. Kentucky: (5) Remainder of South Zone - daily bag limit is 2 Canada geese. (a) Western Zone - The season for Arkansas: The season for Canada (i) East of U.S. Highway 27/127 - The Canada geese may extend for 65 days geese may extend for 23 days in the East season for Canada geese may extend for 30 (80 days in Fulton County), and the Zone and 14 days in the West Zone. In days. The daily bag limit is 1 Canada goose. harvest will be limited to 34,500 birds. (ii) West of U.S. Highway 27/127 - The both zones, the season may extend to Of the 34,500-bird quota, 22,425 birds Season for Canada geese may extend for 40 February 15. The daily bag limit is 2 will be allocated to the Ballard days. The daily bag limit is 1 Canada goose Canada geese. In the remainder of the Reporting Area and 6,555 birds will be during the first 30 days, and 2 Canada geese State, the season for Canada geese is allocated to the Henderson/Union during the remaining 10 days, which may closed. begin no earlier than November 23. Reporting Area. If the quota in either Illinois: The total harvest of Canada (d) Southern Michigan GMU - An reporting area is reached prior to geese in the State will be limited to 172, experimental special Canada goose completion of the 65-day season, the 600 birds. Limits are 3 Canada geese season may be held between January 6 season in that reporting area will be daily and 10 in possession. and February 4. The daily bag limit is closed. If this occurs, the season in (a) North Goose Zone - The season for 2 Canada geese. those counties and portions of counties Canada geese will close after 93 days or Minnesota: outside of, but associated with, the when 22,014 birds have been harvested (a) West Zone respective subzone (listed in State in the Northern Illinois Quota Zone, (1) West Central Zone - The season for regulations) may continue for an whichever occurs first. Canada geese may extend for 30 days. In additional 7 days, not to exceed a total (b) Central Goose Zone - The season the Lac Qui Parle Zone, the season will of 65 days (80 days in Fulton County). for Canada geese will close after 93 days close after 30 days or when 16,000 birds The season in Fulton County may or when 35,168 birds have been have been harvested, whichever occurs extend to February 15. The daily bag harvested in the Central Illinois Quota first. Throughout the West Central Zone, limit is 3 Canada geese. Zone, whichever occurs first. the daily bag limit is 1 Canada goose. (b) Pennyroyal/Coalfield Zone - The (c) South Goose Zone - The harvest of (2) Remainder of West Zone - The season may extend for 35 days. The Canada geese in the Southern Illinois season for Canada geese may extend for daily bag limit is 2 Canada geese. and Rend Lake Quota Zones will be 40 days. The daily bag limit is 1 Canada (c) Remainder of the State - The goose. limited to 62,691 and 17,830 birds, season may extend for 50 days. The respectively. The season for Canada (b) Northwest Zone - The season for daily bag limit is 2 Canada geese. Canada geese may extend for 40 days. geese in each zone will close after 89 Louisiana: The season for Canada days or when the harvest limit has been The daily bag limit is 1 Canada goose. geese may extend for 9 days. During the (c) Southeast Zone - The season for reached, whichever occurs first. In the season, the daily bag limit for Canada Southern Illinois Quota Zone, if any of Canada geese may extend for 70 days, and white-fronted geese is 2, no more except in the Twin Cities Metro Zone the following conditions exist after than 1 of which may be a Canada goose. December 20, the State, after and Olmsted County, where the season Hunters participating in the Canada may not exceed 80 days. The daily bag consultation with the Service, will close goose season must possess a special the season by emergency order with 48 limit is 2 Canada geese. permit issued by the State. (d) Remainder of the State - The hours notice: Michigan: The total harvest of Canada 1. 10 consecutive days of snow cover, 3 season for Canada geese may extend for inches or more in depth. geese in the State will be limited to 50 days. The daily bag limit is 2 Canada 2. 10 consecutive days of daily high 99,500 birds. geese. temperatures less than 20 degrees F. (a) North Zone - The framework (e) Fergus Falls/Alexandria Zone - An 3. Average body weights of adult female opening date for all geese is September experimental special Canada goose geese less than 3,200 grams as measured from 23 and the season for Canada geese may season of up to 10 days may be held in a weekly sample of a minimum of 50 geese. extend for 40 days. The daily bag limit December. During the special season, 4. Starvation or a major disease outbreak is 2 Canada geese. the daily bag limit is 2 Canada geese. resulting in observed mortality exceeding (b) Middle Zone - The season for Mississippi: The season for Canada 5,000 birds in 10 days, or a total mortality Canada geese may extend for 40 days. geese may extend for 70 days. The daily exceeding 10,000 birds. The daily bag limit is 2 Canada geese. In the remainder of the South Goose bag limit is 3 Canada geese. (c) South Zone Missouri: Zone, the season may extend for 89 days (1) Allegan County GMU - The season (a) Swan Lake Zone - The season for or until both the Southern Illinois and for Canada geese will close after 51 days Canada geese will close after 40 days or Rend Lake Quota Zones have been or when 2,500 birds have been when 5,000 birds have been harvested, closed, whichever occurs first. harvested, whichever occurs first. The whichever occurs first. The daily bag Indiana: The total harvest of Canada daily bag limit is 1 Canada goose. limit is 2 Canada geese. geese in the State will be limited to (2) Muskegon Wastewater GMU - The (b) Schell-Osage Zone - The season for 98,000 birds. season for Canada geese will close after Canada geese may extend for 40 days. (a) Posey County - The season for Canada geese will close after 65 days or when 7,200 54 days or when 700 birds have been The daily bag limit is 2 Canada geese. birds have been harvested, whichever occurs harvested, whichever occurs first. The (c) Central Zone - The season for first. The daily bag limit is 2 Canada geese. daily bag limit is 2 Canada geese. Canada geese may extend for 70 days. (b) Remainder of the State - The season for (3) Saginaw County GMU - The The daily bag limit is 2 Canada geese. Canada geese may extend for 70 days in the season for Canada geese will close after An experimental special season of up to Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44473 10 consecutive days prior to October 15 allocated to the Mississippi River (2) Remainder of the Central Flyway: may be selected in addition to the Subzone. The season may not exceed 86 60 days and a daily bag limit of 5 ducks, regular season. During the special days and the daily bag limit is 2 Canada including no more than 1 female season, the daily bag limit is 3 Canada geese. In that portion of the Exterior mallard, 1 mottled duck, 1 pintail, 1 geese. Zone outside the Mississippi River redhead, 1 canvasback, and 2 wood (d) Remainder of the State - The Subzone, the progress of the harvest ducks. season for Canada geese may extend for must be monitored, and the season Merganser Limits: The daily bag limit 70 days in the respective duck-hunting closed, if necessary, to ensure that the of 5 mergansers may be taken, only 1 of zones. The daily bag limit is 2 Canada harvest does not exceed 39,800 birds. which may be a hooded merganser. geese. Additional Limits: In addition to the Coot Limits: The daily bag limit is 15 Ohio: The season may extend for 70 harvest limits stated for the respective coots. days in the respective duck-hunting zones above, an additional 4,500 Canada Zoning and Split Seasons: Montana, zones, with a daily bag limit of 2 Canada geese may be taken in the Horicon Zone Nebraska (Low Plains portion), New geese, except in the Lake Erie SJBP under special agricultural permits. Mexico, Oklahoma (Low Plains portion), Zone, where the season may not exceed Quota Zone Closures: When it has and South Dakota (Low Plains portion) 30 days and the daily bag limit is 1 been determined that the quota of may select hunting seasons by zones. Canada goose. In the Pymatuming Canada geese allotted to the Northern In Montana, Nebraska (Low and High Reservoir Area, the seasons, limits, and Illinois, Central Illinois, Southern Plains portions), New Mexico, North shooting hours for all geese shall be the Illinois, and Rend Lake Quota Zones in Dakota (Low Plains portion), Oklahoma same as those selected in the adjacent Illinois, Posey County in Indiana, the (Low and High Plains portions), South portion of Pennsylvania. Ballard and Henderson-Union Subzones Dakota (High Plains portion), and Texas Tennessee: in Kentucky, the Allegan County, (Low Plains portion), the season may be (a) Northwest Zone - The season for Muskegon Wastewater, Saginaw County, split into two segments. Canada geese will close after 76 days or and Tuscola/Huron Goose Management In Colorado, Kansas (Low and High when 12,900 birds have been harvested, Units in Michigan, the Lac Qui Parle Plains portions), North Dakota (High whichever occurs first. The season may Zone in Minnesota, the Swan Lake Zone Plains portion), and Wyoming, the extend to February 15. All geese in Missouri, the Northwest and season may be split into three segments. harvested must be tagged. The daily bag Kentucky/Barkley Lakes Zones in Geese limit is 3 Canada geese. Tennessee, and the Exterior Zone in (b) Southwest Zone - The season for Wisconsin will have been filled, the Season Lengths, Outside Dates, and Canada geese may extend for 61 days, season for taking Canada geese in the Limits: States may select seasons not to and the harvest will be limited to 1,500 respective zone (and associated area, if exceed 107 days; except for dark geese, birds. The daily bag limit is 2 Canada applicable) will be closed by either the which may not exceed 86 days in geese. Kansas, Nebraska, North Dakota, (c) Kentucky/Barkley Lakes Zone - Director upon giving public notice Oklahoma, South Dakota, and the The season for Canada geese will close through local information media at least Eastern Goose Zone of Texas. For dark after 50 days or when 1,800 birds have 48 hours in advance of the time and geese, outside dates for seasons may be been harvested, whichever occurs first. date of closing, or by the State through selected between the Saturday nearest All geese harvested must be tagged. The State regulations with such notice and October 1 (September 30) and January daily bag limit is 2 Canada geese. time (not less than 48 hours) as they (d) Remainder of the State - The deem necessary. 31, except in the Western Goose Zone of Texas, where the closing date is the season for Canada geese may extend for Central Flyway 70 days. The daily bag limit is 2 Canada Sunday nearest February 15 (February geese. The Central Flyway includes 18). For light geese, outside dates for Wisconsin: The total harvest of Colorado (east of the Continental seasons may be selected between the Canada geese in the State will be limited Divide), Kansas, Montana (Counties of Saturday nearest October 1 (September to 118,400 birds. Blaine, Carbon, Fergus, Judith Basin, 30) and the Sunday nearest February 15 (a) Horicon Zone - The framework Stillwater, Sweetgrass, Wheatland, and (February 18), except in Colorado, opening date for all geese is September all counties east thereof), Nebraska, New Kansas, Nebraska (south of I-80, except 23. The harvest of Canada geese is Mexico (east of the Continental Divide for Adams, Clay, Fillmore, Franklin, limited to 71,700 birds. The season may except the Jicarilla Apache Indian Gosper, Hall, Hamilton, Harland, not exceed 80 days. All Canada geese Reservation), North Dakota, Oklahoma, Kearney, Nuckolls, Phelps, Saline, harvested must be tagged. The daily bag South Dakota, Texas, and Wyoming Seward, Thayer, and York Counties) limit is 2 Canada geese and the season (east of the Continental Divide). New Mexico, Oklahoma, and Texas, and Wyoming (south of I-80) where the limit will be the number of tags issued Ducks, Mergansers, and Coots to each permittee. closing date is March 10. Seasons may (b) Collins Zone - The framework Outside Dates: Between September 30 be split into two segments. opening date for all geese is September through January 21. Daily bag limits in States in goose 23. The harvest of Canada geese is Hunting Seasons and Duck Limits: management zones within States, may limited to 1,900 birds. The season may (1) High Plains Mallard Management be as follows: not exceed 65 days. All Canada geese Unit (roughly defined as that portion of Colorado: The daily bag limit is 5 harvested must be tagged. The daily bag the Central Flyway which lies west of light and 5 dark geese, including no limit is 2 Canada geese and the season the 100th meridian): 83 days and a daily more than 1 white-fronted and 4 Canada limit will be the number of tags issued bag limit of 5 ducks, including no more geese. to each permittee. than 1 female mallard, 1 mottled duck, Kansas: The daily bag limit is 10 light (c) Exterior Zone - The framework 1 pintail, 1 redhead, 1 canvasback and and 2 dark geese, including no more opening date for all geese is September 2 wood ducks. The last 23 days may than 1 white-fronted goose. 23. The harvest of Canada geese is start no earlier than the Saturday nearest Montana: The daily bag limit is 5 light limited to 40,300 birds, with 500 birds December 10 (December 9). and 5 dark geese, including no more 44474 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules than 1 white-fronted and 4 Canada seasons and limits selected in the (1) In the Counties of Del Norte and geese. adjacent portion of Arizona (South Humboldt, there will be no open season Nebraska: The daily bag limit is 10 Zone). for Canada geese. light and 2 dark geese, including no (2) In the Sacramento Valley Area, the more than 1 white-fronted goose. Geese season on white-fronted geese must end New Mexico: For the Middle Rio Season Lengths, Outside Dates, and on or before December 14, and, except Grande Valley Zone, the daily bag limit Limits: Except as subsequently noted, in the Western Canada Goose Hunt is 10 light and 5 dark, including no 100-day seasons may be selected, with Area, there will be no open season for more than 1 white-fronted and 4 Canada outside dates between the Saturday Canada geese. geese. nearest October 1 (October 1), and the (3) In the San Joaquin Valley Area, the For the remainder of the State, the Sunday nearest January 20 (January 21), hunting season for Canada geese will daily bag limit is 5 light and 5 dark and the basic daily bag limits are 3 light close no later than November 23. geese, including no more than 1 white- geese and 3 dark geese. Colorado: The daily bag limit for dark fronted and 4 Canada geese. Brant Season - A 16-consecutive-day geese is 2 geese. North Dakota: The daily bag limit is season may be selected in Oregon and Idaho: 10 light and 2 dark geese. Washington, and a 30-consecutive day Northern Unit - The daily bag limit is Oklahoma: The daily bag limit is 10 season may be selected in California. In 4 geese, including 4 dark geese, but not light and 2 dark geese, including no only California, Oregon, and more than 3 light geese. more than 1 white-fronted goose. Southwest Unit and Southeastern Washington, the daily bag limit is 2 South Dakota: The daily bag limit is Unit - The daily bag limit on dark geese brant and is additional to dark goose 10 light and 2 dark geese, including no is 4. limits, and the open season on brant in more than 1 white-fronted goose. Montana: Texas: For the Western Goose zone, those States may differ from that for West of Divide Zone and East of the daily bag limit is 5 light and 5 dark other geese. Divide Zone - The daily bag limit on geese, including no more than 1 white- Closures: There will be no open dark geese is 4. fronted and 4 Canada geese. season on Aleutian Canada geese in the Nevada: For the Eastern Goose Zone, the daily Pacific Flyway. The States of California, Clark County Zone - The daily bag bag limit is 10 light and 2 dark geese, Oregon, and Washington must include a limit of dark geese is 2 geese. including no more than 1 white-fronted statement on the closure for that New Mexico: The daily bag limit for goose. subspecies in their respective dark geese is 2 geese. Wyoming: The daily bag limit is 5 regulations leaflet. Emergency closures Oregon: Except as subsequently light and 5 dark, with no more than 1 may be invoked for all Canada geese noted, the dark goose limit is 4, white-fronted and 4 Canada geese. should Aleutian Canada goose including not more than 1 cackling distribution patterns or other Pacific Flyway Canada goose. circumstances justify such actions. Harney, Lake, Klamath, and Malheur Ducks, Mergansers, Coots, and Common Arizona: The daily bag limit for dark Counties Zone - The season length may Moorhens geese is 2 geese. be 100 days. The dark goose limit is 4, Hunting Seasons and Duck Limits: California: including not more than 2 white-fronted Concurrent 93 days and daily bag limit Northeastern Zone - White-fronted geese and cackling Canada goose. of 6 ducks, including no more than 1 geese and cackling Canada geese may be Western Zone - In the Special Canada female mallard, 2 pintails, 2 redheads taken only during the first 23 days of the Goose Management Area, except for and 1 canvasback. goose season. The daily bag limit is 3 designated areas, there shall be no open In the Columbia Basin Mallard geese and may include no more than 2 season on Canada geese. In the Management Unit, the seasons may be dark geese; including not more than 1 designated areas, individual quotas an additional 7 days. The season on cackling Canada goose. shall be established which collectively coots and common moorhens may be Colorado River Zone - The seasons shall not exceed 210 dusky Canada between the outside dates for the season and limits must be the same as those geese. See section on quota zones. In on ducks, but not to exceed 93 days. selected in the adjacent portion of those designated areas, the daily bag Coot and Common Moorhen Limits: Arizona (South Zone). limit of dark geese is 3, including not more than 1 cackling Canada goose. The daily bag and possession limits of Southern Zone - The daily bag and coots and common moorhens are 25, Utah: The daily bag limit for dark possession limits for dark geese is 2 geese is 2 geese. singly or in the aggregate. geese, including not more than 1 Outside Dates: Between the Saturday Washington: The daily bag limit is 4 cackling Canada goose. nearest October 1 (September 30) and geese, including 4 dark geese but not the Sunday nearest January 20 (January Balance-of-the-State Zone - A 79-day more than 3 light geese. 21). season may be selected, except that West Zone - In the Lower Columbia Zoning and Split Seasons: Arizona, white-fronted geese and cackling River Special Goose Management Area, California, Idaho, Nevada, Oregon, Utah, Canada geese may be taken during only except for designated areas, there shall and Washington may select hunting the first 65 days of such season. Limits be no open season on Canada geese. In seasons by zones. may not include more than 3 geese per the designated areas, individual quotas Arizona, California, Idaho, Nevada, day and in possession, of which not shall be established which collectively Oregon, Utah, and Washington may more than 1 may be a dark goose. The shall not exceed 90 dusky Canada geese. split their seasons into two segments dark goose limits may be expanded to 2, See section on quota zones. either Statewide or in each zone. provided that they are Canada geese Wyoming: The daily bag limit is 4 Colorado, Montana, New Mexico, and other than cackling Canada geese for dark geese. In Lincoln, Sweetwater, and Wyoming may split their duck seasons which the daily limit is 1. Sublette Counties, the combined special into three segments. Three areas in the Balance-of-the- September Canada goose seasons and Colorado River Zone, California: State Zone are restricted in the hunting the regular goose season shall not Seasons and limits shall be the same as of certain geese: exceed 100 days. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44475 Quota Zones: Seasons on Canada 1 (January 7) or upon attainment of 5 New Jersey geese must end upon attainment of trumpeter swans in the harvest, Special Area for Canada Geese: individual quotas of dusky Canada whichever occurs earliest. Northeast - that portion of the State geese allotted to the designated areas of In Montana, no more than 500 permits within a continuous line that runs east Oregon and Washington. The September may be issued. The season must end no along the New York State boundary line Canada goose season, the regular goose later than December 1. to the Hudson River; then south along season, any special late Canada goose the New York State boundary to its season, and any extended falconry Tundra Swans intersection with Route 440 at Perth season, combined, must not exceed 107 In Central Flyway portion of Montana, Amboy; then west on Route 440 to its days and the established quota of dusky and in New Jersey, North Carolina, intersection with Route 287; then west Canada geese must not be exceeded. North Dakota, South Dakota, and along Route 287 to its intersection with Hunting of Canada geese in those Virginia, an open season for taking a Route 206 in Bedminster (Exit 18); then designated areas shall only be by limited number of tundra swans may be north along Route 206 to its intersection hunters possessing a State-issued permit selected. Permits will be issued by the with the Pennsylvania State boundary; authorizing them to do so. In a Service- States and will authorize each permittee then north along the Pennsylvania approved investigation, the State must to take no more than 1 tundra swan per boundary in the Delaware River to its obtain quantitative information on season. The States must obtain harvest intersection with the New York State hunter compliance of those regulations and hunter participation data. These boundary. aimed at reducing the take of dusky seasons will be subject to the following Northwest - that portion of the State Canada geese and eliminating the take conditions: within a continuous line that runs east of Aleutian Canada geese. The daily bag In the Atlantic Flyway from the Pennsylvania State boundary at limit of Canada geese may not include —The season will be experimental. the toll bridge in Columbia to Route 94; more than 1 cackling Canada goose. —The season may be 90 days, must then north along Route 94 to Route 206; In the designated areas of the occur during the light goose season, but then north along Route 206 to the Washington Quota Zone, a special late may not extend beyond January 31. Pennsylvania State boundary in the Canada goose may be held between —In New Jersey, no more than 200 Delaware River; then south along the February 5 and March 10. The daily bag permits may be issued. Pennsylvania State boundary int he limit may not include either Aleutian or —In North Carolina, no more than Delaware River to the beginning point. cackling Canada geese. 6,000 permits may be issued. Hereafter this proposed expansion of the hunt area will be refereed to as the Swans —In Virginia, no more than 600 permits may be issued. northwestern area. In designated areas of Utah, Nevada, In the Central Flyway Southeast - that portion of the State and the Pacific Flyway portion of —The season may be 107 days and within a continuous line that runs east Montana, an open season for taking a must occur during the light goose from the Atlantic Ocean at Ship Bottom limited number of swans may be season. along Route 72 to the Garden State selected. Permits will be issued by —In the Central-Flyway portion of Parkway; then south along the Garden States and will authorize each permittee Montana, no more than 500 permits may State Parkway to Route 9; then south to take no more than 1 swan per season. be issued. along Route 9 to Route 542; then west The season may open no earlier than the —In North Dakota, no more than along Route 542 to the Mullica River; Saturday nearest October 1 (September 2,000 permits may be issued. then north (upstream) on the Mullica 30). The States must implement a —In South Dakota, no more than River to Route 206; then south on Route harvest-monitoring program to measure 1,500 permits may be issued. 206 to Route 536; then west on route the species composition of the swan In the Pacific Flyway 536 to Route 55; then south on Route 55 harvest. In Utah and Nevada, the —Except as subsequently noted, a to Route 40; then east on Route 50 to harvest-monitoring program must 100-day season may be selected between Route 557; then south on Route 557 to include physical examination of all the Saturday nearest October 1 (October Route 666; then south on Route 666 to harvested swans by State or Federal 1), and the Sunday nearest January 20 Route 49; then east on Route 49 to route biologists. All States should use (January 21). Seasons may be split into 50; then south on Route 50 to Route 631; appropriate measures to maximize 2 segments. The States of Montana, then east on Route 631 to Route 623; hunter compliance in providing bagged Nevada, and Utah must implement a then east on Route 623 to the Atlantic swans for examination or, in the case of harvest-monitoring program to measure Ocean; then north to the beginning Montana, reporting bill-measurement the extent of accidental harvest of point. and color information. All States must trumpeter swans. New York provide to the Service by June 30, 1996, —In Utah, no more than 2,500 permits Special Area for Canada Geese: a report covering harvest, hunter may be issued. The season must end on Westchester County and portions of participation, reporting compliance, and or before December 15. Nassau, Putnam and Rockland Counties. monitoring of swan populations in the —In Nevada, no more than 650 See State regulations for detailed designated hunt areas. These seasons permits may be issued. description. will be subject to the following South Carolina —In the Pacific-Flyway portion of Canada Goose Area: The Central conditions: Montana, no more than 500 permits may In Utah, no more than 2,750 permits Piedmont, Western Piedmont, and be issued. may be issued. The season must end no Mountain Hunt Units. These designated later than the first Sunday in December Area, Unit and Zone Descriptions areas include: Counties of Abbeville, (December 3) or upon attainment of 15 Anderson, Berkeley (south of Highway Geese trumpeter swans in the harvest, 45 and east of State Road 831), whichever occurs earliest. Atlantic Flyway Cherokee, Chester, Dorchester, In Nevada, no more than 650 permits Georgia Edgefield, Fairfield, Greenville, may be issued. The season must end no A Special Season for Canada Geese: Greenwood, Kershaw, Lancaster, later than the Sunday following January Statewide. Laurens, Lee, Lexington, McCormick, 44476 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules Newberry, Oconee, Orangebird (south of Highway 6), Pickens, Richland, Saluda, Spartanburg, Sumten, Union, and York. Swans Pacific Flyway Montana (Pacific Flyway Portion) Open Area: Cascade, Chouteau, Hill, Liberty, and Toole Counties and those portions of Pondera and Teton Counties lying east of U.S. 287-89. Utah Open Area: Those portions of Box Elder, Weber, Davis, Salt Lake, and Toole counties lying south of State Hwy 30, I-80/84, west of I-15, and north of I- 80. [FR Doc. 95–21316 Filed 8–25–95; 8:45 am] BILLING CODE 4310±55±F 44477 Notices Federal Register Vol. 60, No. 166 Monday, August 28, 1995 This section of the FEDERAL REGISTER accordance with 7 CFR 1794.61. RUS Tuesday, September 12, 1995—Town contains documents other than rules or has concluded that the BER represents Meeting proposed rules that are applicable to the an accurate assessment of the public. Notices of hearings and investigations, 9:00 am–10:00 am—Opening Session environmental impacts of the project. 10:15 am–12:00 noon—Morning committee meetings, agency decisions and The proposed project should have no rulings, delegations of authority, filing of Breakout Sessions petitions and applications and agency impact on cultural resources, 2:00 pm–3:45 pm—Afternoon Breakout statements of organization and functions are floodplains, wetlands, important Sessions examples of documents appearing in this farmland, and federally listed or 4:00 pm–5:00 pm—Closing Session section. proposed for listing threatened or endangered species or their critical Wednesday, September 13, 1995 habitat. 9:00 am–9:45 am—Planning and Budget DEPARTMENT OF AGRICULTURE Alternatives considered to the project Committee included no action, expansion of 10:00 am–10:45 am—Executive Rural Utilities Service Brazos’ existing headquarters facility, Committee purchase and renovation of other 11:00 am–12:30 pm—Vision Statement Brazos Electric Power Cooperative, existing area commercial buildings, and Work Group Inc.; Finding of No Significant Impact alternative sites. RUS has considered 2:00 pm–3:30 pm—Board Meeting. AGENCY: Rural Utilities Service, USDA. these alternatives and concluded that ADDRESSES: The meetings will be held ACTION: Notice of finding of no the project as proposed meets the needs at: Frontenac Hilton, 1335 South significant impact. of Brazos to reduce overcrowding at the Lindbergh Boulevard, St. Louis, present facility, provide increased space Missouri. SUMMARY: Notice is hereby given that for equipment storage, consolidate FOR FURTHER INFORMATION CONTACT: the Rural Utilities Service (RUS) has operations done at various existing For further information regarding the made a finding of no significant impact facilities and provide adequate space for meetings, please contact Lawrence W. (FONSI) with respect to the potential future expansion. Roffee, Executive Director, (202) 272– environmental impact related to the Copies of the BER and FONSI are 5434 ext. 714 (voice) and (202) 272– construction of new headquarters and available for review at RUS at the 5449 (TTY). related facilities proposed by Brazos address provided herein; or can be Electric Power Cooperative, Inc. reviewed at or obtained from the offices SUPPLEMENTARY INFORMATION: At the (Brazos), of Waco, Texas. The proposed of Brazos, 2404–12 LaSalle Avenue, Board meeting, the Access Board will project will be located on a site adjacent consider the following agenda items: Waco, Texas 76706, telephone (817) • to Interstate Highway 35 approximately 750–6500, during normal business Approval of the Minutes of the July 12, 1995 Board Meeting. 0.5 miles north of the City of Lorena and hours. • 5.7 miles south of the City of Waco in Executive Director’s Report. Dated: August 21, 1995. • McLennan County, Texas. Vision Statement Work Group RUS has concluded that the Adam M. Golodner, Status Report. • environmental impacts from the Deputy Administrator, Program Operations. Bylaw Review. [FR Doc. 95–21297 Filed 8–25–95; 8:45 am] • Rulemaking Development Process. proposed project would not be • significant and that the proposed action BILLING CODE 3410±15±M Fiscal Year 1995 Final Spending is not a major Federal action Plan. • Fiscal Year 1996 Appropriation. significantly affecting the quality of the • human environment. Therefore, the Fiscal Year 1997 Budget Request. preparation of an environmental impact ARCHITECTURAL AND All meetings are accessible to persons statement is not required. TRANSPORTATION BARRIERS with disabilities. Sign language COMPLIANCE BOARD interpreters and an assistive listening FOR FURTHER INFORMATION CONTACT: system are available at all meetings. Lawrence R. Wolfe, Chief, Meeting Environmental Compliance Branch, Lawrence W. Roffee, Electric Staff Division, room 1246, Ag AGENCY: Architectural and Executive Director. Box 1569, South Agriculture Building, Transportation Barriers Compliance [FR Doc. 95–21246 Filed 8–25–95; 8:45 am] RUS, Washington, DC 20250, telephone Board. BILLING CODE 8150±01±M (202) 720–1784. ACTION: Notice of meeting. SUPPLEMENTARY INFORMATION: RUS, in accordance with its environmental SUMMARY: The Architectural and ASSASSINATION RECORDS REVIEW policies and procedures, required that Transportation Barriers Compliance BOARD Brazos prepare a Borrower’s Board (Access Board) has scheduled a Environmental Report (BER) reflecting town meeting and its regular business Formal Determinations on Records the potential impacts of the proposed meetings to take place in St. Louis, Release: Correction Missouri on Tuesday and Wednesday, facilities. The BER, which includes AGENCY: Assassination Records Review September 12–13, 1995 at the times and input from Federal, State and local Board. agencies and the public, has been location noted below. ACTION: Notice of formal determinations: adopted as RUS’ Environmental DATES: The schedule of events is as correction. Assessment for the project in follows: 44478 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices SUMMARY: The Assassination Records ADDRESSES: The meeting will take place ACTION: Issuing a directive to the Review Board (Review Board) met on at Wang Federal, Inc., 7900 Westpark Commissioner of Customs adjusting August 2 and August 3, 1995, and made Drive, McLean, VA 22102. limits. formal determinations on the release of AGENDA: EFFECTIVE DATE: records under the President John F. —Welcome and Update August 30, 1995. Kennedy Assassination Records —Overview of Meeting FOR FURTHER INFORMATION CONTACT: Ross Collection Act of 1992 (JFK Act). The —Creation of NIST’s Information Arnold, International Trade Specialist, Review Board published a notice Technology Laboratory, new key Office of Textiles and Apparel, U.S. document in the Tuesday, August 22, escrow developments, and legislative Department of Commerce, (202) 482– 1995, Federal Register, reflecting those update 4212. For information on the quota determinations. In that notice document —Computer Security Lesson Learned status of these limits, refer to the Quota 95–20720 beginning on page 43581, —Status of Telecommuting Status Reports posted on the bulletin make the following corrections: —GITS Security Status boards of of each Customs port or call —OMB Appendix III, Resolution of (202) 927–5850. For information on On page 43582, in the second and Comments/Current Status third columns of the CIA documents embargoes and quota re-openings, call —Security Policy Board Update (202) 482–3715. table, make the following corrections: —Bankers Trust Proposed Key Escrow Approach SUPPLEMENTARY INFORMATION: Record identifica- Previously Corrected —Issue Update on OTA Report Authority: Executive Order 11651 of March published 3, 1972, as amended; section 204 of the tion No. information information —Public Participation —Pending Board Business Agricultural Act of 1956, as amended (7 U.S.C. 1854). 104±10015±10359 8, 0, Open 6, 2, Post- —Close. in Full, n/ poned in PUBLICE PARTICIPATION: The Board The current limits for certain a. Part, agenda will include a period of time, categories are being adjusted, variously, 2017. not to exceed thirty minutes, for oral for swing, special shift, carryforward 104±10018±10103 6, 1, Open 6, 1, Post- comments and questions from the and carryforward used. in Full, n/ poned in public. Each speaker will be limited to A description of the textile and a. Part, 12/ five minutes. Members of the public apparel categories in terms of HTS 95. who are interested in speaking are asked numbers is available in the 104±10062±10001 19, 19, 19, 0, CORRELATION: Textile and Apparel Open in Open in to contact the Board Secretariat at the Full, n/a. Full, n/a. telephone number indicated below. In Categories with the Harmonized Tariff addition, written statements are invited Schedule of the United States (see Dated: August 22, 1995. and may be submitted to the Board at Federal Register notice 59 FR 65531, T. Jeremy Gunn, the time. Written statements should be published on December 20, 1994). Also see 60 FR 17328, published on April 5, Acting General Counsel. directed to the Computer Systems 1995. [FR Doc. 95–21215 Filed 8–25–95; 8:45 am] Laboratory, Building 225, Room B154, National Institute of Standards and The letter to the Commissioner of BILLING CODE 6820±TD±M Technology, Gaithersburg, MD 20899. It Customs and the actions taken pursuant would be appreciated if fifteen copies of to it are not designed to implement all written material could be submitted for of the provisions of the Uruguay Round Agreements Act and the Uruguay Round DEPARTMENT OF COMMERCE distribution to the Board by September 8, 1995. Approximately 20 seats will be Agreement on Textiles and Clothing, but National Institute of Standards and available for the public and media. are designed to assist only in the Technology FOR FURTHER INFORMATION CONTACT: implementation of certain of their Mr. Edward Roback, Board Secretariat, provisions. Computer System Security and Privacy Computer Systems Laboratory, National Rita D. Hayes, Advisory Board; Meeting. Institute of Standards and Technology, Chairman, Committee for the Implementation Building 225, Room B154, Gaithersburg, of Textile Agreements. AGENCY: National Institute of Standards MD 20899, telephone: (301) 975–3240. Committee for the Implementation of Textile and Technology, Commerce. Dated: August 22, 1995. Agreements ACTION: Notice of open meeting. Samuel Kramer, August 22, 1995. Associate Director. Commissioner of Customs, SUMMARY: Pursuant to the Federal Department of the Treasury, Washington, DC Advisory Committee Act, 5 U.S.C. App., [FR Doc. 95–21254 Filed 8–25–95; 8:45 am] 20229. notice is hereby given that the Computer BILLING CODE 3510±CN±M Dear Commissioner: This directive System Security and Privacy Advisory amends, but does not cancel, the directive Board will meet Wednesday, September issued to you on March 30, 1995, by the 13, and Thursday, September 14, 1995, COMMITTEE FOR THE Chairman, Committee for the Implementation from 9:00 a.m. to 5:00 p.m. The IMPLEMENTATION OF TEXTILE of Textile Agreements. That directive Advisory Board was established by the AGREEMENTS concerns imports of certain cotton, wool, man-made fiber, silk blend and other Computer Security Act of 1987 (P.L. vegetable fiber textiles and textile products, 100–235) to advise the Secretary of Adjustment of Import Limits for Certain Cotton, Wool and Man-Made Fiber produced or manufactured in Korea and Commerce and Director of NIST on exported during the twelve-month period security and privacy issues pertaining to Textile Products Produced of which began on January 1, 1995 and extends Federal computer systems. All sessions Manufactured in Korea through December 31, 1995. will be open to the public. Effective on August 30, 1995, you are August 22, 1995. directed to adjust the limits for the following DATES: The meeting will be held on AGENCY: Committee for the categories, as provided under the Uruguay September 13 and 14, 1995, from 9:00 Implementation of Textile Agreements Round Agreements Act and the Uruguay a.m. to 5:00 p.m.. (CITA). Round Agreement on Textiles and Clothing: Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44479 Adjustment of an Import Limit for manufactured in Singapore and exported Category Adjusted twelve-month limit 1 Certain Cotton Textile Products during the twelve-month period which began Produced or Manufactured in on January 1, 1995 and extends through Singapore December 31, 1995. Group I Effective on August 30, 1995, you are 200±223, 416,163,937 August 22, 1995. directed to reduce the limit for the following 224±V 2, square meters categories, as provided under the Uruguay AGENCY: Committee for the 224±O 3, equivalent. Round Agreements Act and the Uruguay Implementation of Textile Agreements Round Agreement on Textiles and Clothing: 225±229, (CITA). 300±326, ACTION: Issuing a directive to the 360±363, Commissioner of Customs reducing a 369±O 4, limit. Category Adjusted twelve-month 400±414, limit 1 464±469, EFFECTIVE DATE: August 30, 1995. 338/339 1,092,151 dozen of 600±629, FOR FURTHER INFORMATION CONTACT: Janet Heinzen, International Trade which not more than 665±669 674,842 dozen shall and 670± Specialist, Office of Textiles and be in Category 338 Apparel, U.S. Department of Commerce, O 5, as a and not more than (202) 482–4212. For information on the 750,340 dozen shall group. quota status of this limit, refer to the be in Category 339. Sublevels within Quota Status Reports posted on the 1 The limit has not been adjusted to account Group I bulletin boards of each Customs port or for any imports exported after December 31, 200 ...... 477,946 kilo- call (202) 927–5850. For information on 1994. embargoes and quota re-openings, call grams. The Committee for the Implementation of 201 ...... 1,734,113 kilo- (202) 482–3715. Textile Agreements has determined that this grams. SUPPLEMENTARY INFORMATION: action falls within the foreign affairs Group II Authority: Executive Order 11651 of March exception to the rulemaking provisions of 5 3, 1972, as amended; section 204 of the U.S.C. 553(a)(1). 237, 239, 556,996,119 Sincerely, 330±359, square meters Agricultural Act of 1956, as amended (7 U.S.C. 1854). Rita D. Hayes, 431±459 equivalent. The current limit for Categories 338/ Chairman, Committee for the Implementation and 630± of Textile Agreements. 339 is being reduced for carryforward 659, as a [FR Doc. 95–21238 Filed 8–25–95; 8:45 am] group. used. A description of the textile and BILLING CODE 3510±DR±F Sublevels within apparel categories in terms of HTS Group II numbers is available in the 336 ...... 58,327 dozen. CORRELATION: Textile and Apparel DEPARTMENT OF EDUCATION 338/339 ...... 1,209,665 dozen. Categories with the Harmonized Tariff 342/642 ...... 223,895 dozen. Schedule of the United States (see President's Advisory Commission on Educational Excellence for Hispanic 435 ...... 36,344 dozen. Federal Register notice 59 FR 65531, published on December 20, 1994). Also Americans; Meeting 1 The limits have not been adjusted to ac- see 60 FR 17335, published on April 5, count for any imports exported after Decem- AGENCY: President’s Advisory ber 31, 1994. 1995. Commission on Educational Excellence 2 Category 224±V: only HTS numbers The letter to the Commissioner of for Hispanic Americans, Education. 5801.21.0000, 5801.23.0000, 5801.24.0000, Customs and the actions taken pursuant ACTION: Notice of meeting. 5801.25.0010, 5801.25.0020, 5801.26.0010, to it are not designed to implement all 5801.26.0020, 5801.31.0000, 5801.33.0000, 5801.34.0000, 5801.35.0010, 5801.35.0020, of the provisions of the Uruguay Round SUMMARY: This notice sets forth the 5801.36.0010 and 5801.36.0020. Agreements Act and the Uruguay Round schedule and agenda of a forthcoming 3 Category 224±O: all remaining HTS num- Agreement on Textiles and Clothing, but meeting of the President’s Advisory bers in Category 224. are designed to assist only in the Commission on Educational Excellence 4 Category 369±O: all HTS numbers except implementation of certain of their 4202.12.4000, 4202.12.8020, 4202.12.8060, for Hispanic Americans. This notice 4202.92.1500, 4202.92.3015, 4202.92.6090 provisions. also describes the functions of the (Category 369-L) and 5601.21.0090. Rita D. Hayes, Commission. Notice of this meeting is 5 Category 670±O: all HTS numbers except Chairman, Committee for the Implementation required under section 10(a)(2) of the 4202.12.8030, 4202.12.8070, 4202.92.3020, 4202.92.3030 and 4202.92.9025 (Category of Textile Agreements. Federal Advisory Committee Act. 670±L). Committee for the Implementation of Textile DATES AND TIMES: September 29 and 30, The Committee for the Implementation of Agreements 1995, 8:30 a.m.–5:30 p.m. Textile Agreements has determined that August 22, 1995. ADDRESS: Treasury Department, 1500 these actions fall within the foreign affairs Commissioner of Customs, Pennsylvania Avenue, NW. Washington, exception to the rulemaking provisions of 5 Department of the Treasury, Washington, DC DC 20220; entrance at 15th and F Streets U.S.C.553(a)(1). 20229. to Cash Room, 2nd floor. Sincerely, Dear Commissioner: This directive FOR FURTHER INFORMATION CONTACT: Rita D. Hayes, amends, but does not cancel, the directive Marsha Harper or Sal Lopez, Special issued to you on March 30, 1995, by the Chairman, Committee for the Implementation Chairman, Committee for the Implementation Assistant, White House Initiative on of Textile Agreements. of Textile Agreements. That directive Educational Excellence for Hispanic [FR Doc.95–21239 Filed 8–25–95; 8:45 am] concerns imports of certain cotton, wool and Americans, Department of Education, BILLING CODE 3510±DR±F man-made fiber textile products, produced or 600 Independence Avenue, SW., Room 44480 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 2115, Washington, DC, 20202–3601, SUPPLEMENTARY INFORMATION: The (TDD) may call the Federal Information Telephone: (202) 401–1411. National Educational Research Policy Relay Service at 1–800–877–8339 SUPPLEMENTARY INFORMATION: The and Priorities Board is authorized by between 8 a.m. and 7 p.m., Eastern time, President’s Advisory Commission on section 921 of the Educational Research, Monday through Friday. Educational Excellence for Hispanic Development, Dissemination, and SUBMISSION OF THIRD-PARTY COMMENTS: Americans was established under Improvement Act of 1994 (the Act). The The Secretary of Education is required Executive Order 12900 on February 22, Board works collectively with the by law to publish a list of accrediting 1994. The Commission was established Assistant Secretary for the Office of agencies that he determines to be to advise on Hispanic achievements of Educational Research and Improvement reliable authorities regarding the quality the National Goals, as well as other (the Office) to forge a national of education or training offered by educational accomplishments. This consensus with respect to a long-term institutions or programs they accredit. meeting of the Commission is open to agenda for educational research, The National Advisory Committee on the public; however advanced security development, and dissemination, and to Institutional Quality and Integrity (the clearance is required. Please call (202) provide advice and assistance to the ‘‘Advisory Committee’’) advises the 622–1500 no later than September 27, Assistant Secretary in administering the Secretary on specific accrediting 1995 at 5 p.m. to provide date of birth duties of the Office. agencies that seek to be recognized by and social security number. The Act directs that the Assistant the Secretary. Identification will be required at the Secretary work collaboratively with the The agencies listed in this notice have door. The Agenda includes: Board to develop a research priorities previously been reviewed by the plan which shall recommend priorities September 29 and 30, 1995, 8:30 a.m. to Advisory Committee and have appealed 5:30 p.m. for the investment of resources for the the Advisory Committee’s Review of FY 1994–95 Commission Office of Educational Research and recommendations concerning their meetings, hearings, and activities; federal Improvement. The Board has designated recognition status, as provided for in 34 inventory; update on annual report process; the Committee to work on its behalf in CFR 602.13 of the regulations governing discussion of Commission and White House these matters in the interim between full the recognition of accrediting agencies. Initiative activities for 1996. meetings of the Board. The meeting of The Secretary has reviewed each Records are kept of all Commission the Committee on Research Priorities is agency’s appeal and has decided to proceedings, and are available for public open to the public. The agenda for the inspection at the White House Initiative On remand the three cases to the Advisory Educational Excellence For Hispanic meeting includes a review and Committee for review. The Advisory Education at 600 Independence Avenue, discussion of a draft of the 1st report on Committee will consider these cases at SW., Room 2115, Washington, DC 20202– research priorities. its November 28–30, 1995 meeting. 3601 from the hours of 9 a.m. to 5 p.m. A final agenda will be available from The purpose of this notice is to invite Dated: August 22, 1995. the Board’s office on September 5, 1995. interested third parties to present G. Mario Moreno, Records are kept of all Board written comments on the three agencies Assistant Secretary, Office of proceedings, and are available for public whose appeals will be reviewed by the Intergovernmental and Interagency Affairs. inspection at the Office of the National Advisory Committee. In order for [FR Doc. 95–21237 Filed 8–25–95; 8:45 am] Educational Research Policy and Department staff to give full Priorities Board, 555 New Jersey BILLING CODE 4000±01±M consideration to the comments received, Avenue, NW, Washington, DC 20208– the comments must arrive at the address 7564. listed above not later than September National Educational Research Policy Dated: August 22, 1995. 27, 1995. Comments must relate to those and Priorities Board; Meeting Sharon P. Robinson, of the Secretary’s Criteria for the Recognition of Accrediting Agencies AGENCY: National Educational Research Assistant Secretary, Office of Educational Research and Improvement. that were identified by the Advisory Policy and Priorities Board, Education. Committee as the bases for the [FR Doc. 95–21222 Filed 8–25–95; 8:45 am] ACTION: Teleconference. Committee’s original recommendations, BILLING CODE 4000±01±M as cited below. All written comments SUMMARY: This notice sets forth the received by the Department in response schedule and proposed agenda of a to this notice will be considered by both meeting of the Committee on Research Recognition of Accrediting Agencies the Advisory Committee and the Priorities, Educational Research Policy AGENCY: Department of Education. Secretary. and Priorities Board. This notice also ACTION: Request for comments on A subsequent Federal Register notice describes the functions of the agencies appealing previous will announce the meeting and invite Committee. Notice of this meeting is recommendations of the National individuals and/or groups to submit required under section 10(a)(2) of the requests for oral presentation before the Federal Advisory Committee Act and is Advisory Committee on Institutional Quality and Integrity. Advisory Committee on these and other intended to notify the public of their agencies being reviewed at that meeting. opportunity to attend. DATES: Commentors should submit their That notice, however, does not DATE AND TIME: September 12, 1995, 2 written comments by September 27, constitute another call for written p.m. to 3:30 p.m. 1995 to the address below. comment. This notice is the only call for ADDRESS: 555 New Jersey Avenue, NW, FOR FURTHER INFORMATION CONTACT: written comment on the three agencies Room 510, Washington, DC 20208. Karen W. Kershenstein, Director, appealing previous recommendations of FOR FURTHER INFORMATION CONTACT: Accreditation and State Liaison the Advisory Committee. John Christensen, Designated Federal Division, U.S. Department of Education, Official, National Educational Research 600 Independence Avenue, S.W., Room Appeal of a Recommendation To Policy and Priorities Board, 555 New 3915 ROB–3, Washington, DC 20202– Withdraw Recognition Jersey Avenue, NW, Washington, DC 5244, telephone: (202) 708–7417. The agencies listed below were 20208–7564. Telephone: (202) 219– Individuals who use a recommended for withdrawal of 2065; Fax: (202) 219–1528. telecommunications device for the deaf recognition by the Advisory Committee Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44481 at its June 1994 meeting because, in the analyses of those petitions, and the FOR FURTHER INFORMATION CONTACT: opinion of the Advisory Committee, agencies’ appeals materials, will be Cyrus H. Nasseri, U.S. Department of they did not meet the requirement available for public inspection at the Energy, Office of Energy Efficiency contained in section 496(m) of the U.S. Department of Education, ROB–3, and Renewable Energy, Mail Station Higher Education Act (HEA) of 1965, as Room 3915, 7th and D Streets, SW., EE–431, Forrestal Building, 1000 amended, and 34 CFR 602.1(b) of the Washington, DC 20202–5244, telephone Independence Avenue, SW., Secretary’s Criteria for Recognition. (202) 708–7417 between the hours of Washington, DC 20585, (202) 586– Under 34 CFR 602.1(b), ‘‘the Secretary 8:00 a.m. and 4:30 p.m., Monday 9138 only grants recognition to those through Friday. Eugene Margolis, Esq., U.S. Department accrediting agencies that accredit (i) David A. Longanecker, of Energy, Office of General Counsel, institutions of higher education, Assistant Secretary for Postsecondary Mail Station GC–72, Forrestal provided that accreditation by the Education. Building, 1000 Independence Avenue, agency is a required element in enabling [FR Doc. 95–21241 Filed 8–25–95; 8:45 am] SW., Washington, DC 20585, (202) those institutions to establish eligibility BILLING CODE 4000±01±M 586–9507 to participate in HEA programs; or (ii) SUPPLEMENTARY INFORMATION: The institutions of higher education or Energy Conservation Program for higher education programs, provided DEPARTMENT OF ENERGY Consumer Products (other than that accreditation by the agency is a automobiles) was established pursuant required element in enabling those Office of Energy Efficiency and to the Energy Policy and Conservation institutions or programs to establish Renewable Energy Act (EPCA), Public Law 94–163, 89 Stat. eligibility to participate in other [Case No. F±078] 917, as amended by the National Energy programs administered by the Conservation Policy Act (NECPA), Department or by other Federal Energy Conservation Program for Public Law 95–619, 92 Stat. 3266, the agencies.’’ National Appliance Energy 1. American Library Association, Consumer Products: Granting of the Conservation Act of 1987 (NAECA), Committee on Accreditation. Application for Interim Waiver and 2. Association of Collegiate Business Publishing of the Petition for Waiver of Public Law 100–12, the National Schools and Programs. the Department of Energy Furnace Appliance Energy Conservation Test Procedures From York Amendments of 1988 (NAECA 1988), Appeal of a Recommendation To Deny International Public Law 100–357, and the Energy an Agency’s Requested Expansion of Policy Act of 1992 (EPAct), Public Law Scope AGENCY: Office of Energy Efficiency and 102–486, 106 Stat. 2776, which requires Renewable Energy, Department of For the agency listed below, the the Department to prescribe Energy. Advisory Committee recommended standardized test procedures to measure granting continued recognition for the ACTION: Notice. the energy consumption of certain consumer products, including furnaces. accreditation and preaccreditation of SUMMARY: Today’s notice publishes a The intent of the test procedures is to non-degree granting vocational letter granting an Interim Waiver to education institutions. It also provide a comparable measure of energy York International (York) from the consumption that will assist consumers recommended granting the agency’s existing Department of Energy (the request for an expansion of geographical in making purchasing decisions. These Department) test procedure regarding test procedures appear at 10 CFR Part scope of recognition from regional to blower time delay for the company’s national. The Advisory Committee, 430, Subpart B. P2UR and PBLU lines of condensing The Department amended the however, recommended not granting the furnaces. agency’s requested expansion of scope prescribed test procedures by adding 10 Today’s notice also publishes a CFR 430.27 on September 26, 1980, to include prebaccalaurate degree- ‘‘Petition for Waiver’’ from York. York’s granting institutions that awarded an creating the waiver process. 45 FR Petition for Waiver requests the 64108. Thereafter, the Department applied associate’s degree. In the Department to grant relief from its Committee’s view, the agency did not further amended the appliance test furnace test procedure relating to the procedure waiver process to allow the have the requisite experience to accredit blower time delay specification. York such institutions, as required by 34 CFR Assistant Secretary for Energy Efficiency seeks to test using a blower delay time and Renewable Energy (Assistant 602.22, nor did it have an appropriate of 30 seconds for its P2UR, and PBLU emphasis on the ‘‘academic’’ component Secretary) to grant an Interim Waiver lines of condensing furnaces instead of from test procedure requirements to of a prebaccalaurate degree, as required the specified 1.5-minute delay between by 34 CFR 602.24(b)(1)(iii). The agency manufacturers that have petitioned the burner on-time and blower on-time. The Department for a waiver of such appealed the latter recommendation of Department is soliciting comments, the Advisory Committee. prescribed test procedures. 51 FR 42823, data, and information respecting the November 26, 1986. 1. Council on Occupational Education Petition for Waiver. (formerly the Commission on The waiver process allows the Occupational Education Institutions of DATES: The Department will accept Assistant Secretary to waive the Southern Association of Colleges comments, data, and information not temporarily, test procedures for a and Schools) later than September 27, 1995. particular basic model when a petitioner ADDRESSES: Written comments and shows that the basic model contains one Public Inspection of Petitions and statements shall be sent to: U.S. or more design characteristics which Third-Party Comments Department of Energy, Office of Energy prevent testing according to the All third-party comments received in Efficiency and Renewable Energy, Case prescribed test procedures, or when the response to this call for comment, as No. F–078, Mail Stop EE–43, Room 1J– prescribed test procedures may evaluate well as the three agencies’ original 108, Forrestal Building, 1000 the basic model in a manner so petitions and supporting Independence Avenue, SW., unrepresentative of its true energy documentation, the Department staff Washington, DC 20585, (202) 586–7574. consumption as to provide materially 44482 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices inaccurate comparative data. Waivers December 14, 1990, and 56 FR 63945, Issued in Washington, DC, August 20, generally remain in effect until final test December 6, 1991; DMO Industries, 56 1995. procedure amendments become FR 4622, February 5, 1991, and 59 FR Christine A. Ervin, effective, resolving the problem that is 30579, June 14, 1994; Heil-Quaker Assistant Secretary, Energy Efficiency and the subject of the waiver. Corporation, 56 FR 6019, February 14, Renewable Energy. The Interim Waiver provisions added 1991; Carrier Corporation, 56 FR 6018, Department of Energy by the 1986 amendment allow the February 14, 1991, 57 FR 38830, August August 21, 1995. Secretary to grant an Interim Waiver 27, 1992, 58 FR 68131, December 23, when it is determined that the applicant Mr. Michael B. Eberlein, P.E., 1993, 58 FR 68133, December 23, 1993 Engineering Manager—Furnace Products, will experience economic hardship if and 59 FR 14394, March 28, 1994; Unitary Products Group, York the Application for Interim Waiver is Amana Refrigeration Inc., 56 FR 27958, International, P.O. Box 4022, Elyria, OH denied, if it appears likely that the June 18, 1991, 56 FR 63940, December 44036. Petition for Waiver will be granted, and/ 6, 1991, 57 FR 23392, June 3, 1992, and Dear Mr. Eberlein: This is in response to or the Assistant Secretary determines 58 FR 68130, December 23, 1993; your June 26, 1995, Application for Interim that it would be desirable for public Snyder General Corporation, 56 FR Waiver and Petition for Waiver from the policy reasons to grant immediate relief Department of Energy (the Department) test 54960, September 9, 1991; Goodman pending a determination on the Petition procedure regarding blower time delay for for Waiver. An Interim Waiver remains Manufacturing Corporation, 56 FR York International (York) P2UR and PBLU in effect for a period of 180 days or until 51713, October 15, 1991, 57 FR 27970, lines of condensing furnaces. the Department issues its determination June 23, 1992 and 59 FR 12586, March Previous waivers for this type of timed blower delay control have been granted by on the Petition for Waiver, whichever is 17, 1994; The Ducane Company Inc., 56 FR 63943, December 6, 1991, 57 FR the Department to Coleman Company, 50 FR sooner, and may be extended for an 2710, January 18, 1985; Magic Chef additional 180 days, if necessary. 10163, March 24, 1992, and 58 FR Company, 50 FR 41553, October 11, 1985; On June 26, 1995, York filed an 68134, December 23, 1993; Armstrong Rheem Manufacturing Company, 53 FR Application for Interim Waiver Air Conditioning, Inc., 57 FR 899, 48574, December 1, 1988, 56 FR 2920, regarding blower time delay. York’s January 9, 1992, 57 FR 10160, March 24, January 25, 1991, 57 FR 10166, March 24, Application seeks an Interim Waiver 1992, 57 FR 10161, March 24, 1992, 57 1992, 57 FR 34560, August 5, 1992, 59 FR from the Department’s test provisions FR 39193, August 28, 1992, 57 FR 30577, June 14, 1994, and 59 FR 55470, that require a 1.5-minute time delay 54230, November 17, 1992, and 59 FR November 7, 1994; Trane Company, 54 FR 19226, May 4, 1989, 56 FR 6021, February 14, between the ignition of the burner and 30575, June 14, 1994; Thermo Products, 1991, 57 FR 10167, March 24, 1992, 57 FR starting of the circulating air blower. Inc., 57 FR 903, January 9, 1992; 22222, May 27, 1992, and 58 FR 68138, Instead, York requests the allowance to Consolidated Industries Corporation, 57 December 23, 1993; Lennox Industries, 55 FR test using a 30-second blower time delay FR 22220, May 27, 1992; Evcon 50224, December 5, 1990, 57 FR 49700, when testing its P2UR, and PBLU lines Industries, Inc., 57 FR 47847, October November 3, 1992, 58 FR 68136, December of condensing furnaces. York states that 20, 1992, and 59 FR 46968, September 23, 1993, and 58 FR 68137, December 23, the 30-second delay is indicative of how 13, 1994; Bard Manufacturing Company, 1993; Inter-City Products Corporation, 55 FR 51487, December 14, 1990, and 56 FR 63945, these furnaces actually operate. Such a 57 FR 53733, November 12, 1992, and delay results in an overall furnace AFUE December 6, 1991; DMO Industries, 56 FR 59 FR 30578, June 14, 1994; and York 4622, February 5, 1991, and 59 FR 30579, of approximately 1.5 percent points International Corporation, 59 FR 46969, June 14, 1994; Heil-Quaker Corporation, 56 improvement. Since the Department’s September 13, 1994, and 60 FR 100, FR 6019, February 14, 1991; Carrier current test procedures do not address January 3, 1995. Thus, it appears likely Corporation, 56 FR 6018, February 14, 1991, this variable blower time delay, York that the Petition for Waiver will be 57 FR 38830, August 27, 1992, 58 FR 68131, asks that the Interim Waiver be granted. granted for blower time delay. December 23, 1993, 58 FR 68133, December The Department has published a 23, 1993 and 59 FR 14394, March 28, 1994; Notice of Proposed Rulemaking on In those instances where the likely Amana Refrigeration Inc., 56 FR 27958, June August 23, 1993, (58 FR 44583) to success of the Petition for Waiver has 18, 1991, 56 FR 63940, December 6, 1991, 57 amend the furnace test procedure, been demonstrated based upon the FR 23392, June 3, 1992, and 58 FR 68130, Department having granted a waiver for December 23, 1993; Snyder General which addresses the above issue. Corporation, 56 FR 54960, September 9, Previous waivers for this type of time a similar product design, it is in the 1991; Goodman Manufacturing Corporation, blower delay control have been granted public interest to have similar products 56 FR 51713, October 15, 1991, 57 FR 27970, by the Department to Coleman tested and rated for energy consumption June 23, 1992 and 59 FR 12586, March 17, Company, 50 FR 2710, January 18, 1985; on a comparable basis. 1994; The Ducane Company Inc., 56 FR Magic Chef Company, 50 FR 41553, Therefore, based on the above, the 63943, December 6, 1991, 57 FR 10163, October 11, 1985; Rheem Manufacturing March 24, 1992, and 58 FR 68134, December Department is granting York an Interim 23, 1993; Armstrong Air Conditioning, Inc., Company, 53 FR 48574, December 1, Waiver for its P2UR and PBLU lines of 1988, 56 FR 2920, January 25, 1991, 57 57 FR 899, January 9, 1992, 57 FR 10160, condensing furnaces. Pursuant to FR 10166, March 24, 1992, 57 FR 34560, March 24, 1992, 57 FR 10161, March 24, paragraph (e) of Section 430.27 of the 1992, 57 FR 39193, August 28, 1992, 57 FR August 5, 1992; 59 FR 30577, June 14, Code of Federal Regulations Part 430, 54230, November 17, 1992, and 59 FR 30575, 1994, and 59 FR 55470, November 7, the following letter granting the June 14, 1994; Thermo Products, Inc., 57 FR 1994; Trane Company, 54 FR 19226, Application for Interim Waiver to York 903, January 9, 1992; Consolidated Industries May 4, 1989, 56 FR 6021, February 14, Corporation, 57 FR 22220, May 27, 1992; 1991, 57 FR 10167, March 24, 1992, 57 was issued. Evcon Industries, Inc., 57 FR 47847, October FR 22222, May 27, 1992, and 58 FR Pursuant to paragraph (b) of 10 CFR 20, 1992, and 59 FR 46968, September 13, 68138, December 23, 1993; Lennox Part 430.27, the Department is hereby 1994; Bard Manufacturing Company, 57 FR Industries, 55 FR 50224, December 5, publishing the ‘‘Petition for Waiver’’ in 53733, November 12, 1992, and 59 FR 30578, June 14, 1994; and York International 1990, 57 FR 49700, November 3, 1992, its entirety. The petition contains no Corporation, 59 FR 46969, September 13, 58 FR 68136, December 23, 1993, and 58 confidential information. The 1994, and 60 FR 100, January 3, 1995. Thus, FR 68137, December 23, 1993; Inter-City Department solicits comments, data, it appears likely that the Petition for Waiver Products Corporation, 55 FR 51487, and information respecting the petition. will be granted for blower time delay. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44483 York’s Application for Interim Waiver does for an additional 180-day period, if Federal Energy Regulatory not provide sufficient information to evaluate necessary. Commission what, if any, economic impact or competitive Sincerely, disadvantage York will likely experience [Docket No. EG95±77±000, et al.] absent a favorable determination on its Christine A. Ervin, application. Assistant Secretary, Energy Efficiency and Cortes Operating Company, S.A. de However, in those instances where the Renewable Energy. C.V., et al.; Electric Rate and Corporate likely success of the Petition for Waiver has Regulation Filings been demonstrated, based upon the York Central Environmental Systems; York Department having granted a waiver for a International August 21, 1995. similar product design, it is in the public June 26, 1995. Take notice that the following filings interest to have similar products tested and have been made with the Commission: rated for energy consumption on a Assistant Secretary, Conservation & comparable basis. Renewable Energy 1. Cortes Operating Company, S.A. de Therefore, York’s Application for an United States Department of Energy, 1000 C.V. Interim Waiver from the Department test Independence Avenue, SW., Washington, procedure for its P2UR and PBLU lines of DC 20585. [Docket No. EG95–77–000] condensing furnaces regarding blower time Subject: Petition for Waiver and Take notice that on August 11, 1995, delay is granted. Application for Interim Waiver. Cortes Operating Company, S.A. de C.V. York shall be permitted to test its P2UR, Gentlemen: This is a Petition for Waiver (‘‘Cortes’’) (c/o Lynn N. Hargis, and PBLU lines of condensing furnaces on and Application for Interim Waiver Chadbourne & Parke, 1101 Vermont the basis of the test procedures specified in submitted pursuant to Title 10 CFR 430.27, 10 CFR Part 430, Subpart B, Appendix N, Avenue, N.W., Suite 1000, Washington, as amended 14 November 1986. Waiver is with the modification set forth below: D.C. 20005), filed with the Federal (i) Section 3.0 in Appendix N is deleted requested from the test procedures for Energy Regulatory Commission an and replaced with the following paragraph: measuring the Energy Consumption of application for determination of exempt 3.0 Test Procedure. Testing and Furnaces found in Appendix N of Subpart B wholesale generator status pursuant to measurements shall be as specified in to Part 430, specifically the section requiring Part 365 of the Commission’s Section 9 in ANSI/ASHRAE 103–82, with the a 1.5 minute delay between burner ignition Regulations. exception of Sections 9.2.2, 9.3.1, and 9.3.2, and start-up of the circulating air blower. Cortes is a Honduras company formed and the inclusion of the following additional York International requests a waiver from to operate an electric generating facility procedures: the specified 1.5 minute delay, and seeks (ii) Add a new paragraph 3.10 in Appendix located in Puerto Cortes, Honduras. authorization in its furnace efficiency test Comment date: September 11, 1995, N as follows: procedures and calculations to utilize a fixed 3.10 Gas- and Oil-Fueled Central in accordance with Standard Paragraph timing control that will energize the Furnaces. After equilibrium conditions are E at the end of this notice. The achieved following the cool-down test and circulating air blower 30 seconds after the gas Commission will limit its consideration the required measurements performed, turn valve opens. A control of this type with a of comments to those that concern the on the furnace and measure the flue gas fixed 30 second blower on-time will be adequacy or accuracy of the application. temperature, using the thermocouple grid utilized in our P2UR an PBLU lines of described above, at 0.5 and 2.5 minutes after condensing furnaces. 2. Electricidad de Cortes S de R.L. de the main burner(s) comes on. After the The current test procedure does not credit C.V. burner start-up, delay the blower start-up by York for additional energy savings that occur [Docket No. EG95–78–000] 1.5 minutes (t-) unless: (1) The furnace when a shorter blower on-time is utilized. employs a single motor to drive the power Test data for these furnaces with a 30 second Take notice that on August 11, 1995, burner and the indoor air circulation blower, delay indicate that the overall furnace AFUE Electricidad de Cortes, S. de R.L. de C.V. in which case the burner and blower shall be will increase approximately 1.5 percentage (ELCOSA) (c/o Lynn N. Hargis, started together; or (2) the furnace is designed points compared to the same furnace when Chadbourne & Parke, 1101 Vermont to operate using an unvarying delay time that Avenue, N.W., Suite 1000, Washington, is other than 1.5 minutes, in which case the tested with the 1.5 minute delay. Copies of the confidential test data confirming these D.C. 20005), filed with the Federal fan control shall be permitted to start the Energy Regulatory Commission an blower; or (3) the delay time results in the energy savings will be forwarded to you upon activation of a temperature safety device request. application for determination of exempt which shuts off the burner, in which case the York International is confident that this wholesale generator status pursuant to fan control shall be permitted to start the waiver will be granted, as similar waivers Part 365 of the Commission’s blower. In the latter case, if the fan control have been granted in the past to Coleman Regulations. is adjustable, set it to start the blower at the Company, Magic Chef Company, Rheem ELCOSA is a Honduras company highest temperature. If the fan control is Manufacturing, the Trane Company, Carrier formed to operate an electric generating permitted to start the blower, measure time Corporation, Lennox Industries, Amana facility located in Puerto Cortes, delay (t-) using a stop watch. Record the Refrigeration, Goodman Manufacturing Honduras. measured temperatures. During the heat-up Comment date: September 11, 1995, test for oil-fueled furnaces, maintain the draft Company and others. in the flue pipe within ±0.01 inch of water Manufacturers that domestically market in accordance with Standard Paragraph column of the manufacturer’s recommended similar products are being sent a copy of this E at the end of this notice. The on-period draft. Petition for Waiver and Application for Commission will limit its consideration This Interim Waiver is based upon the Interim Wavier. of comments to those that concern the presumed validity of statements and all Sincerely, adequacy or accuracy of the application. allegations submitted by the company. This Interim Waiver may be removed or modified Michael B. Eberlein, P.E. 3. Tenaska Power Services Company at any time upon a determination that the Engineering Manager—Furnace Products, [Docket No. ER94–389–004] factual basis underlying the application is Unitary Products Group. Take notice that on August 10, 1995, incorrect. [FR Doc. 95–21284 Filed 8–25–95; 8:45 am] The Interim Waiver shall remain in effect Tenaska Power Services Company filed BILLING CODE 6450±01±P±M for a period of 180 days, or until the certain information as required by the Department acts on the Petition for Waiver, Commission’s May 26, 1994, order in whichever is sooner, and may be extended Docket No. ER94–389–000. Copies of 44484 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices the Tenaska Power’s informational filing 9. Northern Indiana Public Service Public Service Commission, and the are on file with the Commission and are Company Virginia State Corporation Commission. available for public inspection. [Docket No. ER95–1524–000] Comment date: September 5, 1995, in accordance with Standard Paragraph E 4. Electrade Corporation Take notice that on August 10, 1995, at the end of this notice. [Docket No. ER94–1478–004] Northern Indiana Public Service Company, tendered for filing an 12. Montaup Electric Company Take notice that on July 25, 1995, Interchange Agreement between Electrade Corporation filed certain [Docket No. ER95–1527–000] Northern Indiana Public Service information as required by the Company and InterCoast Power Take notice that on August 11, 1995, Commission’s October 12, 1994, order Marketing Company. Montaup Electric Company (Montaup) in Docket No. ER94–1478–000. Copies The Interchange Agreement allows for filed: (1) executed service agreements to of the Electrade Corporation’s General Purpose transactions and furnish, and Central Maine Power informational filing are on file with the Negotiated Capacity transactions. Company (CMP) and CMEX Energy, Inc. Commission and are available for public General Purpose transactions are (CMEX) to purchase, capacity and inspection. economy based energy transactions energy pursuant to the terms and 5. Maine Public Service Company which may be made available from the conditions of Montaup’s FERC Electric Tariff, Original Volume No. III; and (2) [Docket No. ER95–1414–000] supplying party’s resources from time to time. Negotiated Capacity transactions executed service agreements for the sale Take notice that on July 25, 1995, provide capacity and energy to the of system capacity and associated Maine Public Service Company buyer, customized to the specific needs energy pursuant to the terms and tendered for filing an amendment in the at the time of the reservation. conditions of Montaup’s FERC Electric above-referenced docket. Copies of this filing have been sent to Tariff, Original Volume No. IV. The Comment date: September 5, 1995, in InterCoast Power Marketing Company latter service agreements allow Buyers, accordance with Standard Paragraph E and to the Indiana Utility Regulatory through certificates of concurrence, to at the end of this notice. Commission. provide capacity from one of Buyers’ units, which enables Montaup to make 6. Consolidated Edison Company of Comment date: September 5, 1995, in a system sale while maintaining its New York, Inc. accordance with Standard Paragraph E at the end of this notice. minimum monthly system capability [Docket No. ER95–1521–000] required under the present NEPOOL Take notice that on August 10, 1995, 10. Madison Gas and Electric Company Agreement. Consolidated Edison Company of New [Docket No. ER95–1525–000] Montaup and CMP and CMEX York, Inc. (Con Edison) tendered for Take notice that on August 11, 1995, (Buyers) understand that transactions filing an Agreement between Con Madison Gas and Electric Company under the service agreements are purely Edison and Williams Power Trading (MGE), tendered for filing a service voluntary and will be entered into only Company for the sale and purchase of agreement with National Gas & Electric if mutually beneficial and agreeable. energy and capacity. L.P. under MGE’s Power Sales Tariff. Montaup requests a waiver of the sixty- Comment date: September 5, 1995, in MGE requests an effective date 60 days day notice requirement so that the accordance with Standard Paragraph E from the filing date. service agreements may become at the end of this notice. Comment date: September 5, 1995, in effective as of July 12, 1995 for the CMP accordance with Standard Paragraph E agreements and July 27, 1995 for the 7. Consolidated Edison Company of CMEX agreements. New York, Inc. at the end of this notice. Comment date: September 5, 1995, in [Docket No. ER95–1522–000] 11. Delmarva Power & Light Company accordance with Standard Paragraph E Take notice that on August 10, 1995, [Docket No. ER95–1526–000] at the end of this notice. Consolidated Edison Company of New Take notice that on August 11, 1995, 13. Southern California Edison York, Inc. (Con Edison) tendered for Delmarva Power & Light Company Company filing an Agreement between Con (Delmarva), tendered for filing as an [Docket No. ER95–1530–000] Edison and Central Maine Power initial rate under Section 205 of the Company for the sale of energy and Federal Power Act and Part 35 of the Take notice that on August 11, 1995, capacity. Regulations issued thereunder, a Southern California Edison Company Comment date: September 5, 1995, in supplemental Agreement between (Edison), tendered for filing a letter accordance with Standard Paragraph E Delmarva and LG&E Power Marketing agreement dated June 16, 1995 (Letter at the end of this notice. (LPM) dated July 31, 1995. Agreement) between Edison and the City of Anaheim (Anaheim) as an initial 8. Consolidated Edison Company of Delmarva states that the Agreement rate schedule. New York, Inc. set forth the terms and conditions for the sale or purchase of short-term The Letter Agreement sets forth the [Docket No. ER95–1523–000] energy which it expects to be available terms and conditions by which Edison Take notice that on August 10, 1995, from time to time and which will be will provide Anaheim with a right of Consolidated Edison Company of New economically advantageous to both first refusal for transmission service York, Inc. (Con Edison) tendered for Delmarva and LPM. Delmarva requests between the midpoint of the Victorville- filing an Agreement between Con that the Commission waive its standard Lugo 500 Kv transmission line Edison and Commonwealth Electric notice period and allow this Agreement (Victorville-Lugo Midpoint) and Lewis Company for the sale of energy and to become effective on June 23, 1995. Substation. capacity. Delmarva states that a copy of this Copies of this filing were served upon Comment date: September 5, 1995, in filing has been sent to LPM and will be the Public Utilities Commission of the accordance with Standard Paragraph E furnished to the Delaware Public State of California and all interested at the end of this notice. Service Commission, the Maryland parties. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44485 Comment date: September 5, 1995, in Electric Tariff, Original Volume No. 1. Colorado 80944, filed in Docket No. accordance with Standard Paragraph E The Sales Tariff was accepted by the CP95–677–000 a request pursuant to at the end of this notice. Commission by letter order issued on Sections 157.205(b) and 157.212 of the February 10, 1995 in Jersey Central Commission’s Regulations under the 14. PECO Energy Company Power & Light Co., Metropolitan Edison Natural Gas Act (18 CFR 157.205(b) and [Docket No. ER95–1531–000] Co. and Pennsylvania Electric Co., 157.212) for authorization to construct Take notice that on August 14, 1995, Docket No. ER95–276–000 and allows new delivery facilities pursuant to CIG’s PECO Energy Company (PECO), filed a GPU and Old Dominion Electric blanket certificate issued in Docket No. Service Agreement dated August 3, Cooperative to enter into separately CP83–21–000, all as more fully set forth 1995, with Citizens Lehman Power scheduled transactions under which the in the request which is on file with the Sales (Citizens) under PECO’s FERC GPU Operating Companies will make Commission and open to public Electric Tariff Original Volume No. 1 available for sale, surplus operating inspection. (Tariff). The Service Agreement adds capacity and/or energy at negotiated CIG proposes to construct the Alkali Citizens as a customer under the Tariff. rates that are no higher than the GPU Pond delivery facilities in Sweetwater PECO requests an effective date of Operating Companies’ cost of service. County, Wyoming, for two end users, August 3, 1995, for the Service GPU requests a waiver of the FMC Corporation (FMC) and General Agreement. Commission’s notice requirements for Chemical. CIG states that the facilities PECO states that copies of this filing good cause shown and an effective date would consist of approximately 3.5 have been supplied to Citizens and to of August 7, 1995 for the Service miles of 8-inch pipeline with metering the Pennsylvania Public Utility Agreement. for delivery to FMC and approximately Commission. GPU has served copies of the filing on 8.6 miles of 6-inch pipeline for metering Comment date: September 5, 1995, in regulatory agencies in New Jersey and extending downstream of the 8-inch accordance with Standard Paragraph E Pennsylvania. pipeline for delivery to General at the end of this notice. Comment date: September 5, 1995, in Chemical. It is stated that the new accordance with Standard Paragraph E facilities have an estimated cost of 15. The Dayton Power and Light at the end of this notice. approximately $1.4 million. Company Standard Paragraph It is further stated that the proposed [Docket No. ER95–1532–000] facilities would be capable of delivering Take notice that on August 14, 1995, E. Any person desiring to be heard or approximately 30 Mmcf per day of The Dayton Power and Light Company to protest said filing should file a natural gas to FMC and approximately (Dayton), tendered for filing an executed motion to intervene or protest with the 20 Mmcf per day to General Chemical. Master Power Sales Agreement between Federal Energy Regulatory Commission, Comment date: October 5, 1995, in Dayton and PECO Energy Company 825 North Capitol Street, N.E., accordance with Standard Paragraph G (PECO). Washington, D.C. 20426, in accordance at the end of this notice. Pursuant to the rate schedules with Rules 211 and 214 of the Commission’s Rules of Practice and 2. Texas Eastern Transmission attached as Exhibit B to the Agreement, Corporation, ANR Pipeline Company Dayton will provide to PECO power Procedure (18 CFR 385.211 and 18 CFR and/or energy for resale. Dayton and 385.214). All such motions or protests [Docket No. CP95–680–000] PECO are currently parties to a Sales should be filed on or before the Take notice that on August 10, 1995, Agreement for the sale of power and comment date. Protests will be Texas Eastern Transmission Corporation energy to Dayton from PECO approved considered by the Commission in (Texas Eastern), P.O. Box 1642, by the Commission in Docket No. ER95– determining the appropriate action to be Houston, Texas 77251–1642 and ANR 358–000. taken, but will not serve to make Pipeline Company (ANR), 500 Comment date: September 5, 1995, in protestants parties to the proceeding. Renaissance Center, Detroit, Michigan accordance with Standard Paragraph E Any person wishing to become a party 48243, jointly, filed in Docket No. at the end of this notice. must file a motion to intervene. Copies CP95–680–000 an application pursuant of this filing are on file with the to Section 7(b) of the Natural Gas Act for 16. Jersey Central Power & Light Commission and are available for public Company, Metropolitan Edison permission and approval to abandon inspection. certain firm exchange and Company, Pennsylvania Electric Lois D. Cashell, Company transportation services, all as more fully Secretary. set forth in the application which is on [Docket No. ER95–1534–000] [FR Doc. 95–21262 Filed 8–25–95; 8:45 am] file with the Commission and open to Take notice that on August 14, 1995, BILLING CODE 6717±01±P public inspection. GPU Service Corporation (GPU), on The services, it is said, were behalf of Jersey Central Power & Light [Docket No. CP95±677±000, et al.] authorized by Order issued April 16, Company, Metropolitan Edison 1980 in Docket No. CP80–82–000 and Company and Pennsylvania Electric Colorado Interstate Gas Company, et performed pursuant to Texas Eastern’s Company (jointly referred to as the GPU al.; Natural Gas Certificate Filings Rate Schedule X–109 and ANR’s Rate Operating Companies), filed an Schedule X–97. executed Service Agreement between August 21, 1995. It is stated that the services were once GPU and Old Dominion Electric Take notice that the following filings required to permit the exchange of gas Cooperative, dated August 7, 1995. This have been made with the Commission: between Texas Eastern and ANR in the Service Agreement specifies that Old 1. Colorado Interstate Gas Company West Cameron Area, South Marsh Island Dominion Electric Cooperative has Area and at other mutually agreeable agreed to the rates, terms and conditions [Docket No. CP95–677–000] delivery points. It is further said that the of the GPU Operating Companies’ Take notice that on August 9, 1995, exchange and transportation authority is Operating Capacity and/or Energy Sales Colorado Interstate Gas Company (CIG) no longer required, as the exchange tariff (Sales Tariff) designated as FERC Post Office Box 1087, Colorado Springs, agreements have been terminated. 44486 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Comment date: September 11, 1995, Comment date: September 11, 1995, inch pipeline in San Patricio County, in accordance with Standard Paragraph in accordance with Standard Paragraph Texas. It is indicated that the line F at the end of this notice. F at the end of this notice. currently serves only one customer, Ms Eva Whitely, a farm tap customer of 3. Northern Natural Gas Company 5. Northern Natural Gas Company Entex, and that Ms. Whitely has [Docket No. CP95–688–000] [Docket No. CP95–692–000] consented to changing her supply Take notice that on August 14, 1995, Take notice that on August 17, 1995, source to propane. It is also stated that Northern Natural Gas Company Northern Natural Gas Company the service level of the transportation (Northern), 1400 Smith Street, Houston, (Northern), 1400 Smith Street, Houston, agreement between Koch Gateway and Texas 77002, filed in Docket No. CP95– Texas 77002, filed in Docket No. CP95– Entex will not be affected by the 688–000 a request pursuant to Sections 692–000 a request pursuant to Sections abandonment. 157.205 and 157.216 of the 157.205 and 157.212 of the Comment date: October 5, 1995, in Commission’s Regulations under the Commission’s Regulations under the accordance with Standard Paragraph G Natural Gas Act for authorization to Natural Gas Act for authorization to at the end of this notice. abandon certain facilities under its install and operate a new delivery point Standard Paragraphs blanket certificate issued in Docket No. under its blanket certificate issued in F. Any person desiring to be heard or CP82–401–000 pursuant to Section 7 of Docket No. CP82–401–000 pursuant to to make any protest with reference to the Natural Gas Act, all as more fully set Section 7 of the Natural Gas Act, all as said application should on or before the forth in the request on file with the more fully set forth in the request on file comment date, file with the Federal Commission and open to public with the Commission and open to Energy Regulatory Commission, inspection. public inspection. Washington, D.C. 20426, a motion to Northern requests permission and Northern requests authorization to intervene or a protest in accordance approval to abandon a town border install and operate a new delivery point with the requirements of the station and appurtenant facilities to permit delivery of natural gas to IES Commission’s Rules of Practice and located in Marshall County, Iowa. Utilities, Inc. (IES) for delivery to the Procedure (18 CFR 385.214 or 385.211) Northern states that it has been advised Mesquakie Casino town border station and the Regulations under the Natural by IES Utilities that gas service in Tama County, Iowa. Northern states Gas Act (18 CFR 157.10). All protests downstream of the town border station IES requested the proposed delivery filed with the Commission will be has been discontinued and that the point to accommodate service into an considered by it in determining the facility may be removed. Northern states area previously not served by natural appropriate action to be taken but will that it has determined that no other use gas. Northern further states that the not serve to make the protestants parties exists for the town border station and estimated quantities to be delivered to to the proceeding. Any person wishing appurtenant facilities. IES are 800 MMBtu on a peak day and to become a party to a proceeding or to Comment date: October 5, 1995, in 225,000 MMBtu on an annual basis. participate as a party in any hearing accordance with Standard Paragraph G Northern states that it would not therein must file a motion to intervene at the end of this notice. increase IES’ existing firm entitlement in accordance with the Commission’s under existing service agreements. 4. Blue Lake Gas Storage Company Rules. Northern states that the estimated cost Take further notice that, pursuant to [Docket No. CP95–690–000] to install the delivery point is $46,000. the authority contained in and subject to Take notice that on August 15, 1995, Northern further states that IES would the jurisdiction conferred upon the Blue Lake Gas Storage Company (Blue reimburse Northern for the total Federal Energy Regulatory Commission Lake), 500 Renaissance Center, Detroit, construction cost. by Sections 7 and 15 of the Natural Gas Michigan 48423, filed in Docket No. Comment date: October 5, 1995, in Act and the Commission’s Rules of CP95–690–000 an application pursuant accordance with Standard Paragraph G Practice and Procedure, a hearing will to Section 7(c) of the Natural Gas Act at the end of this notice. be held without further notice before the (NGA) requesting a blanket certificate of 6. Koch Gateway Pipeline Company Commission or its designee on this public convenience and necessity and application if no motion to intervene is permission and approval to abandon, [Docket No. CP95–694–000] filed within the time required herein, if authorizing Blue Lake to engage in any Take notice that on August 18, 1995, the Commission on its own review of of the activities specified in Subpart F Koch Gateway Pipeline Company (Koch the matter finds that a grant of the of Part 157 of the Commission’s Gateway), P.O. Box 1478, Houston, certificate and/or permission and Regulations, as may be amended from Texas 77251–1478, filed in Docket No. approval for the proposed abandonment time to time, all as more fully set forth CP95–694–000 a request pursuant to are required by the public convenience in the application on file with the Sections 157.205 and 157.216 of the and necessity. If a motion for leave to Commission and open to public Commission’s Regulations under the intervene is timely filed, or if the inspection. Natural Gas Act (18 CFR 157.205 and Commission on its own motion believes It is stated that Blue Lake is a ‘‘natural 157.216) for authorization to abandon in that a formal hearing is required, further gas company’’ within the meaning of the place facilities used to serve a farm tap notice of such hearing will be duly NGA and as determined by the customer of Entex, Inc., a local given. Commission in Docket No. CP91–2704– distribution company, under the blanket Under the procedure herein provided 000. Blue Lake asserts that it has no certificate issued in Docket No. CP82– for, unless otherwise advised, it will be outstanding budget-type certificates. 430–000, pursuant to Section 7(b) of the unnecessary for applicant to appear or Blue Lake states that it does have Natural Gas Act, all as more fully set be represented at the hearing. currently effective storage rate forth in the request which is on file with G. Any person or the Commission’s schedules, providing firm storage the Commission and open to public staff may, within 45 days after issuance service under Rate Schedule FS and inspection. of the instant notice by the Commission, interruptible storage service under Rate Koch Gateway proposes to abandon in file pursuant to Rule 214 of the Schedule IS. place approximately four miles of four- Commission’s Procedural Rules (18 CFR Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44487 385.214) a motion to intervene or notice ACTION: Notice of exception to at 40 CFR Part 136 under Section 304(h) of intervention and pursuant to Section regulations (40 CFR Part 72). of the Clean Water Act; and the Office 157.205 of the Regulations under the of Water is also sponsoring a workshop Natural Gas Act (18 CFR 157.205) a SUMMARY: Title IV of the Clean Air Act to aid attendees in resolving the protest to the request. If no protest is authorizes the Environmental Protection problems associated with the sampling filed within the time allowed therefor, Agency (EPA) to establish the Acid Rain and analysis of trace metals, including the proposed activity shall be deemed to Program. During Phase I (1995–1999) of the difficulty in precluding be authorized effective the day after the the program, units subject to sulfur contamination. time allowed for filing a protest. If a dioxide emissions limitations are DATES: EPA will conduct the Trace protest is filed and not withdrawn required to account for any emissions Metals Workshop on Wednesday, within 30 days after the time allowed resulting from reduced utilization of the September 27, 1995; and the public for filing a protest, the instant request units and shifting of electric generation meeting on Streamlining will be held shall be treated as an application for from the units to other units or the following day on Thursday, authorization pursuant to Section 7 of generators. Each unit is included in a September 28, 1995. Workshop the Natural Gas Act. dispatch system, and the accounting for Registration will begin at 10:00 am. The Lois D. Cashell, reduced utilization is conducted on a workshop will be conducted from 12:00 dispatch-system basis. Under § 72.33(b), Secretary. pm to 5:30 pm. The Public meeting will a unit may submit an identification of be held from 9:00 am to 5:30 pm. A [FR Doc. 95–21261 Filed 8–25–95; 8:45 am] dispatch system, i.e., a request to BILLING CODE 6717±01±P specific agenda for the public meeting establish a given group of units as a will be published in an upcoming dispatch system. The regulation requires notice. the submission to be made by January ADDRESSES: The Trace Metals Workshop [Docket Nos. RP95±197±000 and RP95±197± 30 of the first year for which the 001] will be held at the Crowne Plaza Hotel- dispatch system is to be used for Seattle, Seattle, Washington. The public Transcontinental Gas Pipe Line reduced utilization accounting. meeting on Streamlining will be held at Corporation; Notice Rescheduling The Agency hereby gives notice that the Federal Building in Seattle, Informal Settlement Conference on May 3, 1995, Midwest Power System, Washington. Inc. submitted an identification of FOR FURTHER INFORMATION CONTACT: August 22, 1995. dispatch system to take effect starting in Meeting arrangements are being 1995 and a request for an exception to Take notice that an informal coordinated by DynCorp EENSP. For the January 30 submission deadline. By settlement conference scheduled for information on registration contact letter dated May 31, 1995, the Agency Tuesday, September 12, 1995, in this Cindy Simbanin, 300 N. Lee Street, granted the request and accepted the proceeding is rescheduled for Thursday, Suite 500, Alexandria, VA 22314. identification of dispatch system. The September 14, 1995, at 10:00 a.m., for Phone: (703) 519–1386. Facsimile May 31, 1995 letter sets forth the basis the purpose of exploring the possible number: (703) 684–0610. Space is for granting the request. settlement of the above-referenced limited and reservations are being taken proceeding. The conference will be held FOR FURTHER INFORMATION CONTACT: on a first come, first served basis. No at the offices of the Federal Energy Donna Deneen, at (202) 233–9089, Acid fees will be charged to attend. Regulatory Commission, 810 First Street Rain Division (6204J), U.S. Hotel reservations may be made by NE., Washington, DC. Environmental Protection Agency, 401 contacting the Crowne Plaza Hotel in Any party, as defined by 18 CFR M Street SW., Washington, DC 20460; Seattle at (800) 521–2762. Guest rates 385.102(c), or any participant, as Dwight C. Alpern, Attorney-advisor, at are $83 single and $106 double defined by 18 CFR 385.102(b), is invited (202) 233–9151 (same address); or the occupancy, including tax. Reservations to attend. Persons wishing to become a Acid Rain Hotline at (202) 233–9620. must be made by 9/08/95, and you must party must move to intervene and Dated: August 17, 1995. specify that you are attending the EPA receive intervenor status pursuant to the Brian J. McLean, Workshop to qualify for the group rate. Commission’s regulations. See 18 CFR Accommodations are limited, so please 385.214. Director, Acid Rain Division, Office of Atmospheric Programs, Office of Air and make your reservations early. For additional information, please Radiation. SUPPLEMENTARY INFORMATION: The contact Warren C. Wood at (202) 208– [FR Doc. 95–21280 Filed 8–25–95; 8:45 am] USEPA Office of Water’s interest in 2091 or Donald A. Heydt at (202) 208– trace metals determinations has been 0740. BILLING CODE 6560±50±P driven by the development of ambient Lois D. Cashell, water quality criteria (WQC) in response Secretary. [FRL±5287±1] to Congressional mandates in the 1987 [FR Doc. 95–21234 Filed 8–25–95; 8:45 am] A Public Meeting on Streamlining Water Quality Act. Ambient water BILLING CODE 6717±01±M Promulgation of Analytical Methods at quality criteria require determinations 40 CFR Part 136 and Workshop on of metals at levels significantly lower Trace Metals Analysis than those required by technology-based effluent limits or achievable by routine ENVIRONMENTAL PROTECTION AGENCY: U.S. Environmental Protection environmental laboratory analyses. AGENCY Agency (EPA). The Office of Water’s purpose in ACTION: Notice. sponsoring this workshop is to assist [FRL±5285±2] State and Regional authorities, regulated Acid Rain Program: Notice of SUMMARY: The Office of Science and community, and commercial Exception to Regulations Technology within EPA’s Office of laboratories in understanding the Water is conducting a public meeting on requirements and techniques necessary AGENCY: Environmental Protection approaches to streamlining the proposal to determine trace metals at EPA’s Agency (EPA). and promulgation of analytical methods ambient WQC levels. This workshop 44488 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices will focus on sampling and analysis program: ‘‘Guidance on Deferral of NPL The guidance document has several techniques, data review, and quality Listing Determinations While States components to ensure that responses are assurance measures necessary to Oversee Response Actions’’ (OSWER protective of human health and the support reliable trace metals Directive 9375.6–11), issued on May 3, environment, and foster public measurements for data gathering and 1995; and ‘‘Response to Comments on involvement while balancing competing compliance monitoring purposes. the 1988 Proposed NCP Deferral Policy needs for flexibility and accountability. The objective of the public meeting on Concept’’ (OSWER Directive 9375.6– The guidance is divided into sections Streamlining is to outline plans for 11A), issued on May 3, 1995. which address: criteria applicants method flexibility and for streamlining FOR FURTHER INFORMATION CONTACT: The should meet to participate in the proposal and promulgation of new guidance (Order Number PB95–963223) program; criteria for determining which methods at 40 CFR Part 136 under and response to comments (Order sites are eligible for deferral; provisions Section 304(h) of the Clean Water Act. Number PB95–963225) are available for for cleanup levels to be achieved at EPA has promulgated analytical $17.50 each (plus shipping and deferred sites; procedural requirements; methods at 40 CFR Part 136 as needed handling) through the National to support monitoring under the and provisions for EPA oversight, Technical Information Service (NTIS), financial assistance, community National Pollutant Discharge 5285 Port Royal Road, Springfield, VA participation, and response completion Elimination System (NPDES). Methods 22161. For further information or to or termination. A ‘‘question and approved for use at 40 CFR Part 136 order documents by phone, call 703– have been developed by EPA, by 487–4650 for Regular Service, or 800– answer’’ appendix supplements the industrial associations, and by other 553–NTIS for Rush Service. guidance. Under the deferral program: government agencies. In the past, the SUPPLEMENTARY INFORMATION: —NPL caliber sites may be deferred to methods proposal and promulgation States or Tribes for response actions process has been cumbersome, and has A. Background that will be conducted under State or by design limited the contribution of The preamble to the 1988 proposed Tribal authority (Federal facilities or emerging analytical technologies. National Oil and Hazardous Substance sites listed on the NPL are not eligible In response to the Administration’s Pollution Contingency Plan (NCP) for deferral); Environmental Technology Initiative, announced that the Environmental EPA desires to increase method —response actions generally will be Protection Agency (EPA) was flexibility in existing methods and to conducted by viable, cooperative considering expanding the existing streamline the proposal and PRPs with State or Tribal oversight; policy of deferring sites from inclusion promulgation of new methods to take on the National Priorities List (NPL). —response actions must be protective of advantage of these emerging The Agency requested and received human health and the environment technologies. public comments on its proposal to and meet State or Tribal and Federal The Subjects to be discussed at the defer sites to other Federal authorities, applicable requirements; meeting are: (1) Flexibility—unlimited, States, and/or potentially responsible limited, and none, and the advantages of —a site may not be deferred if the parties (PRPs). The 1990 preamble to the each, (2) standardization of quality affected community has significant, final NCP stated that EPA would not control to support determination of valid objections; decide the deferral policy issue at that method equivalency, (3) streamlined time, but that should the Agency —the level of EPA oversight of State proposal and promulgation of new ‘‘decide in the future to consider actions at deferred sites will be methods to take advantage of emerging establishing an expansion to deferral minimal; and analytical technologies, (4) policies,’’ it would respond then to the —once a deferral response is complete, harmonization of wastewater methods comments received (See 54 FR 8667, with other Agency methods to allow the site will be removed from Mar. 8, 1990). standardization of methods, and (5) CERCLIS and EPA will have no standardized data elements for reporting B. Summary of Guidance Document further interest in considering the site for the NPL unless it receives new to allow access to Agency databases in Based on the EPA June 23, 1993, a standardized data format. information of a release or potential ‘‘Superfund Administrative release that poses a significant threat Dated: August 23, 1995. Improvements Final Report’’ (OSWER to human health or the environment. James Hanlon, Directive 9200.0–14–2), EPA established Acting Director, Office of Science and an initiative to ‘‘Enhance State Role.’’ C. Summary of Response Document Technology. Under this initiative, the Agency [FR Doc. 95–21282 Filed 8–25–95; 8:45 am] developed a guidance on deferring The ‘‘Response to Comments on the 1988 Proposed NCP Deferral Policy BILLING CODE 6560±50±P consideration of certain sites for listing on the NPL, while interested States, Concept’’ fulfills the Agency’s Territories, Commonwealths, or commitment to respond to the [FRL±5286±5] federally-recognized Indian Tribes comments EPA received regarding the compel and oversee response actions deferral policy concept introduced in Availability of State Deferral Guidance conducted and funded by PRPs. This the 1988 proposed NCP. The response and Response to Comments ‘‘Guidance on Deferral of NPL Listing addresses the 1988 proposal to defer AGENCY: Environmental Protection Determinations While States Oversee sites to State authorities and does not Agency. Response Actions’’ is now complete and consider proposed deferral policies to ACTION: Notice of availability. is being issued under the 1995 other authorities or PRPs which are not Superfund Administrative Reforms addressed by the guidance. Major SUMMARY: The Agency is informing the (February 13, 1995, Elliott Laws and comments are summarized by subject, public of the availability of two Steven Herman memorandum, and responses reflect EPA policy documents concerning the newly ‘‘Announcement of Superfund presented in the guidance. established Superfund State deferral Administrative Reforms’’). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44489 Dated: August 17, 1995. College of Southern Idaho, 315 Falls should be submitted to EPA as Elliott P. Laws, Avenue, Twin Falls, Idaho, also from described in the Public Comments Assistant Administrator for Solid Waste and 6:30 pm until all persons have been Section of the attached Public Notice. Emergency Response. heard. Persons interested in obtaining After the expiration date of the Public [FR Doc. 95–21278 Filed 8–25–95; 8:45 am] information on the hearings should Notice, the Director, Water Division, BILLING CODE 6560±50±P contact Joe Roberto at the address will make final determinations with below. respect to the permit reissuance. The REQUEST FOR COVERAGE: Written request [FRL±5285±4] tentative determinations contained in for coverage and authorization to the draft general permit will become Proposed General NPDES Permit for discharge under the general permit shall final conditions if no substantive Concentrated Animal Feeding be provided to EPA, Region 10, as comments are received during the Operations (CAFO) in Idaho described in Part I.D. of the draft permit. public notice period. Authorization to discharge requires The permit will become effective 30 AGENCY: Environmental Protection written notification from EPA that days after the final determinations are Agency, Region 10. coverage has been granted and that a made, unless a request for an ACTION: Notice of a proposed general specific permit number has been evidentiary hearing is submitted within permit. assigned to the operation. 30 days after receipt of the final ADDRESSES: Comments on the proposed determinations. SUMMARY: This proposed reissuance of general permit should be sent to Joe the CAFO general permit is intended to Roberto; U.S. EPA, Region 10; 1200 The proposed NPDES general permit regulate CAFO activities in the state of Sixth Avenue WD–135; Seattle, and other related documents are on file Idaho. When issued, the proposed Washington 98101. and may be inspected at the above permit will establish limitations, FOR FURTHER INFORMATION CONTACT: Joe address any time between 8:30 a.m. and standards, prohibitions and other Roberto at the Seattle address above or 4 p.m., Monday through Friday. Copies conditions for covered facilities. These by telephone at (206) 553–1669. and other information may be requested conditions are based on existing by writing to EPA at the above address REGULATORY FLEXIBILITY ACT: After national effluent guidelines and to the attention of the Water Permits review of the facts presented in the material contained in the administrative Section, or by calling (206) 553–1214. notice printed above, I hereby certify record. A description of the basis for the This material is also available from the pursuant to the provision of 5 U.S.C. conditions and requirements of the EPA Idaho Operations Office, 1435 605(b) that this general NPDES permit proposed general permit is given in the North Orchard Street, Boise, Idaho will not have a significant impact on a fact sheet published below. 83706. Part I.C. of the proposed permit substantial number of small entities. identifies the facilities which can Moreover, the permit reduces a Table of Contents qualify for coverage under this permit. significant administrative burden on I. Applicants Parts I.C.7. and 8. specify that facilities regulated sources. II. Receiving Water that discharge directly or through a Dated: August 17, 1995. III. Background Information man-made device into waters of the A. Description of the Industry Gregory L. Kellogg, B. What Pollutants are Being Discharged? United States qualify for coverage under Acting Director, Water Division. C. Why is a General Permit Being issued? this permit. The Region 10 office of EPA Fact Sheet IV. Permit Coverage requests comment on whether the A. Who needs to be covered by this permit? universe of facilities to be covered United States Environmental B. What constitutes a discharge? should be expanded to include those Protection Agency (EPA), Region 10, C. How to determine if an animal feeding facilities which have the potential to 1200 Sixth Avenue, WD–134, Seattle, operation is a CAFO? discharge. Washington 98101, (206) 553–1214. 1. Animal Feeding Operation 2. CAFO Criteria EXECUTIVE ORDER 12291: The Office of General Permit No.: ID–G–01–0000. 3. Animal Units Management and Budget has exempted Proposed Reissuance of a General D. Permit Coverage this action from the review National Pollutant Discharge E. Permit Expiration requirements of Executive Order 12291 Elimination System (NPDES) Permit To V. Permit Requirements pursuant to Section 8[b] of that order. Discharge Pollutants Pursuant to the A. Basis of Discharge Limitations PUBLIC COMMENT PERIOD: Interested Provisions of the Clean Water Act 1. Statutory Requirements 2. Technology-Based Limitations persons may submit comments on the (CWA) draft general permit to EPA, Region 10 3. Water Quality Based Limitations at the address below. Comments must Idaho Concentrated Animal Feeding B. Best Management Practices (BMP) be received in the regional office on or Operations (CAFO) 1. Design of Control Facilities 2. Facility Expansion before October 27, 1995. This Fact Sheet includes (a) the 3. Chemical Handling PUBLIC HEARINGS: Public hearings on the tentative determination of the EPA to 4. Access Restriction permit conditions are scheduled in reissue the general permit, (b) 5. Land Application Boise and Twin Falls, Idaho. The Boise information on public comment, public C. Prohibitions hearing will be held on Wednesday, hearing and appeal procedures, (c) the VI. Basis for Monitoring and Reporting September 27, 1995, in the 1st Floor description of the industry and Requirements Conference Center at the Division of proposed discharges, and (d) other A. Notice of Intent Environmental Quality, Earl Chandler conditions and requirements. B. Discharge Notification VII. Limitations of the General Permit Building, 1410 N Hilton, Boise, Idaho, Persons wishing to comment on the A. Limitations on Coverage from 6:30 pm until all persons have tentative determinations contained in B. Individual Permits been heard. The Twin Falls hearing will the proposed general permit reissuance VIII. Other Requirements be held on September 28, 1995 in Room may do so by the expiration date of the A. Endangered Species Act 117 of the Sheilds Building at the Public Notice. All written comments B. State Certification 44490 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Technical Information a. Waste characteristics from different other discharges are not allowed under CAFOs are substantially similar this permit. I. Applicants [Development Document for Effluent C. How to Determine if an Animal This permit is applicable for facilities Limitations Guidelines and New Source Feeding Operation is a CAFO? classified as Concentrated Animal Performance Standards for the Feedlots Feeding Operations (CAFOs) in the state Point Source Category (Development EPA’s interpretation of the regulations of Idaho. Document), January 1974; and the pertaining to feeding operations divides the industry into two groups; CAFOs II. Receiving Water Environmental Assessment of Regulatory Strategies for Confined and non-CAFOs. As stated above, Receiving waters are the surface Animal Feeding Operations in Idaho CAFOs are defined as point sources and waters or waters of the United States as (EA), by Jones and Stokes Associates, are therefore, required to obtain an defined in 40 CFR 122.2 in which Inc. 1985]. NPDES permit for any discharges. wastewater from CAFOs are discharged. b. The effluent limitations and However, non-CAFOs are considered This includes rivers, streams, creeks, requirements for all CAFOs covered by nonpoint sources and are not subject to and their tributaries. EPA interprets this this general permit are identical. They the NPDES program. definition to include irrigation ditches, are supported by the promulgated Part I.C., VII, Appendix A, and laterals, and canals which flow into effluent guidelines (40 CFR 412.13), best Appendix B of the permit establish the waters of the United States. management practices (BMPs), and definition of a CAFO. This definition is III. Background Information other requirements [40 CFR 122.44(k)]. required pursuant to 40 CFR 122.23 and 3. Like individual permits, a violation 40 CFR 122 Appendix B. A. Description of the Industry of a condition contained in a general 1. Animal Feeding Operation The activity associated with CAFOs is permit constitutes a violation of the Act For an operation to be a CAFO, the the confinement of animals, including and subjects the owner or operator of facility must first qualify as an animal poultry but excluding ducks, for meat, the permitted facility to the penalties feeding operation. An animal feeding milk, or egg production, or stabling, in specified in Section 309 of the Act. operation is a facility where: pens or houses, where the animals are IV. Permit Coverage fed or maintained at the place of —Animals are kept a total of 45 days or confinement [40 CFR 412.11(b)]. A. Who Needs To Be Covered by This more during any 12 month period, Permit? and B. What Pollutants Are Being —Crops, vegetation forage growth, or Discharged? Part I.A. of the permit states that ‘‘A permit is required for discharges from post-harvest residues are not The most commonly recognized operations classified as a CAFO.’’ This sustained during the normal growing contaminants from CAFOs include is required pursuant to 40 CFR 122.2 season on the facility [40 CFR biochemical oxygen demand (BOD), which defines a CAFO as a point source 122.23(b)(1)]. total suspended solids (TSS), organics, and Section 402 of the Clean Water Act The first part of this definition means bacteria, and nutrients (nitrogen and and 40 CFR 122.1(b) which requires that that animals must be fed or maintained phosphorous compounds). all discharges from any point source on the lot or facility for a minimum of 45 days. However, it does not mean that C. Why is a General Permit Being must be regulated by a National the same animals must remain on the Issued? Pollutant Discharge Elimination System (NPDES) permit. lot for 45 days or more; only that some 1. Section 301(a) of the Clean Water animals are fed or maintained on the lot Act (Act) provides that the discharge of B. What Constitutes a Discharge? 45 days out of any 12 month period. The pollutants is unlawful except in In accordance with 40 CFR 122.2, a 45 days do not have to be consecutive, accordance with a National Pollutant discharge is any addition of any nor does the 12 month period have to Discharge Elimination System (NPDES) pollutant or combination of pollutants correspond to the calendar year. For permit. Although such permits have to waters of the United States. This example, the 12 month period may be been issued to individual dischargers, includes runoff from corrals, stock piled counted from June 1 to the following EPA’s regulations do authorize the manure, or silage piles, overflow from May 31. This can include areas such as issuance of ‘‘general permits’’ to storage ponds, overflow from animal corrals, pens, auction yards, etc. categories of discharges [40 CFR 122.28] watering systems which are The second part of this definition when a number of point sources are: contaminated by manure, and overflow distinguishes feedlots from pasture a. Located within the same geographic from irrigated fields in which land, which were not intended to be area and warrant similar pollution wastewater is applied at greater than the covered as a CAFO by the regulations. control measures; agronomic rate. As stated above, waters This part of the definition narrows the b. Involve the same or substantially of the United States includes not only geographic scope of the regulations to similar types of operations; rivers, streams, intermittent streams and the portion of the feedlot where animals c. Discharge the same types of waste; lakes, but also irrigation ditches, are confined and where natural forage or d. Require the same effluent laterals, canals, etc. which eventually planted vegetation does not occur limitations or operating conditions; flow into rivers, streams, and lakes. [In during the normal growing season (for e. Require the same or similar Re Bettencourt, Docket # 1093–04–17– that geographic area). Feedlots with monitoring requirements; and 309(g), March 30, 1994, Order of constructed floors, such as solid f. In the opinion of the Director, are Summary Determination, at 13–19.] concrete or metal slats, clearly satisfy more appropriately controlled under a This permit only allows a discharge this part of the definition. Other feedlots general permit than under individual during certain storm events as may have open dirt areas. These ‘‘open permits. established in part II.A. of the permit dirt’’ feedlots may have some vegetation 2. The use of a General Permit to and only discharges resulting from the growth along the edges while animals regulate CAFOs is appropriate because overflow from a control facility that is are present or during months when of the following: properly designed and operated. All animals are kept elsewhere. EPA Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44491 interprets the regulations to mean that if inspection of the facility has been has violated the CWA. If the facility had had a facility maintains animals in an area conducted. The facility must then be a permit, it would not have been in violation without vegetation, including dirt- notified of this designation by the of the CWA. floored lots, the facility meets the Director. E. Permit Expiration second part of the definition. 3. Animal Units Part I.E. of the permit specifies that Note: That although pasture land itself can not be classified as a CAFO, if these pastures The number of animal units confined the permit is effective for five years. are used as land application sites for CAFO is another factor considered in This is required in accordance with 40 waste, any waste water overflows from these determining whether a facility is a CFR 122.46(a). CAFO. ‘‘Animal unit’’ is a term defined pastures into receiving waters is considered V. Permit Requirements a discharge. by the regulations (40 CFR 122 Appendix B) and varies according to 2. CAFO Criteria A. Basis of Discharge Limitations animal type; one animal is not always 1. Statutory Requirements If a facility is an animal feeding equal to one animal unit. Conversion to operation as defined above, the next animal units is a procedure used to Section 301(a) of the Act prohibits the step is to determine if the operation is determine pollution equivalents among discharge of any pollutant to waters of a CAFO. In general, there are three the different animal types; one dairy the United States without a National situations in which an animal feeding cow produces more waste than one Pollutant Discharge Elimination System operation can be a CAFO. sheep. This calculation is also used on (NPDES) permit unless such a discharge The first is for large facilities. Any facilities with more than one animal is otherwise authorized by the Act. operation that confines more than the type onsite. It is specified in the Act that issued number of animals listed in 40 CFR 122 Animal Units are incorporated into NPDES permits must contain effluent Appendix B(a) and Part VII.F.1. of the the above definitions of a CAFO. limitations reflecting the most stringent permit are CAFOs. For example, dairies Facilities with greater than 1000 animal of (1) receiving water quality standards with more than 700 mature dairy cows units (large facilities) are CAFOs. established pursuant to state law or or feedlots with more than 1000 feeders Facilities with between 300 and 1000 regulations and (2) technology-based are considered to be CAFOs. animal units (medium sized facilities) effluent guidelines established by EPA The second category is for medium and discharge through a man-made to achieve certain levels of wastewater sized animal feeding operations which conveyance or discharge directly into treatment technology. In accordance contain the number of animals listed in waters of the United States are also with Section 301 of the Act, the 40 CFR 122 Appendix B(b) and Part CAFOs. Examples of animal unit technology levels applicable to CAFOs VII.F.2. of the permit. In addition to the calculations are included in Appendix are Best Practicable Control Technology size of the operation, the method of A of the permit. Currently Available (BPT) and Best discharge is also considered. For Available Technology Economically medium sized animal feeding D. Permit Coverage Achievable (BAT). In addition, Section operations, the discharge must be A Notice of Intent (NOI) to be covered 306 of the Act requires the achievement through a man-made conveyance or under this General Permit is required for by new source dischargers of the best discharged directly into waters of the permit coverage [40 CFR 122.28(b)(i)]. available demonstrated control United States [40 CFR 122 Appendix The requirements are outlined in Part technology or New Source Performance B(b)]. Man-made conveyance is the I.D. and Appendix C of the permit. Standards (NSPS). transport of wastewater off the property The regulations provide an exception into waters of the United States through to those feeding operations which Technology-based requirements may a pipe, ditch, lateral, channel gully, etc. intend to discharge only in the event of be established through one of two Direct discharge occurs when a stream, a 25-year, 24-hour storm event. The methods: (1) Application of national creek, or other water body runs through regulations state that these facilities are effluent limitations guidelines the facility. Direct discharge is assumed not CAFOs (40 CFR 122 Appendix B) promulgated by EPA under Section 304 if confined animals have direct access to and, as a result are not subject to of the Act and NSPS promulgated under these water bodies. regulation under this permit. However, Section 306 of the Act; and (2) on a When trying to determine if your EPA recommends, as a precaution, that case-by-case basis under Section operation is a CAFO under this second all facilities that are classified as CAFOs 402(a)(1) of the Act and 40 CFR 125.3, category, keep in mind that a discharge by meeting the specifications described using Best Professional Judgement (BPJ), through the means described does not above in paragraphs IV.C.1, 2, or 3, for pollutants or classes of discharges have to be occurring at all times. If you obtain permit coverage even though for which EPA has not promulgated think your animal feeding operation they fully expect not to ever have a national effluent limitations guidelines. may have a discharge some time in the discharge. An example given in the Based on national effluent limitations future, or if you had one in the past, Guidance Manual on NPDES guidelines and 40 CFR 125.3, this through the means described above, Regulations for Concentrated Animal permit establishes a ‘‘no discharge’’ then your operation is a CAFO. Feeding Operations is as follows: effluent limitation for CAFOs. The third scenario in which an animal An unpermitted facility that could be Discharges are allowed, however, only feeding operation can become a CAFO classified as a CAFO has waste handling during chronic or catastrophic rainfall is if the EPA Regional Administrator of facilities to contain the process generated events from a facility that is designed to Region 10 designates a facility as a wastewater plus the runoff from a 25-year, store all generated process wastewater; significant contributor of pollutants 24-hour rain fall event plus three inches of plus, all contaminated runoff from a 25- (SCP) [40 CFR 122.23(c)]. This third runoff from accumulation of winter year, 24-hour rainfall event; plus, three scenario applies to facilities that are not precipitation. It rains heavily for three weeks, inches of runoff from the accumulation but the rainfall in any 24-hour period never covered by the first two scenarios and exceeds the 25-year, 24-hour storm event. of winter precipitation; or the amount of is an attempt to regulate smaller, The facility’s waste handling facilities runoff from the accumulation of problem facilities. This designation is reaches capacity and overflows, discharging precipitation from a one in five year done on a case-by-case basis after an to waters of the United States. The facility winter. 44492 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices In many cases, the technology utilized 412) were published. Region 10 believes states because they did not take into to achieve no discharge is containment that the same economic and technology account the effects of frozen ground. of all contaminated liquid runoff rationale would apply to the smaller The water quality degradation from resulting from rainfall, snowmelt, or facilities covered by this permit. Also, animal confinement areas occurs to the related cause, and application of these Region 10 believes that the requirement greatest extent primarily in winter and liquids, along with the generated solid of ‘‘no discharge’’, achieved through the spring. During these periods, there is wastes to productive cropland at a rate utilization of waste containment plus increased precipitation while soils are which will provide moisture and land application is the most economical either likely to be frozen or saturated. nutrients that can be utilized by the option available to the smaller facilities Both conditions decrease soil crops. To implement this technology which will prevent water quality infiltration capacity. Greater runoff requires provisions for containment problems. quantities are likely to be generated, but such as a lagoon. Provisions must also If, however, any facilities with less less than normal amounts of water can be made for land application of the than 1000 animal units believe that the be retained on-site. In Idaho, climatic wastes onto the crop land such as by economic analysis for the national conditions indicate at least a 4-month sprinklers. effluent guidelines would not apply to holding period is necessary. their facility and that they would be The proposed permit requires 2. Technology-Based Limitations able to achieve necessary water quality facilities to accommodate process waste, In March 1976, EPA published requirements of the receiving stream, runoff from a 25-year, 24-hour storm national effluent guidelines for CAFO through the use of biological or event, and 3 inches of runoff which is operations greater than 1000 animal equivalent treatment systems, those approximately equal to runoff expected units. The national effluent guidelines facilities may apply for individual from 4 months of winter runoff as established BPT, BAT, and NSPS. The permit coverage. expected from a 1- in 5-year winter. technology-based effluent limitation This provision was deemed appropriate 3. Water Quality Based Limitations established by the national effluent as a result of data and analyses guidelines specifies that ‘‘there shall be In addition to technology-based presented in the EA. According to this no discharge of process waste water controls, Section 301(b) of the CWA also EA: pollutants to navigable waters’’ (40 CFR requires that NPDES permits must —The retention of runoff from winter 412). However, the guidelines do allow include any conditions more stringent precipitation will significantly benefit a discharge whenever rainfall events, than technology-based controls water quality. Snowmelt, especially either chronic or catastrophic, cause an necessary to meet State water quality when combined with a rainfall event, overflow of process waste water from a standards. Water quality-based could wash manure-laden water facility designed, constructed and requirements are established under this directly into the streams without this operated to contain all process provision on a case-by-case basis. allowance. generated waste waters plus the runoff Receiving waters within the scope of —Soil remains frozen for four months in from a 25 year, 24 hour, storm. this permit are classified by the Idaho many areas of Idaho. During this time, According to the Development State Water Quality Standards for use in control facilities cannot be pumped Document, the use of wastewater agricultural water supply, domestic out onto fields for land application. containment plus the application of water supply, protection and Retention of winter precipitation waste to productive cropland can maintenance of cold and warm water would accommodate this constraint. achieve the stated goal of ‘‘no biota, salmonid spawning, and primary —The results of an analysis performed discharge’’ of pollutants to waters of the and secondary contact recreation (Idaho for the EA indicate that the retention United States. Department of Health and Welfare of three inches of net spring runoff is Effluent limitation guidelines have Rules, IDAPA 16.01.02.100.101–.160). adequate to protect water quality. not yet been established for CAFO The State water quality parameters operations consisting of less than 1000 which could be affected by these B. Best Management Practices (BMP) animal units. However, the EPA has discharges are floating, suspended, or BMP conditions in Part II.B. of the determined to regulate these smaller submerged matter, excess nutrients, proposed permit were developed CAFO operations due to the potential oxygen-demanding materials, sediment, pursuant to Section 304(e) of the Act water quality impacts which can be and fecal coliforms (Idaho Department and 40 CFR 122.44(k)(3). BMPs are used caused by these facilities. According to of Health and Welfare Rules, IDAPA in conjunction with technology-based the EA, animal waste contains a number 16.01.02.200.05–.08). and water-quality based effluent of pollutants which can impact water Water quality-based requirements limitations. BMPs are appropriate when quality. The most commonly recognized have been established in the permit. In numeric effluent limitations are contaminants are suspended solids and addition to containing all process infeasible or the practices are reasonably organics, bacteria, and nutrients. These generated wastewater and the runoff necessary to achieve effluent limitations pollutants have been observed to cause from a 25-year, 24-hour rainfall event and standards or to carry out the a number of water quality problems. (technology-based requirement), the purposes and intent of the Act. As a result, the EPA has established permit also requires the additional BMPs can describe a wide range of technology based effluent limitations for containment of three inches of winter management procedures, schedules of these smaller facilities based on BPJ. precipitation or the amount of runoff activities, prohibitions on practices, and The effluent limitation established from the accumulation of precipitation other management practices to prevent based on BPJ for CAFOs with less than from the one in five year winter. This or reduce the pollution of waters of the 1000 animal units shall be identical to additional containment is required United States. BMPs also include that established in the national effluent based on information presented in the operating procedures, treatment guidelines required for the larger EA. requirements and practices to control facilities. The rationale presented in the EA for feedlot runoff, drainage from raw An economic analysis was done when the additional volume is that the materials, spills or leaks. the technology-based requirements for technology-based requirements have Part II.B. of the permit requires the the national effluent guidelines (40 CFR been found insufficient in many colder implementation of management Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44493 practices referenced in the ‘‘Idaho Waste properly such that discharges to waters indirectly through groundwater are Management Guidelines for Confined of the United States are prevented. prohibited. An example of such a Feeding Operations’’. These discharge is a leak from a control 4. Access Restriction management practices include, but are facility which enters groundwater and not limited to, the following: This practice prevents direct contact eventually enters surface water of confined animals to waters of the —Minimizing wastewater volumes by through a connection. This United States. This requires that diverting uncontaminated surface prohibition is required in order to be confined animals be separated from any runoff from entering the CAFO; by in compliance with the effluent surface waters (including irrigation water conservation whenever limitation of ‘‘no discharge’’ ditches). The provisions of the permit possible; and by roof construction to established in this permit. In addition, cannot be met without this restriction exclude precipitation whenever the following decisions support the because discharges would enter possible. definition of a hydrologic connection navigable waters directly from the as a discharge to waters of the United —Management of precipitation runoff animals during subchronic and by site selection for corrals so that States: subcatastrophic rainfall events. In —McClellan Ecological Seepage v. runoff can be easily collected; by addition, such discharges would be in providing buffer zones around land Weinberger, 707 F. Supp. 1182, 1194 direct violation of Section 301(a) of the (E.D. Cal. 1988) (EPA has no statutory application sites, etc. Act. —Assure adequate waste system design authority to regulate discharges to This provision does not apply to isolated wetlands; cites substantial and operation by assuring that the cattle that are outside the CAFO waste storage ponds are adequately legislative history; where hydrologic boundary. For example, cattle that are connection exists between sized to contain the waste produced; out on pasture that is outside the by assuring that adequate land is groundwater and surface waters, boundary of the CAFO are not required however, NPDES permit may be available to land apply the waste to be restricted from waters of the materials; etc. required); United States by this permit. —Sierra Club v. Colorado Refining Co., Part II.B. of the permit also specifies 5. Land Application Civ. No. CIV.A.93–K–1713 (D. Col. additional management practices. The Dec. 8, 1993) (‘‘[The] Clean Water Part II.B.5. of the proposed permit purpose of these management practices Act’s preclusion of the discharge of requires that any solid or liquid wastes are explained below. any pollutant into ‘navigable waters’ from a CAFO which is land applied includes such discharge which 1. Design of Control Facilities must be applied at agronomic rates. This reaches ‘navigable waters’ through means that the application rate must not This management practice requires groundwater.’’); that any waste storage ponds built after exceed that rate which will provide the —Leslie Salt Co. v. United States, 896 the issuance of this permit or any crop or forage growth with needed F.2d 354, 358 (9th Cir. 1990) (CWA existing waste storage pond which is nutrients for optimum health and jurisdiction existed over salt flat even modified in any way (enlarged, or in growth. though hydrologic connection The purpose of this requirement is to any way redesigned) shall be built between salt flat and navigable waters limit the amount of nutrients to that following the ‘‘Idaho Waste was man-made; ‘‘The fact that third required by crops and to prevent the use Management Guidelines for Confined parties, including the government, are of these fields as disposal sites. Fields Feeding Operations’’ and the most responsible for flooding Leslie’s with nutrient amounts in excess of recent edition of the Natural Resource property is irrelevant. The Corps’ agronomic rates are more likely to Conservation Service (NRCS) National jurisdiction does not depend on how discharge pollutants into waters of the Handbook of Conservation Practices and the property at issue became a water associated State Addenda, SCS United States. # of the United States. Congress Technical Note 716. This may require C. Prohibitions intended to regulate local aquatic the incorporation of a liner. The Part II.C. of the proposed permit ecosystems regardless of their purpose of this management practice is origin.’’). to reduce the amount of pollutants identifies discharges which are not The control of such discharges are seeping from the lagoon and eventually authorized by this permit. These best handled in the design phase of reaching waters of the United States. prohibitions are identified below. —Part II.C.1. prohibits the discharge the control facility. The NPDES Note That plans and specifications for into waters of the United States of any permit requires the use of the Idaho these new or redesigned facilities must be substance from a CAFO which is not Waste Management Guidelines for submitted to the Idaho Department of Health confined Feeding Operations when and Welfare, Division of Environmental considered process wastewater. Quality for review and approval prior to Process wastewater is defined in Part designing control facilities. In certain construction. VII.M. of the proposed permit. The areas the use of liners may be required purpose of this prohibition is to as part of control facility construction. 2. Facility Expansion assure that pollutants, other than that —Part II.C.3. of the proposed permit This management practice requires associated with CAFO operations, do prohibits the discharge of land that before a CAFO is expanded to not enter waters of the United States. applied wastes to waters of the United include more animals or covers more This prohibition is required pursuant States. The purpose of this area, the waste handling system must to Section 304(e) of the Act and 40 prohibition is to prevent wastewater first be upgraded to handle the CFR 122.44(k)(3). pollutants from entering waters of the additional waste generated. —Part II.C.2. of the proposed permit United States. For example, prohibits the discharge of process wastewater must not be applied at 3. Chemical Handling wastewater to waters of the United such a rate that runoff from the The purpose of this practice is to States by means of a hydrologic applied fields is entering waters of the assure that any toxic chemicals such as connection. This means that United States. This provision also pesticides are handled and disposed of discharges that enter surface waters applies when the ground is saturated 44494 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices from precipitation or frozen and are included in the permit pursuant to 5. Land Application wastewater is being applied resulting 40 CFR 122.28. 6. Emergency Operation and Maintenance in runoff entering waters of the C. Prohibitions VIII. Other Requirements United States. D. Discharge Monitoring and Notification A. Endangered Species Act VI. Basis for Monitoring and Reporting III. Limitations of the General Permit Requirements Formal consultation is not necessary A. Limitations on Coverage for CAFOs covered by this general B. Requiring an Individual Permit A. Notice of Intent permit since this is a no discharge permit. Endangered species should not IV. Monitoring, Reporting and Recording Part I.D. of the permit requires that a Requirements Notice of Intent (NOI) be submitted to be impacted by surface water discharges EPA and the State. The NOI fulfills the from facilities in compliance with this A. When to Report? application requirements for CAFOs in permit. B. What to report? accordance with 40 CFR 122.21(i). C. Other Noncompliance Reporting B. State Certification D. Inspection and Entry B. Discharge Notification Section 301(b)(1)(c) of the Act V. Compliance Responsibilities requires that an NPDES permit contain Parts II.D. and IV. of the permit A. Duty to Comply identify the monitoring and reporting conditions which ensure compliance B. Penalties for Violations of Permit requirements for CAFOs. These parts with applicable State water quality Conditions require the permittee to report to EPA, standards or limitations. Section 401 1. Administrative Penalty by phone, within 24-hours, any requires that States certify that Federally 2. Civil Penalty discharge from the CAFO to Waters of issued permits are in compliance with 3. Criminal Penalties the United States. The permittee is also State law. No permits can be issued a. Negligent Violations required to submit a written report to until the requirements of Section 402 b. Knowing Violations EPA and the Idaho Department of are satisfied. Therefore, EPA is c. Knowing Endangerment Health and Welfare Division of requesting the State of Idaho d. False Statements Environmental Quality within five days Department of Health and Welfare to C. Need to Halt or Reduce Activity not a of the discharge. These notification provide appropriate certification for the Defense requirements are in accordance with 40 draft general permit pursuant to 40 CFR D. Duty to Mitigate CFR 122.44(i), 122.41(l)(4), and 124.53. E. Proper Operation and Maintenance 122.41(l)(6). F. Removed Substances Authorization to Discharge Under the G. Toxic Pollutants The required monitoring reports differ National Pollutant Discharge Elimination from those described in 40 CFR System (NPDES) for Concentrated Animal VI. General Requirements 122.41(l)(4) as follows: Feeding Operations (CAFO) A. Anticipated Noncompliance —The Discharge Monitoring Report General Permit No.: IDG010000 B. Permit Actions (DMR) forms have been determined to C. Duty to Reapply In compliance with the provisions of the be inappropriate for the type of Clean Water Act (CWA), 33 U.S.C. 1251 et D. Duty to Provide Information monitoring information required from seq., as amended by the Water Quality Act E. Other Information the permitted facilities, and will not of 1987, P.L. 100–4, the ‘‘Act’’: F. Signatory Requirements be used. Owners and operators of CAFOs except G. Availability of Reports —No calculations are required to meet those sites excluded from coverage in Part I H. Oil and Hazardous Substance Liability permit effluent limitations. of this NPDES permit, are authorized to I. Property Rights discharge in accordance with effluent J. Severability VII. Limitations of the General Permit limitations, monitoring requirements, and K. State Laws A. Limitations on Coverage other provisions set forth herein. L. Paperwork Reduction Act A COPY OF THIS GENERAL PERMIT In accordance with Part 122.28, the MUST BE KEPT AT THE SITE OF THE VII. Definitions Director may determine that the General CAFO AT ALL TIMES. I. Permit Coverage Permit is inappropriate for certain This permit will become effective llll. facilities. This can occur in situations This permit and the authorization to A. Who Needs To Be Covered by This Permit? where the permittee is not in discharge under the National Pollutant A permit is required for discharges of Discharge Elimination System shall expire 5 process wastewater from all operations compliance with the General Permit or years after the effective date of this permit. if more stringent requirements are classified as a Concentrated Animal Feeding Signed this llll day of August 1995. necessary to achieve state water quality Operation (CAFO). Janis Hastings, standards. B. What Constitutes a Discharge? Acting Director, Water Division, Region 10. The General Permit may also be This permit does not allow the discharge inappropriate for CAFOs that discharge I. Permit Coverage of process wastewater except in accordance into sanitary sewer systems. In this case, A. Who needs to be covered by this permit? with Part II.A. of this permit. it is the sanitary system that is B. What constitutes a discharge? A discharge of process wastewater is the discharging and therefore requires a C. How to determine if your animal feeding release of pollutants from a CAFO which permit. operation is a CAFO? enters surface waters such as a river, stream, Discharges from duck feeding D. How to apply for permit coverage? creek, lake, or other waters of the United operations established prior to 1974 are E. Permit Expiration States. Process wastewaters include, but are also not covered by this General Permit. II. Permit Requirements not limited to, the following: B. Individual Permits A. Discharge Limitations —Runoff from corrals, stock piled manure, B. Best Management Practice (BMP) and silage piles; Part III.B. of the permit establishes the 1. Design of Control Facilities —Overflow from storage ponds; and circumstances in which an individual 2. Facility Expansion —Runoff from irrigated fields in which permit (instead of the General Permit) 3. Chemical Handling wastewater is applied at greater than may be appropriate. These provisions 4. Access Restriction agronomic rates. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44495 C. How To Determine If Your Animal Feeding 2. The application shall be signed by the expanded operations. Such expansion shall Operation Is a CAFO? owner or other authorized person in be consistent with the Idaho State Waste Review the following questions to accordance with Part VI.F. of this permit. Management Guidelines for Animal Feeding determine if your facility is a CAFO. 3. The application must be submitted to Operations. 1. Do you operate a facility where animals EPA at least 90 days prior to discharge. 3. Chemical Handling are confined and fed or maintained? Coverage under this permit requires written notification from EPA that coverage has been All wastes from dipping vats, pest and If yes, proceed to next question. If no, your granted and that a specific permit number parasite control units, and other facilities facility is not a CAFO. has been assigned to the CAFO. utilized for the application of potentially 2. Are animals confined and fed or 4. Signed copies of the application shall be hazardous or toxic chemicals shall be maintained for a total of 45 days or more in sent to: U.S. EPA Region 10, WD–134 CAFO handled and disposed of in a manner such any 12 month period? NOI, 1200 Sixth Avenue, Seattle, Washington as to prevent any pollutants from entering the If yes, proceed to next question. If no, your 98101. waters of the United States. facility is not a CAFO. 5. CAFOs in Idaho must also send a copy 4. Access Restriction 3. Do any crops or vegetation exist in the of the application to: Idaho State Division of confinement lot or facility? No flowing surface waters (e.g. rivers, Environmental Quality, 1410 N. Hilton, streams, or other waters of the United States) If no, proceed to next question. If yes, your Boise, Idaho 83706–1255. shall come into direct contact with the facility is not a CAFO. animals confined on the CAFO. Fences may 4. Does your facility confine greater than E. Permit Expiration be used to restrict such access. the following number of animals: Coverage under this permit will expire five 5. Land Application —700 mature dairy cattle, (5) years from the date of issuance. —1000 slaughter or feeder cattle, or Land application of process wastewater, II. Permit Requirements —1000 animal units (See Appendix A for control facility solids, and/or manures (land details)? A. Discharge Limitations application materials) shall be applied at agronomic rates and conducted in If yes, your facility is a CAFO. If no, There shall be no discharge of process accordance with the Idaho State Waste proceed to next question. wastewater to waters of the United States Management Guidelines for Animal Feeding 5. Does your facility confine the following except when precipitation events cause an Operations or other guidance approved by number of animals: overflow of process wastewater from a the IDHW–DEQ. —between 200 and 700 mature dairy cattle, control facility properly designed, 6. Emergency Operation and Maintenance —between 300 and 1000 slaughter or feeder constructed, maintained, and operated to cattle, or contain: It shall be considered ‘‘Proper Operation —between 300 and 1000 animal units (See 1. All process generated wastewater and Maintenance’’ for a control facility Appendix A for details)? resulting from the operation of the CAFO which has been properly maintained and is (such as wash water, parlor water, watering otherwise in compliance with the permit, If yes, proceed to question 7. If no, proceed system overflow, etc.); plus, and that is in danger of imminent overflow to next question. 2. All the contaminated runoff from a 25- due to chronic or catastrophic rainfall, to 6. For facilities with less than the animals year, 24-hour rainfall event; plus, discharge process wastewaters to land established in Question 5. above, have you 3. a. Three inches of runoff from the application sites for filtering. The volume been notified by EPA, after an inspection, accumulation of winter precipitation; or discharged during such an event shall be that your facility has been designated a b. The amount of runoff from the limited to that amount reasonably expected CAFO? See Appendix B for details on accumulation of precipitation from a one in to overflow from the waste storage pond. significant contributors of pollution. five year winter. Such discharges shall be reported to EPA in If yes, your facility is a CAFO. accordance with Part IV of the permit. 7. Does your facility discharge directly into B. Best Management Practice (BMP) rivers, streams, creeks or other waters of the At a minimum, the management practices C. Prohibitions United States? established in the Idaho State Waste 1. The discharge of any materials or If yes, your facility is a CAFO. If no, Management Guidelines for Animal Feeding substance other than process wastewater is proceed to next question. Operations and the BMPs listed below shall strictly prohibited by this permit. 8. Does your facility discharge through a be implemented to prevent contamination of 2. Discharges of process wastewaters to man-made device such as a pipe, ditch, or waters of the United States: waters of the United States by means of a field overflow from land application, into a 1. Design of Control Facilities hydrologic connection is prohibited. river, stream, creek or other waters of the 3. The discharge or drainage of land United States? All control facilities constructed after the applied wastes (solid or liquid) from land If yes, your facility is a CAFO. If no, your issuance date of this permit or any existing applied areas to waters of the United States control facility which is redesigned and facility is not a CAFO. is prohibited. modified in any way after the issuance of this 9. Have you been otherwise notified by permit shall be designed, constructed and D. Discharge Monitoring and Notification EPA that your facility is a CAFO? If yes, your maintained in accordance with the Idaho facility is a CAFO. (The Regulations state that If, for any reason, there is a discharge to State Waste Management Guidelines for ‘‘the Director may designate any animal a water of the United States, the permittee is Animal Feeding Operations and the most required to monitor and report as established feeding operation as a CAFO upon recent edition of the Natural Resource determining that is it a significant contributor in Part IV. of this permit. Conservation Service (NRCS) National Discharge flow and volume from a CAFO of pollution to the waters of the United Handbook of Conservation Practices and States.’’) may be estimated if measurement is associated State Addenda, SCS Technical impracticable. If you answered Yes to questions 4, 6, 7, Note #716. Plans and specifications for these 8 or 9 above, your facility is a CAFO. control facilities shall be submitted to the III. Limitations of the General Permit See Part VII. of this permit for more details Idaho Department of Health and Welfare A. Limitations on Coverage on the definition of a CAFO. Division of Environmental Quality (IDHW– The following CAFOs are not covered by D. Permit Coverage DEQ) for review and approval prior to construction. this permit: 1. Owners or operators of CAFOs must 1. CAFOs which have been notified by the submit an application (also known as a 2. Facility Expansion Director to file for an individual permit in Notice of Intent) to the Environmental CAFO operations shall not be expanded, accordance with Part III.B. of this permit. Protection Agency (EPA) to obtain coverage either in size or numbers of animals, unless 2. CAFOs that discharge all process under this permit. A list of information the waste handling procedures and structures wastewater to a publicly owned sanitary required for a complete application can be are adequate to accommodate any additional sewer system which operates in accordance found in Appendix C of this permit. wastes that will be generated by the with an NPDES permit. 44496 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 3. Concentrated Duck feeding operations has been received within 24 hours by the 302, 306, 307, 308, 318, or 405 of the Act established prior to 1974. Water Compliance Section in Seattle, shall be punished by a fine of not less than Washington, by phone, (206) 553–1669. $5,000 nor more than $50,000 per day of B. Requiring an Individual Permit 6. Any reports submitted to EPA must be violation, or by imprisonment for not more 1. The Director may require any person signed by the owner or authorized person in than 3 years, or by both. authorized by this permit to apply for and accordance with Part VI.F. of the permit. c. Knowing Endangerment. The Act obtain an individual NPDES permit. The provides that any person who knowingly Director will notify the owner or operator in C. Other Noncompliance Reporting violates a permit condition implementing writing that an individual permit application Instances of noncompliance not required to Sections 301, 302, 306, 307, 308, 318, or 405 is required. If an owner or operator fails to be reported in Part IV.A. of this permit shall of the Act, and who knows at that time that submit the permit application by the date be reported in writing within 5 days after the he thereby places another person in specified in the Director’s written permittee becomes aware of the violation. imminent danger of death or serious bodily notification, then coverage by this general The reports shall contain the information injury, shall, upon conviction, be subject to permit is automatically terminated. listed in Part IV.B. of this permit. a fine of not more than $250,000 or 2. Any owner or operator covered by this imprisonment of not more than 15 years, or permit may request to be excluded from the D. Inspection and Entry both. A person which is an organization permit coverage by applying for an The permittee shall allow the Director, or shall, upon conviction of violating this individual permit. The owner or operator an authorized representative (including an subparagraph, be subject to a fine of not more shall submit an individual application (Form authorized contractor acting as a than $1,000,000. 1 and Form 2B) to the Director with reasons representative of the Administrator), upon d. False Statements. The Act provides that supporting the request. the presentation of credentials and other any person who knowingly makes any false 3. When an individual NPDES permit is documents as may be required by law, to: material statement, representation, or issued to an owner or operator otherwise 1. Enter upon the permittee’s premises certification in any application, record, covered by this permit, coverage by this where a regulated facility or activity is report, plan, or other document filed or permit is automatically terminated on the located or conducted, or where records must required to be maintained under this Act or effective date of the individual permit. be kept under the conditions of this permit; who knowingly falsifies, tampers with, or 4. When an individual NPDES permit is 2. Have access to and copy, at reasonable renders inaccurate any monitoring device or denied to an owner or operator otherwise times, any records that must be kept under method required to be maintained under this covered by this permit, coverage by this the conditions of this permit; Act, shall upon conviction, be punished by permit is automatically reinstated on the date 3. Inspect at reasonable times any facilities, a fine of not more that $10,000, or by of such denial, unless otherwise specified by equipment (including monitoring and control imprisonment for not more than 2 years, or the Director. equipment), practices, or operations by both. Nothing in this permit shall be construed IV. Monitoring, Reporting and Recording regulated or required under this permit; and to relieve the permittee of the civil or Requirements 4. Sample or monitor at reasonable times, for the purpose of assuring permit criminal penalties for noncompliance. A. When to Report? compliance or as otherwise authorized by the C. Need To Halt or Reduce Activity Not a If, for any reason, there is a discharge to Act, any substances or parameters at any Defense a water of the United States, the permittee is location. It shall not be a defense for a permittee in required to: V. Compliance Responsibilities an enforcement action that it would have 1. Verbally notify the EPA of the discharge been necessary to halt or reduce the at (206) 553–1669 within 24 hours, and A. Duty to Comply permitted activity in order to maintain 2. Notify the EPA and the State of the The permittee must comply with all compliance with the conditions of this discharge in writing within 5 days of the conditions of this permit. Any permit permit. discharge. Written notification shall be sent noncompliance constitutes a violation of the to the addresses identified in Part I.D. of this Act and is grounds for enforcement action; D. Duty To Mitigate permit. for permit termination, revocation and The permittee shall take all reasonable B. What to Report? reissuance, or modification; or for denial of steps to minimize or prevent any discharge The information required for notification a permit renewal application. in violation of this permit which has a shall include: reasonable likelihood of adversely affecting B. Penalties for Violations of Permit human health or the environment. 1. A description and cause of the Conditions discharge, including a description of the flow E. Proper Operation and Maintenance path to the receiving water body. Also, an 1. Administrative Penalty. The Act The permittee shall at all times properly estimation of the duration of the flow and provides that any person who violates a volume discharged. permit condition implementing Sections 301, operate and maintain all facilities and 2. The dates and times of the discharge, 302, 306, 307, 308, 318, or 405 of the Act systems of treatment and control (and related and, if not corrected, the anticipated time the shall be subject to an administrative penalty, appurtenances) which are installed or used discharge is expected to continue, as well as not to exceed $10,000 per day for each by the permittee to achieve compliance with procedures implemented to prevent the violation. the conditions of this permit. recurrence of the discharge. 2. Civil Penalty. The Act provides that any F. Removed Substances 3. If caused by a precipitation event(s), person who violates a permit condition Solids, sludges, or other pollutants information from the National Weather implementing Sections 301, 302, 306, 307, removed in the course of treatment or control Service concerning the size of the 308, 318, or 405 of the Act shall be subject of wastewaters shall be disposed of in a precipitation event. to a civil penalty, not to exceed $25,000 per manner so as to prevent any pollutant from 4. If any samples are collected and day for each violation. such materials from entering waters of the analyzed the written report shall also include 3. Criminal Penalties: United States. the following: a. Negligent Violations. The Act provides a. The date, exact place, and time of that any person who negligently violates a G. Toxic Pollutants permit condition implementing Sections 301, sampling or measurements; The permittee shall comply with effluent 302, 306, 307, 308, 318, or 405 of the Act b. The individual(s) who performed the standards or prohibitions established under shall be punished by a fine of not less than sampling or measurements; Section 307(a) of the Act for toxic pollutants $2,500 nor more than $25,000 per day of c. The date(s) analyses were performed; within the time provided in the regulations violation, or by imprisonment for not more d. The analytical techniques or methods that establish those standards or prohibitions, than 1 year, or by both. used; and even if the permit has not yet been modified b. Knowing Violations. The Act provides e. The results of such analyses. to incorporate the requirement. 5. The Director may waive the written that any person who knowingly violates a report on a case-by-case basis if an oral report permit condition implementing Sections 301, VI. General Requirements Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44497 A. Anticipated Noncompliance environmental matters for the company. (A L. Paperwork Reduction Act The permittee shall also give advance duly authorized representative may thus be EPA has reviewed the requirements notice to the Director of any planned changes either a named individual or any individual imposed on regulated facilities in this draft in the permitted facility or activity which occupying a named position.) general permit under the Paperwork may result in noncompliance with permit 3. Changes to authorization. If an Reduction Act of 1980, 44 U.S.C. 3501 et seq. requirements. authorization under paragraph VI.F.2. is no The information collection requirements of longer accurate because a different individual this permit have already been approved by B. Permit Actions or position has responsibility for the overall the Office of Management and Budget in This permit may be modified, revoked and operation of the facility, a new authorization submission made for the NPDES permit reissued, or terminated for cause. The filing satisfying the requirements of paragraph program under the provisions of the CWA. of a request by the permittee for a permit VI.F.2. must be submitted to the Director modification, revocation and reissuance, or prior to or together with any reports, VII. Definitions termination, or a notification of planned information, or applications to be signed by A. 25-Year, 24-Hour Rainfall Event means changes or anticipated noncompliance, does an authorized representative. the maximum 24-hour precipitation event not stay any permit condition. 4. Certification. Any person signing a with a probable recurrence interval of once document under this section shall make the in 25 years, as defined by the National C. Duty To Reapply following certification: Weather Service in Technical Paper Number If the permittee wishes to continue an ‘‘I certify under penalty of law that this 40, ‘‘Rainfall Frequency Atlas of the United activity regulated by this permit after the document and all attachments were prepared States’’, May 1961, and subsequent expiration date of this permit, the permittee under my direction or supervision in amendments, or equivalent regional or state must apply for a new permit by resubmitting accordance with a system designed to assure rainfall probability information developed the information in Appendix C of this permit. that qualified personnel properly gather and therefrom. The application should be submitted at least evaluate the information submitted. Based on B. Administrator means the Administrator 180 days before the expiration date of this my inquiry of the person or persons who of the United States Environmental permit. manage the system, or those persons directly Protection Agency, or an authorized representative. D. Duty To Provide Information responsible for gathering the information, the information submitted is, to the best of my C. Agronomic Rates means the land The permittee shall furnish to the Director, knowledge and belief, true, accurate, and application of animal wastes at rates of within a reasonable time, any information complete. I am aware that there are application which provide the crop or forage which the Director may request to determine significant penalties for submitting false growth with needed nutrients for optimum whether cause exists for modifying, revoking information, including the possibility of fine health and growth. D. Animal feeding operation means a lot or and reissuing, or terminating this permit, or and imprisonment for knowing violations.’’ to determine compliance with this permit. facility (other than an aquatic animal The permittee shall also furnish to the G. Availability of Reports production facility) where animals have Director, upon request, copies of records Except for data determined to be been, are, or will be stabled or confined and required to be kept by this permit. confidential under 40 CFR Part 2, all reports fed or maintained for a total of 45 days or more in any 12-month period, and the animal E. Other Information prepared in accordance with the terms of this permit shall be available for public confinement areas do not sustain crops, When the permittee becomes aware that it inspection at the office of the Director. As vegetation, forage growth, or post-harvest failed to submit any relevant facts in a permit required by the Act, permit applications, residues in the normal growing season. Two application, or submitted incorrect permits and effluent data shall not be or more animal feeding operations under common ownership are a single animal information in a permit application or any considered confidential. report to the Director, it shall promptly feeding operation if they adjoin each other, submit such facts or information. H. Oil and Hazardous Substance Liability or if they use a common area or system for the disposal of wastes. F. Signatory Requirements Nothing in this permit shall be construed to preclude the institution of any legal action E. Animal unit means a unit of All applications, reports or information or relieve the permittee from any measurement for any animal feeding submitted to the Director shall be signed and responsibilities, liabilities, or penalties to operation calculated by adding the following certified. which the permittee is or may be subject numbers: The number of slaughter and feeder 1. All permit applications shall be signed under Section 311 of the Act. cattle and dairy heifers multiplied by 1.0, as follows: plus the number of mature dairy cattle a. For a corporation: by a responsible I. Property Rights multiplied by 1.4, plus the number of swine corporate officer. The issuance of this permit does not weighing over 55 pounds multiplied by 0.4, b. For a partnership or sole proprietorship: convey any property rights of any sort, or any plus the number of sheep multiplied by 0.1, by a general partner or the proprietor, exclusive privileges, nor does it authorize plus the number of horses multiplied by 2.0. respectively. any injury to private property or any invasion The director may establish other animal c. For a municipality, state, federal, or of personal rights, nor any infringement of unit factors for animal types not listed above. other public agency: by either a principal federal, state or local laws or regulations. F. Application means a written ‘‘notice of executive officer or ranking elected official. intent’’ pursuant to 40 CFR 122.28. 2. All reports required by the permit and J. Severability G. Best Management Practices (BMPs) other information requested by the Director The provisions of this permit are severable, means schedules of activities, prohibitions of shall be signed by a person described above and if any provision of this permit, or the practices, maintenance procedures, and other or by a duly authorized representative of that application of any provision of this permit to management practices to prevent or reduce person. A person is a duly authorized any circumstance, is held invalid, the the pollution of ‘‘waters of the United representative only if: application of such provision to other States’’. BMPs also include treatment a. The authorization is made in writing by circumstances, and the remainder of this requirements, operating procedures, and a person described above and submitted to permit, shall not be affected thereby. practices to control site runoff, spillage or the Director, and leaks, sludge or waste disposal, or drainage b. The authorization specified either an K. State Laws from raw material storage. individual or a position having responsibility Nothing in this permit shall be construed H. Concentrated Animal Feeding for the overall operation of the regulated to preclude the institution of any legal action Operation (CAFO) means an ‘‘animal feeding facility or activity, such as the position of or relieve the permittee from any operation’’ which meets the criteria in 40 plant manager, operator of a well or a well responsibilities, liabilities, or penalties CFR Part 122, Appendix B, or which the field, superintendent, position of equivalent established pursuant to any applicable state Director designates as a significant responsibility, or an individual or position law or regulation under authority preserved contributor of pollution pursuant to 40 CFR having overall responsibility for by Section 510 of the Act. 122.23 (c). Animal feeding operations 44498 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices defined as ‘‘concentrated’’ in 40 CFR 122 used in the operation of a feedlot (such as I.C.4. of this permit. However, it can be Appendix B are as follows: spillage or overflow from animal or poultry classified as a CAFO under Part I.C.5. of this 1. New and existing operations which watering systems; washing, cleaning, or permit if pollutants are discharged through a stable or confine and feed or maintain for a flushing pens, barns, manure pits, direct man-made conveyance or if pollutants are total of 45 days or more in any 12-month contact swimming, washing, or spray cooling discharged directly to waters of the U.S. If period more than the numbers of animals of animals; and dust control) and any this situation occurs, discharges are subject specified in any of the following categories: precipitation which comes into contact with to NPDES requirements. a. 1,000 slaughter or feeder cattle; any manure or litter, bedding, or any other b. 700 mature dairy cattle (whether milkers raw material or intermediate or final material Appendix B or dry cows); or product used in or resulting from the Significant Contributor of Pollutants c. 2,500 swine weighing over 55 pounds production of animals or poultry or direct each; products (e.g., milk, eggs). Definition d. 500 horses; P. Severe Property Damage means ‘‘Significant Contributor of Pollutants’’ e. 10,000 sheep or lambs; substantial physical damage to property, (SCP) is a designation of an animal feeding f. 55,000 turkeys; damage to the treatment facilities which g. 100,000 laying hens or broilers when the operation made by the Director on a case-by- causes them to become inoperable, or case basis. The purpose of this designation is facility has unlimited continuous low substantial and permanent loss of natural watering systems; to regulate animal feeding operations that are resources which can reasonably be expected not automatically classified as CAFOs in Part h. 30,000 laying hens or broilers when to occur in the absence of a bypass. Severe I.C. of the permit and have the potential of facility has liquid manure handling system; property damage does not mean economic i. 5,000 ducks; or causing environmental harm. loss caused by delays in production. j. 1,000 animal units. Q. The Act means Federal Water Pollution Designation Procedure 2. New and existing operations which Control Act as amended, also known as the discharge pollutants into waters of the —SCP determinations can only be conducted Clean Water Act, found at 33 USC 1251 et United States either through a man-made after an onsite inspection. ditch, flushing system, or other similar man- seq. —The following factors are considered when made device, or directly into waters of the R. Toxic Pollutants mean any pollutant making an SCP determination: listed as toxic under section 307(a)(1) of the United States, and which stable or confine a. The size of the animal feeding operation and feed or maintain for a total of 45 days Act. S. Waters of the United States. See 40 CFR and the amount of wastes reaching waters of or more in any 12-month period more than the United States, the numbers or types of animals in the 122.2. b. The location of the animal feeding following categories: Appendix A a. 300 slaughter or feeder cattle; operation relative to waters of the United b. 200 mature dairy cattle (whether milkers Animal Units Calculations States, c. The means of conveyance of animal or dry cows); ‘‘Animal unit’’ is a term defined by the wastes and process wastewater to waters of c. 750 swine weighing over 55 pounds; regulations and varies according to animal d. 150 horses; type; one animal is not always equal to one the United States, e. 3,000 sheep or lambs; animal unit. Conversion to animal units is a d. The slope, vegetation, rainfall, and other f. 16,000 turkeys; procedure used to determine pollution factors affecting the likelihood or frequency g. 30,000 laying hens or broilers when the equivalents among the different animal types; of discharge of animal wastes and process facility has unlimited continuous flow dairy cows produce more waste than sheep. wastewater into waters of the United States, watering systems; This calculation is used on facilities with and h. 9,000 laying hens or broilers when more than one animal type onsite. e. Other relevant factors. facility has a liquid manure handling system; The number of animal units is calculated —An animal feeding operation is a CAFO i. 1,500 ducks; or as follows: upon notification by the Director. j. 300 animal units (from a combination of —number of slaughter and feeder cattle slaughter steers and heifers, mature dairy Appendix C cattle, swine over 55 pounds and sheep). multiplied by 1.0, plus, Provided, however, that no animal feeding —number of mature dairy cattle multiplied Notice of Intent (Application) Information operation is a CAFO as defined above if such by 1.4, plus, Requirements —number of dairy heifers cattle multiplied animal feeding operation discharges only in The Application to be covered by this by 1.0, plus, the event of a 25-year, 24=hour storm event. permit shall include the following: I. Control Facility means any system used —number of swine weighing over 55 pounds multiplied by 0.4, plus, 1. Previous NPDES permit number if for the retention of all wastes on the premises applicable, until their ultimate disposal. This includes —number of sheep multiplied by 0.1, plus, —number of horses multiplied by 2.0. 2. Facility owner’s name, address and the retention of manure, liquid waste, and telephone number, Example 1: Determine the number of runoff from the feedlot area. 3. Facility operator’s name, address and J. Director means the Regional animal units on a dairy operation which telephone number, Administrator of EPA. maintains 650 mature dairy cows and 300 4. Types of waste handling practices K. Feedlot means a concentrated, confined dairy heifers. currently used for processing wastes (such as animal or poultry growing operation for [(# mature cows)(1.4) + (# heifers)(1.0)] = containment in a waste storage pond plus meat, milk, or egg production, or stabling, in animal units land application), pens or houses wherein the animals or [(650 × 1.4) + (300 × 1.0)] = 1210 animal 5. Name of receiving water(s) to which poultry are fed at the place of confinement units. and crop or forage growth or production is wastewaters are (or may be) discharged from Such a facility exceeds the 1000 animal the facility (receiving waters include canals, not sustained in the area of confinement. units as established in Part I.C.4. of this L. Ground Water means any subsurface latterals, rivers, streams, etc.), permit, thus this facility is a CAFO and is waters. 6. The type and number of animals subject to NPDES requirements. M. Hydrologic Connection means the flow confined, and Example 2: Determine the number of between surface impoundments and surface 7. A sketch of the operation, including animal units on a feeding operation which water by means of a subsurface conveyance. control facilities, diversion ditches, building maintains 650 slaughter cattle, 100 horses, N. Land Application means the removal of and 1000 sheep. structures, feeding areas, slope, direction of wastewater and waste solids from a control × × × overland and surface water flow, and facility and distribution to, or incorporation [(650 1.0) + (100 2) + (1000 0.1)] = 950 proximity to surface waters. into the soil. animal units. O. Process Wastewater means any process This facility does not exceed the 1000 [FR Doc. 95–21173 Filed 8–25–95; 8:45 am] generated wastewater directly or indirectly animal units required to be a CAFO in Part BILLING CODE 6560±50±P Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44499 FEDERAL COMMUNICATIONS Company Safeguards and Institutions Examination Council COMMISSION Implementation of Further Cost—CC (‘‘ASC’’) has sent to the Office of Docket No. 90–623. Management and Budget (‘‘OMB’’) the Public Information Collection Estimated Annual Burden: 27,000 following revision of a currently Approved by Office of Management total annual hours; 300 hours per approved collection of information. and Budget response; 18 respondents. DATES: Description: Pursuant to 47 CFR Comments on this information August 21, 1995. 64.901 carriers are required to separate collection must be received on or before The Federal Communications their regulated costs from nonregulated September 27, 1995. Commission (FCC) has received Office cost using the attributable cost method ADDRESSES: Send comments to Edwin of Management and Budget (OMB) of cost allocation. Carriers must follow W. Baker, Executive Director, Appraisal approval for the following public the principles described in Section Subcommittee, 2100 Pennsylvania information collections pursuant to the 64.901. Carriers subject to 47 CFR Avenue NW., Suite 200, Washington, Paperwork Reduction Act of 1980, Pub. 64.901 are also subject to the provisions DC 20037; and Milo Sunderhauf, L. 96–511. You are not required to of 47 CFR Sections 32.23 and 32.27. See Clearance Officer, Office of Management respond to a collection of information 47 CFR 64.902. 47 CFR Section 64.903 and Budget, New Executive Office unless it displays a currently valid requires local exchange carriers with Building, Room 10226, Washington, DC control number. For further information annual operating revenues of $100 20503. contact Shoko B. Hair, Federal million or more to file cost allocation Communications Commission, (202) manuals. The manuals are used by FOR FURTHER INFORMATION CONTACT: 418–1379. Commission staff to detect improper Marc L. Weinberg, General Counsel, Federal Communications Commission cross-subsidization. A Memorandum Appraisal Subcommittee, 2100 Pennsylvania Avenue, NW., Suite 200, OMB Control No.: 3060–0166. Opinion and Order, adopted 6/23/93; Washington, DC 20037, from whom Expiration Date: 08/31/98. released 7/01/93, issued by the Chief, Title: Preservation of Records of Common Carrier Bureau adopted cost copies of the information collection and Communication Common Carriers, Part allocation uniformity requirements. supporting documents are available. 42. OMB Control No.: 3060–0391. Summary of Revision Estimated Annual Burden: 136 total Expiration Date: 08/31/98. annual hours; 2 hours per response; 68 Title: Monitoring Program for Impact Title: 12 CFR part 1102, subpart C; respondents. of Federal-State Joint Board Decisions. Rules pertaining to the privacy of Description: Part 42 prescribes the Estimated Annual Burden: 1376 total individuals and systems of records regulations governing the preservation annual hours; 2.02 hours per response; maintained by the Appraisal of records of communications common 678 respondents. Subcommittee. carriers that are fully subject to the Description: The Commission has Type of Review: Expedited jurisdiction of the FCC. The monitoring program which requires the submission—approval requested by requirements are necessary to ensure the periodic reporting by telephone September 29, 1995. availability of carrier records needed by companies and the National Exchange Commission staff for regulatory Carrier Association. The information is Description: The information will be purposes. used by the Commission, Joint Board, used by the ASC and its staff in determining whether to grant to an OMB Control No.: 3060–0515. Congress and the general public to individual access to records pertaining Expiration Date: 08/31/98. assess the impact of several Joint Board Title: Miscellaneous Common Carrier decisions. to that individual and whether to amend or correct ASC records pertaining to that and Record Carrier Annual Letter Filing Federal Communications Commission. Requirement—Section 43.21(d). individual under the Privacy Act of William F. Caton, 1974 (5 U.S.C. § 552a). Estimated Annual Burden: 38 total Acting Secretary. annual hours; 1.35 hours per response; Form Number: None. [FR Doc. 95–21245 Filed 8–25–95; 8:45 am] 28 respondents. OMB Number: 3139–0004. Description: Pursuant to 47 CFR BILLING CODE 6712±01±F Section 43.21(d) each miscellaneous Affected Public: Individuals and common carrier with operating revenues households. of $100 million for a calendar year shall FEDERAL FINANCIAL INSTITUTIONS Number of Respondents: 50 file with the Common Carrier Bureau EXAMINATION COUNCIL respondents. Chief a letter showing its operating Appraisal Subcommittee; Information Total Annual Responses: 50 revenues for that year and the value of Collection Revision Submitted for OMB responses. its total communications plant at the Review end of that year. Each record carrier Average Hours Per Response: .33 hours. with operating revenues over $75 AGENCY: Appraisal Subcommittee, million for a calendar year shall file a Federal Financial Institutions Total Annual Burden Hours: 16.67 letter showing selected income Examination Council. hours. statement and balance sheet items for ACTION: Notice of information collection By the Appraisal Subcommittee of the that year with the Common Carrier revision submitted to OMB for review Federal Financial Institutions Examination Bureau Chief. These letters must be filed and approval under the Paperwork Council. by March 31 of the following year. Reduction Act of 1980. Dated: August 22, 1995. OMB Control No.: 3060–0470. Edwin W. Baker, Expiration Date: 08/31/98. SUMMARY: In accordance with the Title: Computer III Remand Paperwork Reduction Act of 1980 (44 Executive Director. Proceeding: Bell Operating Company U.S.C. Chapter 35), the Appraisal [FR Doc. 95–2128 Filed 8–25–95; 8:45 am] Safeguards and Tier 1 Local Exchange Subcommittee of the Federal Financial BILLING CODE 6210±01±M 44500 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Appraisal Subcommittee; Information Dated: August 22, 1995. inspection at the offices of the Board of Collection Revision Submitted for OMB Edwin W. Baker, Governors. Interested persons may Review Executive Director. express their views in writing to the [FR Doc. 95–21219 Filed 8–28–95; 8:45 am] Reserve Bank or to the offices of the AGENCY: Appraisal Subcommittee, BILLING CODE 6210±01±M Board of Governors. Any comment on Federal Financial Institutions an application that requests a hearing Examination Council. must include a statement of why a ACTION: Notice of information collection FEDERAL MARITIME COMMISSION written presentation would not suffice revision submitted to OMB for review in lieu of a hearing, identifying and approval under the Paperwork Ocean Freight Forwarder License specifically any questions of fact that Reduction Act of 1980. Applicants are in dispute and summarizing the evidence that would be presented at a SUMMARY: In accordance with the Notice is hereby given that the hearing. Paperwork Reduction Act of 1980 (44 following applicants have filed with the U.S.C. Chapter 35), the Appraisal Unless otherwise noted, comments Federal Maritime Commission regarding each of these applications Subcommittee of the Federal Financial applications for licenses as ocean freight Institutions Examination Council must be received not later than forwarders pursuant to section 19 of the September 21, 1995. (‘‘ASC’’) has sent to the Office of Shipping Act of 1984 (46 U.S.C. app. Management and Budget (‘‘OMB’’) the 1718 and 46 CFR 510). A. Federal Reserve Bank of following revision of a currently Persons knowing of any reason why Richmond (Lloyd W. Bostian, Jr., Senior approved collection of information. any of the following applicants should Vice President) 701 East Byrd Street, DATES: Comments on this information not receive a license are requested to Richmond, Virginia 23261: collection must be received on or before contact the Office of Freight Forwarders, 1. FCFT, Inc., Princeton, West September 27, 1995. Federal Maritime Commission, Virginia; to acquire 100 percent of the ADDRESSES: Send comments to Edwin Washington, D.C. 20573. voting shares of First Community Bank W. Baker, Executive Director, Appraisal Elaine Blair, 4404 Trilby Avenue, of Mercer County, Inc., Princeton, West Subcommittee, 2100 Pennsylvania Tampa, FL 33616, Sole Proprietor Virginia (an organizing bank), which Avenue NW., Suite 200; Washington, LT International Company, 1480 West will acquire the assets and assume the DC 20037; and Milo Sunderhauf, 8th Street, Brooklyn, NY 11204, liabilties of the Mercer County West Clearance Officer, Office of Management Lersvidhya Thienvanich, Sole Virginia offices of First Community and Budget, New Executive Office Proprietor Bank, Inc., Princeton, West Virginia. Building, Room 10226, Washington, DC Seko Ocean Forwarding, Inc., 790 Busse B. Federal Reserve Bank of Chicago 20503. Road, Elk Grove Village, IL 60007, (James A. Bluemle, Vice President) 230 FOR FURTHER INFORMATION CONTACT: Officer: Floyd E. Smith, Vice South LaSalle Street, Chicago, Illinois Marc L. Weinberg, General Counsel, President 60690: Appraisal Subcommittee, 2100 Air Pax, 916 Shaker Road, 1. Pan American Bancshares, Inc., Pennsylvania Avenue NW., Suite 200, Longmeadow, MA 01105, Joseph Chicago, Illinois; to become a bank Washington, DC 20037, from whom Rizzari, Sole Proprietor. holding company by acquiring 100 copies of the information collection and Dated: August 22, 1995. percent of the voting shares of Pan supporting documents are available. American Bank, Chicago, Illinois (in By the Federal Maritime Commission. organization). Summary of Revision Joseph C. Polking, C. Federal Reserve Bank of Secretary. Title: 12 CFR part 1102, subpart B; Minneapolis (James M. Lyon, Vice Rules of Practice for Proceedings. [FR Doc. 95–21240 Filed 8–25–95; 8:45 am] President) 250 Marquette Avenue, Type of Review: Expedited BILLING CODE 6730±01±M Minneapolis, Minnesota 55480: submission—approval requested by September 29, 1995. 1. White Pine Bancorp, Inc., Pine River, Minnesota; to become a bank Description: Procedures for ASC non- FEDERAL RESERVE SYSTEM recognition and ‘‘further action’’ holding company by acquiring at least proceedings against State appraiser FCFT, Inc., et al.; Formations of; 22.7 percent of the voting shares of regulatory agencies and other persons Acquisitions by; and Mergers of Bank Norbanc Group, Inc., Pine River, under § 1118 of Title XI of the Financial Holding Companies Minnesota, and thereby indirectly Institutions Reform, Recovery and acquire Pine River State Bank, Pine Enforcement Act of 1989 (12 U.S.C. The companies listed in this notice River, Minnesota. § 3347). have applied for the Board’s approval D. Federal Reserve Bank of Kansas Form Number: None. under section 3 of the Bank Holding City (John E. Yorke, Senior Vice OMB Number: 3139–0005. Company Act (12 U.S.C. 1842) and § President) 925 Grand Avenue, Kansas Affected Public: State, local or tribal 225.14 of the Board’s Regulation Y (12 City, Missouri 64198: government. CFR 225.14) to become a bank holding 1. Shamrock Bancshares, Inc., Number of Respondents: 56 company or to acquire a bank or bank Coalgate, Oklahoma; to acquire 100 respondents. holding company. The factors that are percent of the voting shares of Clayton Total Annual Responses: 2 responses. considered in acting on the applications State Bank, Clayton, Oklahoma. Average Hours Per Response: 60 are set forth in section 3(c) of the Act hours. (12 U.S.C. 1842(c)). Board of Governors of the Federal Reserve Total Annual Burden Hours: 120 Each application is available for System, August 22, 1995. hours. immediate inspection at the Federal Jennifer J. Johnson, By the Appraisal Subcommittee of the Reserve Bank indicated. Once the Deputy Secretary of the Board. Federal Financial Institutions Examination application has been accepted for [FR Doc. 95–21231 Filed 8–25–95; 8:45 am] Council. processing, it will also be available for BILLING CODE 6210±01±F Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44501 NationsBank Corporation; Acquisition Board of Governors of the Federal Reserve its affiliates and subsidiaries and of Company Engaged in Permissible System, August 22, 1995. unrelated third-party depository Nonbanking Activities Jennifer J. Johnson, institutions, pursuant to § 225.25(b)(7) Deputy Secretary of the Board. of the Board’s Regulation Y. The The organization listed in this notice [FR Doc. 95–21230 Filed 8–25–95; 8:45 am] geographic scope for these activities is has applied under § 225.23(a)(2) or (f) BILLING CODE 6210±01±F the State of Kentucky. of the Board’s Regulation Y (12 CFR B. Federal Reserve Bank of San 225.23(a)(2) or (f)) for the Board’s Francisco (Kenneth R. Binning, approval under section 4(c)(8) of the Pikeville National Corporation, et al.; Director, Bank Holding Company) 101 Bank Holding Company Act (12 U.S.C. Notice of Applications to Engage de Market Street, San Francisco, California 1843(c)(8)) and § 225.21(a) of Regulation novo in Permissible Nonbanking 94105: Y (12 CFR 225.21(a)) to acquire or Activities 1. First Security Corporation, Salt control voting securities or assets of a Lake City, Utah; to engage de novo The companies listed in this notice company engaged in a nonbanking through its subsidiary, First Security have filed an application under § activity that is listed in § 225.25 of Leasing Company, Salt Lake City, Utah, 225.23(a)(1) of the Board’s Regulation Y Regulation Y as closely related to in arranging and investing in entities for (12 CFR 225.23(a)(1)) for the Board’s banking and permissible for bank the financing of low income housing approval under section 4(c)(8) of the holding companies. Unless otherwise eligible for Federal income tax credits, Bank Holding Company Act (12 U.S.C. noted, such activities will be conducted and providing advice to customers in 1843(c)(8)) and § 225.21(a) of Regulation throughout the United States. connection with the arranging of such Y (12 CFR 225.21(a)) to commence or to entities, pursuant to § 225.25(b)(6) of The application is available for engage de novo, either directly or the Board’s Regulation Y. immediate inspection at the Federal through a subsidiary, in a nonbanking Reserve Bank indicated. Once the activity that is listed in § 225.25 of Board of Governors of the Federal Reserve application has been accepted for Regulation Y as closely related to System, August 22, 1995. processing, it will also be available for banking and permissible for bank Jennifer J. Johnson, inspection at the offices of the Board of holding companies. Unless otherwise Deputy Secretary of the Board. Governors. Interested persons may noted, such activities will be conducted [FR Doc. 95–21232 Filed 8–25–95; 8:45 am] express their views in writing on the throughout the United States. BILLING CODE 6210±01±F question whether consummation of the Each application is available for proposal can ‘‘reasonably be expected to immediate inspection at the Federal produce benefits to the public, such as Reserve Bank indicated. Once the GENERAL SERVICES greater convenience, increased application has been accepted for ADMINISTRATION competition, or gains in efficiency, that processing, it will also be available for outweigh possible adverse effects, such inspection at the offices of the Board of Security Mission and Responsibilities as undue concentration of resources, Governors. Interested persons may of the General Services Administration decreased or unfair competition, express their views in writing on the (GSA) and the Federal Protective conflicts of interests, or unsound question whether consummation of the Service (FPS) banking practices.’’ Any request for a proposal can ‘‘reasonably be expected to hearing on this question must be produce benefits to the public, such as AGENCY: General Services accompanied by a statement of the greater convenience, increased Administration (GSA). reasons a written presentation would competition, or gains in efficiency, that ACTION: Notice. not suffice in lieu of a hearing, outweigh possible adverse effects, such SUMMARY: identifying specifically any questions of as undue concentration of resources, The purpose of this notice is fact that are in dispute, summarizing the decreased or unfair competition, to inform you of the steps GSA has evidence that would be presented at a conflicts of interests, or unsound already taken in response to the hearing, and indicating how the party banking practices.’’ Any request for a Oklahoma City bombing to provide a commenting would be aggrieved by hearing on this question must be safe and secure Federal workplace and approval of the proposal. accompanied by a statement of the provide an update of efforts to upgrade reasons a written presentation would security at GSA Federal facilities to Comments regarding the application meet the minimum standards outlined must be received at the Reserve Bank not suffice in lieu of a hearing, identifying specifically any questions of in the DOJ report entitled Vulnerability indicated or the offices of the Board of Assessment of Federal Facilities. Governors not later than September 11, fact that are in dispute, summarizing the 1995. evidence that would be presented at a SUPPLEMENTARY INFORMATION: Four hearing, and indicating how the party months have elapsed since the April 19 A. Federal Reserve Bank of commenting would be aggrieved by bombing of the Alfred P. Murrah Richmond (Lloyd W. Bostian, Jr., Senior approval of the proposal. Federal Building in Oklahoma City, and Vice President) 701 East Byrd Street, Unless otherwise noted, comments GSA continues the initiatives it Richmond, Virginia 23261: regarding the applications must be undertook to enhance the security at 1. NationsBank Corporation, received at the Reserve Bank indicated buildings under its control. Charlotte, North Carolina; to acquire or the offices of the Board of Governors These actions include a generally CSF Holdings, Inc., Miami, Florida, and not later than September 11, 1995. heightened level of security awareness; thereby indirectly acquire Citizens A. Federal Reserve Bank of Cleveland inspection of packages, briefcases and Federal Bank, Miami, Florida, and (John J. Wixted, Jr., Vice President) 1455 vehicles; and, generally tighter control thereby engage in acquiring a unitary East Sixth Street, Cleveland, Ohio of visitors and others within our savings and loan holding company and 44101: buildings. its subsidiary federal savings bank, 1. Pikeville National Corporation, At a number of key locations, we have pursuant to § 225.25(b)(9) of the Board’s Pikeville, Kentucky; to engage de novo taken steps to limit public access and Regulation Y. in providing data processing services to escort visitors, and are continuing to 44502 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices pay particular attention to parking lots Dated: August 15, 1995. Food and Drug Administration and garages as well as street level Roger W. Johnson, [Docket No. 95N±0272] parking adjacent to the buildings. In a Administrator. number of cases, restrictions have been [FR Doc. 95–21223 Filed 8–25–95; 8:45 am] Drug Export; Telfast (Fexofenadine placed on parking next to buildings. Hydrochloride) Tablets 60 Milligrams We are committed to continuing these BILLING CODE 6820±23±M interim heightened security measures (mg) through September 30, and are taking AGENCY: Food and Drug Administration, steps to maintain these initiatives in FY DEPARTMENT OF HEALTH AND HHS. 1996 until GSA begins implementation ACTION: Notice. of updated security provisions HUMAN SERVICES identified in the DOJ study. SUMMARY: The Food and Drug I would like to specifically recognize Centers for Disease Control and Administration (FDA) is announcing the efforts of the FPS in implementing Prevention that Marion Merrell Dow Inc., has filed and maintaining the heightened interim an application requesting conditional National Committee on Vital and Health security measures during the past four approval for the export of the human Statistics (NCVHS) Subcommittee on months. I would also like to commend drug Telfast (fexofenadine Medical Classification Systems and the entire agency for pulling together to hydrochloride) tablets 60 (mg) to France accomplish the enormous task involved NCVHS Subcommittee on Ambulatory for packaging for transshipment to the in dealing with the devastation of the and Hospital Care Statistics: Meeting United Kingdom. bombing in Oklahoma City as well as Pursuant to Pub. L. 92–463, the ADDRESSES: Relevant information on the ensuing operational requirements. this application may be directed to the Most assuredly this task has been a National Center for Health Statistics (NCHS), Centers for Disease Control and Dockets Management Branch (HFA– difficult one, but the tremendous 305), Food and Drug Administration, Prevention (CDC), announces the accomplishments of those involved is a rm. 1–23, 12420 Parklawn Dr., following meeting. fitting tribute to the dedication and Rockville, MD 20857, and to the contact professionalism of GSA employees Name: NCVHS Subcommittee on Medical person identified below. Any future nationwide. Classification Systems and NCVHS inquiries concerning the export of GSA is well on its way to completing Subcommittee on Ambulatory and Hospital human drugs under the Drug Export the task assigned by the President, and Care Statistics. Amendments Act of 1986 should also be identifying the security needs of its Time and Date: 9 a.m.–1 p.m., September directed to the contact person. facilities nationwide. To date, we have 15, 1995. FOR FURTHER INFORMATION CONTACT: established Building Security Place: Room 503A, Hubert H. Humphrey Committees (BSC’s) at the higher risk James E. Hamilton, Center for Drug Building, 200 Independence Avenue SW., Evaluation and Research (HFD–310), Level IV buildings. The BSC’s are Washington, DC 20201. Food and Drug Administration, 7520 meeting and will identify the required Status: Open. Standish Place, Rockville, MD 20855, security upgrades as outlined in the DOJ Purpose: The Subcommittee on Medical 301–594–3150. report. We continue to maintain the Classification Systems and the Subcommittee SUPPLEMENTARY INFORMATION: The drug ambitious schedule established by the on Ambulatory and Hospital Care Statistics President. FPS will be monitoring the will meet jointly in a working session to export provisions in section 802 of the Level IV BSC activities, and developing discuss the final report of the compendium Federal Food, Drug, and Cosmetic Act guidelines for reporting and evaluating on person-level and event-level health care (the act) (21 U.S.C. 382) provide that their security recommendations. core data sets and to plan the NCVHS public FDA may approve applications for the The DOJ report specifically stated that meetings to obtain input from diverse parties export of drugs that are not currently the FPS ‘‘has the experience and the who report and use standardized core data approved in the United States. Section historical charter to provide security sets for enrollment and encounters; to receive 802(b)(3)(B) of the act sets forth the services’’ in GSA federal buildings by an update on the NCHS Morbidity requirements that must be met in an using a wide range of technical and Classification Branch activities; and to application for approval. Section human resources (including both review the subcommittees’ work plans for 802(b)(3)(C) of the act requires that the Federal Protective Police Officers 1995–1996. agency review the application within 30 (FPPO’s) and contract security guards). days of its filing to determine whether Finally, an Executive Order establishing CONTACT PERSON FOR MORE INFORMATION: the requirements of section 802(b)(3)(B) an Interagency Security Committee (ISC) Substantive program information as have been satisfied. Section 802(b)(3)(A) headed by the Assistant Commissioner well as summaries of the meeting and a of the act requires that the agency of the FPS has been signed, and the roster of committee members may be publish a notice in the Federal Register President is issuing a Memorandum for obtained from Gail F. Fisher, Ph.D., within 10 days of the filing of an Executive Departments and Agencies Executive Secretary, NCVHS, NCHS, application for export to facilitate public recognizing GSA’s leadership role in CDC, Room 1100, Presidential Building, participation in its review of the federal building and facility security. 6525 Belcrest Road, Hyattsville, application. To meet this requirement, The next few months will be both Maryland 20782, telephone 301/436– the agency is providing notice that demanding and challenging as GSA and 7050. Marion Merrell Dow Inc., Marion Park FPS endeavor to meet the Presidents Dr., P.O. Box 9627, Kansas City, MO, Dated: August 22, 1995. ambitious schedule for implementing 64134–0627, has filed an application the DOJ study recommendations. During Carolyn J. Russell, requesting conditional approval for the this time, I would ask everyone to Director, Management Analysis and Services export of the human drug Telfast remain committed to GSA’s mission and Office, Centers for Disease Control and (fexofenadine hydrochloride) tablets 60 responsibility to provide a safe and Prevention (CDC) mg to France for packaging for secure working environment for our [FR Doc. 95–21255 Filed 8–25–95; 8:45 am] transshipment to the United Kingdom. clients, customers and visitors. BILLING CODE 4163±18±M Telfast (fexofenadine hydrochloride) Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44503 tablets is used for the relief of symptoms for Drug Evaluation and Research (HFN) Health Care Financing Administration such as sneezing, watery eyes, blocked and insert a new subparagraph reading or runny nose, that occur with hayfever as follows: [HSQ±230±N] (seasonal allergic rhinitis). The Office of Compliance (HFND). application was received and filed in Monitors the quality of marketed drugs, Medicare, Medicaid, and CLIA the Center for Drug Evaluation and including nontraditional drugs, through Programs; Clinical Laboratory Research on August 10, 1995, which product testing, surveillance, and Improvement Amendments of 1988 Exemption of Permit-Holding shall be considered the filing date for compliance programs. purposes of the act. Laboratories in the State of New York Interested persons may submit Develops policy and standards for AGENCY: relevant information on the application labeling, current good manufacturing Health Care Financing to the Dockets Management Branch practice issues, clinical and good Administration (HCFA), HHS. (address above) in two copies (except laboratory practice investigations, ACTION: Notice. that individuals may submit single postmarketing surveillance, and drug SUMMARY: Section 353(p) of the Public copies) and identified with the docket industry practices to demonstrate the Health Service Act provides for the number found in brackets in the safety and effectiveness of human drug exemption of laboratories from the heading of this document. These products and ensures the uniform requirements of the Clinical Laboratory submissions may be seen in the Dockets interpretation of such standards. Improvement Amendments of 1988 Management Branch between 9 a.m. and Develops and directs drug product (CLIA) when the State in which they are 4 p.m., Monday through Friday. quality enforcement programs; located has requirements equal to or The agency encourages any person postmarketing drug quality surveillance more stringent than those of CLIA. This who submits relevant information on programs; and compliance programs for notice grants exemption from CLIA the application to do so by September over-the-counter (OTC), nontraditional, requirements applicable only to 7, 1995, and to provide an additional and other drug monographs. Directs the laboratories located within the State of copy of the submission directly to the Center’s bioresearch monitoring New York, including New York City, contact person identified above, to program for human drug products. that possess a valid permit, as mandated facilitate consideration of the Advises the Center Director and other under Part 58, and Article Five of Title information during the 30-day review Agency officials on FDA’s regulatory V of the Public Health Law of the State period. and enforcement responsibilities for of New York. This title is applicable to This notice is issued under the human drugs. all laboratories except those operated by Federal Food, Drug, and Cosmetic Act an individual, licensed physician, (sec. 802 (21 U.S.C. 382)) and under Initiates Center-field surveillance osteopath, dentist, podiatrist, or a authority delegated to the Commissioner assignments to monitor pivotal research physician’s group practice which of Food and Drugs (21 CFR 5.10) and data submitted as part of premarketing performs laboratory tests personally or redelegated to the Center for Drug applications. Coordinates preapproval through his or her employees, solely as Evaluation and Research (21 CFR 5.44). inspections and results as part of the final product approval process. an adjunct to the treatment of his or her Dated: August 14, 1995. own patients. Coordinates Center-field relations; Betty L. Jones, EFFECTIVE DATE: The provisions of this provides support and guidance to the Deputy Director, Office of Compliance, Center notice are effective on August 28, 1995 field on legal actions, case development, for Drug Evaluation and Research. to June 30, 2001. and contested cases; and reviews and [FR Doc. 95–21224 Filed 8–25–95; 8:45 am] decides disposition of field submissions FOR FURTHER INFORMATION CALL: Val BILLING CODE 4160±01±F involving deviations from standards. Coppola, (410) 786–3406. Evaluates, classifies, and recommends SUPPLEMENTARY INFORMATION: Statement of Organization, Functions, human drug recalls and provides Center I. Background and Legislative and Delegations of Authority coordination with field recall activities. Authority Monitors the resolution of all drug Part H, Chapter HF (Food and Drug shortage situations involving Section 353 of the Public Health Administration) of the Statement of compliance issues. Service Act (PHS Act), as amended by Organization, Functions, and the Clinical Laboratory Improvement Delegations of Authority for the Coordinates international inspections, Amendments of 1988 (CLIA), requires Department of Health and Human results, and communications with any laboratory that performs tests on Services (35 FR 3685, February 25, inspectorates of other nations. human specimens to meet requirements 1970, and 56 FR 29484, June 27, 1991, Participates in international standards- established by the Department of Health as amended most recently in pertinent setting activities. and Human Services (HHS). Under the part at 53 FR 8978, March 18, 1988) is 5. Prior Delegations of Authority. provisions of the sentence following amended to reflect the following Pending further delegations, directives, section 1861(s)(14) and paragraph reorganization in the Food and Drug or orders by the Commissioner of Food (s)(16) of the Social Security Act, any Administration (FDA). and Drugs, all delegations of authority laboratory that also wants to be paid for The functional statements for the to positions of the affected organizations services furnished to Medicare Office of Compliance, Center for Drug in effect prior to this date shall continue beneficiaries must meet the Evaluation and Research (CDER), are in effect in them or their successors. requirements of section 353 of the PHS being revised and updated to more Dated: August 14, 1995. Act. Subject to specified exceptions, accurately reflect the activities carried laboratories must have a current and out by this Office. David A. Kessler, valid CLIA certificate to test human Under section HF–B, Organization: Commissioner of Food and Drugs. specimens and to be eligible for 1. Delete the subparagraph, Office of [FR Doc. 95–21263 Filed 8–25–95; 8:45 am] payment from the Medicare or Medicaid Compliance (HFND), under the Center BILLING CODE 4160±01±M program. Regulations implementing 44504 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices section 353 of the PHS Act are adequate to enforce its laboratory approval) and inspection contained in 42 CFR part 493. requirements; requirements; Section 353(p) of the PHS Act • Permits us or our agents to inspect —Disclose any laboratory’s PT results in provides for the exemption of laboratories within the State; accordance with a State’s laboratories from CLIA requirements in • Requires laboratories within the confidentiality requirements; a State that applies requirements that State to submit to inspections by us or —Take the appropriate enforcement are equal to, or more stringent than, our agents as a condition of licensure; action against laboratories we find not those of CLIA. The statute does not • Agrees to pay the cost of the to be in compliance with specifically require the promulgation of validation program administered by us requirements comparable to condition criteria for the exemption of laboratories and the cost of the State’s pro rata share level requirements and report these in a State. The decision to grant CLIA of the general overhead to develop and enforcement actions to us; exemption to laboratories within a State implement CLIA as specified in —Notify us of all newly licensed §§ 493.645(b) and 493.646; and laboratories, including the specialties is at our discretion, acting on behalf of • the Secretary of HHS. Takes appropriate enforcement and subspecialties, for which any Part 493, subpart E, implements action against laboratories found by us laboratory performs testing, within 30 section 353(p) of the PHS Act. Section or our agents not to be in compliance days; and 493.513 provides that we may exempt with requirements comparable to —Provide to us, as requested, inspection from CLIA requirements, for a period condition level requirements. schedules for validation purposes. not to exceed 6 years, State licensed or We also evaluated whether NYS laboratories meet the requirements and B. Evaluation of the New York State approved laboratories in a State if the Request for CLIA Exemption State meets specified conditions. are approved in accordance with The State of New York has formally Section 493.513(k) provides that we will § 493.515, Federal review of laboratory applied to us for an exemption from the publish a notice in the Federal Register requirements of State laboratory CLIA requirements for the permit- announcing the names of States whose programs. As specified in § 493.515, our review holding laboratories located within the laboratories are exempt from meeting of a State laboratory program includes State, including those in New York City. the requirements of part 493. (but is not necessarily limited to) an This exemption does not apply to II. Notice of Approval of CLIA evaluation of— laboratories outside of the State of New Exemption to New York State • Whether the State’s requirements York that possess a NYS permit to Laboratories for laboratories are equivalent to, or perform laboratory testing on specimens In this notice, we grant CLIA more stringent than, the condition level from NYS residents. In addition, this exemption for all specialties and requirements; exemption does not apply to • The State’s inspection process subspecialties to all laboratories located laboratories operated by an individual, requirements to determine— in the State of New York, including New licensed physician, osteopath, dentist, York City, that possess a valid permit to —The comparability of the full podiatrist, or a physician’s group perform laboratory testing effective inspection and complaint inspection practice which performs laboratory tests August 28, 1995 to June 30, 2001. procedures to our procedures; personally or through his or her —The State’s enforcement procedures employees, solely as an adjunct to the III. Evaluation of New York State (NYS) for laboratories found to be out of treatment of his or her own patients. Laboratories compliance with its requirements; We have evaluated the NYS CLIA The following describes the process and exemption application and all we used to determine whether we —The ability of the State to provide us subsequent submissions for equivalency should grant exemption from CLIA with electronic data and reports with against the three major categories of requirements to permit-holding NYS the adverse or corrective actions CLIA rules: The implementing laboratories. resulting from proficiency testing (PT) regulations, the enforcement results that constitute unsuccessful regulations, and the deeming/exemption A. Requirements for Granting CLIA participation in HCFA-approved PT requirements. We found the NYS Exemption programs and with other data we Clinical Laboratory Evaluation Program, To determine whether we should determine to be necessary for which issues, implements, and enforces grant a CLIA exemption to all validation and assessment of the regulations specified in Part 58 and laboratories within the State of New State’s inspection process Article Five of Title V of the Public York, we conducted a detailed and in- requirements; Health Law of the State of New York, to depth comparison of NYS’ requirements • The State’s agreement to— administer a program that is more for its laboratories to those of CLIA and —Notify us within 30 days of the action stringent than the CLIA program, taken evaluated whether NYS’ standards meet taken against any CLIA-exempt as a whole. Rather than enumerating the requirements at § 493.513. In laboratory that has had its licensure or every more stringent item of the NYS summary, we evaluated whether NYS— approval withdrawn or revoked or requirements, we have included in this • Has laws in effect that provide for been in any way sanctioned; notice the more significant and requirements that are equal to, or more —Notify us within 10 days of any exemplary areas of stringency. We stringent than, CLIA requirements; deficiency identified in a CLIA- performed an indepth evaluation of the • Has an agency that licenses or exempt laboratory in cases when the NYS application to verify the State’s approves laboratories meeting State deficiency poses an immediate assurance of compliance with the requirements that also meet or exceed jeopardy to the laboratory’s patients following subparts of part 493. CLIA requirements, and would, or a hazard to the general public; Our evaluation identified more therefore, meet the condition level —Notify each laboratory licensed by the stringent areas of the NYS requirements requirements of the CLIA regulations; State within 10 days of our that apply to the laboratory as a whole. • Demonstrates that it has withdrawal of the exemption; Rather than include them in the enforcement authority and —Provide us with written notification of appropriate subparts multiple times, we administrative structures and resources any changes in its licensure (or list them here: Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44505 • NYS has extensive requirements PT program for all testing performed, other laboratories that hold applicable involving laboratory safety. They provided it is offered by the program. State permits. include detailed standards for biosafety, Laboratories must enroll and participate • A specimen received by a chemical safety, radiological safety and in PT for all testing regardless of the laboratory must not be tested or results regulated medical waste. CLIA categorization of waived, reported if— • NYS permit holding laboratories moderate, or high complexity. The PT —It is unsatisfactory or inappropriate that use a laboratory information system testing available through the NYS PT for the test requested; (LIS) for any aspect of specimen testing, program is much more extensive than —It has been collected, labeled, reporting, and/or record keeping must the list of tests included in the CLIA preserved, stored, transported or adhere to all applicable provisions of regulations. The NYS program offers otherwise handled in a manner that part 58 and including, but not limited many more analytes, as well as caused it to become unsatisfactory or to, the following: additional specialties and subspecialties unreliable as a test specimen; —Test results are reported, archived, beyond those in the CLIA requirements. —It is labile and the time lapse between and maintained in an accurate and The NYS PT program, which we have collection and receipt is such that it reliable manner. approved under CLIA, meets the may no longer be reliable; —Performance and documentation of requirements of subpart I, Proficiency —The date and hour of collection, when system maintenance required by the Testing Programs for Tests of Moderate required by the method or procedure, LIS manufacturer, or established and or High Complexity or Both, and in are not furnished; and validated by the laboratory. some areas, exceeds the CLIA PT —The test is investigational and the —All devices are maintained to ensure program requirements. The passing laboratory does not have accurate, clear, and interference-free scores are higher than those of CLIA for authorization from both the ordering report transmissions. human immunodeficiency virus testing individual and the patient indicating —New or revised software and/or and for antibody detection and antibody their awareness of the test limitations hardware is validated prior to use. identification. Because the PT program and investigational nature before the —Written back-up procedures are is a part of the CLIA exemption test is performed; available for test reporting and application, the State may include PT • Specific confidentiality protocols retrieval when the LIS is out of requirements that are equal to or more are required that must include— service. stringent than those of CLIA. —A definition of confidential —The LIS is capable of generating an PT performance is closely monitored information and prohibition of exact duplicate of a final test report by the NYS Clinical Laboratory unauthorized access; and any preliminary report. Evaluation Program. If a laboratory fails —The responsibilities of the director/ —LIS data and programs are protected a particular PT event, the laboratory is assistant director to determine from unauthorized use. notified in writing. If a laboratory fails appropriate release and access to • NYS regulations provide two consecutive or two of three PT information; requirements for forensic testing to events (unsuccessful performance), the —The responsibilities of employees; include PT when applicable. laboratory must stop testing for the —The contents of required in-service • NYS regulations list requirements unsuccessful category and/or analyte. training programs; covering paternity testing as well as Laboratories that wish to add a —A mechanism for documenting workplace drug testing. category or a test to a permit must attendance and attestation statements successfully complete two consecutive from each employee who is Subpart E, Accreditation by a Private, PT testing events prior to the initiation authorized to access confidential Nonprofit Accreditation Organization of patient testing. New laboratories must information; and or Exemption Under An Approved also participate successfully in two —The consequences of violation of State Laboratory Program events before testing patient specimens. confidentiality requirements which HCFA and the Centers for Disease The CLIA regulations do not contain may include criminal prosecution. Control and Prevention (CDC) staff such requirements. • Laboratories must not report the reviewers have examined the NYS Subpart J, Patient Test Management for results of a test on a specimen unless application and all subsequent Moderate Complexity (Including the the test request information listed in the submissions against the exemption Subcategory), High Complexity, or Any regulations has been obtained; and • requirements a State must meet in order Combination of These Tests Specific requirements are listed for to be granted CLIA exempt status patient service centers (specimen (§ 493.513, and the applicable parts of The NYS requirements for patient test collection). §§ 493.515, 493.517, 493.519, and management are more stringent than Subpart K, Quality Control for Tests of 493.521). The State has complied with those of CLIA. Areas of stringency that Moderate Complexity (Including the the applicable CLIA requirements for exceed CLIA requirements are: Subcategory), High Complexity, or Any exemption under this subpart. • Oral test requests are followed by a written request within 48 hours. If not Combination of These Tests Subpart H, Participation in Proficiency received in this timeframe, the requestor The NYS requirements on quality Testing for Laboratories Performing is notified and the written authorization control (QC) are more stringent than Tests of Moderate Complexity, received within 30 days. CLIA requirements as all testing (Including the Subcategory), High • Retention records for test requests, including waived tests under CLIA must Complexity, or Any Combination of accession records and laboratory reports meet all QC requirements for high These Tests is 7 years; however, pathology reports complexity testing. NYS has never The statute and implementing must be retained for 20 years, and allowed a phase-in for any of its QC regulations of NYS for PT are more cytogenetics and genetic testing reports requirements. stringent than those of CLIA. Permit- must be held for 25 years. NYS permitted laboratories must holding laboratories are required by • State permit-holding laboratories perform method validation before a test NYS statute to participate in the NYS may only refer specimens for testing to procedure is placed into routine use and 44506 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices maintain documentation of the Subpart P, Quality Assurance for the problem area. The State has validations of all procedures while they Moderate Complexity (Including the provided appropriate documentation are in use. The linear reportable range Subcategory) or High Complexity demonstrating that its enforcement must be established or verified for all Testing, or Any Combination of These policies and procedures are equivalent applicable procedures. Three levels of Tests to those of CLIA. controls must be employed for The applicable standards of the NYS IV. Federal Validation Inspections and quantitative chemistry testing if regulations have been revised and are Continuing Oversight calibration is not performed or validated equivalent to the CLIA requirements at We will conduct the Federal within a run of more than 24 hours. §§ 493.1701 through 493.1721 validation inspections of CLIA-exempt Trilevel controls are required for concerning quality assurance. NYS laboratories, as specified in § 493.517, quantitative immunology testing. HIV does, however, require laboratories to on a representative sample basis as well testing must be a repeatable positive and evaluate and define the relationship as in response to substantial allegations a confirmatory test performed by an between the same test by different of noncompliance (complaint appropriately permitted NYS laboratory methods or different instrument three inspections). The outcome of those before reporting a positive result. times per year. CLIA requires this validation inspections will be our evaluation twice a year. The items listed above are more principal means for verifying the stringent requirements and exemplify Subpart Q, Inspection appropriateness of the exemption given to laboratories in NYS. This Federal the QC contents of the NYS program The NYS permit-holding laboratories monitoring is an on-going process. The which, taken as a whole, are more are routinely inspected on-site State of New York will provide us with stringent than the QC requirements of biennially. Routine inspections and survey findings for each laboratory CLIA. complaint inspections are performed on selected for validation. Subpart M, Personnel for Moderate an unannounced basis. Inspection for a Complexity (Including the Subcategory) laboratory first entering the program is V. Removal of Approval of New York and High Complexity Testing scheduled after the facility has notified State Exemption the Clinical Laboratory Evaluation We will remove the CLIA exemption The personnel requirements of NYS Program that it is prepared to begin of laboratories located in NYS that are more stringent than those of CLIA, patient testing. A new laboratory will possess a valid permit if we determine taken as a whole. CLIA allows lesser not receive a NYS permit until an on- the outcome and comparability review qualified individuals to direct a site inspection is performed and all of validation inspections are not laboratory performing moderate identified deficiencies have been acceptable, as described under complexity tests, compared to the corrected. This requirement and the use § 493.521, or if the State fails to pay the qualification requirements for of unannounced compliance inspections required fee every 2 years as required individuals directing a laboratory in are more stringent than those of CLIA. under § 493.646. We conduct compliance inspections to which high complexity testing is monitor the correction of deficiencies VI. Laboratory Data performed. CLIA has no requirements and ensure that laboratories continue to for an individual or laboratory engaged In accordance with meet State standards. § 493.513(d)(2)(iii), NYS will provide us in waived test performance. NYS treats NYS also uses a protocol similar to all testing in a manner similar to CLIA’s with changes to a laboratory’s that of HCFA for complaint specialties or subspecialties based on high complexity tests. Therefore, NYS investigations involving laboratories the State’s survey and with changes in does not allow a laboratory to be performing cytopathology. This a laboratory’s permit status. directed by individuals possessing inspection focuses on all cytology appropriate qualifications for CLIA’s requirements and, if indicated, VII. Required Administrative Actions moderate test performance, nor does it retrospective rescreens of previously CLIA is intended to be generally a allow a laboratory to be directed by read cytology cases are performed. user-fee funded program. The individuals possessing the registration fee paid by the laboratories Subpart R, Enforcement Procedures qualifications for waived test is intended to cover the cost of the performance. We have reviewed documentation of development and administration of the Individuals who wish to direct a the State’s enforcement authority, its program. However, when a State’s administrative structure and the permit holding laboratory must obtain a application for exemption is approved, resources used to enforce its standards Certificate of Qualification through the we may not charge a fee to laboratories for completeness. The State Clinical Laboratory Evaluation Program. in the State that are covered by the appropriately applies limitations and exemption. We will collect the State’s They must formally apply and submit revocations of its permits for share of the costs associated with CLIA documentation of professional and laboratories as well as intermediate from the State. Section 493.645 specifies academic expertise in all the specialties sanctions such as on-site monitoring of that HHS will assess fees that a State and subspecialties for which the laboratories and imposition of civil must pay for the following: laboratory conducts testing and holds a money penalties. • Costs of Federal inspection of NYS permit. The documentation is The State has provided us with the laboratories in the State to verify that evaluated and approved by the Clinical mechanism it currently uses to monitor standards are enforced in an appropriate Laboratory Evaluation Program the PT performance of its laboratories. manner. The average cost per validation professional staff, in accordance with The action NYS takes for unsuccessful survey nationally is multiplied by the the NYS Public Health law and PT participation is more stringent than number of surveys that will be regulations. those of CLIA’s enforcement policy. A conducted. permitted laboratory must suspend • Costs incurred for Federal testing for the unsuccessful analyte or investigations and surveys triggered by category until it successfully remediates complaints that are substantiated. We Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44507 will bill the State on an semi-annual Graphics to the Office of Statistics and Office of Statistics and Programming basis. We anticipate that most of these Programming. (HCE2). (1) Develops, evaluates, and surveys will be referred to the State and Section HC–B, Organization and implements innovative statistical, that there will be little Federal activity Functions, is hereby amended as computer programming, and data in this area. follows: management methods for application to • The State’s proportionate share of After the functional statement for the injury surveillance, epidemiologic general overhead costs for the items and Office of Program Management and studies, and programmatic activities; (2) services it benefits from and only for Operations (HCE13), insert the provides expert consultation in those paid for out of registration or following: statistics, programming, and data certificate fees we collected. Office of Health Communication management to all NCIPC staff; (3) In order to estimate the State’s (HCE14). (1) Plans, develops, collaborates with NCIPC scientists on proportionate share of the general coordinates, and evaluates NCIPC’s epidemiologic studies and provides overhead costs, we determined the ratio marketing, public affairs, publications, associated technical advice in the areas of laboratories in the State to the total graphics, and technical information of study design, sampling, and the number of laboratories nationally. In activities for intentional injury, collection, management, analysis, and that the general overhead costs apply unintentional injury, and acute care and interpretation of injury data; (4) equally to all laboratories, we rehabilitation; (2) in conjunction with coordinates, manages, maintains and determined the cumulative overhead the CDC Office of Health provides tabulations from national costs that should be borne by the State Communication, collaborates with surveillance systems and other data of New York. organizations in the public and private sources that contain national, State and The State of New York has agreed to sectors to market injury prevention and pay us its pro rata share of the overhead control messages; (3) develops local data on injury morbidity and costs and anticipated costs of actual educational material on injury mortality; (5) prepares and produces validation and complaint investigation prevention and control, including print high quality statistical reports and surveys. A final reconciliation for all and video products, to be used in the publications material for information laboratories and all expenses will be center’s marketing activities; (4) presentation and dissemination by made. We will reimburse the State for disseminates injury control information NCIPC staff; (6) advises the Office of the any overpayment or bill it for any to public and professional audiences; (5) Director, NCIPC, in the area of data and balance. in conjunction with the CDC Office of systems management and on In accordance with the provisions of Public Affairs, interacts with the news surveillance and statistical analysis Executive Order 12866, this notice was media to ensure that injury topics are issues relevant to injury program not reviewed by the Office of covered accurately and remain high on planning and evaluation; (7) in carrying Management and Budget. the public agenda; (6) provides expert out the above functions, collaborates Authority: Section 353 of the Public Health consultation on the effective use and with other Divisions/Offices in NCIPC, Service Act (42 U.S.C. 263a). design of graphic materials for CDC Centers/Institute/Offices, PHS Dated: August 2, 1995. presentations, publications, and agencies, and other Federal departments exhibits; (7) designs and produces Bruce C. Vladeck, and agencies, and private organizations professional quality graphic materials as appropriate. Administrator, Health Care Financing for use in NCIPC presentations and Administration. publications and designs and Office of the Director (HCE21). (1) [FR Doc. 95–21264 Filed 8–25–95; 8:45 am] electronically typesets publications; (8) Plans, directs, and manages the BILLING CODE 4120±01±P develops, maintains, and manages a activities of the Office of Statistics and graphics information retrieval system Programming and provides that allows ready access to slides and administrative and management Public Health Service graphic presentations on injury topics; support; (2) reviews reports, publications, and other materials for Centers for Disease Control and (9) provides expert consultation on the Prevention; Statement of Organization, development and production of statistical integrity and validity; (3) Functions, and Delegations of publications; (10) manages the makes recommendations and provides Authority clearance, editing, and production of technical advice to the Office of the NCIPC publications; (11) manages Director, NCIPC, on statistical and Part H, Chapter HC (Centers for NCIPC’s technical information surveillance issues relevant to injury Disease Control and Prevention) of the resources, including developing and prevention and control; (4) coordinates Statement of Organization, Functions, maintaining injury-related databases Office activities with other Offices and and Delegations of Authority of the and a library of information on injury- Divisions within NCIPC, other CDC Department of Health and Human related topics; (12) coordinates the components, PHS agencies, other Services (45 FR 67772–67776, dated center’s information sharing activities, Federal agencies, State and local health October 14, 1980, and corrected at 45 FR including involvement on INTERNET; departments, and other public and 69296, October 20, 1980, as amended (13) serves as NCIPC liaison with the private organizations, as appropriate. most recently at 60 FR 34550–51, dated CDC Office of Public Affairs, the CDC July 3, 1995) is amended to reflect (1) Office of Health Communication, and Effective Date: August 15, 1995. the establishment of the Office of Health other Centers, Institute, and Offices on David Satcher, Communication within the Office of the matters of marketing, public affairs, Director, Centers for Disease Control and Director, National Center for Injury graphics, publications, and technical Prevention. Prevention and Control (NCIPC); and (2) information resources; (14) in carrying [FR Doc. 95–21301 Filed 8–25–95; 8:45 am] the revision of the functional statement out these functions, collaborates with BILLING CODE 4160±18±M for the Office of Statistics, Programming, other PHS agencies, Federal and State and Graphics; and (3) the retitling of the departments and agencies, and private Office of Statistics, Programming, and organizations, as appropriate. 44508 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Centers for Disease Control and activities of the Division; (2) develops methodologies and materials; (7) Prevention; Statement of Organization, goals and objectives and provides provides training services to states, Functions, and Delegations of leadership, policy formulation, and localities, and other nations in Authority guidance in program planning and investigation, diagnosis, prevention, and development; (3) provides program control of hematologic diseases; (8) Part H, Chapter HC (Centers for management and administrative support conducts epidemiologic studies in Disease Control and Prevention) of the services for AIDS/STD/TB laboratory persons with hemophilia and chronic Statement of Organization, Functions, research activities, both domestic and hematologic disorders and their and Delegations of Authority of the international. families; (9) assists in designing, Department of Health and Human Gonorrhea, Chlamydia, an Chancroid implementing, and evaluating Services (45 FR 67772–76, dated Branch (HCRN2). (1) Performs research prevention and counseling programs for October 14, 1980, and corrected at 45 FR and development on gonorrhea, persons with hemophilia and their 69296, October 20, 1980, as amended chancroid, donovanosis, bacterial families. most recently at 60 FR 34550–51, dated vaginosis, and chlamydial and Laboratory Section (HCRN32). (1) July 3, 1995) is amended to reflect the mycoplasmal infections; (2) conducts or Conducts applied research to develop, consolidation of related laboratory participates in clinical, field, and evaluate, improve, and standardize the research functions within the national laboratory research to develop, evaluate, methods and procedures for the Center for Infectious Diseases (NCID) to and improve laboratory methods and microbiologic classification, enhance coordination of HIV, STD, and materials used in the diagnosis of STDs; surveillance, and prevention of TB activities throughout the Centers for (3) provides consultation and reference/ hematologic diseases; (2) participates in Disease Control and Prevention (CDC). diagnostic services for STDs other than studies directed at determining methods Section HC–B, Organization and syphilis. of preventing hematologic disorders and Functions, is hereby amended as Chlamydia Section (HCRN22). (1) their complications; (3) provides follows: Performs research and development on diagnostic support for epidemiologic Delete the title and functional the pathogenesis, genetics, immunology, studies and epidemic aids on emerging statement for the Division of Sexually and epidemiology of chlamydial and hematologic diseases; (4) determines the Transmitted Diseases Laboratory mycoplasmal infections and mechanisms of pathogenesis of chronic Research (HCRN) and the Office of the donovanosis; (2) conducts or hematologic disorders and their Director (HCRN1), and insert the participates in clinical, field, and complications; (5) conducts research following: laboratory research to develop, evaluate, and provides reference services on Division of AIDS, STD, and TB and improve laboratory methods and hematologic diagnostic techniques; (6) Laboratory Research (HCRN). (1) materials used in the diagnosis of these maintains the national reference Develops and evaluates laboratory agents; (3) provides consultation and laboratory for blood coagulation and methods and procedures for the reference/diagnostic services for these other hematologic disorders. diagnosis and characterization of agents. Surveillance and Epidemiology infections caused by HIV and other Gonorrhea and Chancroid Section Section (HCRN33). (1) Designs and human retroviruses, other sexually (HCRN24). (1) Performs research and manages a surveillance system to transmitted diseases, and mycobacteria, development on the pathogenesis, evaluate the incidence, morbidity, and including M. tuberculosis; (2) provides genetics, immunology, and mortality of hemophilia and other laboratory support for the surveillance, epidemiology of gonorrhea, chancroid, hematologic disorders; (2) plans, epidemiologic, and clinical activities of and bacterial vaginosis; (2) conducts or develops, and coordinates special the National Center for Prevention participates in clinical, field, and surveys and populations studies in Services and other Centers/Institute/ laboratory research to develop, evaluate, selected geographic areas to monitor Offices; (3) conducts applied research and improve laboratory methods and and assess the complications of on immune mechanisms that occur in materials used in the diagnosis of these hemophilia; (3) determines, plans, microbial infection, particularly agents; (3) provides consultation and conducts, and coordinates surveillance infection with human reference/diagnostic services for these training for State and local health immunodeficiency virus; (4) conducts agents. department staff; (4) collects, analyzes, applied research on the pathogenesis of Hematologic Diseases Branch and prepares reports to document the microbial infections, particularly (HCRN3). (1) Provides national prevalence and incidence of hemophilia infection with M. tuberculosis; (5) leadership in the investigation and and other blood diseases in the United conducts laboratory studies of prevention of diseases of blood States and provides this information to hemophilia and other coagulating including hemophilia; (2) conducts the scientific community through disorders; (6) provides reference investigations of hematologic disorders reports, publications, and public access laboratory services and assists in and the role of etiologic agents in the data sets; (5) provides epidemiologic standardizing and providing laboratory development of these disorders; (3) and medical consultation and technical reagents; (7) serves as a World Health conducts applied and operational assistance, including epidemic aids, to Organization Collaborating Center; (8) research related to disease definition, State and local health departments, conducts epidemiologic studies of HIV- etiology, diagnosis, complications, and other governmental agencies, and other infected and uninfected persons with prevention of hemophilia and acquired public and private organizations in the hemophilia and their families; (9) assists hematologic diseases; (4) conducts investigation of hematologic disorders; in designing, implementing, and research on the prevention of the (6) works closely with CDC evaluating prevention and counseling chronic complications of hematologic organizations in applying prevalence programs for HIV-infected persons with disorders; (5) provides technical and incidence data to target and hemophilia and their families; (10) assistance and reference and diagnostic evaluate hematologic disease prevention coordinates research on opportunistic services to State and local health program; (7) designs and conducts infections in HIV-infected persons. departments, other Federal agencies, epidemiologic studies to determine risk Office of the Director (HCRN1). (1) and other organizations; (6) conducts factor and co-factors for chronic Plans, directs, and coordinates the research to improve laboratory hematologic disorders and their Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44509 complications; (9) provides statistical and the World Health Organization; (4) and antibodies; (6) provides support in the design and analysis of serves as a reference laboratory for the international training and technical data from surveillance and isolation, detection, and serologic assistance on laboratory methods for epidemiologic studies. testing for HIV in clinical samples and HIV serology and other tests for HIV Treponemal Pathogenesis and assists in providing laboratory training infection. Immunobiology Branch (HCRN4). (1) to public health and other laboratory Molecular Biology Section (HCRN54). Performs research and development on personnel; (5) assists in standardizing (1) Develops, evaluates, improves, and syphilis and other treponematoses, such and providing reference reagents for standardizes DNA probe technology as yaws and endemic syphilis; (2) HIV; (6) serves as a World Health including gene amplification for the conducts or participates in clinical, Organization Reference Center to diagnosis, characterization, and field, and laboratory trials to develop, provide international consultation and understanding of the pathogenesis of evaluate, and improve laboratory technical assistance on laboratory HIV; (2) investigates the molecular basis methods and materials used in the procedures for HIV isolation, detection, of the interactions between HIV and diagnosis of syphilis; (3) provides and characterization; (7) develops and host cells with an emphasis on the consultation and reference/diagnostic evaluates procedures for the isolation requirement of human factors necessary services for syphilis; (4) conducts and characterization of HIV; (8) for the expression and replication of research in the cellular and humoral develops and evaluates new and HIV; (3) participates in a national aspects of the immune response to the improved methods for the serodiagnosis screening program for the evaluation treponemes and immunochemical of HIV infection and detection of viral and characterization of HIV nucleotide studies of the organism to define genetic information in infected cells; (9) sequences for determining evolution of antigenic determinants; (5) serves as the conducts investigations of HIV and HIV- HIV; (4) provides intramural and WHO International Collaborating Center infected cells to determine how the extramural technical expertise and for Reference and Research in Syphilis virus impairs the immune system and to assistance in professional training of Serology. identify indicators for disease molecular approaches to the Treponemal Immunobiology Section progression; (10) conducts identification of HIV and other (HCRN42). (1) Conducts research investigations to identify and infectious agents; (5) conducts leading to an understanding of the in characterize new HIV isolates and to molecular investigations on the vitro growth requirements of develop new diagnostic tests for these biochemical and biological properties of treponemes; (2) studies the human isolates to determine the prevalence in HIV proteins. cellular immune response to infection various populations; (11) collaborates Serology Section (HCRN55). (1) with HIV and Treponema pallidum; (3) with other Federal, academic, and Provides epidemic aid and reference provides reference diagnostic services private laboratories. serologic testing services for HIV; (2) for syphilis and other treponematoses; Cell Biology Section (HCRN52). (1) assists in the evaluation of improved (4) prepares reference reagents for Develops and evaluates laboratory methods for HIV serodiagnosis; (3) nontreponemal tests; (5) conducts methods and procedures for the assists in providing training to public clinical evaluations; (6) serves as a isolation and characterization of HIV; health laboratorians on serologic testing WHO Collaborating Center for the (2) conducts research into the molecular of HIV; (4) assists in the standardization Treponematoses. virology of HIV virulence, latency, and provision of reference reagents; (5) Treponemal Pathogenesis Section replication, and pathogenesis as provides national and international (HCRN44). (1) Conducts research pertains to their role in the progression consultation and technical assistance on leading to an understanding of the inter- of AIDS and transmittance of the virus; laboratory methods for HIV serology. relationship of the host and the (3) provides reference isolation services Immunology Branch (HCRN6). (1) microorganism through studies of the for HIV; (4) identifies mixed infections Conducts applied research on immune antigenic composition of the treponeme, in association with HIV and conducts mechanisms that occur in microbial the role of treponemal enzymes in the research at a molecular level into their infection, particularly infection with production of the infection, in vivo impact on viral pathogenesis and AIDS; human immunodeficiency virus; (2) growth requirements, and humoral (5) assists in providing training to conducts studies on natural history, immune response of the host; (2) public health laboratorians and mechanisms of infection, prepares reference reagents for consultation to CDC as a whole on the immunopathogenesis, and the biology of treponemal tests; (3) produces isolation and culture of HIV; (6) host-microbe interaction to distinguish monoclonal antibodies; (4) determines provides international consultation and immune responses that are effective differences between strain isolates from technical assistance on laboratory versus deleterious and identifies targets patients with HIV infection and syphilis methods for HIV isolation and for immune intervention; (3) develops, and isolates from patients with syphilis characterization. evaluates, and improves assay alone. Developmental Technology Section procedures for immune mechanisms HIV Laboratory Investigations Branch (HCRN53). (1) Develops and evaluates and diagnosis of diseases; (4) performs (HCRN5). (1) Provides laboratory laboratory methods for the detection of immunologic diagnostic testing for support for epidemiologic and HIV infection and understanding of HIV laboratories and organizations within surveillance studies in collaboration pathogenesis; (2) cooperates with NCID and CDC, and outside the Agency; with the National Center for Prevention industry in conducting clinical trials (5) performs or collaborates in the Services; (2) conducts investigations of and other evaluations of new AIDS performance of clinical, epidemiologic, viral pathogenesis and evaluation of diagnostic tests; (3) conducts quality and field studies of immunologic control measures through the use of assurance program for assay materials disease states. animal models and in vitro techniques used in HIV surveillance; (4) assists in Retrovirus Diseases Branch (NCRN7). employing clinical specimens from HIV- standardization and provision of (1) Conducts research to further infected individuals; (3) trains, performs reference reagents; (5) assists in understanding of the human and reference testing, and develops certain providing training and technical zoonotic retroviruses, the diseases they reference reagents for HIVs for public assistance to public health laboratorians cause, the modes of transmission, and health laboratories in the United States on the serologic testing for HIV antigens the means for their control through 44510 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices virus detection, isolation, and methods; (4) investigates viral load and mycobacteria; (9) investigates characterization, by virologic, viral mutagenesis to determine mycobacteria for identification of molecular, and immunologic correlations with disease progression in virulence factors. methodologies; (2) determines virus vivo; (5) studies molecular level virus- Diagnostic Mycobacteriology Section genotypic variation, phenotypic host interactions that promote viral (HCRN82). (1) Provides laboratory (serologic) variation, pathogenesis, replication and transmission; (6) support to the Division of Tuberculosis tropisms, persistence, virulence, and develops collaborations with other CDC Elimination and others for epidemic transmissibility; (3) conducts field scientists and scientists from external investigations of tuberculosis; (2) epidemiologic investigations of the labs to maximize resources and promote manages the Regional Network for RFLP prevalence, distribution, trends, and scientific progress and typing and maintains the national risk factors associated with non-AIDS accomplishments; (7) develops database describing patterns of isolates retroviral diseases; (4) conducts research collaborations with industry to promote from throughout the United States; (3) to further the understanding of how commercialization of useful technology, develops new methods that subtype human retroviruses modulate the methodologies or reagents resulting mycobacteria for use as epidemiologic function of infected cells, and how from section research. markers; (4) provides reference services intracellular signals regulate retroviral Virology Section (HCRN74). (1) for identification and drug susceptibility gene expression; (5) develops Enhances prevention of retrovirus- testing of referred isolates; (5) develops collaborations with other CDC scientists associated morbidity and mortality new diagnostic methods for rapid and scientists from external labs to through laboratory research focused on identification and susceptibility testing maximize resources and promote the biology of human and zoonotic of Mycobacterium species; (6) evaluates scientific progress and retroviruses and their target cells in the newly developed diagnostic tests and accomplishments; (6) develop host; (2) investigates the factors that procedures; (7) provides consultation collaborations with industry to promote govern the progression from HIV- and training to State, federal and commercialization of useful technology, infection to AIDS and interventions that municipal public health laboratories; (8) methodologies or reagents resulting may prevent AIDS; (3) determines the serves as the primary CDC focus for from section research. factors that control the regulation of studies of nontuberculosis Immunology Section (HCRN72). (1) retroviral expression through studies of Mycobacterium species; (9) supports Develops new methods to improve the retroviral latency, activation and and encourages studies on role of detection of immunologic markers of replication; (4) develops improved nontuberculous mycobacteria in human retrovirus infection and to enhance methods for culture and identification and animal disease; (10) studies prevention of retrovirus-associated of known and novel retroviruses; (5) characteristics of Mycobacterium morbidity and mortality through discovers new markers for retrovirus species that infect humans. immunologic research; (2) analyzes infection and disease progression that Immunology and Molecular structural and functional characteristics will further the understanding of Pathogenesis Section (HCRN83). (1) of retroviral antigens in order to develop retroviral epidemiology; (6) develops Conducts studies to define the more sensitive and specific serologic new cellular models for retrovirus molecular genetics of mycobacteria and assays for retroviral detection; (3) studies; (7) develops collaborations with develop molecular tools for the investigates host cellular and humoral other CDC scientists and scientists from detection and prevention of immune responses to retroviral external labs to maximize resources and mycobacterial infections; (2) defines infection to determine factors that promote scientific progress and mechanisms of drug resistance in regulate retroviral disease expression; accomplishments; (8) develops mycobacteria and develops methods for (4) analyzes soluble factors that collaborations with industry to promote rapid detection of resistance; (3) modulate retroviral expression; (5) commercialization of useful technology, conducts studies to define the role of provides reference diagnostic testing for methodologies or reagents resulting host-pathogen factors and immunologic samples with unusual seroreactivity or from section research. mechanisms in disease processes and from patients with unusual clinical Tuberculosis/Mycobacteriology protective immunity; (4) develops, presentation; (6) determines the natural Branch (HCRN8). (1) Provides evaluates, and improves immunologic/ history of retroviruses by characterizing laboratory support for epidemic serologic methods for the diagnosis and samples collected world-wide; (7) investigations and special studies of prevention of mycobacterial diseases; develops collaborations with other CDC tuberculosis and other mycobacterial (5) conducts studies to identify and scientists and scientists from external diseases; (2) conducts research into characterize virulence factors, labs to maximize resources and promote immunology of mycobacterial pathogenic mechanisms, and the scientific progress and infections, pathogenic mechanisms, and molecular basis of disease caused by accomplishments; (8) develops molecular basis of diseases; (3) provides mycobacteria; (6) develops and collaborations with industry to promote reference diagnostic services to State evaluates agents for the treatment and commercialization of useful technology, public health laboratories; (4) prevention of mycobacterial diseases; methodologies or reagents resulting administers grants and cooperative (7) develops animal models for study of from section research. agreements with States and others to detection, treatment, and characteristics Molecular Genetics Section upgrade laboratory activities and of mycobacterial diseases; (8) serves as (HCRN73). (1) Provides molecular provide special services; (5) develops, the primary CDC focus for studies of genetics expertise for public health evaluates, and/or improves methods for Hansen disease (leprosy). investigations concerning human and classifying and identifying mycobacteria Delete the functional statement for zoonotic retroviruses; (2) develops and and mycobacterial diseases; (6) develops Emerging Bacterial and Mycotic applies new molecular technologies to tissue culture and animal models of Diseases Branch (HCRP8), Division of monitor and investigate retroviral mycobacterial diseases that can be used Bacterial and Mycotic Diseases (HCRP) epidemiology, natural history, and in studies of chemotherapy, and insert the following: (1) In pathogenesis; (3) identifies and immunotherapy and vaccine collaboration with other CDC Centers/ characterizes new and emerging evaluations; (8) studies problems of Institute/Offices and other NCID retroviruses by novel molecular isolation, taxonomy, and ecology of Divisions, conducts laboratory studies Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44511 and provides epidemic aid, DEPARTMENT OF THE INTERIOR placement, or release of hazardous surveillance, and consultation on the substances. R&PP classification control of emerging, reemerging, and Bureau of Land Management COC7703 dated October 1, 1980, is opportunistic bacterial, fungal, [CO±010±4212±11; COC48503] hereby terminated. R&PP classification actinomycotic, and nontuberculosis COC36380, dated May 4, 1983, is hereby mycobacterial diseases; (2) provides Realty Action: Recreation and Public amended to delete the lands described reference and diagnostic activities for Purposes (R&PP) Act Classification; herein. Colorado agents causing these diseases and for the Detailed information concerning this identification of unknown bacterial, AGENCY: Bureau of Land Management, action is available for review at the fungal, and actinomycotic isolates Department of the Interior. office of the Bureau of Land associated with human disease; (3) ACTION: Notice of realty action. Management, White River Resource performs studies to determine host- Area, 73544 Highway 64, Meeker, parasite factors related to human SUMMARY: The following public lands in Colorado. diseases caused by emerging, Rio Blanco County, Colorado, have been Upon publication of this notice in the reemerging, and opportunistic bacterial, examined and found suitable for Federal Register, the lands will be fungal, actinomycotic, and classification for lease or conveyance to segregated from all forms of nontuberculosis mycobacterial agents; The Benevolent and Protective Order of appropriation under the public land (4) coordinates and collaborates in the Elks Lodge No. 1907 under the laws, including the general mining laws, national and international studies and provisions of the Recreation and Public except for conveyance under the surveillance for bacterial, fungal, Purposes Act (R&PP) (43 U.S.C. 869 et Recreation and Public Purposes Act, mycobacterial, and actinomycotic seq.), as amended by the Recreation and Public Purposes Amendment Act of conveyance under section 209(b) of the diseases; (5) develops and evaluates Federal Land Policy and Management methods for the diagnosis of emerging, 1988. The Benevolent and Protective Order of the Elks proposes to use the Act, and leasing under the mineral reemerging, and opportunistic bacterial, leasing laws. fungal, and actinomycotic diseases; (6) lands for a recreation facility and trap develops, implements, and evaluates shooting range. For a period of 45 days from the date prevention strategies for these diseases; Sixth Principal Meridian, Colorado of publication in the Federal Register, interested persons may submit (7) collaborates with other CDC Centers/ T. 1 N., R. 102 W., comments regarding the proposed lease Institute/Offices, NCID Divisions, State Section 12, W1⁄2E1⁄2SW1⁄4NW1⁄4, and Federal agencies in addressing W1⁄2SW1⁄4NW1⁄4. or conveyance or classification of the reemerging bacterial and mycotic The lands, containing 30 acres, are not lands to the Associate District Manager, diseases. needed for federal purposes. Craig District Office, 455 Emerson Street, Craig, Colorado 81625. Delete the functional statement for the Lease or conveyance is consistent Epidemiology Section (HCRP82), with current BLM land use planning, Classification Comments: Interested Emerging Bacterial and Mycotic and would be in the public interest. A parties may submit comments involving Diseases Branch (HCRP8), and insert the lease or patent if issued will be subject the suitability of the land for recreation following: (1) Conducts epidemic to the following terms, conditions, and/ facilities and trap shoot range. investigations, surveillance, and special or reservations: Comments on the classification are 1. Provisions of the Recreation and restricted to whether the land is studies of emerging, reemerging, and Public Purposes Act, the Recreation and physically suited for the proposal, opportunistic bacterial, fungal, Public Purposes Amendment Act, and whether the use will maximize the actinomycotic, and mycobacterial all applicable regulations of the future use or uses of the land, whether diseases; (2) provides clinical and Secretary of the Interior. the use is consistent with local planning epidemiologic consultation on these 2. A right-of-way reservation of and zoning, or if the use is consistent diseases; (3) coordinates activities ditches and canals constructed by with State and Federal programs. related to opportunistic infections in authority of the United States under the compromised hosts for the Division. Act of August 30, 1890 (43 E.S.C. 945). Application Comments: Interested parties may submit comments regarding Delete the title and functional 3. All minerals shall be reserved to the specific use proposed in the statement for the Tuberculosis and the United States, together with the application and plan of development, Other Mycobacterioses Laboratory right to prospect for, mine, and remove whether the BLM followed proper Section (HCRP85), Emerging Bacterial the minerals. administrative procedures in reaching and Mycotic Diseases Branch (HCRP8), 4. A lease or patent may contain terms the decision, or any other factor not Division of Bacterial and Mycotic and conditions to indemnify the United directly related to the suitability of the Diseases (HCRP). States and its officers, agents, representatives, and employees from land for a recreation facility and trap Delete the title and functional claims, loss, damage, actions, causes of shoot range. Any adverse comments will statement for the Retrovirus Diseases action, expense, and liability be reviewed by the State Director. In the Branch (HCRUA), Division of Viral and attributable to the disposal or release of absence of any adverse comments, the Rickettsial Diseases (HCRU). hazardous substances on the land classification will become effective on Effective Date: August 15, 1995. described above. A patent may be issued or before October 27, 1995. without a reverter provision for some or David Satcher, FOR FURTHER INFORMATION CONTACT: all of the land, depending upon the Director, Centers for Disease Control and location of sites potentially susceptible Naomi Moody, Realty Specialist, or Prevention. to disposal of or release of hazardous Vern Rholl, Realty Specialist, White [FR Doc. 95–21302 Filed 8–25–95; 8:45 am] substances. River Resource Area, P.O. Box 928, BILLING CODE 4160±18±M 5. Compliance with all Federal and Meeker, Colorado 81641. (970) 878– State laws applicable to their disposal, 3601. 44512 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Dated: August 17, 1995. DEPARTMENT OF LABOR format, reporting burden is minimized, Robert W. Schneider, reporting forms are clearly understood, Associate District Manager. Employment and Training and the impact of collection [FR Doc. 95–21221 Filed 8–25–95; 8:45 am] Administration requirements on respondents can be BILLING CODE 4310±JB±M [TA±W±31,111B] properly assessed. Currently, the Bureau of Labor Statistics (BLS) is soliciting Brazos Gas Compressing Company comments concerning a proposed Meadville, PA; Amended Certification revision of the collection, ‘‘Producer INTERSTATE COMMERCE Regarding Eligibility to Apply for Price Indexes, by Industry.’’ A copy of COMMISSION Worker Adjustment Assistance the proposed information collection [Finance Docket No. 32755] request (ICR) can be obtained by In accordance with Section 223 of the contacting the individual listed below CSX Transportation, Inc.ÐTrackage Trade Act of 1974 (19 U.S.C. 2273) the in the address section of this notice. Department of Labor issued a Rights ExemptionÐNorfolk and DATES: Written comments must be Certification Regarding Eligibility to Western Railway Company submitted on or before October 27, Apply for Worker Adjustment 1995. Norfolk and Western Railway Assistance on August 2, 1995, Company (NW) has agreed to grant applicable to all workers of the subject ADDRESSES: Send comments to Karin G. overhead trackage rights to CSX firm. The notice will soon be published Kurz, BLS Clearance Officer, Division of Transportation, Inc. (CSXT) as follows: in the Federal Register. Management Systems, Bureau of Labor from the connection track in the New information was received from Statistics, Room 3255, 2 Massachusetts northwest quadrant between the tracks the company which shows that when Avenue N.E., Washington, DC 20212. of CSXT and NW at or near NW’s reporting the location for the subject For further information contact Ms. milepost D122.6 at St. Joe, IN to the facility, the company incorrectly Kurz on 202–606–7628 (this is not a toll southernmost connection between NW reported Brazos Gas’s Meadville free number). and the industrial trackage of Steel location in the State of Texas. The SUPPLEMENTARY INFORMATION: Dynamics, Inc. (SDI) in Wilmington location is Meadville, Pennsylvania. I. Background Township, DeKalb County, IN, at or The Department is amending the near NW’s milepost D118.6, a total certification to identify the correct The Producer Price Indexes (PPI), distance of approximately 3.5 miles. location. which is one of the nation’s leading The proposed transaction will allow The amended notice applicable to economic indicators, is used as a CSXT to provide direct rail service to TA–W–31,111B is hereby issued as measure of price movements, an SDI’s mill, increase intramodal follows: indicator of inflationary trends in the competition, and allow CSXT to provide ‘‘All workers of Brazos Gas Compressing economy, an inventory valuation more efficient service than would be Company, Meadville, Pennsylvania who measure for some organizations, and a available on a joint route arrangement. become totally or partially separated from measure of purchasing power of the The trackage rights were scheduled to employment on or after May 26, 1994 are dollar at the primary market level. It is become effective on August 14, 1995.1 eligible to apply for adjustment assistance also used in market research and as a This notice is filed under 49 CFR under Section 223 of the Trade Act of 1974.’’ basis for escalation in long-term 1180.2(d)(7). If the notice contains false Signed at Washington, DC this 17th day of contracts. August 1995. or misleading information, the II. Current Actions exemption is void ab initio. Petitions to Arlene O’Connor, revoke the exemption under 49 U.S.C. Acting Program Manager, Policy and BLS is proposing revisions to PPI 10505(d) may be filed at any time. The Reemployment Services, Office of Trade disaggregation and resampling filing of a petition to revoke will not Adjustment Assistance. procedures, and is planning pilot automatically stay the transaction. [FR Doc. 95–21266 Filed 8–25–95; 8:45 am] projects to implement electronic Pleadings must be filed with the BILLING CODE 4510±30±M collection of survey data. Commission and served on: John W. New Disaggregation Procedures. The Humes, Jr., 500 Water St., J–150, purpose of this proposed new method is Jacksonville, FL 32202. Bureau of Labor Statistics to define a publication structure that is As a condition to the use of this publishable virtually in its entirety, Proposed Information Collection meets user needs, is continuous, and exemption, any employees adversely Request Submitted for Public affected by the trackage rights will be permits meaningful classification of Comment and Recommendations; current production. In order to satisfy protected under Norfolk and Western Producer Price Indexes, by Industry Ry. Co.—Trackage Rights—BN, 354 the publishability of the entire structure, I.C.C. 605 (1978), as modified in ACTION: Notice. price quotes will be collected using a Mendocino Coast Ry., Inc.—Lease and modified first step of disaggregation. Operate, 360 I.C.C. 653 (1980). SUMMARY: The Department of Labor, as Quotes will be spread across part of its continuing effort to reduce predetermined product categories which Decided: August 21, 1995. paperwork and respondent burden, correspond to the publication cells for a By the Commission, Joseph H. Dettmar, conducts a preclearance consultation Standard Industrial Classification (SIC). Acting Director, Office of Proceedings. program to provide the general public The design of the new disaggregation Vernon A. Williams, and Federal agencies with an method provides for collection of Secretary. opportunity to comment on proposed enough quotes in the smaller [FR Doc. 95–21259 Filed 8–25–95; 8:45 am] and/or continuing collections of publication cells so that they will be BILLING CODE 7035±01±P information in accordance with the publishable. The result of the new Paperwork Reduction Act of 1995. This method will be that there will be a 1 CSXT is restricted to using the trackage rights program helps to ensure that requested smaller number of quotes for the larger to provide rail service only to SDI. data can be provided in the desired cells and a larger number of quotes for Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44513 the smaller cells compared to how SUMMARY: NASA hereby gives notice TS to bring them more in line with the quotes would be spread if normal that Alan R. Hargens of Saratoga, standard format in the NRC report disaggregation were used. California, has requested an exclusive NUREG–1431, ‘‘Standard Technical New Resampling Procedures. The license to practice the invention Specifications Westinghouse Plants.’’ purpose of this proposed new process, described and claimed in U.S. Patent The proposed action is in accordance ‘‘recycling without resampling,’’ is to No. 5,133,339, entitled ‘‘Exercise with the licensee’s application for allow BLS to update the weights and Method and Apparatus Utilizing amendments dated September 19, 1994, composition of industry indexes Differential Air Pressure.’’ An as supplemented by letters dated April without having to resample the entire undivided interest in this patent is 26 and June 19, 1995. industry. The process will permit BLS assigned to the United States of America to accommodate changes in the current as represented by the Administrator of The Need for the Proposed Action SIC structure more efficiently. the National Aeronautics and Space The proposed action is needed so that Augmentation sampling of just the Administration. Written objections to the licensee can use higher fuel additional product line(s) covered by the prospective grant of a license should enrichment to provide additional the new SIC structure, rather than be sent to Mr. Harry Lupuloff, Senior flexibility in the licensee’s reload design resampling the entire industry, will now Patent Attorney, NASA Headquarters. efforts and to increase the efficiency of be operationally feasible. This capability DATE: Responses to this Notice must be fuel storage cell use in the spent fuel is a major breakthrough and will enable received by October 27, 1995. pools. BLS to resample volatile industries FOR FURTHER INFORMATION CONTACT: more frequently while cutting the Environmental Impacts of the Proposed Mr. Harry Lupuloff, NASA Action: expenses of data collection. Headquarters, Code GP, Washington, DC Electronic Collection. BLS is planning 20546; (202) 358–2067. The Commission has completed its to conduct several pilot projects over evaluation of the proposed revisions to Dated: August 18, 1995. the next few years to collect PPI data the TS. The proposed revisions would from survey respondents electronically. Edward A. Frankle, permit storage of fuel enriched to a A range of electronic collection methods General Counsel. nominal 5.0 weight percent Uranium- will be used including collection via [FR Doc. 95–21290 Filed 8–25–95; 8:45 am] 235. The safety considerations facsimile, the Internet, and Electronic BILLING CODE 7510±01±M associated with reactor operation with Data Interchange (EDI). higher enrichment and extended Type of Review: Revision. irradiation have been evaluated by the Agency: Bureau of Labor Statistics. NUCLEAR REGULATORY NRC staff. The staff has concluded that Title: Producer Price Indexes, by COMMISSION such changes would not adversely affect Industry. plant safety. The proposed changes have OMB Number: 1220–0008. [Docket Nos. 50±413 and 50±414] Frequency: One-time and monthly. no adverse effect on the probability of Affected Public: Businesses or other Duke Power Company, et al.; Catawba any accident. No changes are being for-profit; small businesses or Nuclear Station, Unit Nos. 1 and 2; made in the types or amounts of any organizations; and Federal Government. Environmental Assessment and radiological effluents that may be Number of Respondents: 28,700. Finding of No Significant Impact released offsite. There is no significant Estimated Time Per Respondent: increase in the allowable individual or The U.S. Nuclear Regulatory Initiation—2 Hours; repricing—18 cumulative occupational radiation Commission (the Commission) is minutes. exposure. Total Burden Hours: 347,949 hours. considering issuance of amendments to The environmental impacts of Comments submitted in response to Facility Operating License Nos. NPF–35 transportation resulting from the use of this notice will be summarized and/or and NPF–52, issued to Duke Power higher enrichment fuel and extended included in the request for Office of Company, et al. (the licensee), for irradiation were published and Management and Budget approval of the operation of the Catawba Nuclear discussed in the staff assessment ICR; they also will become a matter of Station, Units 1 and 2, located in York entitled, ‘‘NRC Assessment of the public record. County, South Carolina. Environmental Effects of Transportation Signed at Washington, D.C., this 22nd day Environmental Assessment Resulting from Extended Fuel of August, 1995. Enrichment and Irradiation,’’ dated July Identification of the Proposed Action W. Stuart Rust, Jr., 7, 1988, and published in the Federal Acting Chief, Division of Management The proposed action would change Register (53 FR 30355) on August 11, Systems, Bureau of Labor Statistics. the Technical Specifications (TS) to (a) 1988, as corrected on August 24, 1988 [FR Doc. 95–21267 Filed 8–25–95; 8:45 am] allow the maximum enrichment for fuel (53 FR 32322), in connection with stored in the fuel pools to increase from Shearon Harris Nuclear Power Plant, BILLING CODE 4510±24±M a nominal value of 4.0 to 5.0 weight Unit 1: Environmental Assessment and percent Uranium-235, (b) establish new Finding of No Significant Impact. As loading patterns for new and irradiated indicated therein, the environmental NATIONAL AERONAUTICS AND fuel in the spent fuel pool consistent cost contribution of the proposed SPACE ADMINISTRATION with associated burnup criteria up to a increase in the fuel enrichment and [Docket (95±077)] maximum value of 60 GWD/MTU to irradiation limits are either unchanged accommodate this increase, (c) add a TS or may, in fact, be reduced from those Prospective Patent License to establish a limit for boron summarized in Table S–4 as set forth in AGENCY: National Aeronautics and concentration for all modes of 10 CFR 51.52(c). Accordingly, the Space Administration. operation, (d) add BASES to correspond Commission concludes that there are no to the TS that were added, (e) add TS significant radiological environmental ACTION: Notice of prospective patent to reflect limits for fuel storage impacts associated with the proposed license. criticality analysis, and (f) reformat the amendment. 44514 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices With regard to potential For the Nuclear Regulatory Commission. concludes that the proposed one-time nonradiological impacts, the proposed Herbert N. Berkow, exemption would not increase the action involves features located entirely Director, Project Directorate II–2, Division of probability or consequences of accidents within the restricted area as defined in Reactor Projects—I/II, Office of Nuclear previously analyzed and would not 10 CFR Part 20. It does not affect Reactor Regulation. affect facility radiation levels or facility nonradiological plant effluents and has [FR Doc. 95–21270 Filed 8–25–95; 8:45 am] radiological effluents. In accordance no other environmental impact. BILLING CODE 7590±01±P with Section III.D.1.(b) of Appendix J to Accordingly, the Commission concludes 10 CFR Part 50, the licensee will that there are no significant continue to be required to conduct the nonradiological environmental impacts [Docket No. 50±424] Type B and C local leak rate tests, which historically have been shown to be the associated with the proposed action. Georgia Power Company, et al.; Vogtle principal means of detecting Electric Generating Plant, Unit 1 Alternatives to the Proposed Action containment leakage paths with the Environmental Assessment and Type A tests confirming the Type B and Since the Commission has concluded Finding of No Significant Impact there is no measurable environmental C test results. In addition, even though impact associated with the proposed The U.S. Nuclear Regulatory the licensee would be exempt from the action, any alternatives with equal or Commission (the Commission) is requirement to perform the Type A greater environmental impact need not considering issuance of an exemption integrated leak rate test, they have be evaluated. The principal alternative from certain requirements of its committed to performing a general to this action would be to deny the regulations to Facility Operating License containment inspection as specified in requested amendments. Such action No. NPF–68, issued to Georgia Power 10 CFR Part 50, Appendix J, Section V.A would not reduce the environmental Company, et al. (the licensee) for if the requested exemption is granted. impacts of plant operations. operation of the Vogtle Electric The NRC staff considers that these Generating Plant (Vogtle), Unit 1, inspections, though limited in scope, Alternative Use of Resources located at the licensee’s site in Burke provide an important added level of County, Georgia. confidence in the continued integrity of This action does not involve the use the containment boundary. The change of resources not previously considered Environmental Assessment will not increase the probability or in the ‘‘Final Environmental Statement Identification of Proposed Action consequences of accidents, no changes Related to the Operation of Catawba are being made in the types of any Nuclear Station Units 1 and 2,’’ dated This Environmental Assessment has effluents that may be released offsite, January 1983. been prepared to address potential and there is no significant increase in environmental issues related to the Agencies and Persons Consulted the allowable individual or cumulative licensee’s application dated May 12, occupational radiation exposure. In accordance with its stated policy, 1995, as supplemented by letter dated Accordingly, the Commission concludes on July 21, 1995, the NRC staff July 6, 1995. The proposed action would that there are no significant radiological consulted with the South Carolina State exempt the licensee from the environmental impacts associated with official, Mr. V. Autrey of the Bureau of requirements of 10 CFR Part 50, the proposed action. Radiological Health, Department of Appendix J, Paragraph III.D.1.(a), to the With regard to potential Health and Environmental Controls, extent that a one-time extension of nonradiological impacts, the proposed regarding the environmental impact of approximately 18 months would permit action involves features located entirely the proposed action. The State official rescheduling the third containment within the restricted area as defined in had no comments. integrated leak rate test (ILRT) from the 10 CFR Part 20. It does not affect March 1996 refueling outage to the Finding of No Significant Impact nonradiological plant effluents and has September 1997 refueling outage. The no other environmental impact. Based upon the environmental requirement of 10 CFR Part 50, Accordingly, the Commission concludes assessment, the Commission concludes Appendix J, Section IV.A, to perform a that there are no significant that the proposed action will not have Type A test following any major nonradiological environmental impacts a significant effect on the quality of the modification to the primary associated with the proposed action. containment boundary will be human environment. Accordingly, the Alternatives to the Proposed Action Commission has determined not to maintained. No such modifications have prepare an environmental impact been made to the containment since the Since the Commission has concluded statement for the proposed license last Type A test in 1993, nor are any there is no measurable environmental amendments. planned during the March 1996 impact associated with the proposed refueling outage. exemption, any alternatives with equal For further details with respect to this or greater environmental impact need The Need for the Proposed Action action, see the licensee’s letter dated not be evaluated. The principal September 19, 1994, as supplemented The proposed action is needed to alternative to this action would be to by letters dated April 26 and June 19, permit the licensee to defer the Type A deny the request for exemption. Such 1995, which are available for public ILRT from the spring 1996 refueling action would not reduce the inspection at the Commission’s Public outage to the September 1997 refueling environmental impacts of plant Document Room, The Gelman Building, outage, thereby saving the cost of operations. 2120 L Street, NW., Washington, DC, performing the test and eliminating the and at the local public document room test from the 1996 outage. Alternative Use of Resources located at the York County Library, 138 This action did not involve the use of East Black Street, Rock Hill, South Environmental Impacts of the Proposed any resources not previously considered Carolina. Action in the Final Environmental Statement Dated at Rockville, Maryland, this 15th day The Commission has completed its related to the operation of the Vogtle of August 1995. evaluation of the proposed action and Electric Generating Plant. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44515 Agencies and Persons Consulted and leaking fuel rods by reconstituting irradiation limits are either unchanged In accordance with its stated policy, the assemblies in accordance with the or may, in fact, be reduced from those on July 5, 1995, the staff consulted with guidance in Generic Letter 90–02, summarized in Table S–4 as set forth in the Georgia State official, Mr. James Supplement 1, ‘‘Alternative 10 CFR 51.52(c). Accordingly, the Hardeman of the Environmental Requirements For Fuel Assemblies In Commission concludes that there are no The Design Features Section of Protection Division, Georgia Department significant radiological environmental Technical Specifications.’’ The of Natural Resources, regarding the impacts associated with the proposed application is also generally consistent environmental impact of the proposed amendments. with the format and content of the With regard to potential action. The state official had no improved Standard TS for nonradiological impacts, the proposed comments. Westinghouse plants provided in action involves features located entirely Finding of No Significant Impact NUREG–1431, ‘‘Standard Technical within the restricted area as defined in Based upon the environmental Specifications Westinghouse Plants.’’ 10 CFR Part 20. It does not affect The proposed action is in accordance assessment, the Commission concludes nonradiological plant effluents and has with the licensee’s application for that the proposed action will not have no other environmental impact. amendments dated June 17, 1993, as a significant effect on the quality of the Accordingly, the Commission concludes supplemented by letter dated July 5, human environment. Accordingly, the that there are no significant 1995. Commission has determined not to nonradiological environmental impacts prepare an environmental impact The Need for the Proposed Action associated with the proposed action. statement for the proposed exemption. The proposed action is needed so that Alternatives to the Proposed Action For further details with respect to this the licensee can use higher fuel Since the Commission has concluded action, see the licensee’s letters dated enrichment to provide additional there is no measurable environmental May 12, 1995, and July 6, 1995, which flexibility in the licensee’s reload design impact associated with the proposed are available for public inspection at the efforts and to provide flexibility in the action, any alternatives with equal or Commission’s Public Document Room, reconstitution of fuel assemblies that are greater environmental impact need not The Gelman Building, 2120 L Street, found to be leaking or are determined to be evaluated. The principal alternative NW., Washington, DC, and at the local be probable sources of future leakage. to this action would be to deny the public document room located at the requested amendments. Such action Burke County Library, 412 Fourth Environmental Impacts of the Proposed would not reduce the environmental Street, Waynesboro, Georgia. Action impacts of plant operations. Dated at Rockville, Maryland, this 21st day The Commission has completed its of August 1995. evaluation of the proposed revisions to Alternative Use of Resources For the Nuclear Regulatory Commission. the TS. The proposed revisions would This action does not involve the use Herbert N. Berkow, permit storage of fuel enriched to a of resources not previously considered nominal 5.0 weight percent Uranium- Director, Project Directorate II–2, Division of in the ‘‘Final Environmental Statement Reactor Projects—I/II, Office of Nuclear 235. The safety considerations Related to the Operation of Catawba Reactor Regulation. associated with storing new and spent Nuclear Station Units 1 and 2,’’ dated [FR Doc. 95–21269 Filed 8–25–95; 8:45 am] fuel of a higher enrichment have been January 1983. evaluated by the NRC staff. The staff has BILLING CODE 7590±01±P concluded that such changes would not Agencies and Persons Consulted adversely affect plant safety. The In accordance with its stated policy, [Docket Nos. 50±413 and 50±414] proposed changes have no adverse effect on July 21, 1995, the NRC staff on the probability of any accident. No consulted with the South Carolina State Duke Power Company, et al.; Catawba changes are being made in the types or official, Mr. V. Autrey of the Bureau of Nuclear Station, Unit Nos. 1 and 2; amounts of any radiological effluents Radiological Health, Department of Environmental Assessment and that may be released offsite. There is no Health and Environmental Controls, Finding of No Significant Impact significant increase in the allowable regarding the environmental impact of individual or cumulative occupational The U.S. Nuclear Regulatory the proposed action. The State official radiation exposure. had no comments. Commission (the Commission) is The environmental impacts of considering issuance of amendments to transportation resulting from the use of Finding of No Significant Impact Facility Operating License Nos. NPF–35 higher enrichment fuel and extended Based upon the environmental and NPF–52, issued to Duke Power irradiation were published and assessment, the Commission concludes Company, et al. (the licensee), for discussed in the staff assessment that the proposed action will not have operation of the Catawba Nuclear entitled, ‘‘NRC Assessment of the a significant effect on the quality of the Station, Units 1 and 2, located in York Environmental Effects of Transportation human environment. Accordingly, the County, South Carolina. Resulting from Extended Fuel Commission has determined not to Environmental Assessment Enrichment and Irradiation,’’ dated July prepare an environmental impact 7, 1988, and published in the Federal statement for the proposed license Identification of the Proposed Action Register (53 FR 30355) on August 11, amendments. The proposed action would revise 1988, as corrected on August 24, 1988 For further details with respect to this Technical Specification (TS) 5.3.1 ‘‘Fuel (53 FR 32322), in connection with action, see the licensee’s letter dated Assemblies’’ to (a) allow an increase in Shearon Harris Nuclear Power Plant, June 17, 1993, as supplemented by letter the maximum specified enrichment for Unit 1: Environmental Assessment and dated July 5, 1995, which are available fuel assemblies from a nominal value of Finding of No Significant Impact. As for public inspection at the 4.0 to 5.0 weight percent Uranium-235, indicated therein, the environmental Commission’s Public Document Room, and (b) provide flexibility in the repair cost contributions of the proposed The Gelman Building, 2120 L Street, of fuel assemblies containing damaged increase in the fuel enrichment and NW., Washington, DC, and at the local 44516 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices public document room located at the which must be returned upon exit from geometry) registered with their picture York County Library, 138 East Black the protected area. . . .’’ badge number in a computerized access Street, Rock Hill, South Carolina. The licensee proposes to implement control system. Therefore, all authorized Dated at Rockville, Maryland, this 21st day an alternative unescorted access system individuals must not only have their of August 1995. which would eliminate the need to picture badge to gain access to the For the Nuclear Regulatory Commission. issue and retrieve picture badges at the protected area, but must also have their entrance/exit location to the protected hand geometry confirmed. All Herbert N. Berkow, area and would allow all individuals, individuals, including contractors, who Director, Project Directorate II–2, Division of including contractors, to keep their have authorized unescorted access into Reactor Projects—I/II, Office of Nuclear picture badges in their possession when Reactor Regulation. the protected area will be allowed to departing the Pilgrim site. keep their picture badges in their [FR Doc. 95–21285 Filed 8–25–95; 8:45 am] By letter dated June 21, 1995, the possession when departing the Pilgrim BILLING CODE 7590±01±P licensee requested an exemption from site. certain requirements of 10 CFR All other access processes, including 73.55(d)(5). Specifically, the requested search function capability and access [Docket No. 50±293] exemption would allow contractors who revocation, will remain the same. A have unescorted access to retain security officer responsible for access Boston Edison Company (Pilgrim possession of their picture badges control will continue to be positioned Nuclear Power Station); Exemption instead of returning them as they exit within a bullet-resistant structure. It I the protected area. should also be noted that the proposed III system is only for individuals with The Boston Edison Company (BECo/ authorized unescorted access and will licensee) is the holder of Facility Pursuant to 10 CFR 73.55, ‘‘Specific not be used for those individuals Operating License No. DPR–35, which exemptions,’’ the Commission may requiring escorts. authorizes operation of the Pilgrim upon application of any interested Sandia National Laboratories Nuclear Power Station (the facility). The person or upon its own initiative, grant conducted testing which demonstrated license provides, among other things, such exemption in this part as it that the hand geometry equipment that the facilities are subject to all the determines are authorized by law and possesses strong performance rules, regulations, and orders of the U.S. will not endanger life or property or the characteristics. Details of the testing Nuclear Regulatory Commission (the common defense and security, and are performed are in the Sandia report, ‘‘A Commission) now or hereafter in effect. otherwise in the public interest. The Performance Evaluation of Biometric The facility is a boiling-water reactor Code of Federal Regulations at 10 CFR Identification Devices,’’ SAND91—0276 located at the licensee’s site in 73.55 allows the Commission to UC—906 Unlimited Release, June 1991. Plymouth, Massachusetts. authorize a licensee to provide Based on the Sandia report and the II alternative measures for protection licensee’s experience using the current against radiological sabotage provided photo picture identification system, the The Code of Federal Regulations at 10 the licensee demonstrates that the false acceptance rate for the proposed CFR 73.55, ‘‘Requirements for physical alternative measures have the same hand geometry system would be at least protection of licensed activities in ‘‘high assurance’’ objective, that the equivalent to that of the current system. nuclear power reactors against proposed measures meet the general To assure that the proposed system will radiological sabotage,’’ paragraph (a), in performance requirements of the continue to meet the general part, states that ‘‘the licensee shall regulation, and that the overall level of performance requirements of 10 CFR establish and maintain an onsite system performance provides protection 73.55(d)(5), the licensee will implement physical protection system and security against radiological sabotage equivalent a process for testing the system. The site organization which will have as its to that which would be provided by the security plans will also be revised to objective to provide high assurance that regulation. allow implementation of the hand activities involving special nuclear Currently, unescorted access into the geometry system and to allow material are not inimical to the common protected area for both employee and employees and contractors with defense and security and do not contractor personnel into the Pilgrim unescorted access to keep their picture constitute an unreasonable risk to the Nuclear Power Station is controlled badges in their possession when leaving public health and safety.’’ through the use of picture badges. the Pilgrim site. The Code of Federal Regulations at 10 Positive identification of personnel CFR 73.55(d), ‘‘Access Requirements,’’ which are authorized and request access IV paragraph (1), specifies that, ‘‘the into the protected area is established by For the foregoing reasons, the NRC licensee shall control all points of security personnel making a visual staff has determined that the proposed personnel and vehicle access into a comparison of the individual requesting alternative measures for protection protected area.’’ The Code of Federal access and that individual’s picture against radiological sabotage meet the Regulations at 10 CFR 73.55(d)(5) also badge. In accordance with 10 CFR same high assurance objective and the requires that, ‘‘A numbered picture 73.55(d)(5), contractor personnel are not general performance requirements of 10 badge identification system shall be allowed to take their picture badges CFR 73.55. In addition, the staff has used for all individuals who are offsite. In addition, in accordance with determined that the overall level of the authorized access to protected areas the plant’s physical security plan, the proposed system’s performance will without escort.’’ It further states that licensee’s employees are also not provide protection against radiological individuals not employed by the allowed to take their picture badges sabotage equivalent to that which is licensee (e.g., contractors) may be offsite. provided by the current system in authorized access to protected areas The proposed system will require that accordance with 10 CFR 73.55. without escort provided that the all individuals with authorized Accordingly, the Commission has individual, ‘‘receives a picture badge unescorted access have the physical determined that, pursuant to 10 CFR upon entrance into a protected area characteristics of their hand (hand 73.55, this exemption is authorized by Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44517 law, will not endanger life or property The NRC will require the Licensee to Marsh, RMI Environmental Services, or common defense and security, and is remediate the extrusion plant site to and otherwise in the public interest. meet NRC’s criteria, and, during the 2. The NRC staff, by delivery to the Therefore, the Commission hereby decommissioning activities, to maintain Executive Director for Operations, One grants the following exemption: effluents as low as reasonably White Flint North, 11555 Rockville The requirement of 10 CFR achievable. Pike, Rockville, MD 20852, or by mail, 73.55(d)(5) that individuals who have Prior to the issuance of the proposed addressed to the Executive Director for been granted unescorted access and are amendment, NRC will have made Operations, U.S. Nuclear Regulatory not employed by the licensee are to findings required by the Atomic Energy Commission, Washington, DC 20555. return their picture badges upon exit Act of 1954, as amended, and NRC’s For further details with respect to this from the protected area is no longer regulations. These findings will be action, the application for amendment necessary. Thus, these individuals may documented in a Safety Evaluation request is available for inspection at the keep their picture badges in their Report and an Environmental Commission’s Public Document Room, possession upon leaving the Pilgrim Assessment. 2120 L Street NW., Washington, DC site. The NRC hereby provides notice that 20555. Pursuant to 10 CFR 51.32, the this is a proceeding on an application Dated at Rockville, Maryland, this 17th day Commission has determined that the for a license amendment falling within of August, 1995. granting of this exemption will not the scope of Subpart L, Informal Hearing For the Nuclear Regulatory Commission. result in any significant adverse Procedures for Adjudications in environmental impact (60 FR 42924). Materials Licensing Proceedings, of Michael F. Weber, This Exemption is effective upon NRC’s rules and practice for domestic Chief, Low-Level Waste and Decommissioning issuance. licensing proceedings in 10 CFR Part 2. Projects Branch, Division of Waste Management, Office of Nuclear Material Dated at Rockville, Maryland, this 21st day Pursuant to § 2.1205(a), any person Safety and Safeguards. whose interest may be affected by this of August 1995. [FR Doc. 95–21268 Filed 8–25–95; 8:45 am] proceeding may file a request for a For the Nuclear Regulatory Commission. BILLING CODE 7590±01±P Steven A. Varga, hearing in accordance with § 2.1205(c). A request for a hearing must be filed Director, Division of Reactor Projects—I/II, Office of Nuclear Reactor Regulation. within thirty (30) days of the date of publication of this Federal Register [Docket Nos. 50±327 and 50±328] [FR Doc. 95–21286 Filed 8–25–95; 8:45 am] notice. BILLING CODE 7590±01±P The request for a hearing must be Sequoyah Nuclear Plant, Units 1 and 2; filed with the Office of the Secretary Consideration of Issuance of [Docket No. 040±02384] either: Amendment to Facility Operating 1. By delivery to the Docketing and License, Proposed no Significant Notice of Consideration of Amendment Service Branch of the Office of the Hazards Consideration Determination, Request for Decommissioning the RMI Secretary at One White Flint North, and Opportunity for a Hearing Titanium Company Site in Ashtabula, 11555 Rockville Pike, Rockville, MD The U.S. Nuclear Regulatory Ohio, and Opportunity for Hearing 20852–2738; or Commission (the Commission) is 2. By mail or telegram addressed to considering issuance of an amendment AGENCY: Nuclear Regulatory the Secretary, U.S. Nuclear Regulatory to Facility Operating License Nos. DPR– Commission. Commission, Washington, DC 20555. 77 and DPR–79, issued to the Tennessee The U.S. Nuclear Regulatory Attention: Docketing and Service Valley Authority (TVA or the licensee), Commission is considering issuance of Branch. an amendment to Source Material In addition to meeting other for operation of the Sequoyah Nuclear License No. SMB–602, issued to RMI applicable requirements of 10 CFR Part Plant (SQN), Units 1 and 2 located in Titanium Company (the Licensee), for 2 of the NRC’s regulations, a request for Soddy-Daisy, Tennessee. the decommissioning of its extrusion a hearing filed by a person other than The proposed amendments would plant facilities in Ashtabula, Ohio. an applicant must describe in detail: change Technical Specification 3.7.5.c The Licensee requested the 1. The interest of the requestor in the to allow an increase in the average amendment in a letter dated June 12, essential raw cooling water supply proceeding; ° 1995, requesting that License No. SMB– 2. How that interest may be affected header temperature from 84.5 F to 87 ° 602 be amended to incorporate the by the results of the proceeding, F until September 30, 1995. decommissioning plan (DP) for the RMI including the reasons why the requestor Exigent circumstances arose due to Titanium Company Extrusion Plant should be permitted a hearing, with significant increases in the average submitted to NRC, on April 27, 1995. particular reference to the factors set out water temperature of the Tennessee The Licensee also submitted a site in § 2.1205(g); River (Chickamauga Reservoir), which characterization report and an 3. The requestor’s areas of concern serves as the ultimate heat sink (UHS) environmental report in support of the about the licensing activity that is the for the Sequoyah Nuclear Plant (SQN) DP. The amendment would authorize subject matter of the proceeding; and Units 1 and 2. This temperature, as the Licensee to decommission the 4. The circumstances establishing that measured at SQN’s ERCW header, extrusion plant facility in Ashtabula, the request for a hearing is timely in increased and on August 18, 1995, Ohio, in accordance with the DP. accordance with § 2.1205(c). reached 83 °F. This high temperature is Radioactive contamination at the In accordance with 10 CFR the result of daytime temperatures that extrusion plant facility resulted § 2.1205(e), each request for a hearing remain above 90 °F. Continuing daytime primarily from extrusion operations, must also be served, by delivering it high temperatures in the upper 90’s are using depleted, normal, and slightly personally or by mail, to: expected to cause the average ERCW enriched uranium. Uranium extrusion 1. The applicant, RMI Titanium temperature to increase at a rate of 0.5 operations occurred from 1962 through Company, P.O. Box 579, Ashtabula, °F per day. TS 3.7.5.c currently limits 1988. Ohio 44004–579, Attention: Mr. Eric this temperature to less than or equal to 44518 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 84.5 °F when the water level is above operating temperatures, only the assumptions publication date and page number of elevation 680 feet mean sea level. in the containment pressure analysis are this Federal Register notice. Written Before issuance of the proposed changed. The variance in the ERCW comments may also be delivered to license amendment, the Commission temperature results in minimal increase in Room 6D22, Two White Flint North, will have made findings required by the peak containment accident pressure. As for the net positive suction head requirements 11545 Rockville Pike, Rockville Atomic Energy Act of 1954, as amended relative to the essential core cooling system Maryland, from 7:30 a.m. to 4:15 p.m. (the Act) and the Commission’s and containment spray system, it has been Federal workdays. Copies of written regulations. demonstrated that this operational variance comments received may be examined at Pursuant to 10 CFR 50.91(a)(6) for will not challenge the present design the NRC Public Document Room, the amendments to be granted under requirements. Therefore, the potential for Gelman Building, 2120 L Street, NW., exigent circumstances, the NRC staff creating a new or unanalyzed condition is Washington, DC. must determine that the amendment not created. The filing of requests for hearing and request involves no significant hazards 3. Involve a significant reduction in a petitions for leave to intervene is consideration. Under the Commission’s margin of safety. discussed below. The margin of safety as reported in the By September 12, 1995, the licensee regulations in 10 CFR 50.92, this means basis for the TSs is also not reduced. The that operation of the facility in design pressure for the containment and all may file a request for a hearing with accordance with the proposed supporting equipment and components for respect to issuance of the amendment to amendment would not (1) involve a worse-case accident condition is 12.0 pounds the subject facility operating license and significant increase in the probability or per square inch guage (psig). This variance in any person whose interest may be consequences of an accident previously river water temperature will not challenge affected by this proceeding and who evaluated; or (2) create the possibility of the design condition of containment. Further, wishes to participate as a party in the a new or different kind of accident from 12.0 psig design limit is not the failure point proceeding must file a written request any accident previously evaluated; or of containment, which would lead to the loss for a hearing and a petition for leave to of containment integrity. Therefore, a (3) involve a significant reduction in a intervene. Requests for a hearing and a significant reduction in the margin to safety petition for leave to intervene shall be margin of safety. As required by 10 CFR is not created by this variance. 50.91(a), the licensee has provided its filed in accordance with the analysis of the issue of no significant The NRC staff has reviewed the Commission’s ‘‘Rules of Practice for hazards consideration, which is licensee’s analysis and, based on this Domestic Licensing Proceedings’’ in 10 presented below: review, it appears that the three CFR part 2. Interested persons should standards of 10 CFR 50.92(c) are consult a current copy of 10 CFR 2.714 TVA has evaluated the proposed technical satisfied. Therefore, the NRC staff which is available at the Commission’s specification (TS) change and has determined proposes to determine that the that it does not represent a significant Public Document Room, the Gelman hazards consideration based on criteria amendment request involves no Building, 2120 L Street, NW., established in 10 CFR 50.92(c). Operation of significant hazards consideration. Washington, DC and at the local public Sequoyah Nuclear Plant (SQN) in accordance The Commission is seeking public document room located at the with the proposed amendment will not: comments on this proposed Chattanooga-Hamilton County Library, 1. Involve a significant increase in the determination. Any comments received 1101 Broad Street, Chattanooga, probability or consequences of an accident within 15 days after the date of Tennessee. If a request for a hearing or previously evaluated. publication of this notice will be petition for leave to intervene is filed by The probability of occurrence or the considered in making any final consequences of an accident are not the above date, the Commission or an increased as presently analyzed in the safety determination. Atomic Safety and Licensing Board, analysis since the objective of the event Normally, the Commission will not designated by the Commission or by the mitigation is not changed. No changes in issue the amendment until the Chairman of the Atomic Safety and event classification as discussed in Final expiration of the 15-day notice period. Licensing Board Panel, will rule on the Safety Analysis Report Chapter 15 will occur However, should circumstances change request and/or petition; and the due to the increased river water temperature during the notice period, such that Secretary or the designated Atomic (with respect to both containment integrity failure to act in a timely way would Safety and Licensing Board will issue a and safety-system heat removal). Therefore, result, for example, in derating or the probability of an accident or malfunction notice of hearing or an appropriate of equipment presently evaluated in the shutdown of the facility, the order. safety analyses will not be increased. The Commission may issue the license As required by 10 CFR 2.714, a containment design pressure is not amendment before the expiration of the petition for leave to intervene shall set challenged by allowing an increase in the 15-day notice period, provided that its forth with particularity the interest of river water temperature above that allowed final determination is that the the petitioner in the proceeding, and by the TSs, thereby ensuring that the amendment involves no significant how that interest may be affected by the potential for increasing offsite dose limits hazards consideration. The final results of the proceeding. The petition above those presently analyzed at the determination will consider all public should specifically explain the reasons containment design pressure of 12 pounds per square inch is not a concern. Therefore, and State comments received. Should why intervention should be permitted the variance to TS 3.7.5.c will not increase the Commission take this action, it will with particular reference to the the consequences previously evaluated and publish in the Federal Register a notice following factors: (1) The nature of the reported for the containment analysis. of issuance. The Commission expects petitioner’s right under the Act to be 2. Create the possibility of a new or that the need to take this action will made a party to the proceeding; (2) the different kind of accident from ant previously occur very infrequently. nature and extent of the petitioner’s analyzed. Written comments may be submitted property, financial, or other interest in The possibility of a new or different by mail to the Rules Review and the proceeding; and (3) the possible accident situation occurring as a result of this Directives Branch, Division of Freedom effect of any order which may be condition is not created. The essential raw cooling water (ERCW) system is not an of Information and Publications entered in the proceeding on the initiator of any accident and only serves as Services, Office of Administration, U.S. petitioner’s interest. The petition should a heat sink for normal and upset plant Nuclear Regulatory Commission, also identify the specific aspect(s) of the conditions. By allowing this change in Washington, DC, and should cite the subject matter of the proceeding as to Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44519 which petitioner wishes to intervene. hearing. Any hearing held would take For the Nuclear Regulatory Commission. Any person who has filed a petition for place after issuance of the amendment. David E. LaBarge, Sr., leave to intervene or who has been If the final determination is that the Project Manager, Project Directorate II–3, admitted as a party may amend the amendment request involves a Division of Reactor Projects–I/II, Office of Nuclear Reactor Regulation. petition without requesting leave of the significant hazards consideration, any Board up to 15 days prior to the first [FR Doc. 95–21287 Filed 8–25–95; 8:45 am] hearing held would take place before prehearing conference scheduled in the BILLING CODE 7590±01±P the issuance of any amendment. proceeding, but such an amended petition must satisfy the specificity A request for a hearing or a petition requirements described above. for leave to intervene must be filed with SECURITIES AND EXCHANGE Not later than 15 days prior to the first the Secretary of the Commission, U.S. COMMISSION prehearing conference scheduled in the Nuclear Regulatory Commission, [Release No. 34±36123; File No. SR±Amex± proceeding, a petitioner shall file a Washington, DC, Attention: Docketing 95±33] supplement to the petition to intervene and Services Branch, or may be which must include a list of the delivered to the Commission’s Public Self-Regulatory Organizations; Notice contentions which are sought to be Document Room, the Gelman Building, of Filing and Order Granting litigated in the matter. Each contention 2120 L Street, NW., Washington, DC, by Accelerated Approval of Proposed must consist of a specific statement of the above date. Where petitions are filed Rule Change by the American Stock the issue of law or fact to be raised or during the last 10 days of the notice Exchange, Inc. Relating to a One-Year controverted. In addition, the petitioner period, it is requested that the petitioner Extension of the Pilot Program for shall provide a brief explanation of the promptly so inform the Commission by Specialist Participation in the After- bases of the contention and a concise a toll-free telephone call to Western Hours Trading Facility in Portfolio statement of the alleged facts or expert Union at 1–(800) 248–5100 (in Missouri Depositary Receipts and Investment opinion which support the contention 1–(800) 342–6700). The Western Union Trust Securities Based on Stock and on which the petitioner intends to operator should be given Datagram Indexes rely in proving the contention at the Identification Number N1023 and the hearing. August 18, 1995. following message addressed to Mr. The petitioner must also provide Pursuant to Section 19(b)(1) of the Frederick J. Hebdon: Petitioner’s name references to those specific sources and Securities Exchange Act of 1934 documents of which the petitioner is and telephone number, date petition (‘‘Act’’), 15 U.S.C. 78s(b)(1), notice is aware and on which the petitioner was mailed, plant name, and hereby given that on July 31, 1995, the intends to rely to establish those facts or publication date and page number of American Stock Exchange, Inc. expert opinion. Petitioner must provide this Federal Register notice. A copy of (‘‘Amex’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission sufficient information to show that a the petition should also be sent to the (‘‘Commission’’) the proposed rule genuine dispute exists with the Office of the General Counsel, U.S. change as described in Items I, II, and applicant on a material issue of law or Nuclear Regulatory Commission, III below, which Items have been fact. Contentions shall be limited to Washington, DC, and to General prepared by the self-regulatory matters within the scope of the Council, Tennessee Valley Authority, organization. The Commission is amendment under consideration. The ET 11H, 400 West Summit Hill Drive, publishing this notice to solicit contention must be one which, if Knoxville, Tennessee, attorney for the comments on the proposed rule change proven, would entitle the petitioner to licensee. from interested persons. relief. A petitioner who fails to file such Nontimely filings of petitions for a supplement which satisfies these leave to intervene, amended petitions, I. Self-Regulatory Organization’s requirements with respect to at least one supplemental petitions and/or requests Statement of the Terms of Substance of contention will not be permitted to for hearing will not be entertained the Proposed Rule Change participate as a party. absent a determination by the The Exchange requests permanent Those permitted to intervene become Commission, the presiding officer or the approval of its pilot program for parties to the proceeding, subject to any presiding Atomic Safety and Licensing specialist participation in the after- limitations in the order granting leave to hours trading facility in portfolio intervene, and have the opportunity to Board that the petition and/or request should be granted based upon a depositary receipts and investment trust participate fully in the conduct of the securities based on stock indexes. In the hearing, including the opportunity to balancing of the factors specified in 10 CFR 2.714(a)(1)(i)–(v) and 2.714(d). alternative, the Exchange is proposing a present evidence and cross-examine one-year extension of the pilot program. witnesses. For further details with respect to this The text of the proposed rule change is If the amendment is issued before the action, see the application for available at the Amex and at the expiration of the 30-day hearing period, amendment dated August 21, 1995, Commission. the Commission will make a final which is available for public inspection determination on the issue of no at the Commission’s Public Document II. Self-Regulatory Organization’s significant hazards consideration. If a Room, the Gelman Building, 2120 L Statement of the Purpose of, and Statutory Basis for, the Proposed Rule hearing is requested, the final Street, NW., Washington, DC, and at the Change determination will serve to decide when local public document room, located at the hearing is held. the Chattanooga-Hamilton County In its filing with the Commission, the If the final determination is that the Library, 1101 Broad Street, Chattanooga, self-regulatory organization included amendment request involves no Tennessee. statements concerning the purpose of significant hazards consideration, the and basis for the proposed rule change Commission may issue the amendment Dated at Rockville, Md., this 22nd day of and discussed any comments it received and make it immediately effective, August 1995. on the proposed rule change. The text notwithstanding the request for a of these statements may be examined at 44520 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices the places specified in Item III below. 34316 (July 5, 1994), 59 FR 35547 (July closing price coupled order. The The self-regulatory organization has 12, 1994). No comments were received Exchange believes that such capability prepared summaries, set forth in on the proposal. The proposed rule tends to conform the trading of PDRs Sections A, B, and C below, of the most change was approved as a pilot program and investment trust securities to the significant aspects of such statements. in Securities Exchange Act Release No. practices of the ‘‘basket’’ market for 34611 (Aug. 29, 1994), 59 FR 45739 equities where it is customary for a A. Self-Regulatory Organization’s (Sept. 2, 1994). The pilot is scheduled dealer to agree prior to the close of the Statement of the Purpose of, and to expire on August 29, 1995. regular trading session to take the contra Statutory Basis for, the Proposed Rule The Exchange now seeks permanent side of a customer basket order at the Change approval for amendments to Rules 1300 closing index value. 1. Purpose (Applicability of 1300 Series) and 1302 The Exchange believes that (After-Hours Trading Orders) to permit permanent approval of the Exchange’s On April 21, 1993, the Exchange specialists in PDRs and investment trust pilot program that permits specialists in submitted to the Commission, pursuant securities listed pursuant to Section PDRs and investment trust securities to to section 19(b)(1) of the Act, and Rule 118B of the Exchange’s Company participate in the AHT facility in order 19b–4 thereunder, a proposed rule guide 7 to participate in the AHT facility to ‘‘clean-up’’ order imbalances and change concerning its After-Hours to ‘‘clean-up’’ order imbalances by 1 effect closing price coupled orders Trading (‘‘AHT’’) facility. As originally entering an order for the specialist’s would benefit investors by providing filed, the proposed rule change account. For example, if there were additional liquidity to the listed cash requested permanent approval of single sided orders to buy 10,000 and market for derivative securities based Amex’s pilot After-Hours Trading sell 20,000 SPDRs immediately prior to upon well known market indexes. The facility, and approval on a pilot basis for the 5:00 p.m. close of the AHT facility, market price of these securities is based specialists in investment trust securities the specialist is permitted under the upon transactions largely effected in based on stock indexes to participate in Exchange’s pilot program to enter an markets other than the Amex. The the AHT facility. On January 4, 1994, order for its account to buy up to 10,000 Exchange states that the specialist in the the Amex amended the filing to request SPDRs in order to eliminate the sell side Amex listed derivatives has no unique a three-month extension of the AHT order imbalance. 2 access to market sensitive information pilot unitl April 30, 1994. On February The Exchange also seeks permanent regarding the market for the underlying 1, 1994, the Commission approved the approval for amendments to Rule securities or closing index values. The three-month extension without 1302(b) to eliminate the migration of Exchange, therefore, believes that approving the portion of the proposed limit orders for PDRs and investment specialist participation in the AHT rule change that would allow specialists trust securities from the specialist’s facility in PDRs and investment trust in investment trust securities to limit order book to the AHT facility. securities in the manner described participate for their own accounts in the (Amex Rule 1302(b) would provide, 3 above does not raise any market AHT facility. On May 2, 1994, the with respect to equity securities other integrity issues. In addition, should a Commission granted permanent than PDRs and investment trust customer not care for an execution at approval to that portion of the rule securities, that a regular way good ’til the closing price, the rules of the proposal concerning the Amex’s After- canceled order that is designated as Exchange’s AHT facility permit Hours Trading facility, not including the After-Hours eligible, that is on the 4 cancellation of an order up to the close specialist participation request. specialist’s limit order book, and that is of the AHT session at 5:00 p.m.9 (Orders On August 3, 1993, the Exchange executable at the closing price or better, in the AHT facility are not executed amended the filing to request that shall migrate from the specialist’s limit until the 5:00 p.m. close of the After- specialists in Portfolio Depositary order book to the AHT program.) Hours session.) A customer, therefore, The Exchange also seeks permanent Receipts (‘‘PDRs’’) also be permitted to has approximately 40 minutes to 5 approval for amendments to Rule 1302 participate in the AHT facility. On July determine if an execution at the closing to permit specialists in PDRs and 5, 1994, the Exchange amended the price suits its needs, and may cancel its investment trust securities to participate proposed rule change to eliminate the order if it believes that the closing price in a coupled closing price order so long migration of limit orders for PDRs and does not suit its objectives. investment trust securities from the as the other side of the order is not for As an alternative to permanent specialist’s limit order book to the AHT an account in which a member or approval of the rule changes described 6 facility. member organization has a direct or above, the Exchange requests that the 8 The proposed rule change to permit indirect interest. For example, under Commission extend the pilot for an specialist participation in the AHT the pilot program, the specialist in additional one year term. Although the facility in PDRs and investment trust SPDRs is permitted to agree prior to the specialists on the Exchange made little securities was published for comment in 4:15 close of the regular trading session or no use of the pilot program, the Securities Exchange Act Release No. for such securities to take the other side Exchange believes that the Commission of a customer order to buy or sell SPDRs should extend the pilot for an additional 1 File No. SR–Amex–93–15. for execution in the AHT facility as a one year term because specialists have 2 See letter from William Floyd-Jones, Jr., expressed interest in using the AHT for Assistant General Counsel, Amex, to Sandra Sciole, 7 The Exchange currently lists two Portfolio Special Counsel, SEC, dated December 23, 1993. Depositary Receipts, viz., Standard and Poor’s SPDRs and have indicated that the 3 See Securities Exchange Act Release No. 33561 Depositary Receipts on the S&P 500 and MidCap ability to participate in the AHT facility (Feb. 1, 1994), 59 FR 5789 (Feb. 8, 1994). Indexes (‘‘SPDRs’’); and two investment trust provides them with additional ability to 4 See Securities Exchange Act Release No. 33993 securities pursuant to Section 118B of the meet customer demand that comes into (May 2, 1994), 59 FR 23902 (May 9, 1994). Exchange’s Listing Guidelines: LOR Index Trust 10 5 See letter from William Floyd-Jones, Jr., SuperUnits and LOR Money Market SuperUnits. the market late in the trading session. Assistant General Counsel, Amex, to Diana Luka- 8 As amended, Amex Rule 1300(e)(i) defines, Hopson, SEC, dated August 3, 1993. ‘‘closing price’’ as the price established by the last 9 See Amex Rule 1302(d). 6 See letter from William Floyd-Jones, Jr., regular way sale on the Exchange prior to the 10 See letter from William Floyd-Jones, Jr., Assistant General Counsel, Amex, to Sandra Sciole, official closing of the 9:30 a.m. to 4:15 p.m. trading Assistant General Counsel, Amex, to Jennifer Choi, Special Counsel, SEC, dated July 1, 1994. session, as determined by the Exchange. SEC, dated August 14, 1995. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44521 2. Statutory Basis requirements of Section 6(b) 11 and Exchange’s need to accommodate the 12 The proposed rule change is Section 11A of the Act. The needs of investors by increasing consistent with Section 6(b) of the Act Commission believes that the proposed liquidity in the listed cash market for in general and furthers the objectives of rule change is consistent with Section derivative securities based on market Section 6(b)(5) in particular in that it is 6(b)(5) requirements that the rules of an indexes and the need to prevent the designed to prevent fraudulent exchange be designed to promote just potential for manipulation or misuses of manipulative acts and practices, and equitable principles of trade, information. Therefore, although Amex promote just and equitable principles of remove impediments to and perfect the specialists will know which limit orders trade, remove impediments to and mechanism of a free and open market are eligible for execution in the AHT perfect the mechanism of a free and and a national market system, and, in facility, they will not be able to use this open market and a national market general, further investor protection and information to their advantage because system, and, in general, protect the public interest. The Commission Rule 1302(b) is being amended to investors and the public interest. also believes that the proposal is eliminate the migration of limit orders consistent with Section 11(b) of the Act for PDRs and investment trust securities B. Self-Regulatory Organization’s and Rule 11b–1 thereunder,13 which from the specialist’s limit order book to Statement on Burden on Competition allow exchanges to promulgate rules the AHT facility. The proposed rule change will impose relating to specialists to maintain fair The Commission initially approved no burden on competition. and orderly markets. the Amex rule change for a one-year Under the pilot program, specialists pilot period to provide the Commission C. Self-Regulatory Organization’s in PDRs and investment trust securities and the Exchange an opportunity to Statement on Comments on the listed pursuant to Section 118B of the monitor the operation of the Proposed Rule Change Received From Exchange’s Listing Guidelines may amendments to Rules 1300 and 1302. In Members, Participants or Others participate in the AHT facility to clean this regard, the Commission requested No written comments were solicited up order imbalance by entering an order that the Exchange submit a report and or received with respect to the proposed for their own account. The pilot analysis regarding the operation of the rule change. program also allows specialists in PDRs pilot program. The Exchange, however, did not submit a report to the III. Solicitation of Comments and investment trust securities to participate in a coupled closing price Commission because specialists on the Interested persons are invited to order as long as the other side of the Exchange made little or no use of the submit written data, views, and order is not for an account in which a pilot program. arguments concerning the foregoing. member or member organization has a Therefore, the Commission believes Persons making written submissions direct or indirect interest. Moreover, the that it would be appropriate to allow the should file six copies thereof with the pilot program eliminates the migration Exchange to continue the pilot program Secretary, Securities and Exchange of limit orders for PDRs and investment for an additional one-year period to Commission, 450 Fifth Street, N.W., securities from the specialist’s limit afford the Exchange and the Washington, D.C. 20549. Copies of the order book to the AHT facility to Commission an opportunity to evaluate submission, all subsequent prevent the potential for manipulation the operation of the pilot program and amendments, all written statements or misuse of specialists’ information evaluate whether there are additional with respect to the proposed rule regarding which limit orders are eligible issues that need to be addressed. The change that are filed with the for execution in the AHT facility. Exchange should monitor the operation Commission, and all written In the pilot approval order, the of the amendments to Rules 1300 and communications relating to the Commission believed that the rule 1302 and assure the Commission that proposed rule change between the change permitting specialists in PDRs the specialists are properly executing Commission and any person, other than and investment trust securities to their responsibilities. those that may be withheld from the participate in the AHT facility by The Commission, therefore, requests public in accordance with the entering an order for the specialist’s that the Exchange submit a report to the provisions of 5 U.S.C. 552, will be account to eliminate order imbalances Commission by May 1, 1996, describing available for inspection and copying at should assist specialists in their its experience with the pilot program. the Commission’s Public Reference obligation to minimize temporary At a minimum, this report should Section, 450 Fifth Street, N.W., disparity between supply and contain the following information (broken down by month): (1) Trading Washington, D.C. 20549. Copies of such demand.14 Moreover, the Commission volume (trades and number of shares of filing will also be available for agreed with the Exchange that PDRs and investment trust securities) in inspection and copying at the principal permitting specialists in PDRs and the after-hours session; (2) the number office of the Exchange. All submissions investment trust securities to participate of trades, if any, of (a) single-sided should refer to File No. SR–Amex–95– in the AHT facility to ‘‘clean-up’’ order orders, and (b) coupled buy and sell 33 and should be submitted by imbalances and effect closing price orders which specialists executed in the September 18, 1995. coupled orders would benefit investors after-hours session; (3) the number of by providing additional liquidity to the IV. Commission’s Findings and Order shares, if any, of (a) single-sided orders, Granting Accelerated Approval of listed cash market for derivative and (b) coupled buy and sell orders Proposed Rule Change securities based upon well known which specialists executed in the after- For the reasons set forth below, the market indexes. The Commission also hours session; and (4) the number, if Commission finds that approval of the believed that the Amex’s rule change any, of single-sided orders that Exchange’s proposed rule change, for a strikes a reasonable balance between the remained unexecuted at the end of the temporary period ending on August 29, after-hours session. In addition, the 11 15 U.S.C. 78(f) (1988 & Supp.V. 1993). 1996, is consistent with the Act and the 12 15 U.S.C. 78(k) (1988). Commission expects the Exchange to rules and regulations thereunder 13 17 CFR 240.11b–1 (1994). monitor closely the trading of PDRs and applicable to a national securities 14 See Securities Exchange Act Release No. 34611 investment trust securities in the AHT exchange, and, in particular, with the (Aug. 29, 1994), 59 FR 45739 (Sept. 2, 1994). facility to ensure that trading in these 44522 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices issues is not subject to any patterns of (‘‘Act’’),1 and Rule 19b–4 thereunder,2 warrants on the Germany 25 Index will manipulation or trading abuses or notice is hereby given that on August 4, comply in all respects with CBOE Rule unusual trading activity. Finally, the 1995, the Chicago Board Options 31.5E. Commission requests that the Amex Exchange (‘‘CBOE’’ or ‘‘Exchange’’) filed Index Design 4 keep the Commission apprised of any with the Securities and Exchange technical problems that may arise Commission (‘‘Commission’’) the The Germany 25 Index is a regarding the operation of the pilot proposed rule change as described in capitalization-weighted index consisting program. Items I, II, and III below, which Items of 25 of the largest capitalized German At the conclusion of the pilot period, have been prepared by the CBOE. The equities traded on the Frankfurt Stock if there continues to be no specialist Commission is publishing this notice to Exchange (‘‘FSE’’). The Exchange activity or interest in the program, the solicit comments on the proposed rule represents that Index Warrants will Exchange should reevaluate whether change from interested persons. provide investors with the ability to gain investment exposure to one of the this program should be continued. Any I. Self-Regulatory Organization’s requests to modify this pilot program, to largest and most industrialized Statement of the Terms of Substance of countries in Europe and to hedge extend its effectiveness, or to seek the Proposed Rule Change permanent approval for the pilot existing investments in German program also should be submitted to the The Exchange hereby proposes to list securities. Commission by May 1, 1996, as a and trade warrants based on the CBOE The 25 stocks comprising the proposed rule change pursuant to Germany 25 Index (‘‘Germany 25 Index’’ Germany 25 Index were selected by the Section 19(b) of the Act. or ‘‘Index’’) pursuant to CBOE Rule CBOE for their high market The Commission finds good cause for 31.5E (‘‘Index Warrants’’). The Exchange capitalization and high degree of approving the proposed rule change represents that the Index is broad-based. liquidity. According to the Exchange, the Index stocks are drawn from a broad prior to the thirtieth day after the date The text of the proposed rule change is base of industries and are representative of publication of notice thereof in the available at the Office of the Secretary, of the industrial composition of the Federal Register. This will permit the CBOE, and at the Commission. broader German equity market. pilot program to continue on an II. Self-Regulatory Organization’s Specifically, the Index components are uniterrupted basis. Moreover, the Statement of the Purpose of, and the top 25 German stocks by market Exchange proposes to continue using Statutory Basis for, the Proposed Rule capitalization excluding: (1) Stocks with the identical procedures contained in Change average daily volume less than 50,000 the pilot program as originally In its filing with the Commission, the shares per day over the past six months; approved. In addition, the rule change Exchange included statements and (2) preferred stock of an issuer if that implemented the pilot program was concerning the purpose of and basis for that issuer also has publicly-traded published in the Federal Register for the proposed rule change and discussed common stock. The Index will be the full comment period, and no any comments it received on the reviewed annually by the CBOE at the comments were received. Accordingly, proposed rule change. The text of these end of May in each year and any the Commission believes that it is statements may be examined at the composition changes resulting from that consistent with the Act to accelerate places specified in Item IV below. The review will be implemented after the approval of the proposed rule change. CBOE has prepared summaries, set forth June expiration in that year. It is therefore ordered, pursuant to in Sections (A), (B), and (C) below, of The Germany 25 Index is weighted by Section 19(b)(2) of the Act,15 that the the most significant aspects of such the capitalization (market value) of the proposed rule change (SR–Amex–95– statements. component stocks. The capitalization of 33) is approved on a pilot basis until a particular stock in the Index is August 29, 1996. (A) Self-Regulatory Organization’s calculated by multiplying the listed For the Commission, by the Division of Statement of the Purpose of, and shares (including common, preferred, Market Regulation, pursuant to delegated Statutory Basis for, the Proposed Rule authority.16 and treasury shares) by the price of the Change stock.5 Margaret H. McFarland, The purpose of the proposed rule On June 30, 1995, the 25 stocks in the Deputy Secretary. change is to permit the Exchange to list Index ranged in capitalization from DM [FR Doc. 95–21229 Filed 8–25–95; 8:45 am] and trade warrants based on the 3.656 billion ($2.648 billion) 6 to DM BILLING CODE 8010±01±M Germany 25 Index. The Exchange 51.642 billion ($37.408 billion). The represents that it is permitted to list and total capitalization of the stocks in the trade index warrants based on certain index on that date was DM 399.1 billion [Release No. 34±36121; International Series foreign broad-based stock indexes ($289.1 billion); the mean capitalization Release No. 840; File No. SR±CBOE±95± 3 40] pursuant to CBOE Rule 31.5E. The was DM 15.96 billion ($11.564 billion) Exchange is now proposing to list and and the median capitalization was DM Self-Regulatory Organizations; Notice trade Index Warrants. According to the 11.144 billion ($8.072 billion). The of Filing of Proposed Rule Change by Exchange, the listing and trading of largest stock by capitalization (Allianz the Chicago Board Options Exchange, Inc. Relating to the Listing and Trading 1 15 U.S.C. 78s(b)(1) (1988). 4 See File No. SR–CBOE–95–39 (CBOE proposal of Warrants Based on the CBOE 2 17 CFR 240.19b–4 (1994). to list options based on the Germany 25 Index). 3 Currently, Rule 31.5E provides that: (1) Issuers 5 The Commission notes that this varies from the Germany 25 Index of warrants must substantially exceed the method used to calculate the values of domestic Exchange’s criteria for the listing of equity issues capitalization-weighted indexes, such as the S&P August 18, 1995. under CBOE Rule 31.5A and have assets in excess 100 Index. For such domestic indexes, values are Pursuant to Section 19(b)(1) of the of $100 million; (2) particular warrant issues must determined based solely on the outstanding shares Securities Exchange Act of 1934 have at least (i) one million warrants outstanding, of common stock of each component in the indexes. (ii) a principal amount/aggregate market value of $4 6 The CBOE represents that dollar values used million, and (iii) 400 public holders; and (3) herein are based on a German mark/U.S. dollar 15 15 U.S.C. 78s(b)(2) (1988). warrant issues must have a term of one to five years exchange rate of 1.3805 marks per U.S. dollar 16 17 CFR 200.30–3(a)(12) (1994). from the date of issuance. prevailing on June 30, 1995. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44523 AG Holdings) accounted for 12.94% of rights, or when other intra-year events, stocks as reported by IBIS.11 When the total weighting of the Index, while such as mergers and spinoffs, occur. trading on IBIS has concluded (10:00 the smallest (Kaufhof) accounted for Index replacements, other than those a.m. Chicago time), the Exchange will 0.92%. The top 5 stocks accounted for described above, will only be made if a disseminate the last ‘‘indicative’’ Index 44.56% of the total weighting on that component must be removed from the level. To avoid any confusion, the date. Index because of a merger or takeover. ‘‘indicative’’ Index level will have a For the period from January 1, 1995 In that case, the next eligible component different ticker symbol from the actual through June 30, 1995, average daily will be added, i.e., the German security Index level. volume in Germany 25 Index stocks with the highest market capitalization ranged from a low of approximately Warrant Listing Standards and not then included in the Index that Customer Safeguards 87,629 shares to a high of 2.53 million satisfies the criteria set forth above. shares traded per day, with a mean daily The Exchange has established generic trading volume for all the stocks in the Index Warrant Trading listing standards for index warrants Index during that period of 523,501 The proposed Index Warrants will be which are contained in CBOE Rule 12 shares traded per day. direct obligations of their issuer subject 31.5E. The Exchange also has The Exchange represents that the to cash-settlement in U.S. dollars, and established certain sales practice rules Index is composed of ten (10) broad either exercisable throughout their life for the trading of index warrants which industry groupings, such as chemicals, (i.e., American style) or exercisable only are contained in Chapter IX of the automobile and insurance companies, on their expiration date (if not Exchange’s Rules. The Exchange among others, which reflect the industry exercisable prior to such date). The represents that the listing and trading of composition of the German equity holder of an Index Warrant structured as index warrants on the Germany 25 market. a ‘‘put’’ would receive payment in U.S. Index will be subject to these guidelines Calculation dollars to the extent that the Index value and rules. has declined below a pre-stated cash The Exchange has submitted to the The CBOE states that the Germany 25 Commission a proposed rule change to Index will reflect changes in the settlement value. Conversely, holders of an Index Warrant structured as a ‘‘call’’ amend its listing criteria for stock index capitalization of the component stocks warrants.13 The Exchange represents relative to the capitalization on a base would, upon exercise or at expiration, receive payment in U.S. dollars to the that the Generic Warrant Listing date. The base date for the Index is June Standards will be applicable to the 30, 1995, at which time the Index was extent that the Index value has increased above the pre-stated cash listing and trading of currency and given a value of 200 by the CBOE. The index warrants generally, including Index value of 200 was reached by settlement value. If ‘‘out-of-the-money’’ at the time of expiration, the Index Germany 25 Index warrants. If the multiplying the price of each stock by listing of Index Warrants is approved 7 Warrants would expire worthless. the number of listed shares, obtaining prior to Commission approval of the the sum of these values for all Currently,8 the trading hours of the 9 Generic Warrant Listing Standards, the component stocks, and then dividing by Exchange and the FSE do not overlap. CBOE represents that it will require that a divisor determined to give the Index The Exchange, therefore will (1) these warrants be sold only to a value of 200. The CBOE states that the disseminate the value of the Index based accounts approved for the trading of Germany 25 Index will be calculated by on the most recent closing prices of the standardized options14 and (2) index CBOE or its designee based on the most component stocks as reported by the options margin will be applied.15 recent closing prices of the component FSE. After the close of the FSE, Finally, prior to the commencement of stocks as reported by the FSE. however, trading continues in the 25 trading, the Exchange will distribute a stocks comprising the Index on the Maintenance circular to its membership calling FSE’s Integrated Stock Exchange attention to certain compliance The Index will be maintained and Trading and Information System responsibilities when handling calculated by the Exchange. To maintain 10 (‘‘IBIS’’). The trading hours of IBIS transactions in Index Warrants.16 continuity of the Index, the Exchange and the Exchange currently overlap will adjust the Index to reflect certain from the opening of trading at the CBOE Surveillance events relating to the component stocks. until 10:00 a.m., Chicago time. During The Exchange expects to apply its For example, the Exchange will adjust this period, the Exchange will calculate existing index warrant surveillance the Index divisor to reflect cash and disseminate an ‘‘indicative’’ procedures to Index Warrants. In dividends paid on the component Germany 25 Index level based on the securities. The Exchange will make this most recent prices of the component 11 The Exchange intends to calculate the adjustment because German companies ‘‘indicative’’ Index with the same method of usually pay their dividends only once 8 See supra note 4. Telephone conversation calculation as described above for the actual Index. per year (generally in May or June). If between Eileen Smith, Director, Product 12 See supra note 3. not adjusted, the annual dividend Development, Research Department, CBOE, and 13 These proposed standards will govern all Brad Ritter, Senior Counsel, OMS, Division, aspects of the listing and trading of index warrants, payment would result in a significant Commission, on August 17, 1995. including, position and exercise limits, reportable drop in the Index value at the time 9 The FSE’s trading hours are from 10:30 a.m. to positions, automatic exercise, settlement, margin, when the dividends are paid. The 1:30 p.m., Frankfurt time (3:30 a.m. to 6:30 a.m., and notification of early exercise. See Securities divisor will be adjusted immediately Chicago time). Exchange Act Release No. 35178 (December 29, 1994), 60 FR 2409 (January 9, 1995) (notice of File prior to each ex-dividend date so that 10 According to the Exchange, the Deutsche Bo¨rse AG, the holding company for the FSE, states that No. SR–CBOE–94–34) (‘‘Generic Warrant Listing the Index level will not be affected by IBIS is a screen-based trading and information Standards’’). the dividend payment. A similar system that is available for trading from 8:30 a.m. 14 See CBOE Rule 9.7. adjustment will be applied when a to 5:00 p.m., Frankfurt time (1:30 a.m. to 10:00 a.m., 15 Telephone conversation between Eileen Smith, company issues new shares for which Chicago time). The CBOE represents that IBIS, as Director, Product Development, Research part of the FSE, is subject to the same rules and Department, CBOE, and Brad Ritter, Senior the shareholders have preemptive regulations as floor trading on the FSE. According Counsel, OMS, Division, Commission, on August to the Exchange, IBIS began operating in April, 17, 1995. 7 See supra note 5 and accompanying text. 1991. 16 Id. 44524 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices addition, the CBOE states that the (ii) as to which the Exchange consents, proposed rule change as described in German legislature recently adopted the Commission will: Items I, II, and III below, which Items new laws regarding insider trading that (a) By order approve such proposed have been prepared by the CBOE. The also provide for the creation of an rule change, or Commission is publishing this notice to independent regulatory authority.17 The (b) Institute proceedings to determine solicit comments on the proposed rule Exchange understands that these whether the proposed rule change change from interested persons. developments will facilitate the should be disapproved. I. Self-Regulatory Organization’s effective coordination between the IV. Solicitation of Comments Commission and the appropriate Statement of the Terms of Substance of German regulatory authorities of Interested persons are invited to the Proposed Rule Change warrant trading on the Germany 25 submit written data, views and The CBOE proposes to amend Rule Index because they will enhance the arguments concerning the foregoing. 4.11 (Position Limits) and Rule 4.12 surveillance of trading in the stocks Persons making written submissions (Exercise Limits) for equity options to comprising the Index.18 In addition, the should file six copies thereof with the add two upper position and exercise Exchange will continue to pursue its Secretary, Securities and Exchange limit tiers for those equity option classes Commission, 450 Fifth Street, NW., own independent surveillance sharing that meet certain criteria for high Washington, DC 20549. Copies of the agreement with the Deutsche Bo¨rse AG liquidity in the underlying stocks. In submission, all subsequent (the holding company that owns the addition, CBOE proposes to expand the amendments, all written statements FSE) and/or the FSE.19 current equity option hedge exemption with respect to the proposed rule The Exchange believes that the from twice to three times the standard change that are filed with the proposed rule change is consistent with or base position limit. The text of the Commission, and all written Section 6 of the Act, in general, and proposed rule change is available at the communications relating to the furthers the objectives of Section 6(b)(5) Office of the Secretary, CBOE, and at the 20 proposed rule change between the of the Act, in particular, in that it is Commission. designed to permit trading in warrants Commission and any person, other than based on the Germany 25 Index those that may be withheld from the II. Self-Regulatory Organization’s pursuant to rules designed to prevent public in accordance with the Statement of the Purpose of, and fraudulent and manipulative acts and provisions of 5 U.S.C. 552, will be Statutory Basis for, the Proposed Rule practices, to promote just and equitable available for inspection and copying in Change principles of trade, remove the Commission’s Public Reference Section, 450 Fifth Street, NW., In its filing with the Commission, the impediments to and perfect the Exchange included statements mechanism of a free and open market Washington, DC. Copies of such filing will also be available for inspection and concerning the purpose of and basis for and a national market system, and to the proposed rule change and discussed protect investors and the public interest. copying at the principal office of the CBOE. All submissions should refer to any comments it received on the (B) Self-Regulatory Organization’s File No. SR–CBOE–95–40 and should be proposed rule change. The Text of these Statement on Burden on Competition submitted by September 18, 1995. statements may be examined at the The Exchange does not believe that places specified in Item IV below. The For the Commission, by the Division of CBOE has prepared summaries, set forth the proposed rule change will impose Market Regulation, pursuant to delegated any inappropriate burden on authority.21 in Sections (A), (B), and (C) below, of the most significant aspects of such competition. Margaret H. McFarland, statements. (C) Self-Regulatory Organization’s Deputy Secretary. Statement on Comments on the [FR Doc. 95–21271 Filed 8–25–95; 8:45 am] (A) Self-Regulatory Organization’s Proposed Rule Change Received From BILLING CODE 8010±01±M Statement of the Purpose of, and Members, Participants, or Others Statutory Basis for, the Proposed Rule Change Written comments on the proposed [Release No. 34±36124; File No. SR±CBOE± rule change were neither solicited nor 95±42] In 1994, the CBOE and the American received. Stock Exchange initiated discussions Self-Regulatory Organizations; Notice with Commission staff on the effect of III. Date of Effectiveness of the of Filing of Proposed Rule Change by increasing the number of position and Proposed Rule Change and Timing for the Chicago Board Options Exchange, exercise limit 3 tiers for equity options Commission Action Inc. To Add Two Position and Exercise Within 35 days of the date of Limit Tiers for Qualifying Equity Option 3 Position limits impose a ceiling on the aggregate publication of this notice in the Federal Classes and To Expand the Equity number of option contracts on the same side of the Register or within such longer period (i) Option Hedge Exemption market that an investor, or investors acting in concert, can hold or write. Similarly, exercise limits as the Commission may designate up to August 18, 1995. impose a ceiling on the aggregate long positions in 90 days of such date if it finds such option contracts that an investor, or investors acting longer period to be appropriate and Pursuant to Section 19(b)(1) of the in concert, can or will have exercised within five publishes its reasons for so finding or Securities Exchange Act of 1934 consecutive business days. (‘‘Act’’),1 and Rule 19b-4 thereunder,2 The equity option position limits provided in notice is hereby given that on August 7, Exchange Rule 4.11 are set at 4,500 or 7,500 or 17 The Commission notes that this new regulatory 10,500 contracts, and were increased to these levels body, the Bundesaufsichtsamt fur den 1995, the Chicago Board Options in December 1993. Inadvertently, according to the Wertpapierhandel, was established in January 1995. Exchange (‘‘CBOE’’ or ‘‘Exchange’’) filed Exchange, the corresponding exercise limits in 18 Telephone conversation between Eileen Smith, with the Securities and Exchange Exchange Rule 4.12 were not increased at the same Director, Product Development, Research Commission (‘‘Commission’’) the time from the Previous 3,000 or 5,500 or 8,000 Department, CBOE, and Brad Ritter, Senior contract levels. The CBOE has proposed to increase Counsel, OMS, Division, Commission, on August 8, the exercise limits accordingly, and to make other 1995. 21 17 CFR 200.30–3(a)(12) (1994). amendments to the equity option position and 19 Id. 1 15 U.S.C. 78s(b)(1) (1988). exercise limit rules. See Securities Exchange Act 20 15 U.S.C. 78f(b)(5) (1988). 2 17 CFR 240.19b-4 (1994). Release No. 35759 (May 24, 1995), 60 FR 28432 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44525 from three to five, in response to least 300 million shares outstanding by the calculation because the at-limit feedback from customers and member with 75 million shares traded in the past position is at least two-thirds hedged firms that existing position and exercise six months, or 100 million shares traded with the underlying security. limits for certain classes were too low. in the past six months. Further, for an unhedged position The discussions also included whether According to the Exchange, the under the limits proposed in the Study, investors, particularly investors with number of equity option classes the maximum percentage that could be sizeable assets or accounts, could currently listed at the CBOE that would controlled by any one investor or group benefit from an expansion of the equity qualify for one of these higher position of investors acting in concert would not hedge exemption contained in Rule and exercise tiers is small. The exceed 7.2% of outstanding shares in 4.11, Interpretation and Policy .04, from Exchange represents that based on any eligible equity option class, in a maximum allowable position of twice available statistics as of June 30, 1995, comparison to a maximum of 10.92% of the standard or base limit to three times approximately 73 classes would meet outstanding shares that currently can be the limit.4 As set forth in greater detail the above shares outstanding and six controlled in an option class in the in a recent report prepared by the month trading volume criteria for the 10,500 contract tier. With respect to Exchange (‘‘Study’’),5 the CBOE 25,000 contract tier, and approximately current classes in which the percentage determined that position and exercise 22 classes would qualify for the 20,000 of shares controlled exceeds 5%, the limit tiers can be added and that the contract tier, out of approximately 580 CBOE represents that to date there have equity hedge exemption can be equity option classes currently listed on been no position or exercise limit expanded to benefit investors without the CBOE. violations. increasing the potential for market In preparing the Study, the CBOE The CBOE states that the Study also disruption. compiled information relating to the The CBOE is proposing to add two elucidated a need for expanded position market impact of increased position and tiers above the current position and and exercise limits. First, the Exchange exercise limits for equity options, and exercise limit tiers for equity options represents that the majority of both addressed among other things: (1) The provided in Exchange Rules 4.11 and institutional and retail customer volume maximum underlying dollar value of an 4.12, at 20,000 and 25,000 contract is equity options traded on the at-limit (hedged) position; (2) the levels.6 The criterion to qualify for the Exchange is transacted in equity option percentage of shares outstanding that proposed 20,000 contract limit will be classes qualifying for one of the could be controlled under the proposed, that the underlying security must have expanded tiers. Second, for calendar expanded limits (unhedged position); at least 240 million shares outstanding year 1994, the CBOE notes that all but (3) how contract volume compares with 60 million shares traded in the past one of approximately 80 position limit between institutional and retail six months, or have 80 million shares violations occurred in equity option customers in those classes eligible for traded in the past six months. To qualify classes qualifying for the 10,500 the new tiers; (4) position limit violation for the proposed 25,000 contract limit, contract tier, and that all but seven of and exemption history for the existing the underlying security must have at approximately 340 market-maker three tiers; and (5) other evidence exemptions granted were also for equity supporting an expansion of the current (May 31, 1995) (notice of File No. SR–CBOE–95– option classes in the 10,500 contract 22). position limit tiers. tier. Third, as noted in the Study, the 4 The equity hedge exemption exempts certain The CBOE believes that the findings CBOE received letters and comments specified equity options positions from the stated set forth in the Study should alleviate affirming the need to increase the (or base) position limits in Exchange Rule 4.11 8 where the option contracts are hedged by 100 concerns that the new position limit current position limits. shares of stock or securities convertible into such tiers and expanded equity hedge In addition to the proposed 25,000 stock (or hedged by the same number of shares exemption may increase exposure to and 20,000 contract tiers, the CBOE is represented by an adjusted option contract), up to market disruption.7 These findings are also proposing to expand the equity a maximum allowable position of twice the standard or base limit. summarized below. For a fully hedged hedge exemption provided in Exchange 5 The purpose of the Study was to analyze the position utilizing the expanded equity Rule 4.11, Interpretation and Policy .04, market impact of increased limits and an expanded hedge exemption, although the so that the maximum allowable hedge exemption. See Letter from Mary Bender, maximum underlying dollar value of an position, after exempting from the base Senior Vice President, Division of Regulatory Services, CBOE, to Holly Smith, Associate Director, at-limit position under the increased position limit specified positions where Office of Market Supervision, Division of Market limits will obviously be greater than the option contract is hedged by 100 Regulation, Commission, dated April 28, 1995. under the increased limits will shares of stock or securities convertible 6As stated previously, the current position limits obviously be greater than under the into stock, will be three times instead of in Rule 4.11 are 4,500, 7,500, and 10,500 contracts current limits, the largest dollar value twice the standard or base limit with the position limits for any particular class of controlled in any equity option class currently provided. For example, the options determined as follows: (1) to be eligible for the 10,500 contract limit, either the most recent six- would not exceed 2.06% of the total maximum position allowed in a single month trading volume of the underlying security market capitalization of the underlying equity option class in the proposed must have totalled at least 40 million shares, or the equity. The CBOE noted in the Study 25,000 contract tier will be 75,000 most recent six-month trading volume of the that the actual underlying dollar value contracts, of which 50,000 contracts underlying security must have totalled at least 30 million shares and the underlying security must controlled will be less than that implied must be hedged. The CBOE believes that have at least 120 mullion shares outstanding; (2) to its data supports this proposal. The be eligible for the 7,500 contract limit, either the 7 The CBOE notes that the Study examined data proposed increase in the maximum most recent six-month trading volume of the that is based on contract limits well in excess of the hedge exemption will apply to all underlying security must have totalled at least 20 limits actually proposed by CBOE herein (i.e., million shares, or the most recent six-month trading proposed tiers of 40,000 and 20,000 contracts). position limit tiers, not just the volume of the underlying security must have Accordingly, the Exchange believes that an added proposed 25,000 and 20,000 contract totalled at least 15 million shares and the measure of comfort can be drawn from the fact that tiers. The CBOE notes that in the Study, underlying security must have at least 40 mullion if no material market disruption likelihood could be approximately 30 to 35 customer shares outstanding; and (3) to be eligible for the detected at the higher limits used in the Study, the 4,500 contract limit, the underlying security must same should remain true, and the potential for accounts and 25 market-maker/member not satisfy the criteria for a higher limit. See CBOE market disruption should be less likely, at the Rule 4.11, Interpretation and Policy .02. proposed 20,000 and 25,000 contract limits. 8 See infra note 11. 44526 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices firm accounts, representing particularly for institutional clients.11 will also be available for inspection and approximately 35 equity option classes, The CBOE states that it has also copying at the principal office of the used the equity hedge exemption on a received comments from member firm CBOE. All submissions should refer to consistent basis in 1994. Moreover, the representatives and customers that, with File No. SR–CBOE–95–42 and should be Study indicated that many institutions respect to sizeable portfolios or assets, submitted by September 18, 1995. had significant positions both in equity they do not have adequate hedging For the Commission, by the Division of options qualifying for the expanded capabilities under the current position Market Regulation, pursuant to delegated tiers and in the underlying securities. limit tiers for equity options. Further, authority.12 As noted below, the CBOE also received the CBOE represents that money Margaret H. McFarland, comments in support of expanding the managers have commented that the Deputy Secretary. 9 equity hedge exemption. current equity option position limits are [FR Doc. 95–21272 Filed 8–25–95; 8:45 am] For the above reasons, the CBOE is too restrictive with respect to the size of BILLING CODE 8010±01±M requesting approval of the proposed assets managed. 20,000 and 25,000 position and exercise III. Date of Effectiveness of the limit tiers for qualifying equity option [Release No. 34±36125; International Series Proposed Rule Change and Timing for classes and an expansion of the current Release No. 841 File No. SR±CBOE±95±39] Commission Action equity option hedge exemption from two to three times the base position Within 35 days of the date of Self-Regulatory Organizations; Notice limit. The CBOE strongly believes that publication of this notice in the Federal of Filing of Proposed Rule Change by the investing community—institutions, Register or within such longer period (i) the Chicago Board Options Exchange, retail customers and member firms as the Commission may designate up to Inc. Relating to the Listing and Trading across the board—will benefit from the 90 days of such date if it finds such of Options and Long-Term Options on the CBOE Germany 25 Index and Long- proposed increases in equity option longer period to be appropriate and Term Options on a Reduced-Value position limits and the equity option publishes its reasons for so finding or CBOE Germany 25 Index hedge exemption, particularly investors (ii) as to which the Exchange consents, with sizeable holdings, accounts, or the Commission will: August 18, 1995. (a) By order approve such proposed assets who employ equity options to Pursuant to section 19(b)(1) of the hedge large stock holdings, and who rule change, or (b) Institute proceedings to determine Securities Exchange Act of 1934 have found the existing equity option (‘‘Act’’),1 and Rule 19b–4 thereunder, 2 position limit tiers and hedge whether the proposed rule change should be disapproved. notice is hereby given that on August 4, exemption to be too restrictive. The 1995, the Chicago Board Options CBOE does not believe, based on IV. Solicitation of Comments Exchange (‘‘CBOE’’ or ‘‘Exchange’’) filed existing data, that the increased position Interested persons are invited to with the Securities and Exchange limits and equity hedge exemption submit written data, views and Commission (‘‘Commission’’) the proposed herein will increase the risk of arguments concerning the foregoing. proposed rule change as described in or exposure to market disruption Persons making written submissions Items I, II, and III below, which Items resulting from the higher numbers of should file six copies thereof with the have been prepared by the CBOE. The equity option contracts permitted to be Secretary, Securities and Exchange Commission is publishing this notice to under common control. Commission, 450 Fifth Street, NW., solicit comments on the proposed rule The Exchange believes that the Washington, DC 20549. Copies of the change from interested persons. proposed rule change is consistent with submission, all subsequent Section 6 of the Act, in general, and I. Self-Regulatory Organization’s amendments, all written statements Statement of the Terms of Substance of furthers the objectives of Section 6(b)(5) with respect to the proposed rule 10 the Proposed Rule Change of the Act, in particular, in that it is change that are filed with the designed to remove impediments to and Commission, and all written The Exchange hereby proposes to perfect the mechanism of a free and communications relating to the amend certain of its rules to provide for open market and a national market proposed rule change between the the listing and trading on the Exchange system by providing investors with Commission and any person, other than of options on the CBOE Germany 25 enhanced hedging capabilities. those that may be withheld from the Index (‘‘Germany 25 Index’’ or ‘‘Index’’). public in accordance with the The text of the proposed rule change is (B) Self-Regulatory Organization’s available at the Office of the Secretary, Statement on Burden on Competition provisions of 5 U.S.C. 552, will be available for inspection and copying in CBOE, and at the Commission. The Exchange does not believe that the Commission’s Public Reference the proposed rule change will impose II. Self-Regulatory Organization’s Section, 450 Fifth Street, NW., any inappropriate burden on Statement of the Purpose of, and Washington, DC. Copies of such filing competition. Statutory Basis for, the Proposed Rule Change (C) Self-Regulatory Organization’s 11 See Letter to Karen Charleston, CBOE, from Alfred Scerbo, Compliance Department, Bear, In its filing with the Commission, the Statement on Comments on the Exchange included statements Proposed Rule Change Received From Stearns & Co., Inc., dated October 6, 1994; letter to Patricia Cerny, CBOE, from Heather Wood, Branch concerning the purpose of and basis for Members, Participants, or Others Manager, Prudential Securities, dated January 18, the proposed rule change and discussed The CBOE states that it received six 1995; letter to Patricia Cerny, CBOE, from William McGowan, Senior Vice President, Mesirow any comments it received on the letters from member firms nothing that Financial, dated December 20, 1994; letter to Karen proposed rule change. The text of these the current position limits are too low Charleston, CBOE, from Scott Kilrea, LETCO, dated statements may be examined at the and supporting an increase in the October 3, 1994; letter to Patricia Cerny, CBOE, places specified in Item IV below. The current position limit levels, from Lyn Lane, Vice President, Rauscher Pierce Refsnes, Inc., dated December 8, 1994; and letter to Patricia Cerny, CBOE, from W. Thomas Clark, 12 17 CFR 200.30–3(a)(12) (1994). 9 Id. Managing Director, Morgan Stanley, dated January 1 15 U.S.C. 78s(b)(1) (1988). 10 15 U.S.C. 78f(b)(5) (1988). 11, 1995. 2 17 CFR 240.19b–4 (1994). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44527 CBOE has prepared summaries, set forth total capitalization of the stocks in the divisor will be adjusted immediately in Sections (A), (B), and (C) below, of index on that date was DM 399.1 billion prior to each ex-dividend date so that the most significant aspects of such ($289.1 billion); the mean capitalization the Index level will not be affected by statements. was DM 15.96 billion ($11.564 billion) the dividend payment. A similar and the median capitalization was DM adjustment will be applied when a (A) Self-Regulatory Organization’s 11.144 billion ($8.072) billion). The Statement of the Purpose of, and company issues new shares for which largest stock by capitalization (Allianz Statutory Basis for, the Proposed Rule the shareholders have preemptive AG Holdings) accounted for 12.94% of Change rights, or when other intra-year events, the total weighting of the Index, while such as mergers and spinoffs, occur. The purpose of the proposed rule the smallest (Kaufhof) accounted for Index replacements, other than those change is to permit the Exchange to list 0.92%. The top 5 stocks accounted for described above, will only be made if a and trade cash-settled, European-style 3 44.56% of the total weighting on that component must be removed from the stock index options on the Germany 25 date. Index because of a merger or takeover. Index. The Index is a capitalization- For the period from January 1, 1995 In that case, the next eligible component weighted index of 25 German blue-chip through June 30, 1995, average daily will be added, i.e,, the German security equities listed on the Frankfurt Stock volume in Germany 25 Index stocks with the highest market capitalization Exchange (‘‘FSE’’). The Exchange ranged from a low of approximately not then included in the Index that represents that options on the Index will 87,629 shares to a high of 2.53 million satisfies the criteria set forth above. provide investors with a low-cost means shares traded per day, with a mean daily of participating in the German economy trading volume for all the stocks in the Index Option Trading and hedging against the risk of investing Index during that period of 523,501 In addition to regular Index options, in that economy. shares traded per day. the Exchange may provide for the listing Index Design The Exchange represents that the of long-term index option series Index is composed of ten (10) broad (‘‘LEAPS’’) and reduced-value LEAPS The 25 stocks comprising the industry groupings, such as chemicals, on the Index (‘‘Index LEAPS’’). Germany 25 Index were selected by the automobile and insurance companies, For reduced-value Index LEAPS, the CBOE for their high market among others, which reflect the industry underlying value will be computed at capitalization and high degree of composition of the German equity one-tenth of the Index level. The current liquidity. According to the Exchange, market. and closing index value of any such the Index stocks are drawn from a broad reduced-value Index LEAPs will, after base of industries and are representative Calculation such initial computation, be rounded to of the industrial composition of the The CBOE states that the Germany 25 the nearest one-hundredth. broader German equity market. Index will reflect changes in the The trading hours for options on the Specifically, the Index components are capitalization of the component stocks Index will be from 8 a.m. to 3:15 p.m., the top 25 German stocks by market relative to the capitalization on a base Chicago time. Currently, the trading capitalization excluding: (1) Stocks with date. The base date for the Index is June hours of the Exchange and the FSE do average daily volume less than 50,000 30, 1995, at which time the Index was not overlap.7 The Exchange, therefore, shares per day over the past six months; given a value of 200 by the CBOE. The will disseminate the value of the Index and (2) preferred stock of an issuer if Index value of 200 was reached by based on the most recent closing prices that issuer also has publicly-traded multiplying the price of each stock by of the component stocks as reported by common stock. The Index will be the number of listed shares,6 obtaining the FSE. After the close of the FSE, reviewed annually by the CBOE at the the sum of these values for all however, trading continues in the 25 end of May in each year and any component stocks, and then dividing by stocks comprising the Index on the composition changes resulting from that a divisor determined to give the Index FSE’s Integrated Stock Exchange review will be implemented after the a value of 200. The CBOE states that the Trading and Information System June expiration in that year. German 25 Index will be calculated by (‘‘IBIS’’).8 The trading hours of IBIS and The Germany 25 Index is weighted by CBOE or its designee based on the most the Exchange currently overlap for the the capitalization (market vlaue) of the recent closing prices of the component two hours period between 8:00 a.m. and component stocks. The capitalization of stocks as reported by the FSE. a particular stock in the Index is 10:00 a.m., Chicago time. During this calculated by multiplying the listed Maintenance two hour period, the Exchange will shares (including common, preferred, The Index will be maintained and calculate and disseminate an and treasury shares) by the price of the calculated by the Exchange. To maintain ‘‘indicative’’ Germany 25 Index level 4 continuity of the Index, the Exchange based on the most recent prices of the stock. 9 On June 30, 1995, the 25 stocks in the will adjust the Index to reflect certain component stocks as reported by IBIS. Index ranged in capitalization from DM events relating to the component stocks. 3.656 billion ($2.648 billion) 5 to DM For example, the Exchange will adjust 7 The FSE’s trading hours are from 10:30 a.m. to 1:30 p.m., Frankfurt time (3:30 a.m. to 6:30 a.m., 51.642 billion ($37.408 billion). The the Index divisor to reflect cash Chicago time). dividends paid on the component 8 According to the Exchange, the Deutsche Bo¨rse 3 Europen-style options may only be exercised securities. The Exchange will make this AG, the holding company for the FSE, states that during a specified period before the options expire. adjustment because German companies IBIS is a screenbased trading and information 4 The Commission notes that this varies from the usually pay their dividends only once system that is available for trading from 8:30 a.m. method used to calculate the values of domestic to 5:00 p.m., Frankfurt time (1:30 a.m. to 10:00 a.m., capitalization-weighted indexes, such as the S&P per year (generally in May or June). If Chicago time). The CBOE represents that IBIS, as 100 Index. For such domestic indexes, values are not adjusted, the annual dividend part of the FSE, is subject to the same rules and determined based solely on the outstanding shares payment would result in a significant regulations as floor trading on the FSE. According of common stock of each component in the indexes. drop in the Index value at the time to the Exchange, IBIS began operating in April, 5 The CBO represents that dollar values used 1991. herein are based on a German mark/U.S. dollar when the dividends are paid. The 9 The Exchange intends to calculate the exchange rate of 1.3805 marks per U.S. dollar ‘‘indicative’’ Index with the same method of prevailing on June 30, 1995. 6 See supra note 4 and accompanying text. calculation as described above for the actual Index. 44528 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices When trading on IBIS has concluded Index LEAPS.12 If an Index stock does ability to invest in options based on an (10:00 a.m. Chicago time), the Exchange not open for trading at the FSE, the last additional index. will disseminate the last ‘‘indicative’’ available price on the FSE of the stock (B) Self-Regulatory Organization’s Index level. To avoid any confusion, the will be used in the calculation of the Statement on Burden on Competition ‘‘indicative’’ Index level will have a value of the Index. When expirations are different ticker symbol from the actual moved in accordance with Exchange The Exchange does not believe that Index level. holidays, such as when the CBOE is the proposed rule change will impose The option premium values will be closed on the Friday before expiration, any inappropriate burden on quoted in U.S. dollars and, therefore, the last trading day for expiring options competition. trading accounts will be denominated in will be Wednesday and the exercise (C) Self-Regulatory Organization’s U.S. dollars. For strike prices under settlement value of Index options at Statement on Comments on the $200, the Exchange reserves the right to expiration will be determined at the Proposed Rule Change Received From list series in 21⁄2 point intervals. close of the regular Thursday trading Members, Participants, or Others sessions at the FSE in Germany even if Written comments on the proposed Surveillance the FSE is open on Friday. If the FSE rule change were neither solicited nor will be closed on the Friday before The Exchange expects to apply its received. existing index options surveillance expiration but the CBOE will not, the procedures to Index options. In last trading day for expiring Index III. Date of Effectiveness of the addition, the CBOE states that the options and Index LEAPS will be Proposed Rule Change and Timing for German legislature recently adopted Wednesday.13 Commission Action new laws regarding insider trading that Position Limits Within 35 days of the date of also provide for the creation of an publication of this notice in the Federal independent regulatory authority.10 The The Exchange proposes to establish Register or within such longer period (i) Exchange understands that these position limits for options on the Index as the Commission may designate up to developments will facilitate the of 50,000 contracts on either side of the 90 days of such date if it finds such effective coordination between the market, with no more than 30,000 longer period to be appropriate and Commission and the appropriate contracts in the series with the nearest publishes its reasons for so finding or German regulatory authority of option expiration month. The Exchange (ii) as to which the Exchange consents, trading on the Germany 25 Index represents that these limits are roughly the Commission will: because they will enhance the equivalent, in dollar terms, to the limits (a) By order approve such proposed surveillance of trading in the stocks applicable to options on other approved rule change, or comprising the Index. In addition, the broad-based indexes. (b) Institute proceedings to determine Exchange will continue to pursue its Exchange Rules Applicable whether the proposed rule change own independent agreement with the should be disapproved. Except as modified herein, the rules Deutsche Bo¨rse AG (the holding in Chapter XXIV of the CBOE’s rules IV. Solicitation of Comments company that owns the FSE) and/or the will be applicable to Germany 25 Index Interested persons are invited to FSE.11 options, including Index LEAPS. submit written data, views and Exercise and Settlement The Exchange states that it has the arguments concerning the foregoing. necessary systems capacity to support Persons making written submissions The proposed options on the Index new series that would result from the should file six copies thereof with the will expire on the Saturday following introduction of Germany 25 Index Secretary, Securities and Exchange the third Friday of the expiration options. The CBOE also states that it has Commission, 450 Fifth Street, NW., month. Trading in the expiring contract been informed that the Options Price Washington, DC 20549. Copies of the month will normally cease at 3:15 p.m. Reporting Authority (‘‘OPRA’’) has the submission, all subsequent (Chicago time) on the immediately capacity to support such new series.14 amendments, all written statements preceding Thursday, unless a holiday The Exchange believes that the with respect to the proposed rule occurs. The exercise settlement value of proposed rule change is consistent with change that are filed with the the Index at option expiration will be Section 6 of the Act, in general, and Commission, and all written calculated by the Exchange on the day furthers the objectives of Section 6(b)(5) communications relating to the following the last day of trading in the of the Act,15 in particular, in that it is proposed rule change between the expiring contracts. The exercise designed to permit trading in options Commission and any person, other than settlement value of Index options at based on the Germany 25 Index those that may be withheld from the expiration will be determined at the pursuant to rules designed to prevent public in accordance with the close of the regular Friday trading fraudulent and manipulative acts and provisions of 5 U.S.C. 552, will be sessions at the FSE in Germany, practices and to promote just and available for inspection and copying in ordinarily at 1:30 p.m., Frankfurt time equitable principles of trade, and the Commission’s Public Reference (6:30 a.m., Chicago time), i.e., values of thereby will provide investors with the Section, 450 Fifth Street, NW., component stocks disseminated through Washington, DC. Copies of such filing IBIS will not be used in calculating the 12 Id. will also be available for inspection and settlement values for Index options or 13 In this circumstance, the CBOE will issue a copying at the principal office of the notice to members informing them that the last CBOE. All submissions should refer to 10 The Commission notes that this new regulatory trading day for Index options and Index LEAPS will File No. SR–CBOE–95–39 and should be body, the Bundesaufsichtsamt fur den be on Wednesday even though the CBOE will be Wertpapierhandel, was established in January 1995. open on expiration Friday. Id. submitted by September 18, 1995. 11 Telephone conversation between Eileen Smith, 14 See Letter from Joe Corrigan, Executive Director, Product Development, Research Director, OPRA, to Eileen Smith, Director, Product Department, CBOE, and Brad Ritter, Senior Development, Research Department, CBOE, dated Counsel, OMS, Division, Commission, on August 8, November 21, 1994. 1995. 15 15 U.S.C. 78f(b)(5) (1988). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44529 For the Commission, by the Division of (A) Self-Regulatory Organization’s Total market capitalization for the Index Market Regulation, pursuant to delegated Statement of the Purpose of, and was approximately $451 billion.4 authority.16 Statutory Basis for, the Proposed Rule Calculation Margaret H. McFarland, Change Deputy Secretary. The Index will be calculated by The Exchange represents that it is determining a multiplier such that each [FR Doc. 95–21273 Filed 8–25–95; 8:45 am] permitted to list and trade index security will represent an equal BILLING CODE 8010±01±M warrants under CBOE Rule 31.5(E). The percentage (2.5%) of the Index on the Exchange is now proposing to list and date the warrants are priced for initial trade index warrants based upon the sale to the public. The Index value for [Release No. 34±36128; International Series Japan Export Index. The Exchange any day will equal the sum of the Release No. 843; File No. SR±CBOE±95± further represents that the listing and products of the most recently available 41] trading of Index warrants will comply in market prices and the applicable all respects with CBOE Rule 31.5(E), as multipliers for the component Self-Regulatory Organizations; Notice discussed below. securities. The Index value will be set of Filing of Proposed Rule Change by Index Design equal to 100 on the date the warrants are the Chicago Board Options Exchange, priced for initial offering to the public. Incorporated, Relating to Warrants on The Japan Export Index is an ‘‘equal In the event that a security does not the Japanese Export Stock Index dollar weighted’’ broad-based index trade on a given day, the previous day’s comprised of the stocks of 40 of the last sale price is used for purposes of August 21, 1995. largest Japanese export companies, as calculating the Index. In the event that Pursuant to Section 19(b)(1) of the measured by total yen-denominated a given security has not traded for more Securities Exchange Act of 1934 export revenue, listed on the Tokyo than one day, then the last sale price on Stock Exchange (‘‘TSE’’).3 At the outset (‘‘Act’’),1 and Rule 19b–4 thereunder,2 the last day on which the security was each of the component securities notice is hereby given that on August 7, traded will be used. comprising the Index will be equally 1995, the Chicago Board Options represented. Thus, on the day warrants Maintenance Exchange, Incorporated (‘‘CBOE’’ or on the Index are priced for sale to the The Index will be calculated by the ‘‘Exchange’’) filed with the Securities investing public, each component Exchange based on closing prices on the and Exchange Commission security will represent 2.5% of the TSE each day and will be disseminated (‘‘commission’’) the proposed rule original Index value. before the opening of trading via change as described in Items I, II, and The Japan Export Index stocks are Options Price Reporting Authority. The III below, which Items have been drawn from a broad base of industries Index will be rebalanced on the last prepared by the Exchange. The and are representative of the industrial trading day of the year such that the Commission is publishing this notice to composition of the broader Japanese components again represent an equal solicit comments on the proposed rule equity market. Business sector percentage (2.5%) of the Index. The change from interested persons. representation in the Index as of June components of the Index will remain I. Self-Regulatory Organization’s 30, 1995, was as follows: (1) Autos and unchanged unless it becomes necessary auto parts (25%) (10 Issues); (2) Electric Statement of the Terms of Substance of to remove a component security due to Machinery—diversified (22.5%) (9 a merger, takeover, or some other event the Proposed Rule Change issues); (3) Consumer Electronics (20%) where the issuer of the component The Exchange proposes to list and (8 issues); (4) Iron and Steel (7.50%) (3 security is not the surviving entity. If a trade warrants on the Japanese Export issues); (5) Precision instruments (7.5%) component security is removed, another Stock Index (‘‘Japan Export Index’’ or (3 issues); (6) Shipbuilding (5%) (2 security will be added to preserve the ‘‘Index’’). The text of the proposed rule issues); (7) Chemicals (5%) (2 issues); character of the Index. To ensure change is available at the Office of the (8) Machinery (2.5%) (1 issue); (9) continuity in the Index’s value, the Secretary, the Exchange, and at the Computers and semiconductors (2.5%) index divisor will be adjusted to reflect, (1 issue); and (10) Services (2.5%) (1 Commission. among other things, certain rights issue). issuances, stock splits, rebalancing, and II. Self-Regulatory Organization’s As of June 30, 1995, the CBOE component security changes. Statement of the Purpose of, and represents that the 40 stocks contained Index Warrant Trading Statutory Basis for, the Proposed Rule in the Index range in market Change capitalization from $1.59 billion to The proposed warrants will be direct $74.76 billion. The median obligations of their issuer subject to In its filing with the Commission, the capitalization of the component cash-settlement in U.S. dollars, and Exchange included statements securities in the Index was $7.6 billion. either exercisable throughout their life concerning the purpose of and basis for (i.e., American-style) or exercisable only the proposed rule change. The text of 3 The components of the Index are as follows: immediately prior to their expiration these statements may be examined at Aiwa; Bridgestone Corp.; Canon; Casio Computer; date (i.e., European-style). Upon the places specified in Item IV below. Citizen Watch. Fuji Heavy Inds.; Fuji Photo Film; exercise, the holder of a warrant Hitachi, Honda Motor; Isuzu Motor; Kawasaki structured as a ‘‘put’’ would receive The Exchange has prepared summaries, Heavy Ind.; Kawasaki Steel; Komatsu Ltd.; Konica set forth in Section (A), (B), and (C) Corp.; Kyocera Corp.; Kyushu Matsushita; Matsu- payment in U.S. dollars to the extent below, of the most significant aspects of Kotob Eltr.; Matsushita Elect I; Mazda Motor; that the index value has declined below such statements. Mitsubishi Heavy; Mitsubishi Motors; NEC; Nikon a pre-stated cash settlement value. Corp.; Nintento; Nippon Steel; Nissan Motor; OKI Conversely, upon exercise, the holder of Electric Ind.; Pioneer Eltr.; Ricoh Co. Ltd.; Sanyo Electric; Sega Enterprises; Sharp Corp.; Sony; a warrant structured as a ‘‘call’’ would 16 17 CFR 200.30–3(a)(12) (1994). Sumitomo Mtl. Ind.; Suzuki Motor; TDK 1 15 U.S.C. 78s(b)(1). Corportion; Toshiba; Toyota Motor; Victor Co. of 4 Based on the exchange rate of 85 yen/US$ 1 2 17 CFR 240.19b-4. Japan; and Yamaha Motor. prevailing on June 30, 1995. 44530 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices receive payment in U.S. dollars to the Surveillance (A) By order approve such proposed extent that the index value has The Exchange expects to apply its rule change, or increased above the prestated cash existing index warrant surveillance (B) Institute proceedings to determine settlement value. Warrants that are ‘‘out- procedures to Japan Export Index whether the proposed rule change of-the-money’’ at the time of expiration warrants. The Exchange has a market should be disapproved. will expire worthless. surveillance agreement with the Tokyo IV. Solicitation of Comments Stock Exchange (‘‘TSE’’) which was Warrant Listing Standards and Interested persons are invited to obtained in connection with CBOE Customer Safeguards submit written data, views and trading of options of the Nikkei 300 arguments concerning the foregoing. Index (‘‘Nikkei 300’’). Approximately The Exchange has established listing Persons making written submissions 73% of the stocks in the Index are also standards for index warrants which are should file six copies thereof with the 5 components of the Nikkei 300 Index. contained in CBOE Rule 31.5E. The Secretary, Securities and Exchange The Exchange notes that the TSE is Exchange also has established certain Commission, 450 Fifth Street, N.W., under the regulatory oversight of the sales practice rules for the trading of Washington, D.C. 20549. Copies of the Ministry of Finance (‘‘MOF’’) and index warrants which are contained in submission, all subsequent believes that the ongoing oversight of all Chapter IX of the Exchange’s Rules. The amendments, all written statements securities trading activity on the TSE by Exchange represents that the listing and with respect to the proposed rule the MOF will help to ensure that trading trading of index warrants on the Japan change that are filed with the of the component securities included in Export Index will be subject to these Commission, and all written the Japan Export Index will be guidelines and rules. communications relating to the appropriately monitored. Finally, the proposed rule change between the The Exchange has submitted to the Exchange is aware of a Memorandum of Commission and any person, other than Commission a proposed rule change to Understanding (‘‘MOU’’) between the those that may be withheld from the amend its listing criteria for stock index Commission and the MOF that provides public in accordance with the warrants.6 The Exchange represents that a framework for mutual assistance in provisions of 5 U.S.C. 552, will be the Generic Warrant Listing Standards investigatory and regulatory matters. available for inspection and copying at will be applicable to the listing and The Exchange believes that the the Commission’s Public Reference trading of currency and index warrants proposed rule change is consistent with Section, 450 Fifth Street, N.W., generally, including Japan Export Index Section 6 of the Act, in general, and Washington, D.C. 20549. Copies of such warrants. If the listing of Japan Export furthers the objectives of Section 6(b)(5) filing will also be available for Index warrants is approved prior to of the Act, in particular, in that it is inspection and copying at the principal Commission approval of the Generic designed to facilitate transactions in office of the CBOE. All submissions Warrant Listing Standards, the CBOE securities and to remove impediments should refer to SR–CBOE–95–41 and represents that it will require that (1) to and perfect the mechanism of a free should be submitted by September 18, these warrants be sold only to accounts and open market and facilitate 1995. approved for the trading of standardized transactions in securities because the 7 Index warrants will provide investors a For the Commission, by the Division of options and (2) index options margin Market Regulation, pursuant to delegated 8 means by which to hedge existing will be applied. Finally, prior to the authority.10 commencement of trading, the Exchange investments in the Japanese equity market. Margaret H. McFarland, will distribute a circular to its Deputy Secretary. membership calling attention to certain (B) Self-Regulatory Organization’s [FR Doc. 95–21228 Filed 8–25–95; 8:45 am] compliance responsibilities when Statement on Burden on Competition handling transactions in the Japan BILLING CODE 8010±01±M The Exchange does not believe that Export Index warrants.9 the proposed rule change will impose [Release No. 34±36122; File No. SR±Phlx± any burden on competition. 5 Currently, Rule 31.5E provides that: (1) Issues of 95±54] warrants must substantially exceed the Exchange’s (C) Self-Regulatory Organization’s criteria for the listing of equity issues under CBOE Statement on Comments on the Self-Regulatory Organizations; Notice Rule 31.5A and have assets in excess of $100 Proposed Rule Change Received From of Filing and Immediate Effectiveness million; (2) particular warrant issues must have at of Proposed Rule Change by the least (i) one million warrants outstanding, (ii) a Members, Participants or Others principal amount/aggregate market value of $4 Philadelphia Stock Exchange, Inc., million, and (iii) 400 public holders; and (3) No written comments were solicited Extending the Pilot Program for Equity warrant issues must have a term of one to five years or received with respect to the proposed and Index Option Specialist Enhanced from the date of issuance. rule change. Parity Split Participations 6 These proposed standards will govern all aspects of the listing and trading of index warrants, III. Date of Effectiveness of the August 18, 1995. including, position and exercise limits, reportable Proposed Rule Change and Timing for Pursuant to Section 19(b)(1) of the positions, automatic exercise, settlement, margin, Commission Action and notification of early exercise. See Securities Securities Exchange Act of 1934 Exchange Act Release No. 35178 (December 29, Within 35 days of the date of (‘‘Act’’), 15 U.S.C. 78s(b)(1), notice is 1994), 60 FR 2409 (January 9, 1995) (notice of File publication of this notice in the Federal hereby given that on August 3, 1995, the No. SR–CBOE–94–34) (‘‘Generic Warrant Listing Standards’’). Register or within such longer period (i) Philadelphia Stock Exchange, Inc. 7 See CBOE Rule 9.7. as the Commission may designate up to (‘‘Phlx’’ or ‘‘Exchange’’) filed with the 8 Telephone conversation between Eileen Smith, 90 days of such date if it finds such Securities and Exchange Commission Director, Product Development, Research longer period to be appropriate and (‘‘Commission’’) the proposed rule Department, CBOE, and John Ayanian, Attorney, publishes its reasons for so finding or change as described in Items I and II Office of Market Supervision (‘‘OMS’’), Division of Market Regulation (‘‘Market Regulation’’), (ii) as to which the self-regulatory below, which Items have been prepared Commission, on August 17, 1995. organization consents, the Commission 9 Id. will: 10 17 CFR 200.30–3(a)(12). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44531 by the Exchange. The Commission is the specialist.4 The Enhanced Parity determined to extend the program for an publishing this notice to solicit Split is only applicable to 50% of each additional year. Accordingly, the Phlx comments on the proposed rule change specialist units’s issues listed prior to requests that the Enhanced Parity Split from interested persons. August 26, 1994, and to all option be extended until August 26, 1996. classes listed after that date.5 Exchange Rule 1014(g)(ii) Advice B–6, I. Self-Regulatory Organization’s The Enhanced Parity Split, as which contains the text of Rule 1014, Statement of the Terms of Substance of amended, applies in those situations will be amended to reflect the new the Proposed Rule Change where an equity or index options expiration date for the Pilot Program. The Phlx proposes to extend until specialist is on parity with one or more In addition, Exchange Rule August 26, 1996, the Exchange’s controlled accounts for orders involving 1014(g)(ii), which describes the enhanced parity participation more than five contracts. Specifically: Enhanced Parity Split, is being amended (‘‘Enhanced Parity Split’’) pilot program when an equity or index option in order to correct an error that the for Equity and index option specialists specialist is on parity with one Exchange represents was made when (‘‘Pilot Program’’). Amendments to the controlled account, the specialist the program was amended in March wording in Exchange Rule 1014(g)(ii) receives 60% of the contracts and the 1995.7 The Exchange statues that the and Options Floor Procedure Advice B– controlled account receives the intent of that amendment, as stated in 6 (Priority of Option Orders for Equity remaining 40%; when a specialist is on the Phlx’s proposal and in the Options and Index Options by Account parity with two controlled accounts, the Commission’s approval order, was to Type) (‘‘Advice B–6’’) are also being specialist receives 40% of the contracts give specialists the following levels of made to correct certain language and each controlled account receives enhanced participation for parity trades pertaining to the Enhanced Parity Split 30%; and when a specialist is on parity involving more than five contracts: 60% and to note the change in the expiration with three or more controlled accounts, of the contracts when the specialist is date of the Pilot Program. The text of the the specialist is counted as two crowd on parity with only one controlled proposed rule change is available at the participants for purposes of allocating account; 40% when the specialist is on Office of the Secretary, the Phlx, and at the contracts. In all of these situations, parity with two controlled account; and the Commission. if a customer is on parity, the customer to count the specialist as two crowd will not be disadvantaged by receiving participants when the specialist is on II. Self-Regulatory Organization’s a lesser allotment than any other crowd parity with three or more controlled Statement of the Purpose of, and participant, including the specialist. accounts.8 The rule language proposed Statutory Basis for, the Proposed Rule Although the Enhanced Parity Split by the Exchange and subsequently Change was approved in August 1994, the approved by the Commission in In its filing with the Commission, the Exchange did not actually implement connection with that filing, however, Phlx included statements concerning the program until late October 1994, due incorrectly states that ‘‘where there are the purpose of and basis for the to logistical issues regarding the two or more controlled accounts are on proposed rule change. The Text of these specialists’ lists of options classes that parity * * * the specialist is entitled to statements may be examined at the would be subject to the Enhanced Parity 40% of the initiating order’’ (emphasis places specified in Item IV below. The Split and how to divide the contracts added). The Exchange states that the Exchange has prepared summaries, set where there was an odd number of phrase ‘‘or more’’ is incorrect. forth in Section (A), (B), and (C) below, contracts involved. The Exchange Accordingly, the Exchange is also of the most significant aspects of such therefore represents that it has only had proposing to delete the phrase ‘‘or statements. the opportunity to conduct two more’’ from the rule language cited quarterly reviews of the Enhanced above. Similarly, the Exchange is also (A) Self-Regulatory Organization’s Parity Split pursuant to Exchange Rule amending Section C of Advice B–6 to Statement of the Purpose of, and 509 to ensure that specialists receiving make the same change. Statutory Basis for, the Proposed Rule the Enhanced Parity Split are complying In the Commission’s order originally Change with the Exchange’s minimum approving the Enhanced Parity Split, it In August 1994, the Commission performance standards.6 Thus, because was noted that prior to granting an approved, as a one-year pilot program, the Enhanced Parity Split has not been extension or permanent approval of the which expires on August 26, 1995, the in operation for a full year and because Pilot Program, the Commission would Exchange’s proposal to adopt an the Exchange’s Quality of Markets require the Exchange to make any enhanced specialist participation in Subcommittee has not had the changes necessary to ensure that parity equity option trades.1 In opportunity, in the Phlx’s opinion, to competition is not being unnecessarily November 1994, the Commission properly judge the effectiveness of the restrained and that investors are not approved the Exchange’s request to Pilot Program, the Exchange has being harmed by the enhanced expand the Enhanced Parity Split to participation provisions.9 As to the include index option specialists as well member broker-dealer.’’ Customer accounts, which issue of competition, the Exchange 2 include discretionary accounts, are defined as all as equity option specialists. The accounts other than controlled accounts and represents that it did find that the Enhanced Parity Split was again specialists accounts. See Phlx Rule 1014(g). Enhanced Parity Split as originally amended in March 1995, to modify the 4 See Securities Exchange Act Release No. 35429 approved was overly burdensome when Pilot Program where less than three (March 1, 1995), 60 FR 12802 (March 8, 1995). only one or two controlled accounts controlled accounts 3 are on parity with 5 The Exchange also has an additional enhanced were on parity with the specialist. As a parity split program that is limited to ‘‘new’’ option specialist units trading newly listed options classes result, the Exchange states that it 1 See Securities Exchange Act Release No. 34606 where the specialist is on parity with two or more corrected this problem by its (August 26, 1994), 59 FR 45741 (September 2, registered options traders. The enhanced parity amendment to the Enhanced Parity Split 1994). split for new specialist units was approved on a in March 1995, as discussed above, that 2 See Securities Exchange Act Release No. 35028 permanent basis and is therefore not included in (November 30, 1994), 59 FR 63151 (December 7, this proposed rule change. See Securities Exchange 1994). Act Release No. 34109 (May 25, 1994), 59 FR 28570 7 See sipra note 4. 3 A controlled account is defined as ‘‘any account (June 2, 1994). 8 Id. controlled by or under common control with a 6 See sipra note 1. 9 See supra note 1. 44532 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices modified the program with respect to file the proposed rule change, along At any time within 60 days of the situations where a specialist is on parity with a brief description and the text of filing of the proposed rule change, the with only one or two controlled the proposed rule change at least five Commission may summarily abrogate accounts. As to the issue of investor business days prior to the date of filing such rule change if it appears to the protection, the Exchange believes that of the proposed rule change, or such Commission that such action is the provisions requiring specialists to shorter time as designated by the necessary or appropriate in the public assure that customers are not Commission, it has become effective interest, for the protection of investors, disadvantaged by the Enhanced Parity pursuant to Section 19(b)(3)(A) of the or otherwise in furtherance of the Split has been strictly enforced without Act and Rule 19b–4(e)(6) thereunder.11 purposes of the Act. incident. Moreover, the Exchange A proposed rule change filed under IV. Solicitation of Comments represents that it has not received any Rule 19b–4(e) 12 does not become complaints, either orally or in writing, operative prior to thirty days after the Interested persons are invited to regarding the Enhanced Parity Split, in date of filing or such shorter time as the submit written data, views and general, or from investors regarding Commission may designate if such arguments concerning the foregoing. inequitable splits, in particular. action is consistent with the protection Persons making written submissions The Phlx represents that the proposed of investors and the public interest. The should file six copies thereof with the rule change is consistent with Section Phlx has requested, in order for the Pilot Secretary, Securities and Exchange 6(b) of the Act, in general, and furthers Program to continue in operation Commission, 450 Fifth Street NW., the objectives of Section 6(b)(5),10 in without interruption, that the Washington, DC 20549. Copies of the particular, in that it is designed to Commission accelerate the submission, all subsequent prevent fraudulent and manipulative implementation of the proposed rule amendments, all written statements acts and practices; to promote just and change so that it may take effect prior with respect to the proposed rule equitable principles of trade, to foster to the thirty days specified under Rule change that are filed with the cooperation and coordination with 19b–4(e)(6). The Commission finds that Commission, and all written persons engaged in regulating, clearing, the proposed rule change is consistent communications relating to the settling, processing information with with the protection of investors and the proposed rule change between the respect to, and facilitating transactions public interest and therefore has Commission and any person, other than in securities, to remove impediments to determined to make the proposed rule those that may be withheld from the and perfect the mechanism of a free and change operative as of August 27, 1995. public in accordance with the open market and a national market Additionally, the Commission provisions of 5 U.S.C. § 552, will be system, and to protect investors and the believes that the conditions stated in the available for inspection and copying at public interest. Specifically, the original approval order for extending the Commission’s Public Reference 13 Exchange represents that the proposal the Pilot Program have been satisfied. Section, 450 Fifth Street, NW., balances the competing interests of Specifically, the Phlx has stated that: (1) Washington, DC 20549. Copies of such specialists and market makers while The previous amendments to the Pilot filing will also be available for assisting specialists in making tight and Program have served to assure that the inspection and copying at the principal liquid markets in their assigned options Enhanced Parity Split is not office of the Phlx. All submissions classes, and protects the public interest unnecessarily restraining competition; should refer to File No. SR–Phlx–95–54 by requiring quarterly reviews and (2) the Pilot Program contains sufficient and should be submitted by September ensuring that customer orders are not safeguards to prevent customers from 18, 1995. disadvantaged by the Enhanced Parity being disadvantaged by the application For the Commission, by the Division of Split. of the Enhanced Parity Split; and (3) no Market Regulation, pursuant to delegated complaints have been received by the authority.15 (B) Self-Regulatory Organization’s Phlx regarding the Pilot Program. As a Margaret H. McFarland, Statement on Burden on Competition result, the Commission believes that Deputy Secretary. The Exchange does not believe that extending the Pilot Program for one [FR Doc. 95–21275 Filed 8–25–95; 8:45 am] year, until August 26, 1996, is the proposed rule change will impose BILLING CODE 8010±01±M any burden on competition. appropriate and consistent with the Act.14 (C) Self-Regulatory Organization’s [Release No. 34±36129; File No. SR±NASD± Statement on Comments on the 11 17 CFR 240.19b–4(e)(6) (1994). 95±27] Proposed Rule Change Received From 12 Id. Members, Participants or Others 13 See supra note 1. Self-Regulatory Organizations; 14 National Association of Securities No written comments were solicited The Commission notes that in connection with any future request by the Exchange for the Dealers, Inc.; Order Approving or received with respect to the proposed Commission to either further extend or permanently Proposed Rule Change Relating to the rule change. approve the Pilot Program, the Exchange will be required to submit to the Commission a report Adjustment of Open Orders III. Date of Effectiveness of the discussing (1) whether the Pilot Program has Proposed Rule Change and Timing for generated any evidence of any adverse effect on August 22, 1995. Commission Action competition or investors, in particular, or the I. Introduction market for equity or index options, in general, (2) Because the foregoing proposed rule whether the Exchange has received any complaints, On February 3, 1995, the National change: (1) Does not significantly affect either written or otherwise, concerning the Association of Securities Dealers, Inc. operation of the Pilot Program, and (3) whether the the protection of investors or the public Exchange has taken any disciplinary action against, (‘‘NASD’’ or ‘‘Association’’) filed with interest; (2) does not impose any or commenced any investigations, examinations, or the Securities and Exchange significant burden on competition; and inquiries concerning the operation of the Pilot Commission (‘‘SEC’’ or ‘‘Commission’’) (3) the Exchange provided the Program, as well as the outcome of any such matter. a proposed rule change pursuant to Any request for either a further extension or Commission with notice of its intent to permanent approval of the Pilot Program, along Section 19(b)(1) of the Securities with the above report, should be submitted to the 10 15 U.S.C. 78f(b)(5) (1988). Commission no later than June 1, 1996. 15 17 CFR 200.30–3(a)(12) (1994). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44533 Exchange Act of 1934 (‘‘Act’’) 1 and Rule of orders where the dividend or Corp. (‘‘ASPC’’). It is contemplated that 19b–4 thereunder.2 The NASD seeks to distribution is less than one cent ($.01). the Americus Derivatives will be issued amend Article III, Section 46 of the and guaranteed by the Options Clearing IV. Conclusion Rules of Fair Practice to provide that Corporation (‘‘OCC’’) and will allow the where the issuer of a security declares For the reasons stated above, the purchase or sale of any of three distinct a cash dividend or other distribution of Commission finds that the proposed optionable economic interests inherent less than one cent ($.01), members will rule change is consistent with the in a share of common stock. The PHLX not be required to adjust open orders for requirements of the Act. proposes to adopt the new Rule 1000D such securities. It is therefore ordered, pursuant to series to apply to the trading of these Section 19(b)(2) of the Act, that the Notice of the proposed rule change securities. The text of the proposed rule proposed rule change SR–NASD–95–27 appeared in the Federal Register on change is available at the Office of the be, and hereby is, approved. June 28, 1995.3 No comments were Secretary, PHLX and at the Commission. For the Commission, by the Division of received in response to the Commission II. Self-Regulatory Organization’s release. This order approves the Market Regulation, pursuant to delegated authority.5 Statement of the Purpose of, and proposed rule change. Margaret H. McFarland, Statutory Basis for, the Proposed Rule II. Description of the Proposed Rule Deputy Security. Change Change [FR Doc. 95–21274 Filed 8–25–95; 8:45 am] In its filing with the Commission, the Article III, Section 46 of the Rules of BILLING CODE 8010±01±M PHLX included statements concerning Fair Practice requires members holding the purpose of and basis for the open orders to proportionally reprice [Release No. 34±36127; File No. SR±PHLX± proposed rule change and discussed any such orders according to the value of the 95±19] comments it received on the proposed dividend or distribution on the date the rule change. The text of these statements security is quoted ex-dividend, ex- Self-Regulatory Organizations; Notice may be examined at the places specified rights, ex-distribution or ex-interest. of Filing of Proposed Rule Change and in Item IV below. The PHLX has According to the NASD, shortly after the Amendment No. 1 to Proposed Rule prepared summaries, set forth in rule became effective in September Change by the Philadelphia Stock Sections A, B, and C below, of the most 1994, several member firms questioned Exchange, Inc., Relating to the Listing significant aspects of such statements. and Trading of DIVS, OWLS and RISKS the necessity of complying with Section A. Self-Regulatory Organization’s 46 if a dividend or other distribution August 18, 1995. Statement of the Purpose of, and was less than one cent ($.01). Pursuant to section 19(b)(1) of the Statutory Basis for, the Proposed Rule The NASD has determined that where Securities Exchange Act of 1934 Change a dividend or other distribution of less (‘‘Act’’), 15 U.S.C. § 78s(b)(1), notice is The PHLX proposes to list a new than one cent ($.01) has been declared, hereby given that on May 8, 1995, the product developed by and licensed to it the costs associated with complying Philadelphia Stock Exchange, Inc. by ASPC that allows the purchase or with Section 46 exceed the benefits. (‘‘PHLX’’ or ‘‘Exchange’’) filed with the sale of any of three distinct optionable Specifically, the NASD concluded that Securities and Exchange Commission economic interests inherent in a share of the effect of such a small dividend or (‘‘Commission’’) the proposed rule common stock. On January 3, 1995, the other distribution on the price of the change as described in Items I, II and III Exchange filed for approval to list and security is de minimis and, therefore, below, which Items have been prepared trade a product known as DIVS, ZIPS the likelihood that unadjusted orders by the Exchange. On July 12, 1995, the and SPECS (‘‘DZ&S’’). DZ&S provided, will result in poor executions for PHLX filed Amendment No. 1 in part, for the pass-through of the customers is remote. Accordingly, the (‘‘Amendment No. 1’’) to the proposal to NASD proposes to amend Section 46 to voting rights of the underlying common address concerns raised by Commission 2 state that where a dividend or other staff.1 The Commission is publishing stock to DZ&S holders. The present distribution is less than one cent ($.01), this notice to solicit comments on the filing proposes an alternative product the price of the order shall not be proposed rule change and Amendment that is similar in most respects to DZ&S adjusted. No. 1 from interested persons. except for the fact that the shareholder voting rights are not passed through to III. Discussion I. Self-Regulatory Organization’s the holders of the proposed Americus Statement of the Terms of Substance of Derivatives. The Commission believes that the the Proposed Rule Change NASD’s proposal is consistent with the Each of the proposed new requirements of the Act and the rules The PHLX, pursuant to Rule 19b–4 of instruments, called DIVS, OWLS and and regulations thereunder applicable to the Act, proposes to list for trading RISKS, will be traded separately on the the NASD and, therefore, has ‘‘DIVS’’ (Dividend Value of Stock), PHLX’s equity options floor. The determined to approve the rule change. ‘‘OWLS’’ (Options With Limited Stock) Exchange believes that, combined, the Specifically, the Commission believes and ‘‘RISKS’’ (Residual Interest in Americus Derivatives have all the that the proposed rule change is Stock) (collectively hereinafter referred characteristics of a share of the consistent with the requirements of to as the ‘‘Americus Derivatives’’), underlying common stock (except for Section 15A(b)(6) 4 of the Act in that it which are new hybrid option products voting rights) and that the ability to eliminates the costs and inefficiencies developed by Americus Stock Process trade the Americus Derivatives as associated with mandating the repricing separate component instruments will 5 17 CFR 200.30–3(a)(12). provide novel hedge, arbitrage, 1 Letter from Shelle R. Weisbaum, Associate 1 15 U.S.C. 78s(b)(1) (1988). speculation and investment General Counsel, PHLX, to Sharon Lawson, opportunities. 2 17 CFR 240.19b–4 (1994). Assistant Director, SEC, dated June 30, 1995. 3 Securities Exchange Act Release No. 35875 Among the issues addressed in Amendment No. 1 (June 21, 1995), 60 FR 33442 (June 28, 1995). are provisions relating to position reporting, sales 2 Securities Exchange Act Release 35400 (Feb. 21, 4 15 U.S.C. 78o–3(b)(6). practice rules, margin and issuance size. 1995), 60 FR 10887 (Feb. 28, 1995). 44534 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices The Americus Derivatives will be of a new series of RISKS and OWLS and 100% of the RISKS price plus 20% of regulated, except as described herein, by is used to determine these instruments’ the market value of the RISKS, except the rules governing standardized payout on the pertinent Termination that the maximum margin shall not options. Proposed Rule 1001D Date. In accordance with PHLX Rule exceed the termination claim for the establishes position limits of 1 million 1004D, Termination Claims will be set RISKS (‘‘uncovered margin DIVS, OWLS and RISKS, each, at the underlying stock price reflecting requirement’’). The PHLX, however respecting any particular underlying the most recent business day’s proposes that the margin treatment stock, and holders will be required to consolidated closing value rounded to applicable to RISKS be subject to three report to the Exchange when they have the nearest $2.50 increment for stocks exceptions: established an aggregated position of priced at or below $25.00 or to the (a) In subparagraph (4) of Proposed Rule 3 20,000 DIVS, OWLS and RISKS. The nearest $5.00 increment for stocks 1722D, if a customer has a short RISKS sales practice rules applicable to options priced above $25.00. The PHLX may list position and a long RISKS position which (Rules 1024 through 1029) will also be new series of DIVS, OWLS and RISKS expires on or before the termination date of applicable to sales of DIVS, OWLS and annually, or at more frequent intervals, the short position, the positions will be RISKS. (See Rule 1000D(a) 4). The OCC depending on market conditions. No treated exactly like an options spread. The will be the exclusive issuer of the new series will be opened nor opening margin requirement will be the lesser of the Americus Derivatives which the transactions be permitted if open uncovered margin requirement or the amount, if any, by which the termination Exchange proposes to issue in interest in DIVS, OWLS and RISKS accordance with the disclosure scheme claim of the short position exceeds the represents more than 10 percent of the termination claim of the long position. If the provided for under Rule 9b–1 of the Act. outstanding shares of any underlying long position expires after the short position, The Americus Derivatives will be issued stock. (See Rule 1012D.) however, the margin on the short position in separate series with each series The PHLX anticipates that the sum of will be the lesser of the uncovered margin having its own distinct CUSIP number the market prices of DIVS, OWLS and requirement or 20% of the market value of and trading symbol. The Americus RISKS on the same underlying security the long position. Derivatives will be issued in book-entry with the same Termination Date and (b) In subparagraph (5) of Proposed Rule only form. DIVS, OWLS and RISKS will Termination Claim will approximate the 1722D, covered RISKS short positions will be be created when opening buy and sell treated in a manner similar to that of covered actual market price for the underlying call options positions under existing Rule orders are executed, and the additional security. Because DIVS, OWLS and execution of such orders will increase 722(c)(2)(F). When a customer holds a short RISKS are each economic interests in a RISKS position and a long position in the the open interest of the Americus single underlying share, if the combined underlying security or one exchangeable or Derivatives. Quotation and transaction price of the related DIVS, OWLS and convertible into the underlying security reporting will occur through the RISKS diverges from that of the (excluding warrants), no margin will be facilities of the Options Price Reporting underlying security, the PHLX believes required on the short position if the long Authority. that arbitrage opportunities would tend position is margined in accord with Rule 722 The criteria for underlying common to remove the pricing disparity. and the long position expires after the stocks upon which the Americus termination date of the short RISKS position. For customer margin purposes, DIVS The margin requirement for a short RISKS Derivatives will be based are the same and OWLS are contemplated to be criteria as utilized for standardized position which is covered by a long warrant margined as equity securities pursuant convertible into an equivalent number of equity options listed on the PHLX under to Regulation T for initial margin PHLX Rule 1009, with the additional shares of the underlying security, will be the purposes, which generally requires that lesser of the uncovered margin requirement limitation that only the top 250 U.S. equity securities be subject to a margin or the amount by which the conversion price market capitalized stocks that trade on level of 50% of its current market value. of the long warrant exceeds the termination either a national securities exchange or Moreover, the PHLX proposes to apply claim of the short RISKS, provided the right the NASDAQ national market will be Rule 722 for maintenance margin to convert the warrant does not expire on or eligible for consideration (See Rule before the termination date of the short purposes, which would subject DIVS 1009D). DIVS, OWLS and RISKS of a RISKS. and OWLS to a 25% margin particular series will all be issued for (c) Customers will also be allowed to use requirement for long positions and 30% the same length of time, currently escrow receipts or letters of guarantee in lieu margin requirement for each short of posting margin for short RISKS positions contemplated to be up to 60 months, 3 and therefore all components of the position. Furthermore, the PHLX similar to the options rule provisions in existing Rule 722(c)(2)(G). same series will possess the same proposes that where a short DIVS or termination date (‘‘Termination Date’’), OWLS position is covered by a long Characteristics of Individual as defined in PHLX Rule 1000D(b)(5). position in the underlying security or Components The Americus Derivatives will have a any other security immediately DIVS European-style 5 settlement similar to exchangeable or convertible (other than standardized options. warrants) into the security, the margin The basic characteristic of DIVS will OWLS and RISKS of the same series will be 10% of the market value of the be the right to receive substitute also will have a coordinate termination long securities position.4 payments in the same amount as regular claim (‘‘Termination Claim’’), as defined The PHLX proposes to apply options dividends declared and paid on the in PHLX Rule 1000D(b)(4). The margin to RISKS, requiring that the full related shares of common stock for Termination Claim is a preset price value of the purchase price of the RISKS record dates that precede the established at the time of the issuance component be paid at the time of Termination Date of the particular series purchase. The minimum margin of DIVS. 3 See Amendment No. 1. The PHLX originally required for any short position would be On each ex-dividend date, OCC will proposed a position reporting requirement of notify clearing members of debits they 200,000 contracts. 3 Counsel for ASPC and the PHLX’s Legal have incurred on OCC’s books for any 4 See Amendment No. 1. Department are currently seeking agreement and 5 A European-style option may only be exercised confirmation of this treatment from the staff of the net short DIVS positions. These debits during a limited period of time before the option Board of Governors of the Federal Reserve System. will be charged to such clearing expires. 4 See Amendment No. 1. members’ accounts at OCC on payment Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44535 date. Ex dates and payment dates will 100 RISKS with respect to the same dividend stream. It would be assumed that coincide with that of the underlying series of OWLS would be entitled to the most recent four quarterly dividends common stock. Hence, DIVS sellers receive the following number of (unless the issuer has announced a change assume the obligation to fund the common shares: in its dividend policy, in which case × assumed dividends complying with the substitute dividend payments with 100 ($80¥$50)=$3,000. $3,000/$80 policy would be used) of the issuer would respect to DIVS as they arise. On the equals 37.5 common shares, so the continue through the latest record date Termination Date for a particular series owner of the 100 RISKS would be preceding the Termination Date. That cash of DIVS, DIVS holders’ rights will cease entitled to 37 whole shares and a cash stream would be discounted to present except as to rights to unpaid dividends payment in lieu of the fractional share value assuming payment on the usual declared as of a record date occurring of $40.7 dividend payment dates, using as the prior to the Termination Date. On the Termination Date for a class of discount rate the interest rate on U.S. OWLS or RISKS, OCC will instruct Treasury Notes having the closest maturity OWLS to the Termination Date. delivery, based on information Each OWLS will confer the right to —The remaining amount would be allocated reconciled with the brokers. Shares of between OWLS and RISKS based upon an receive on the Termination Date that the underlying stock will be delivered adjusted Termination Claim. The number of common shares to which the from the accounts of investors short the Termination Claim would be adjusted by OWLS relate having an aggregate value OWLS or RISKS, to satisfy the discounting the Termination Claim to its (determined solely by reference to the entitlements of those investors long the present value at the date of distribution of market price) equal to the lesser of (i) OWLS and RISKS. the liquidating dividend. The discount rate the Termination Claim for that class of used would be the interest rate on U.S. OWLS or (ii) the market price of the Adjustments for Stock Splits or Stock Treasury Notes having the closest maturity common shares on the Termination Dividends to the Termination Date. OWLS will 5 receive the amount of the distribution up Date. An owner of DIVS, OWLS and RISKS to the adjusted Termination Claim, with For example, if the Termination Claim will become the owner of the number of any excess going to the RISKS. for a class of OWLS is $50, and on the such securities adjusted proportionally, Any adjustments made to the terms of Termination Date of the OWLS the and, in the case of OWLS and RISKS, the contract, as a result of any of these market price of the related common the Termination Claim adjusted triggering events, would be handled for stock is $80, a holder of 100 OWLS proportionally as well, on the record these instruments in much the same would be entitled to receive that date for such event. For example, if a way as with any other standardized number of common shares with an company has a two for one stock split, option and would be in accordance with aggregate market value of an owner of 100 DIVS would become any applicable OCC rules. 100×$50=$5,000. $5,000/$80 equals 62.5 the owner of 200 DIVS with the same Transmission of money to beneficial shares, so that an owner would be Termination Date and receive dividends owners would be accomplished through entitled to 62 whole shares and a reflecting the new dividend policy; an OCC and its participants in the same payment of cash in lieu of the fractional owner of 100 OWLS would become the manner in which the substitute share of $40.6 Brokers holding short owner of 200 OWLS with the same dividends would be transmitted from component positions for clients would Termination Date and one-half the make delivery of the shares and cash for short DIVS to long DIVS. Termination Claim; and an owner of 100 For purposes of allocating any fractional shares. Brokers holding RISKS would become the owner of 200 distributions among DIVS, OWLS and long component positions for their RISKS with the same Termination Date RISKS, special dividends are those clients would receive the shares and and one-half the Termination Claim on dividends which are declared as such cash for any fractional shares, which such record date. by the issuer of the common shares, if they will forward to their clients. In the case of a stock dividend of 5% that issuer does not also declare that it RISKS and OWLS and RISKS with a is changing its dividend policy by Termination Claim of $50, the RISKS will reflect the appreciation in reducing or increasing the amount of its adjustments would be as follows: an regular dividends. Special dividends value of the underlying stock above the owner of 100 DIVS would become the Termination Claim for that series of would be allocated among DIVS, OWLS owner of 105 DIVS; an owner of 100 and RISKS as follows: Americus Derivatives. Specifically, OWLS would become the owner of 105 RISKS will constitute the right to OWLS with an adjusted Termination —DIVS would be allocated and receive that receive on the Termination Date that Claim of $47.62; and an owner of 100 portion of the special dividend equal to the number of related common shares quotient of (a) the annual dividend divided RISKS would become the owner of 105 by (b) the last scale price 8 of the stock on having a market value equal to the RISKS with an adjusted Termination amount, if any, by which the market the day prior to the ex-distribution date Claim of $47.62. reduced by the amount of the special price of the related common shares Liquidating, Special or Partial dividend which quotient is multiplied by exceeds the Termination Claim. (c) the amount of the special dividend. From the example given in the Liquidating Dividends —If the remaining portion of the special discussion above of OWLS, an owner of With regard to full liquidating dividend were less than the present value dividends to shareholders, payments of the Termination Claim, the Termination 5 All references to market price are to the last sale would be allocated among owners of Claim for OWLS and RISKS would be price on the relevant day as set forth on the DIVS, OWLS and RISKS of the same reduced, but not below zero, by the future appropriate consolidated tape, or if there is no such value at the Termination Date of the last sale price, the mean of the closing bid and ask class as follows: remaining portion of the special dividend. price or as otherwise approved by the Commission —DIVS would receive the discounted present All determinations of present value and prior to the commencement of trading in a series. future value are computed using the 6 value at the date of distribution of the If the market price of a share of the related maximum potential internal rate of return common stock on the Termination Date had been liquidating dividend of an imputed $50 or less, the owner of the 100 OWLS would have (‘‘IRR’’) for OWLS. The maximum potential received all 100 common shares. Exercise 7 If the market price of a common share had been procedures in accordance with OCC guidelines $50 (the Termination Claim) or less, the RISKS 8 If there is no last sale price, the mean of the would be followed on Termination Date. would expire worthless. closing bid and ask prices will be used. 44536 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices IRR for OWLS is computed assuming present value of the Termination Claim, well documented in the eventual purchase on the ex-distribution date at a OWLS would receive that portion of the disclosure document to be published by price equal to the average closing price for liquidating dividend equal in amount to the issuer, OCC. the 10-day trading period preceding the such present value; the Termination Claim The Exchange believes the proposed announcement of the special dividend and would be adjusted to zero and any receipt of the Termination Claim on the additional amount of the partial liquidating rule change is consistent with Section Termination Date (such discount rate being dividend would be allocated and paid to 6(b)(5) of the Securities Exchange Act of hereinafter the ‘‘maximum potential IRR the RISKS. Any further liquidating or 1934 which provides in part that the for OWLS’’). partial liquidating dividends would be rules of the Exchange be designed to —The remaining portion would be allocated allocated between DIVS and RISKS; the prevent fraudulent and manipulative and paid to the OWLS. OWLS having received in full an adjusted acts and practices, to facilitate —If the remaining portion of the special Termination Claim. transaction in securities, to remove dividend equals or exceeds the present Spin-offs and Split-ups. In the case of impediments to and perfect the value of the Termination Claim, OWLS spin-off or split-up transactions, each would receive that portion of the special mechanism of a free and open market dividend equal in amount to such present DIVS, OWLS and RISKS holder would and to protect investors and the public value; the Termination Claim would be become the owner of two issues of interest. DIVS, OWLS and RISKS—one for each adjusted to zero and any additional amount B. Self-Regulatory Organization’s of the special dividend would be allocated company and each having the same and paid to the RISKS. Any further number of such securities with the same Statement on Burden on Competition liquidating, special or partial liquidating Termination Date. The Termination The Exchange believes the proposed dividends would be allocated between Claim would be allocated between the rule change will impose no burden on DIVS and RISKS; the OWLS having two issues of OWLS and the two issues competition. received in full an adjusted Termination of RISKS based upon the ratio of the Claim. C. Self-Regulatory Organization’s prices of the underlying common shares Statement on Comments on the For purposes of allocating at the opening of trading in the Proposed Rule Change Received From distributions made by the issuer of the underlying common shares on the Members, Participants or Others related common shares among DIVS, effective date of the spin-off or split-up OWLS and RISKS, partial liquidating transaction. The Exchange has neither solicited dividends are all dividends other than Mergers. If the company that issued nor received written comments on the regular dividends, liquidating dividends the common shares from which the proposed rule change. and special dividends. It is assumed DIVS, OWLS and RISKS were created III. Date of Effectiveness of the that partial liquidating dividends would were to be the surviving company, there Proposed Rule Change and Timing for be accompanied by an announcement of would be no adjustment to the terms of Commission Action a reduction in the regular dividends the DIVS, OWLS and RISKS unless, as paid by the issuer. part of such transaction, there was a Within 35 days of the publication of Partial liquidating dividends would stock split, stock dividend, partial this notice in the Federal Register or be split among the three components as liquidating dividend or other corporate within such other period (i) as the follows: transaction that would require Commission may designate up to 90 —DIVS would be allocated and receive that adjustment. If the issuer were not the days of such date if it finds such longer portion of the partial liquidating dividend surviving entity, each owner of DIVS, period to be appropriate and publishes equal to the discounted present value of OWLS and RISKS would receive his its reasons for so finding or (ii) as to the amount of the reduction in the share of the compensation given for which the self-regulatory organization quarterly dividend as stated in the newly each common share as if a liquidating consents, the Commission will: announced policy of the issuer. This dividend was paid or an exchange offer (A) By order approve the proposed computation would be made assuming was made, as appropriate. rule change, or payment on the usual dividend payment (B) Institute proceedings to determine dates, using as the discount rate the Rights Offerings whether the proposed rule change interest rate on U.S. Treasury Notes having the closest maturity to the Termination If the issuer of stock from which should be disapproved. Date. DIVS, OWLS and RISKS were created IV. Solicitation of Comments —If the remaining portion of the partial were to make a rights offering, the rights liquidating dividend were less than the would be allocated to the OWLS and the Interested persons are invited to present value of the Termination Claim, Termination Claim would be reduced by submit written data, views and the Termination Claim for OWLS and the future value of the rights calculated arguments concerning the foregoing. RISKS would be reduced, but not below to the Termination Date. The future Persons making written submissions zero, by the future value at the Termination value would be computed using as the should file six copies thereof with the Date of the remaining portion of the partial Secretary, Securities and Exchange liquidating dividend. The determination of interest rate, the maximum potential present value and future value for OWLS IRR for OWLS and using the average Commission, 450 Fifth Street, N.W., will be computed using the maximum closing sale price for the first 10 days of Washington, D.C. 20549. Copies of the potential IRR for OWLS. In this case, the trading in the rights. submission, all subsequent maximum potential IRR for OWLS is amendments, all written statements computed assuming purchase on the ex- Exchange or Tender Offers with respect to the proposed rule distribution date at a price equal to the If there were an exchange or tender change that are filed with the average closing price for the 10-day trading offer for the common shares to which Commission, and all written period preceding the announcement of the DIVS, OWLS and RISKS relate, existing communications relating to the partial liquidating dividend and receipt of proposed rule change between the the Termination Claim on the Termination option procedures and practices would Date. apply. Commission and any person, other than —That remaining portion would be allocated These particularized procedures for those that may be withheld from the and paid to the OWLS. adjusting the contract specifications of public in accordance with the —If the remaining portion of the partial any open interest in any particular provisions of 5 U.S.C. § 552, will be liquidating dividend equals or exceeds the DIVS, OWLS and RISKS series will be available for inspection and copying at Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44537 the Commission’s Public Reference (Catalog of Federal Domestic Assistance Applications for Certificates of Public Section, 450 Fifth Street, N.W., Program Nos. 59002 and 59008). Convenience and Necessity and Washington, D.C. 20549. Copies of such Dated: August 21, 1995. Foreign Air Carrier Permits Filed Under filing will also be available for Cassandra M. Pulley, Subpart Q During the Week Ended inspection and copying at the principal Acting Administrator. August 4, 1995 office of the PHLX. All submissions [FR Doc. 95–21251 Filed 8–25–95; 8:45 am] should refer to File No. SR–PHLX–95– The following Applications for 19 and should be submitted by BILLING CODE 8025±01±P Certificates of Public Convenience and September 18, 1995. Necessity and Foreign Air Carrier Permits were filed under subpart Q of For the Commission, by the Division of the Department of Transportation’s Market Regulation, pursuant to delegated DEPARTMENT OF TRANSPORTATION Procedural Regulations (See 14 CFR authority.9 302.1701 et. seq.). The due date for Margaret H. McFarland, Aviation Proceedings; Agreements Answers, Conforming Applications, or Deputy Secretary. Filed During the Week Ended August 4, Motions to Modify Scope are set forth [FR Doc. 95–21276 Filed 8–25–95; 8:45 am] 1995 below for each application. Following BILLING CODE 8010±01±M the Answer period DOT may process the The following Agreements were filed application by expedited procedures. with the Department of Transportation Such procedures may consist of the SMALL BUSINESS ADMINISTRATION under the provisions of 49 U.S.C. 412 adoption of a show-cause order, a and 414. Answers may be filed within tentative order, or in appropriate cases [Declaration of Disaster Loan Area #2805] 21 days of date of filing. a final order without further proceedings. Texas; Declaration of Disaster Loan Docket Number: OST–95–362. Docket Number: OST–95–366. Area Date filed: August 1, 1995. Parties: Members of the International Air Date filed: August 1, 1995. Webb County and the contiguous Transport Association. Due Date for Answers, Conforming counties of Dimmit, Duval, Jim Hoag, La Subject: r–1—001z, r–6—64L, r–11—073s, Applications, or Motion to Modify Scope: August 29, 1995. r–16—092kk, r–2—002, r–7—064y, r–12— Salle, Maverick, McMullen and Zapata Description: Application of American in the State of Texas constitute a 075i, r–17—092o, r–3—015n, r–8—071k, r– Airlines, Inc., pursuant to 49 U.S.C. 41102, disaster area as a result of damages 13—075p, r–18—210a, r–4—044L, r–9— and subpart Q of the Regulations requests a caused by severe thunderstorms, 071n, r–14—084kk, r–19—311k, r–5—054L, certificate of public convenience and flooding, hail and tornadoes which r–10–073jj, r–15—087ff. necessity to engage in foreign air occurred on June 8 through June 11, Proposed Effective Date: January 1, 1996. transportation of persons, property, and mail 1995. Applications for loans for Docket Number: OST–95–375. between Tampa, Florida, and Toronto, physical damage as a result of this Date filed: August 3, 1995. Ontario, Canada. disaster may be filed until the close of Parties: Members of the International Air Paulette V. Twine, business on 10–20–95 and for economic Transport Association. Chief, Documentary Services Division. injury until the close of business on 5– Subject: COMP Telex Mail Vote 751, [FR Doc. 95–21310 Filed 8–25–95; 8:45 am] 21–96 at the address listed below: U.S. Currency Change from Cuba, r–1—010n, r– BILLING CODE 4910±62±P Small Business Administration, Disaster 2—010ee. Area 3 Office, 4400 Amon Carter Blvd., Proposed Effective Date: October 1, 1995. Suite 102, Ft. Worth, TX 76155, or other Docket Number: OST–95–376. Federal Aviation Administration locally announced locations. Date filed: August 3, 1995. The interest rates are: Parties: Members of the International Air Noise Exposure Map Notice, Transport Association. Springfield-Beckley Municipal Airport, Percent Subject: International Air Transport Springfield, OH Association, c/o David M. O’Connor, 1001 AGENCY: Federal Aviation For physical damage: Pennsylvania Ave., NW. #285, Washington, Homeowners with credit avail- Administration, DOT. DC. 20004. able elsewhere ...... 8.000 ACTION: Notice. Homeowners without credit avail- Application of the International Air SUMMARY: The Federal Aviation able elsewhere ...... 4.000 Transport Association, pursuant to Businesses with credit available Administration (FAA) announces its elsewhere ...... 8.000 sections 41308 and 41309 of Title 49 of determination that the noise exposure Businesses and non-profit orga- the United States Code and §§ 303.03, maps submitted by the city of nizations without credit avail- 303.05 and 303.30(c) of Title 14 of the Springfield, Ohio, for Springfield- able elsewhere ...... 4.000 Code of Federal Regulations, requests on Beckley Municipal Airport under the Others (including non-profit orga- behalf of member airlines of the provisions of Title I of the Aviation nizations) with credit available International Air Transport Association elsewhere ...... 7.125 Safety and Noise Abatement Act of 1979 For economic injury: (IATA) that the Department approve and (Public Law 96–193) and 14 CFR Part Businesses and small agricul- confer antitrust immunity on two 150 are in compliance with applicable tural cooperatives without amendments to the Provisions for the requirements. credit available elsewhere ...... 4.000 Conduct of IATA Traffic Conferences EFFECTIVE DATE: The effective date of the (the Provisions). FAA’s determination on the noise The number assigned to this disaster Paulette V. Twine, exposure maps is August 11, 1995. for physical damage is 280506 and for Chief, Documentary Services Division. FOR FURTHER INFORMATION CONTACT: economic injury the number is 861500. Lawrence C. King, Federal Aviation [FR Doc. 95–21309 Filed 8–25–95; 8:45 am] Administration, Great Lakes Region, BILLING CODE 4910±62±P 9 17 CFR 200.30–3(a)(12) (1994). Detroit Airports District Office, DET 44538 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices ADO–670.2, Willow Run Airport, East, it should be noted that the FAA is not ACTION: Notice of intent to rule on 8820 Beck Road, Belleville, Michigan involved in any way in determining the application. 48111, (313) 487–7293. relative locations of specific properties SUMMARY: The FAA proposes to rule and SUPPLEMENTARY INFORMATION: This with regard to the depicted noise contours, or in interpreting the noise invites public comment on the notice announces that the FAA finds application to use the revenue from a that the noise exposure maps submitted exposure maps to resolve questions concerning, for example, which PFC at Houghton County Memorial for the Springfield-Beckley Municipal Airport, Hancock, Michigan, under the Airport are in compliance with properties should be covered by the provisions of section 107 of the Act. provisions of the Aviation Safety and applicable requirements of Part 150, Capacity Expansion Act of 1990 (Title effective August 11, 1995. These functions are inseparable from the ultimate land use control and IX of the Omnibus Budget Under section 103 of the Aviation Reconciliation Act of 1990) (Pub. L. planning responsibilities of local Safety and Noise Abatement Act of 1979 101–508) and part 158 of the Federal government. These local responsibilities (hereinafter referred to as ‘‘the Act’’), an Aviation Regulations (14 CFR part 158). airport operator may submit to the FAA are not changed in any way under part 150 or through the FAA’s review of DATES: Comments must be received on noise exposure maps which meet or before September 27, 1995. applicable regulations and which depict noise exposure maps. Therefore, the ADDRESSES: non-compatible land uses as of the date responsibility for the detailed Comments on this application may be mailed or delivered of submission of such maps, a overlaying of noise exposure contours in triplicate to the FAA at the following description of projected aircraft onto the map depicting properties on address: Federal Aviation operations and the ways in which such the surface rests exclusively with the Administration, Detroit Airports District operations will affect such maps. The airport operator which submitted those Office, Willow Run Airport, East, 8820 Act requires such maps to be developed maps, or with those public agencies and planning agencies with which Beck Road Belleville, Michigan 48111. in consultation with interested and In addition, one copy of any affected parties in the local community, consultation is required under Section 103 of the Act. The FAA has relied on comments submitted to the FAA must government agencies, and persons using be mailed or delivered to Ms. Sandra D. the airport. the certification by the airport operator, under § 150.21 of FAR part 150, that the LaMothe, Airport Manager, of the An airport operator who has Houghton County Airport Committee at submitted noise exposure maps that are statutorily required consultation has been accomplished. the following address: Houghton County found by the FAA to be in compliance Memorial Airport Route 1, Box 94, with the requirements of Federal Copies of the noise exposure maps Calumet, Michigan 49913. Aviation Regulations (FAR) Part 150, and of the FAA’s evaluation of the map Air carriers and foreign air carriers promulgated pursuant to Title I of the are available for examination at the may submit copies of written comments Act, may submit a noise compatibility following locations: previously provided to the Houghton program for FAA approval which sets Federal Aviation Administration, County Airport Committee under forth the measures the operator has Great Lakes Region, Airports § 158.23 of part 158. taken or proposes for the reduction of Division Office, 2300 East Devon FOR FURTHER INFORMATION CONTACT: existing non-compatible uses and for the Avenue, Room 269, Des Plaines, Mr. Jon B. Gilbert, Program Manager, prevention of the introduction of Illinois 60018 Federal Aviation Administration, additional non-compatible uses. Federal Aviation Administration, Detroit Airports District Office, Willow The FAA has completed its review of Detroit Airports District Office, Run Airport, East, 8820 Beck Road, the noise exposure maps and related Willow Run Airport, East, 8820 Belleville, Michigan 48111 (313–487– description submitted by the city of Beck Road, Belleville, Michigan 7281). The application may be reviewed Springfield, Ohio, for Springfield- 48111 in person at this same location. Beckley Municipal Airport. The specific SUPPLEMENTARY INFORMATION: The FAA maps under consideration are the Mr. Matthew J. Kridler, Manager, City of Springfield, Springfield City proposes to rule and invites pubic ‘‘Existing (1993) Noise Exposure Map’’ comment on the application to use the and ‘‘Future (1998) Noise Exposure Hall, 76 East High Street, Springfield, OH 45502 revenue from a PFC at Houghton County Map.’’ The FAA has determined that Memorial Airport, Hancock, Michigan, these maps for Springfield-Beckley Questions may be directed to the under the provisions of the Aviation Municipal Airport are in compliance individual named above under the Safety and Capacity Expansion Act of with applicable requirements. This heading, FOR FURTHER INFORMATION 1990 (Title IX of the Omnibus Budget determination is effective on August 11, CONTACT. Reconciliation Act of 1990) (Pub. L. 1995. The FAA’s determination on an Issued in Belleville, Michigan, on August 101–508) and part 158 of the Federal airport operator’s noise exposure maps 11, 1995. Aviation Regulations (14 CFR part 158). is limited to a finding that the maps Dean C. Nitz, On August 9, 1995, the FAA were developed in accordance with the Manager, Detroit Airports District Office, determined that the application to use procedures contained in appendix A of Great Lakes Region. the revenue from a PFC submitted by FAR part 150. Such determination does [FR Doc. 95–21308 Filed 8–25–95; 8:45 am] Houghton County Airport Committee not constitute approval of the BILLING CODE 4910±13±M was substantially complete within the applicant’s data, information or plans, requirements of § 158.25 of part 158. or a commitment to approve a noise The FAA will approve or disapprove the compatibility program or to fund the Intent to Rule on Application to Use application, in whole or in part, no later implementation of that program. the Revenue From a Passenger Facility than November 14, 1995. If questions arise concerning the Charge (PFC) at Houghton County The following is a brief overview of precise relationship of specific Memorial Airport, Hancock, Michigan the application. properties to noise exposure contours Level of the PFC: $3.00. depicted on a noise exposure map AGENCY: Federal Aviation Actual charge effective date: July 1, submitted under Section 103 of the Act, Administration (FAA), DOT. 1993. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44539 Estimated charge expiration date: March FHWA, Room 4232, HCC–10, Office of 1. Reflect the Importance of Freight 1, 1996. the Chief Counsel, 400 Seventh Street, Transportation to National and Total approved net PFC revenue: SW., Washington, DC 20590. All Regional Economies $175,588.00. statements received in Docket No. 95–14 Transportation policy with regard to Brief description of proposed project: will be available for examination at the investment and regulatory decisions Construct Partial Parallel Taxiway above address between 8:30 a.m. and must take into consideration the ‘‘C’’. 3:30 p.m., e.t., Monday through Friday, impacts that such policies may have on Class or classes of air carriers which the except Federal holidays. Those desiring the movement of both people and public agency has requested not be notification of receipt of their goods. required to collect PFCs: None. statements must include a self- The relationship between Any person may inspect the addressed, stamped envelope or transportation and economic application in person at the FAA office postcard. development is obvious. Highways and listed above under FOR FURTHER FOR FURTHER INFORMATION CONTACT: Mr. other modes of transportation enable INFORMATION CONTACT. individuals to commute to their In addition, any person may, upon Thomas Keane, Office of Policy Development, Transportation Studies workplaces; transportation is also a request, inspect the application, notice critical part of the production process. and other documents germane to the Division, at (202) 366–9242; or Mr. Charles Medalen, Office of Chief While the magnitude of the relationship application in person at the Houghton has been debated, it is well known that County Airport Committee. Counsel, Motor Carrier Law Division, at (202) 266–1354, FHWA, DOT, 400 the quality of the transportation system Issued in Des Plaines, Illinois, on August Seventh Street, SW., Washington, DC is closely tied to the industrial and 18, 1995. 20590. Office hours are from 7:45 a.m. employment base of regions. Good, Benito DeLeon, to 4:15 p.m., e.t., Monday through dependable transportation is an Manager, Planning/Programming Branch, Friday, except Federal holidays. important factor in any region’s current Airports Division, Great Lakes Region. economic well-being as well as its [FR Doc. 95–21307 Filed 8–25–95; 8:45 am] SUPPLEMENTARY INFORMATION: growth potential. The U.S. economy as BILLING CODE 4910±13±M Background a whole is highly integrated and is becoming more closely tied to the global Efficient, effective, and safe highway economy. To retain and expand its Federal Highway Administration systems play a critical role in the U.S. economic vitality and competitive [FHWA Docket No. 95±14] economy; nearly all the essentials of position, the Nation must ensure that its modern life travel on them, whether in producers and carriers have quality Framework for Guiding FHWA Policy the delivery of intermediate goods to access at the lowest reasonable cost, and Decisions Affecting Freight production plants or shipment of goods in turn, that its markets are accessible. Transportation to final market. The highway system is A basic characteristic of highway an especially important foundation of networks is that automobiles, trucks, AGENCY: Federal Highway commerce as it provides access to raw and buses share the common highway. Administration (FHWA), Department of materials, labor, and markets. The combination of large freight Transportation (DOT). Maintaining and improving highways vehicles with a smaller, lighter ACTION: Interim policy statement; and their connections to intermodal passenger car fleet causes special safety request for comments. freight facilities, while producing a safe risks. Large vehicles impose unique environment for the traveling public, demands on their drivers and those SUMMARY: This notice requests ensures shippers and carriers the sharing the road with them. Their size comments on a draft framework freedom to adapt quickly to changing and handling characteristics must be intended to identify the principles markets and environments with some taken into consideration in the design of which will guide FHWA policy measure of confidence that the spatial roadways. Increasingly, the decisions affecting freight transportation barriers between markets can be environment in which the vehicle is systems. These principles do not reflect overcome. Therefore, the FHWA has operated is congested and physically a priority in their order—they move developed a draft framework of deteriorated. Infrastructure planners, from the most generic concepts through principles by which to guide policy providers, and operators should adopt a to more specific ones, and contain many decisions having an impact on freight customer orientation for freight common elements. This framework transportation systems. The FHWA movement, recognizing that freight and focuses on the highway element of those invites comments on this draft passenger transportation are distinctly freight transport systems but recognizes framework, which is set forth below. different markets with fundamentally the importance of intermodal different requirements. connectivity for a growing portion of Draft Policy U.S. freight transport. This interim 2. Adopt a Long-Term Perspective for statement could serve as a building Part I—The Principles Freight Decisions block for a broader Departmental Highway and intermodal freight Since investments in highway intermodal freight policy. In addition to transport policy can be fashioned to infrastructure have such long usable a brief discussion of each of the improve the Nation’s long-term lives, decisions should be as future- principles, several key current issues are economic prospects and vitality. As in oriented as possible, taking into account discussed that illustrate how the all policy decisions considering the the current and future demands of the principles are reflected in questions of interests of the public at large, a balance freight market. Federal interest. must be struck among many worthy Transportation agencies should DATES: Comments should be received by goals. In defining the public interest, maintain, operate, and improve highway October 27, 1995. Federal highway programs and freight- systems commensurate with current and ADDRESSES: Submit written, signed related policies should advance the projected demand. One element of that statements to FHWA Docket No. 95–14, following principles: investment is the development of an 44540 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices understanding (qualitatively and accidents and minimize the loss Since governmental agencies are quantitatively) of the demand for goods associated with accidents. Whenever the allocating scarce public resources, movement and its incorporation into government issues regulations or investment options should be evaluated planning and forecasting. Lack of allocates resources that affect motor against the opportunity cost in the effective transportation can lead to the carrier safety, it balances the public’s private market. Threshold criteria demise of business and jobs or be an desire for efficiency and mobility in should require benefits to exceed the impediment to growth in any area of the transport services with the desire for cost. The benefits and costs which State. Agencies should recognize that improved safety. accrue directly to freight carriers and freight demand is dynamic: the mix of While many truck safety policies are indirectly to their customers should be supply and demand changes over time. initiated at the Federal level, explicitly included in evaluations of Although State Departments of responsibility for truck safety system improvements and/or Transportation and Metropolitan investment and oversight is shared regulations. The assessment of Planning Organizations (MPO) have among all levels of government and the infrastructure investment and regulatory relatively sophisticated passenger industry. The recognition of this shared controls should include measurement of transportation planning procedures, responsibility has led to major the full range of impacts, appropriately most agencies have little experience in improvements in truck safety over the discounted over their entire life cycle. developing forecasts of freight last several years. For example, this means that the transportation movements for statewide Improving truck safety will require impacts of delay and vehicle operating freight transportation plans. The increased attention to: operator costs, rehabilitation and maintenance transportation needs of basic industries proficiency; improvements in vehicle activities in work zones should be taken are important criteria in setting program design and performance; improved data into consideration. Another example priorities. Economic considerations collection and more comprehensive relates to incorporating economic should be combined with other information to target resources at high benefits derived from system measures of transportation need to risk carriers; better analysis and more efficiencies which accrue to develop plans for transportation systems focused research on vehicle and driver communities and shippers, often and networks. Life-cycle cost principles performance, coupled with greater use referred to as economic development should be reflected at the program, of technical innovations; a stronger link benefits. management system, and project level. between Federal, State, local, and Increasingly all modes of freight private industry safety initiatives; and 5. Encourage an Integrated, Intermodal transportation are using computerized designing road systems to accommodate Systems Approach technologies to track cargo and improve large vehicles. The difficulties that result from the efficiency of pickup, delivery, and Technology, innovation, and research different modes and carriers working terminal operations. Work underway in hold great potential to improve the together should not be aggravated by the commercial vehicle operations productivity and safety of freight unnecessary governmental barriers or element of the Intelligent Transportation transportation. Various technologies inadequate connections due to poor System (ITS) program holds great being developed under the ITS program system design. promise for augmenting private sector should substantially improve motor The productivity of trucking firms programs by improving the efficiency carrier safety and productivity. On- and their customers depend on and safety of motor carrier operations, board safety sensors to automatically highways and their connections with including intermodal operations. These measure the safe condition of the truck terminals, ports, railroads, and kinds of forward-looking considerations vehicle can be a reality in the near airports. Moving freight by a should be incorporated into a future- future. Existing vehicle technologies combination of two or more modes in an oriented vision of freight demand. such as antilock braking systems, B- integrated manner is an option that trains and double drawbar dollies also allows the superior attributes of each 3. Ensure that Priority Consideration for are available to improve the safety of mode to be utilized. This does not mean Safety is Affirmed multi-trailer combinations. that multi-modal movements are The DOT’s strategic plans have clearly inherently better than single-mode enunciated the importance of safety. We 4. Promote Equity and Cost- movements. It does mean that, given the are guided by a vision statement which Effectiveness latitude to choose the best mode(s) for leads with ‘‘the Nation’s need for the Decisions regarding allocating the move, carriers will be able to safe . . . movement of people and goods resources and imposing regulatory provide the most efficient transport with .. .’’ and a mission statement which controls should be equitable and cost- the potential for the lowest cost. follows with a pledge to ‘‘[i]mprove all effective. They should recognize the Developments in U.S. manufacturing aspects of surface transportation safety.’’ costs imposed across industry sectors, practice contribute to the growing trend The plan’s safety goal is to ‘‘[i]mprove across transport modes, across regions, toward intermodal shipments. It is surface transportation safety through a and across classes of consumers. To the critical that State and MPO plans, coordinated effort to reduce fatalities, maximum extent possible, each mode programs, and management systems injuries, property damage, and and class of user should pay the costs address intermodal access and hazardous material incidents.’’ of public facilities and services connections. The rationale for Federal involvement provided for their operations. The National Highway System (NHS) in transportation safety has been that Direct or indirect subsidies may affect will facilitate U.S. international trade the marketplace alone will not produce competition among the freight modes. and growing domestic productivity an acceptable level of transportation Such subsidies result when user fees through improved efficiencies in the safety and, therefore, it should be and other policies result in the various movement of goods produced for and by provided by the public sector. modes not paying the full costs of their U.S. businesses. Improving the quality Government policies are established to operations. To the extent compatible of connections among transportation ensure that the truck and bus industries with other goals, government subsidies modes, aiming toward smooth and operate safely. The ultimate goal of that affect competition among the seamless interchange, along with these policies has been to prevent modes should be minimized. improving the highway links Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44541 themselves, are two examples of the maintaining an incentive to offer cost- geometry and truck safety requires benefits that will accrue from effective, competitive service. In this scrutiny when road design alternatives designation of the NHS. spirit, the U.S. Department of are considered or highway Transportation has stated in its report to 6. Be Sensitive to Externalities Caused improvements are made. Congress on the functions of the by Transportation of Goods A revolution in freight transportation Interstate Commerce Commission that a is occurring as our domestic highway Take appropriate action to reduce or new regulatory approach has emerged in programs face a major crossroads. The mitigate externalities. recent years, one which is ‘‘recognizing completion of the Interstate System and Many costs of highway freight competition as the best regulator of designation of the NHS signal a new transportation are not accounted for in transportation * * *.’’ The Department the marketplace and thus are not therefore, has recommended removing stage in our highway network. Due to recognized directly by motor carrier various archaic Federal laws which are demographic and economic changes operators. These costs include no longer applicable because of throughout the United States, the environmental impacts (such as exhaust structural changes in the market for Interstate System alone cannot emissions, noise, and community freight transportation. adequately serve the needs of modern impacts) and safety. Some of these Also, the Department encourages goods movement. The NHS is intended external costs can be mitigated by innovation through public-private to concentrate Federal resources on regulatory actions (e.g., requiring financing partnerships to achieve those elements of the principal arterial cleaner or quieter vehicles), or greater efficiencies in both the private system which are crucial to interstate programmatic means (e.g., improved and public sectors. Cost-sharing and and international commerce. traffic safety inspection programs). public-private partnership concepts Much of the Nation’s industrial Market pricing approaches such as provide new opportunities for the States capacity has moved from its emissions or congestion pricing have to increase investment in needed northeastern urban origins to rural areas also been proposed. transportation facilities and to work It is important to estimate the of the country. International with the private sector to promote manufacturing arrangements are incidence and magnitude of external innovative solutions to transportation costs associated with highway freight growing in importance. With problems. The North American Free implementation of the NAFTA, the need transportation before regulatory or Trade Agreement (NAFTA) provides an for fast, reliable transportation pricing solutions are implemented. It example where the public and private connecting Mexico, the United States, also is important to estimate the impacts sectors can work together to eliminate and Canada will become even more of such solutions on motor carriers, unnecessary cross-border barriers to including impacts on their competitive trade. vital. The NHS will be focused on and position versus other modes. A further provide for the current and future consideration is the extent to which Part II—Contemporary Issues national highway transportation needs external costs are associated with The above principles represent those such as those resulting from changing operations of those competing modes. values that we feel should be reflected trade and traffic flows. The importance of these estimates is in a freight policy. The remainder of this Improving the capacity, safety, and reflected in Intermodal Surface document discusses a series of topical structural life of the NHS will facilitate Transportation Efficiency Act of 1991 issues in a manner which illustrates U.S. international trade and growing (ISTEA) planning reforms, which how many of the functional areas which domestic productivity through require consideration of factors such as the Department must address should be improved efficiencies in the movement social, economic, energy, approached in the context of a of goods produced for and by U.S. environmental, and land use/ comprehensive freight policy. They businesses. With Federal input, State development effects of transportation reflect a perspective that embraces transportation plans and specific decisions. Quantification should be highway system stewardship from both projects must ensure that the objectives encouraged as a means to bring these a facilities management and motor of States and localities contribute to the issues into the policy equation, with a carrier operational perspective. The NHS’s goal of improved economic common measure of value. The above principles are a starting point for competitiveness through improved estimates and their use should reflect the questions of governmental interest, mobility. the limitations of such analysis. generally, and the Federal interest, in Methodologies and techniques for particular. Although the NHS will enhance the capturing these impacts should be economic competitiveness of U.S. 1. Infrastructure—System Design and pursued vigorously. businesses by improving highway Investment transportation, these gains will not be 7. Provide an Environment That Will One of the strengths of the highway maximized unless the quality of Enable the Transportation Industry To motor carrier transport mode is its connections among transportation Be Strong and Internationally inherent flexibility advantage and thus modes is improved. The National Competitive high service quality. New economic Transportation System planning Recognize that a strong and processes and arrangements place high framework will help in the development internationally competitive value in the characteristics of reliability of a smooth and seamless interchange transportation industry requires a sound and security in addition to speed. The among the transportation modes by and effective regulatory framework that environment in which large vehicles highlighting for planners the important reserves economic regulation only for operate is key to improving truck safety. intermodal connections nationwide and the most obvious instances of Road design significantly affects truck identifying any impediments to the transportation market failure. Within accident rates. For example, the rate of efficient movement of goods through that framework, market-based fatal combination truck accidents on these connections. This, in turn, will approaches to regulation can provide non-Interstate roads is significantly enhance the efficiency of freight carriers carriers with the flexibility needed to higher than the rate on Interstate roads. and the general economic performance comply with regulations while The interface between roadway nationally as transport costs decrease. 44542 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 3. Intermodal Freight Planning design and special safety features Federally-sponsored studies of freight reduce the potential for accidents and user fees have been conducted for An important step in freight planning the severity of accidents that occur. highways, airports, railroads, and is to see the system as a whole—to Therefore, a balanced program focused waterways. These studies vary understand freight movements as a on optimizing driver, vehicle, and significantly in detail; comprehensive system of supply chains and highway performance is warranted. cost allocation studies have been distribution networks. Since an Attention will be given to issues of conducted for highways and airways important Departmental goal is to human behavior, operator proficiency, while more general studies have been contribute to the Nation’s economic emergency response, and training to conducted for the other modes. The last performance, this implies the desire to reduce the influence that deficiencies in major Federal Highway Cost Allocation select the most important movements to any factor may have on accidents. Study in 1982 showed that heavy trucks address, not just the best way to address Additionally, efforts will be made to paid substantially less in Federal user them. This requires the identification of optimize vehicle collision avoidance fees than their estimated Federal the needs of shippers with respect to and crashworthiness performance. highway cost responsibility. User fee infrastructure and/or freight operations. Understanding the factors that adjustments were made in 1982 and As our concerns have matured to the influence truck accident rates will lead 1984 to partially address study findings. perspective of total system management, to better, more informed freight policy However, recent increases in the fuel tax six specific management systems decisions. Assessing the value of safety have likely changed the equity of the (pavement, bridges, safety, traffic investments so that informed public overall user fee structure. Also, the congestion, public transportation, and decisions can be made requires that ISTEA changed the Federal program intermodal transportation facilities) and truck travel data, accident information, structure, system responsibility, and the traffic monitoring system have been and the investment levels themselves be flexibility in the use of funds, which identified that will provide information more comprehensive and accurate. would likely change cost responsibility concerning both the condition and the Since a variety of factors affect the safe among users. A new Federal cost performance of the existing and future operation of trucks, a more allocation study is underway to evaluate transportation system. implications of these and other Although no ‘‘freight management comprehensive approach to data prospective changes in highway or system’’ is specifically identified in the collection is needed. Factors such as the intermodal programs. aforementioned list, freight growth in truck travel, industry transportation should be an important structure, traffic densities, and 5. Truck Size and Weight (TS&W) Policy consideration within each of the passenger and freight vehicle The question of appropriate size and management systems. The freight dimensions and weights are changing. weight limits for trucks has always been customer can be said to affect, and be Improved data is needed to better a difficult one. It conjures up images of affected by, all these systems. Freight monitor both safety program ‘‘grandfather rights’’ from the Interstate consumers’ perspectives can take on performance and carrier performance. era, conflicting views of proper State- several dimensions, corresponding to More analysis and research on motor Federal relationships, rival economic the service provider/carrier, the shipper, carrier safety is needed to identify interests, and uncertainty as to the and the ultimate consumer of the changes in safety levels and the factors operational safety of various types of commodities (the value of which producing these changes, evaluate trucks. contains a transport component). Goods policies that may affect these factors, movement deserves significant and target safety investments The TS&W issues are extremely treatment beginning with the accordingly. The analysis must be complex; they relate not only to inventories/descriptions of usage and coupled with research to answer questions of highway safety and systems. This should be followed up by questions on vehicle, roadway, and stewardship but to local, State, and evaluations of those systems as input to driver performance and develop new national economic performance. At a public decisionmaking to identify technologies that will improve motor time when transportation is becoming a strategic freight investments. carrier program effectiveness and larger part of the goods production as Thus, determining transportation efficiency. well as distribution systems, the effects of additional regulation on productivity infrastructure needs for freight is as 4. Finance and Taxation much a demand-side assessment as it is take on renewed significance. a supply-side one. An important Publicly provided facilities and The macroeconomic impacts of element of system strategy is to services for highway/motor carrier change to these regulations are initially determine the facility or operational freight transportation are financed in private ones: equipment costs; fuel change needed to fit the job. Designing whole or in part by user fees. The extent consumption; and personnel a quality and cost-effective facility—that to which user fees assessed on each expenditures. The direct costs imposed, is, the supply side—comes after mode cover public costs varies widely. if not counterbalanced, are public ones: determining which services are the most Several criteria are important in pavement and bridge deterioration; and needed. evaluating the level and structure of safety consequences. However, changing user fees, including: trucking productivity quickly translates 3. Safety Analysis and Research 1. To the maximum extent possible, to changes in costs and efficiency for Truck accidents are frequently caused user fees should cover appropriate costs shippers, the economy as a whole and, by errors of either truck drivers or of public infrastructure improvements thus, the consuming public. drivers of other vehicles involved in and other public programs; Extended fact-finding and debate are collisions with trucks, rather than 2. Users should contribute a necessary to do justice to TS&W issues. failures of vehicle components. proportionate share of their costs of Good TS&W policy helps ensure safe Nevertheless, vehicle design and facilities and services; and and efficient freight movement on our performance affects truck drivers’ ability 3. Federal subsidies to one mode Nation’s highway and intermodal to respond to, or recover from, those should not unfairly affect competition systems. Beyond the general freight errors. Additionally, safe highway with other modes. principles which began this document, Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44543 changes at this juncture should also, to notice in the Federal Register on Federal Railroad Administration the extent possible, address: February 2, 1995, announcing the study 1. Highway and vehicle safety through and soliciting comments (60 FR 6587). Fiscal Year 1995 Railroad User Fee Calculations a performance based regulatory Regarding international commerce, approach; wide disparity between the standards 2. Efficient interstate and AGENCY: Federal Railroad international commerce through across the United States, Mexico, and Administration; Department of advanced highway and vehicle Canada (as well as those across our Transportation. States) often inhibit the efficient flow of technologies; ACTION: Notice. 3. Streamlined, uniform, and continental trade. In a NAFTA context, the Department is committed to finding enforceable administrative procedures SUMMARY: The Federal Railroad and requirements for permitting and a means, in consultation with Congress, Administration is today publishing its taxation purposes; to make TS&W and safety standards fiscal year 1995 assessment rates 4. Compatible vehicle and compatible. Further, significant growth supporting the collection of railroad infrastructure design; and in international container traffic, user fees. 5. Equitable recovery of public costs. combined with varying international The TS&W policies directly influence TS&W standards, has created FOR FURTHER INFORMATION CONTACT: truck designs and configurations. enforcement and economic efficiency Vicky McCully, Railroad User Fee Choices made in this regard by motor concerns. Officer, Federal Railroad carriers and truck designers, in response Administration, 400 Seventh Street, to size and weight constraints, affect not 6. Highway Freight Transportation and SW., Washington, DC. 20590; telephone only the amount of weight carried by a Air Quality (202) 366–6569. truck and the effect that weight has on With the passage of the Clean Air Act SUPPLEMENTARY INFORMATION: In its highway infrastructure, but also the Amendments of 1990 and the regulations implementing the Railroad braking and handling and stability subsequent Federal Implementation User Fee provisions of section 20115 of properties of the vehicle. Vehicle size Plan (FIP) for California in 1994, Title 49, United States Code (formerly and weight policies should be concerns have been raised as to the section 216 of the Federal Railroad structured to encourage and ensure effects that air quality regulations may Safety Act of 1970 (see 49 CFR vehicle designs and configurations that have on freight transportation in the 245.301(a)), the Federal Railroad are optimized relative to all these near future, especially in California. Administration (FRA) indicated that it concerns. While air quality improvement is an would publish a notice each year in the The TS&W policy and highway user important public policy objective, it is Federal Register identifying FRA’s fee issues are virtually inseparable. important to remember that there are calculations of the total railroad user fee Pavement and bridge costs attributable typically multiple objectives and to be collected for the fiscal year, the to heavy vehicles will rise (or fall) as the implications in all major public policy assessment rate per train mile, the result of size and weight policy changes. decisions, and these must be balanced. assessment rate per employee hour, and Significant changes in size and weight For instance, the original FIP issued on the assessment rate per road mile (as limits should not be considered without May 5, 1994, contained several adjusted by the sliding scale). evaluating appropriate motor carrier proposals which it was thought might For fiscal year 1995, user fee user fees. Fines and other penalties have significantly impact the freight assessments totaling $40,584,892 are proven to be ineffective deterrents to industries, and hence regional and based on 658,208,164 total industry overweight operations because they are national economic performance. Since train miles; 150,820 total industry road too low to offset potential profits from that time, the FIP has been revised, miles; and 518,612,773 total industry operating overweight. This is borne out based on public comment, to more employee hours. by Federal estimates that show 10 to 20 effectively balance the national The base assessment rate per road percent of all combinations operate objectives of improving air quality and mile is $93.99, with applicable illegally overweight. State permit fees maintaining economic competitiveness. adjustments for the sliding scale as for overweight operations generally are The currently proposed standard of 2.0 follows: too low to cover added pavement and g/bhp-hr (grams per brake-horsepower- bridge costs associated with the Train mile/road mile RM hour) for nitrogen oxide emissions and SF 1 overweight operations. States that issue the implementation time frame is ratio rate 2 overweight and oversize permits should considered more feasible by industry. consider setting permit fees at levels 1201 and above ...... 1.00 $113.39 that reflect added highway costs of Freight concerns are likely to play a 1001 to 1200 ...... 0.75 70.49 overweight operations to improve the more prominent role in other State 751 to 1,000 ...... 0.50 46.99 effectiveness of their TS&W Implementation Plans now being 501 to 750 ...... 0.25 23.50 Up to 500 ...... 0.00 0.00 enforcement efforts. considered. Recognizing these concerns, In an effort to better understand the the Environmental Protection Agency 1 SF refers to scaling factor. effects of TS&W policy changes on these recently set up a government and 2 RM Rate refers to Road Mile Rate. industry task force to look at various many factors, the Department has The assessment rate per train mile is freight and air quality issues. undertaken a comprehensive TS&W $.033842. The assessment rate per study to examine the relationship Authority: 23 U.S.C. 315; 49 U.S.C. 301, employee hour is $.007809. between TS&W policy and safety, 302, 305; Pub. L. 102–548, 106 Stat. 3646. Issued in Washington, DC on August 22, pavement and bridge condition, shipper Issued on: August 21, 1995. logistics, truck operating costs, 1995. intermodal operation, and energy and Rodney E. Slater, Donald M. Itzkoff, environmental concerns, to evaluate the Federal Highway Administrator. Deputy Federal Railroad Administrator. appropriate scope and extent of Federal [FR Doc. 95–21305 Filed 8–25–95; 8:45 am] [FR Doc. 95–21306 Filed 8–25–95; 8:45 am] involvement. The FHWA published a BILLING CODE 4910±22±P BILLING CODE 4910±06±P 44544 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Petition for a Waiver of Compliance than 15 employees and has shall set forth specifically the grounds demonstrated good cause for granting upon which the protest is made, and In accordance with 49 CFR 211.9 and this exemption. contain a concise statement of the 211.41, notice is hereby given that the interest of the protestant in the Federal Railroad Administration (FRA) Issued in Washington, DC, on August 22, 1995. proceeding. The original and two copies has received a request for a waiver of Phil Olekszyk, of the protest shall be filed with the compliance with certain requirements of Associate Administrator for Safety, Federal railroad safety regulations. The Deputy Associate Administrator for Safety Compliance and Program Implementation. FRA, 400 Seventh Street, S.W., individual petitions are described Washington, D.C. 20590 within 45 below, including the party seeking [FR Doc. 95–21249 Filed 8–25–95; 8:45 am] BILLING CODE 4910±06±M calendar days of the date of issuance of relief, the regulatory provisions this notice. Additionally, one copy of involved, the nature of the relief being the protest shall be furnished to the requested and the petitioner’s Notice of Application for Approval of applicant at the address listed above. arguments in favor of relief. Interested parties are invited to Discontinuance or Modification of a FRA expects to be able to determine participate in these proceedings by Railroad Signal System or Relief From these matters without oral hearing. submitting written views, data, or the Requirements of Title 49 CFR Part However, if a specific request for an oral comments. FRA does not anticipate 236 hearing is accompanied by a showing scheduling a public hearing in Pursuant to Title 49 CFR Part 235 and that the party is unable to adequately connection with these proceedings since 49 U.S.C. App. 26, the following present his or her position by written the facts do not appear to warrant a railroads have petitioned the Federal statements, an application may be set hearing. If any interested party desires Railroad Administration (FRA) seeking for public hearing. an opportunity for comment, they approval for the discontinuance or Issued in Washington, DC, on August 22, should notify FRA, in writing, before modification of the signal system or 1995. the end of the comment period and relief from the requirements of Title 49 Phil Olekszyk, specify the basis for their request. CFR Part 236 as detailed below. Deputy Associate Administrator for Safety All communications concerning these Compliance and Program Implementation. proceedings should identify the Block Signal Application (BS–AP)–No. [FR Doc. 95–21250 Filed 8–25–95; 8:45 am] appropriate docket number (e.g., Waiver 3361 BILLING CODE 4910±06±P Petition Docket No. HS–92–1) and must Applicants be submitted in triplicate to the Docket Consolidated Rail Corporation, Mr. J. F. Clerk, Office of Chief Counsel, Federal Noffsinger, Chief Engineer—C&S, Railroad Administration, Nassif 2001 Market Street, P. O. Box 41410, Building, 400 Seventh Street, SW., UNITED STATES INFORMATION Philadelphia, Pennsylvania 19101– Washington, DC 20590. AGENCY 1410 Communications received within 45 CSX Transportation, Incorporated, Mr. Culturally Significant Objects Imported days of the date of this notice will be for Exhibition; Determination considered by FRA before final action is D. G. Orr, Chief Engineer—Train taken. Comments received after that Control, 500 Water Street (S/C J–350), Jacksonville, Florida 32202, Notice is hereby given of the date will be considered as far as following determination: Pursuant to practicable. All written communications Indianapolis Union Railway, Mr. Larry L. Ratcliffe, Assistant General the authority vested in me by the Act of concerning these proceedings are October 19, 1965 (79 Stat. 985, 22 U.S.C. available for examination during regular Manager Network Operations, Two Commerce Square, 14D, 2001 Market 2459), Executive Order 12047 of March business hours (9 a.m.–5 p.m.) in Room 27, 1978 (43 FR 13359, March 29, 1978), 8201, Nassif Building, 400 Seventh Street, P. O. Box 41414, Philadelphia, Pennsylvania 19101–1414. and Delegation Order No. 85–5 of June Street, SW., Washington, DC 20590. 27, 1985 (50 FR 27393, July 2, 1985), I The waiver petition is as follows: Consolidated Rail Corporation hereby determine that the objects in the (Conrail), CSX Transportation, exhibit ‘‘Dutch and Flemish Cabinet Algers, Winslow and Western Railway Incorporated (CSX), and Indianapolis Galleries and Adriaen Brouwer: Youth Company (AWW) FRA Waiver Petition Union Railway (IU) jointly seek Making Faces’’ (See list 1) imported from Docket No. HS–95–10 approval of the proposed abroad for the temporary exhibition The AWW seeks a continuation of a discontinuance and removal of ‘‘CP KD’’ without profit within the United States, previously issued exemption so it may Interlocking, milepost 1.1 and the traffic are of cultural significance. These permit certain employees to remain on control signal system between milepost objects are imported pursuant to loan duty not more than 16 hours in any 24- 1.1 and 1.8, on Conrail’s Zionsville agreements with foreign lenders. I also hour period. The AWW states that it is Secondary Track, Indianapolis Division, determine that the exhibition or display not its intention to employ a train crew near Indianapolis, Indiana. The of the listed exhibit objects at the over 12 hours per day under normal proposed changes include removal of National Gallery of Art, Washington, circumstances, but this exemption, if controlled interlocking signals 2E, 2W, DC, from on or about September 24, granted, would help its operation if 4E, 6N, and 6S; removal of automatic 1995, through on or about February 11, unusual operating conditions are signal 1130E, installation of stop signs 1996, is in the national interest. Public encountered. at the Conrail-IU crossing at grade, and Notice of this determination is ordered The AWW provides freight service re-designation of the Zionsville to be published in the Federal Register. over 16 miles of trackage within Pike Secondary Track to an industrial track. County, Indiana. The petitioner The reason given for the proposed indicates that granting the exemption is changes is to retire facilities no longer 1 A copy of this list may be obtained by contacting Paul W. Manning, Assistant General in the public interest and will not required for present operations. Counsel, at 202/619–5997; the address is Room 700, adversely affect safety. Additionally, the Any interested party desiring to U.S. Information Agency, 301–4th Street, SW., petitioner asserts it employs not more protest the granting of an application Washington, DC 20547. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44545 Dated: August 23, 1995. 27, 1985 (50 FR 27393, July 2, 1985), I Gallery of Art, Washington, DC, from on Les Jin, hereby determine that the objects in the or about October 11, 1995, to on or General Counsel. exhibit, ‘‘John Singleton Copley in about January 7, 1996, and, at the 1 [FR Doc. 95–21289 Filed 8–25–95; 8:45 am] England’’ (see list ) imported from Museum of Fine Arts, Houston, TX, BILLING CODE 8230±01±M abroad for the temporary exhibition from on or about February 4, 1996, to on without profit within the United States, or about April 28, 1996, is in the are of cultural significance. These national interest. Culturally Significant Objects Imported objects are imported pursuant to loan Public notice of this determination is for Exhibition Determination; Notice agreements with the foreign lenders. I also determine that the temporary ordered to be published in the Federal Notice is hereby given of the exhibition of the objects at the National Register. following determination: Pursuant to Dated: August 22, 1995. the authority vested in me by the Act of 1 A copy of this list may be obtained by Les Jin, October 19, 1965 (79 Stat. 985, 22 U.S.C. contacting Ms. Lorie Nierenberg of the Office of the 2459), Executive Order 12047 of March General Counsel of USIA. The telephone number is General Counsel. 202/619–6084, and the address is Room 700, U.S. [FR Doc. 95–21216 Filed 8–25–95; 8:45 am] 27, 1978 (43 FR 13359, March 29, 1978), Information Agency, 301 4th Street, S.W., and Delegation Order No. 85–5 of June Washington, DC 20547. BILLING CODE 8230±01±M 44546 Sunshine Act Meetings Federal Register Vol. 60, No. 166 Monday, August 28, 1995 This section of the FEDERAL REGISTER Dated: August 23, 1995. acres of land on Kentucky Lake in the contains notices of meetings published under Margaret H. McFarland, Jonathan Creek Water District, Marshall the ``Government in the Sunshine Act'' (Pub. Deputy Secretary. County, Kentucky (Tract No. XTGIR– L. 94-409) 5 U.S.C. 552b(e)(3). [FR Doc. 95–21427 Filed 8–24–95; 3:04 pm] 142U). BILLING CODE 8010±01±M E3. Sale of permanent easement to Alltel Tennessee, Inc., affecting 0.06 SECURITIES AND EXCHANGE COMMISSION acre of land in Anderson County, Notice is hereby given, pursuant to TENNESSEE VALLEY AUTHORITY Tennessee, on Melton Hill Lake for the the provisions of the Government in the (Meeting No. 1478) installation and maintenance of a buried Sunshine Act, Pub. L. 94–409, that the TIME AND DATE: 10 a.m. (EDT), August telephone cable and associated Securities and Exchange Commission 30, 1995. equipment (Tract No. XMHR–56U). will hold the following meeting during PLACE: TVA West Tower Auditorium, Information Items the week of August 28, 1995. 400 West Summit Hill Drive, Knoxville, 1. Grant of permanent recreational A closed meeting will be held on Tennessee. easement to the City of Knoxville Thursday, August 31, 1995, at 10:00 STATUS: Open. affecting 9.2 acres of land on Fort a.m. Agenda Loudoun Lake (Tract No. XTFL–122RE) Commissioners, Counsel to the to be used by the city as part of its Commissioners, the Secretary to the Approval of minutes of meeting held downtown waterfront development. Commission, and recording secretaries on June 21, 1995. 2. Interchange agreement with LG&E will attend the closed meetings. Certain Discussion Item Power Marketing Inc., and delegation of staff members who have an interest in authority to the Vice President, 1. Rate review. the matters may also be present. Transmission/Power Supply Group, or The General Counsel of the Action Items his designated representative, to execute the agreement. Commission, or his designee, has New Business certified that, in his opinion, one or 3. Abandonment of a portion of the more of the exemptions set forth in 5 C—Energy Norris-Alcoa transmission line right-of- U.S.C. 552b(c)(4), (8), (9)(A) and (10) C1. Supplements to Contract No. TV– way easement affecting 5.5 acres in and 17 CFR 200.402(a)(4), (8), (9)(i) and 92035V with CDI Power Systems Group, Blount County, Tennessee (Tract No. (10), permit consideration of the Inc., and Contract No. TV–92036V with NA–188), for development of a scheduled matters at the closed meeting. GLI Technical Services for drafting shopping center. Chairman Levitt, as duty officer, voted services for Sequoyah Nuclear Plant. 4. Experimental time-of-day rate to consider the items listed for the C2. Supplement to Contract No. arrangements for Glasgow Electric Plant closed meeting in a closed session. 90NLF–45264B–001 with Canus Board, Glasgow, Kentucky, to allow Glasgow to test the cost-effectiveness of The subject matter of the closed Corporation for services of instrument mechanics through December 31, 1995, a bi-directional network for load control meeting scheduled for Thursday, and remote meter reading purposes on August 31, 1995, at 10:00 a.m., will be: for Sequoyah Nuclear Plant, including those expected to be used during the the water heaters of up to 50 customers. Institution of injunctive actions. planned fall outage. 5. Sale of permanent recreation Institution of administrative C3. Extension of existing rail easement to Tullar Enterprises affecting transportation contract with CSX 4 acres of Kentucky Reservoir land in proceedings of an enforcement nature. Transportation, Inc., for Widows Creek Livingston County, Kentucky (Tract No. Settlement of administrative Fossil Plant. XGIR–923RE), and amendment to the proceedings of an enforcement nature. reservoir plan on Kentucky Lake to E—Real Property allow for the development of a Opinions. E1. Sale of noncommercial, commercial recreational park. At times, changes in Commission nonexclusive permanent recreation 6. Supplement to Personal Services priorities require alterations in the easements affecting a total of 0.25 acre Contract No. TV–76847T with scheduling of meeting items. For further of Tellico Lake shoreline in Loudoun Manpower Temporary Services. information and to ascertain what, if and Monroe Counties, Tennessee (Tract 7. Award of Contract No. 95S46– any, matters have been added, deleted Nos. XTELR–166E and XTELR–168RE). 460040 to Steffner, Ltd., for the sale of or postponed, please contact: The Office E2. Grant of permanent easement for two diesel generators and the provision of the Secretary (202) 942–7070. an existing water line affecting 2.35 of related services. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Sunshine Act Meetings 44547 8. Award of a contract to Senior acres of land on Kentucky Lake, FOR MORE INFORMATION: Please call TVA Engineering Company for main Humphreys County, Tennessee (Tract Public Relations at (615) 632–6000, condenser tube bundle replacement No. XTGIR–144H). Knoxville, Tennessee. Information is modules for Sequoyah Nuclear Plant 11. Public auction sale of 188 acres of also available at TVA’s Washington under Negotiation No. 4E–139450. land in Morgan County, Alabama; grant Office (202) 898–2999. 9. Amendments to the Rules and of permanent industrial easement to the Regulations of the TVA Retirement Dated: August 23, 1995. Industrial Development Board of the System and the provisions of the TVA Edward S. Christenbury, City of Decatur, Alabama; and Savings and Deferral Retirement Plan General Counsel and Secretary. abandonment and amendment of certain (401(k) Plan). [FR Doc. 95–21367 Filed 8–24–95; 3:04 pm] 10. Grant of permanent easement for easement rights and covenants. BILLING CODE 8120±08±M a road affecting approximately 15.02 12. Filing of condemnation cases. 44548 Corrections Federal Register Vol. 60, No. 166 Monday, August 28, 1995 This section of the FEDERAL REGISTER Wednesday, August 16, 1995, make the DEPARTMENT OF TRANSPORTATION contains editorial corrections of previously following correction: published Presidential, Rule, Proposed Rule, National Highway Traffic Safety and Notice documents. These corrections are 6.302-3 [Corrected] Administration prepared by the Office of the Federal On page 42652, in the first column, in Register. Agency prepared corrections are section 6.302-3(a)(2)(ii), in the second 49 CFR Part 571 issued as signed documents and appear in line, after ‘‘research,’’ insert ‘‘or the appropriate document categories elsewhere in the issue. development capability to be provided [Docket No. 85-06; Notice 9] by an educational’’. BILLING CODE 1505±01±D RIN 2127-AF82 DEPARTMENT OF DEFENSE Federal Motor Vehicle Safety DEPARTMENT OF HEALTH AND Standards, Passenger Car Brake GENERAL SERVICES Systems ADMINISTRATION HUMAN SERVICES Food and Drug Administration Correction NATIONAL AERONAUTICS AND SPACE ADMINISTRATION 21 CFR Parts 895 and 897 In rule document 95–18106 beginning on page 37844 in the issue of Monday, 48 CFR Part 52 [Docket No. 94N-0078] July 24, 1995, make the following [FAC 90-31; FAR Case 94-740; Item I] corrections: Medical Devices; Proposed RIN 9000-AG24 § 571.135 [Corrected] Performance Standards for Electrode Federal Acquisition Regulation; Lead Wires and Proposed Banning of On page 37847, in § 571.135, in the Consolidation and Revision of the Unprotected Electrode Lead Wires third column, ‘‘≥’’ should read ‘‘≤’’ in Authority To Examine Records the following places: Correction Correction 1. In S7.5.2.(a) and (c), the second In proposed rule document 95–15086 time it appears. In rule document 95–19858 beginning beginning on page 32406 in the issue of on page 42649 in the issue of Wednesday, June 21, 1995, make the 2. In S7.5.3.(a) and (b), in the second Wednesday, August 16, 1995, make the following correction: line. following correction: On page 32415, in the first column, 3. In S7.6.2.(a) and (c), the second 52.214-26 [Corrected] under X. Request for Comments, in the time it appears. first paragraph, in the second line, On page 42651, in the second column, 4. In S7.6.3. ‘‘September 21, 1995’’ should read in section 52.214-26, in the clause, in ‘‘September 5, 1995’’. 5. In S7.7.3.(a) and (c), the second paragraph (d), after ‘‘in’’ insert time it appears. ‘‘paragraph (b) of this clause, for BILLING CODE 1505±01±D examination, audit, or’’. 6. In S7.8.2.(a), the second time it appears. BILLING CODE 1505±01±D SECURITIES AND EXCHANGE On page 37848, in § 571.135, in the COMMISSION first column, ‘‘≥’’ should read ‘‘≤’’ in the DEPARTMENT OF DEFENSE following places: [Release No. 34-36081; File No. SR-Amex- GENERAL SERVICES 95-30] 1. In S7.9.2.(a), the second time it ADMINISTRATION appears. Self-Regulatory Organizations; Notice 2. In S7.10.3.(a) and (c), the second NATIONAL AERONAUTICS AND of Filing and Immediate Effectiveness time it appears. SPACE ADMINISTRATION of Proposed Rule Change by the American Stock Exchange, Inc. BILLING CODE 1505±01±D 48 CFR Part 6 Relating to Transaction Charges [FAC 90-31; FAR Case 94-701; Item II] Correction RIN 9000-AG39 In notice document 95–20208 Federal Acquisition Regulation; beginning on page 42635 in the issue of Contract Award Implementation Wednesday, August 16, 1995, make the following correction: Correction In the heading, the Release No. should In rule document 95–19859 beginning have appeared as set forth above. on page 42652 in the issue of BILLING CODE 1505±01±D federal register August 28,1995 Monday Collection toOMB;Notice Submission ofProposedInformation Research Office ofPolicyDevelopmentand Development Housing andUrban Department of Part II 44549 44550 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices DEPARTMENT OF HOUSING AND Department of Agriculture period to develop the survey URBAN DEVELOPMENT Department of Commerce instruments. Department of Education The Department has submitted the Office of Policy Development and Department of Energy proposal for the collection of Research Department of Justice information, as described below to OMB Department of Transportation [Docket No. FR±3917±N±18] for review, as required by the Paperwork Social Security Administration Reduction Act (44 U.S.C. chapter 35): Notice of Submission of Proposed Federal Emergency Management Agency (1) the title of the information Information Collection to OMB The survey includes two phases: collection proposal; Phase 1 is the collection of information (2) the office of the agency to collect AGENCY: Office of Policy Development on service providers and Phase 2 is the the information; and Research, HUD. collection of information on service (3) the description of the need for the ACTION: Notice. users (clients). In Phase 1, the Census information and its proposed use; Bureau will: (4) the agency form number, if SUMMARY: The proposed information (1) Select a sample of geographic applicable; collection requirement described below areas; has been submitted to the Office of (2) Develop a comprehensive list of (5) what members of the public will Management and Budget (OMB) for service providers in the survey sample be affected by the proposal; review, as required by the Paperwork areas; (6) how frequently information Reduction Act. The Department is (3) Collect basic information from all submission will be required; soliciting public comments on the service providers within the sample (7) an estimate of the total number of subject proposal. areas on programs offered, via a hours needed to prepare the information DATES: Comment due date: September computer-assisted telephone interview; submission including numbers of 12, 1995. and respondents, frequency of response, and ADDRESSES: Interested persons are (4) Select a subsample of providers hours of response; invited to submit comments regarding and collect detailed information on (8) whether the proposal is new or an this proposal. Comments must be programs and services by mail, with extension, reinstatement, or revision of received within 14 working days from telephone followup. an information collection requirement; the date of this notice. Comments Phase 1 of the national survey is and should refer to the proposal by name planned to be conducted starting in (9) the names and telephone numbers and should be sent to: Joseph F. Lackey, October 1995 and conclude by January of an agency official familiar with the Jr., OMB Desk Officer, Office of 1996. proposal and of the OMB Desk Officer Management and Budget, New In Phase 2, the Census Bureau will: for the Department. Executive Office Building, Washington, (1) Select a sample of service users Authority: Section 3507 of the Paperwork DC 20503. (clients) within the sample areas; Reduction Act, 44 U.S.C. 3507; Section 7(d) FOR FURTHER INFORMATION CONTACT: (2) Select a sample of providers in of the Department of Housing and Urban Kay F. Weaver, Reports Management designated programs; and Development Act, 42 U.S.C. 3535(d). Officer, Department of Housing and (3) Select clients and conduct Dated: August 17, 1995. Urban Development, 451 7th Street, personal visit interviews at selected Michael A. Stegman, SW., Washington, DC 20410, telephone service provider facilities. Assistant Secretary, Office of Policy no. (202) 708–0050. This is not a toll Phase 2 of the survey is planned to be Development and Research. free number. conducted starting in February 1996 and Notice of Submission of Proposed SUPPLEMENTARY INFORMATION: This conclude by March 1996. Information Collection to OMB notice informs the public that the This request is for clearance to Department of Housing and Urban conduct Phase 2 of the survey, the Proposal: National Survey of Development has submitted to OMB for collection of information on service Homeless Assistance Providers and processing an information collection users using two instruments: Clients (NSHAPC). package related to the National Survey • NSHAPC—200 Service Users Office: Policy Development and of Homeless Assistance Providers and Survey; and Research. Clients (hereinafter ‘‘survey’’). HUD is • NSHAPC—300 Roster for Provider Description of the Need for the requesting a review of this information Facility. Information and Its Proposed Use: This collection on or before September 30, The information to be requested under national survey would provide up-to- 1995. the Service Users Survey is specified, date information about the providers of The survey will provide estimates of but the survey form will undergo a final homeless assistance and the the number and characteristics of forms design before it is administered. characteristics of homeless persons who service providers and an assessment of A pre-test of the NSHAPC was use services. The survey will be the types of programs and services conducted in April 1995 in three areas: conducted in 76 areas including available to people who are homeless. It Atlanta, GA; Pittsburgh, PA (including metropolitan and nonmetropolitan will also provide detailed characteristics Allegheny, Fayette, Washington, and settings. The data will: of persons using services. Under the Westmoreland Counties); and the (1) be compared with the findings of auspices of the Interagency Council on Armstrong County Community Action a 1987 Urban Institute survey of the Homeless, the survey is being co- Agency Catchment area (a rural homeless characteristics to understand sponsored by 11 Federal agencies: Community Action Agency service area reported changes in the nature of Department of Housing and Urban outside Pittsburgh). The survey homelessness, especially those related Development instruments have been revised to reflect to families with children; Department of Health and Human the experience gained in the pre-test. (2) provide a basis for assessing local Services The Census Bureau sought and obtained efforts to construct ‘‘continuums of Department of Veterans Affairs substantial expert input over a two-year care’’ for homeless people; Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44551 (3) be used to develop measures to requesting clearance to conduct Phase 1. would provide up-to-date information assess the impact and performance of This request is for the following forms about the characteristics of today’s current homeless programs; listed by title and code number. homeless population who use services (4) will assist local governments and • NSHAPC–200A, Service User and would tell us how this population nonprofit organizations in designing Questionnaire. has changed since 1987 in urban areas. more effective more effective local • NSHAPC–XXXX, Roster for Included in the survey would be the programs; and Provider Facility. first national examination of the (5) provide a baseline for examining The national survey will provide characteristics of homelessness in rural the effects on the homeless population estimates of the number and America, fulfilling a Congressional of proposed changes to the McKinney characteristics of service providers, and mandate for a report on this subject. homeless assistance programs, and an assessment of the types of programs The national NSHAPC survey would: America’s ‘‘safety net’’ programs for the and services available to people who are 1. Provide national information on the poor (e.g., Section 8, AFDC, JTPA, and homeless. The survey will also provide types of services available to homeless Medicaid programs). (in Phase 2) detailed characteristics of persons in both urban and rural Form Number: None. persons using services. Phase 2 of the communities. Respondents: Homeless service national survey is being sponsored by 2. Provide information not addressed providers and homeless persons. the following Federal agencies: by the last national study in 1987 such Frequency of Submission: One-time. • Department of Health and Human as: What are the triggering events that Reporting Burden: See attachment. Services (HHS). precipitate homelessness? Where were Total Estimated Burden Hours: Phase • Department of Housing and Urban homeless people living before they 2, Client Surveys 2,850. Development (HUD). became homeless? How prevalent is Status: New survey. • Department of Veterans Affairs AIDS among homeless persons? What Contact: James E. Hoben, HUD, (202) (VA). impact does rural homelessness have on 708–0574 X132; George A. Ferguson, • Department of Agriculture (USDA). urban homelessness? What differences HUD, (202) 708–1480; Joseph F. Lackey, • Department of Commerce (DOC). are there among homeless persons Jr., OMB, (202) 395–7316. • Department of Education (ED). found in cities, suburbs, and rural areas? • Department of Energy (DOE). Dated: August 15, 1995. 3. Tell us what characteristics of the • Department of Justice (DOJ). homeless population have changed Supporting Statement • Department of Transportation since the 1987 study. (DOT). A. Justification 4. Collect additional information • Social Security Administration related to drug use, mental illness, 1. Necessity of Information Collection (SSA). AIDS, tuberculosis, and previous • Federal Emergency Management The National Survey of Homeless episodes of homelessness. Agency (FEMA). Assistance Providers and Clients 5. Include smaller cities, Data will be collected under HUD’s (NSHAPC) includes two phases: the nonmetropolitan and rural areas in data collections authority. order to more accurately and fully collection of information on service As part of the 1990 Census, the providers and the collection of reflect homelessness in the United Census Bureau enumerated persons States. The survey would interview a information on service users (clients). residing in homeless shelters and pre- Phase 1: In Phase 1, the Census sufficient number of people using identified street locations. However, this Bureau will: services in 76 geographic areas to ensure operation was not designed to provide (1) Select a sample of geographic reliability of the national estimates. Of the full range of information needed for areas. these 76 geographic areas, 28 would be guiding policy decisions related to (2) Develop a comprehensible list of large metropolitan areas, 24 would be homelessness. With this understanding, service providers in the survey sample medium and small metropolitan areas, in September of 1993, the Bureau of the areas. and 24 would be nonmetropolitan areas (3) Collect basic information from all Census convened a conference of (small cities and rural areas). researchers, representatives of public service providers within the sample Discussion of Phase 1 Activities areas on programs offered, via a interest groups, and government computer-assisted telephone interview. representatives to discuss ways of Phase 1 will be on-going from October (4) Select a subsample of providers improving data collection on the 1, 1995 through January 1996. Three and collect detailed information on homeless population. The consensus steps occur in Phase 1. among this group was that the decennial programs and services by mail, with Step 1: Completing the CATI Interview telephone follow-up. census is not the appropriate vehicle for gathering information on the homeless 1. Beginning on October 1, 1995, Note: Steps 1 and 2 must be completed if population. They suggested that a new Census Bureau staff will use a Phase 2 is conducted. national survey using a updated computer-assisted telephone interview Phase 2: In Phase 2, the Census methodologies to obtain an accurate and (CATI) to contact all service providers Bureau will: useful picture of those homeless people in the 76 sample communities. Service (1) Select a sample of service users who use services in the United States is providers interviewed would include (clients) within the sample areas in two needed. those with programs specifically other stages. targeted at the homeless (e.g. homeless (2) Select a sample of providers in 2. Needs and Uses shelters, soup kitchens, homeless designated programs. The information the new survey outreach programs) as well as other (3) Select clients and conduct would provide is critical for developing community service providers with personal visit interviews at selected the kinds of effective public policy programs from which homeless service provider facilities. responses needed to break the cycle of individuals are eligible. The purpose of This request is for clearance to homelessness, both through targeted the survey of service providers would be conduct Phase 2 of the survey. An programs and the leveraging of to assess the types of programs and earlier OMB package was submitted mainstream resources. This survey service available to homeless persons in 44552 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices these metropolitan, suburban, and rural Offering Homeless Programs and the Shelters for abused women and runaway areas. All service providers in the areas NSHAPC—L(2) letter to all service youths will not be on the listings to be will be asked about the types of providers shown on the comprehensive reviewed by service providers but are programs offered and basic information list and all knowledgeable local persons. included in the sampling frame. This is to preserve the confidential locations of shelters about each program offered, such as The knowledgeable local persons and for abused women and runaway youth. source of funding, days of operation, service providers will be asked to and population group primarily served review the listing of all service The Census Bureau will use the (e.g., veterans, people with mental providers in their area for completeness, master list of service providers as the illness). Prior to the CATI calls, an and to add any missed service providers frame to select the sample of service advance letter, NSHAPC—L(1)L will be to the list. NOTE: A sample of providers providers who will receive the detailed- mailed to each provider. will be asked to provide additional program questionnaires and to select the To develop the profile of programs information about the services they sample of provider facilities where offered nationwide, all service providers offer. This is discussed below under client interviewing will be conducted. will be asked to complete the NSHAPC Phase 1, Step 3. Step 3: Completing the Detailed Form 100A, Service Provider Core Data The Census Bureau is obtaining Information on Programs and Services Questionnaire. This questionnaire copies of national files of service collects the following information about providers from national organizations, Once the CATI interviews are the service provider and programs Federal agencies, and from Community completed, a subsample of service offered at that address: Action Program (CAP) coordinators. The providers will be asked to provide more • Name. Census Bureau has obtained a copy of detailed information about the specific • Contact for the facility. lists of service providers from the programs and services offered at their • Address. following Federal agencies: FEMA, facility. Separate questionnaires for each • Telephone Number. program have been developed. Program • Health and Human Services, Veterans Type of Facility. managers will be asked to complete a • Affairs, Housing and Urban Programs Provided. Development, and Labor. National questionnaire by mail for each program The following information will be organizations, such as the National they administer. For each program collected for each program offered: Coalition for the Homeless, National offered, program managers will receive • Average Number of Adults and Alliance to End Homelessness, National a copy of the appropriate program Children Participating in Programs On Law Center on Homelessness and questionnaire and the NSHAPC L(3)L A Daily Basis, and Percent Homeless. Poverty, National Network of Runaway letter. Census Bureau staff will follow- • Average Number of Adults and and Youth Services, Catholic Charities, up by telephone for all nonresponding Children the Facility Serves On A Daily Better Homes Foundation, and providers. Basis. • Familial Status of Persons the Volunteers of America, Inc. have Discussion of Phase 2 Activities Facility Serves On A Daily Basis. provided lists to the Census Bureau. The The second phase of the survey would • Public or private affiliation. Census Bureau plans to unduplicate and • Source of funding. merge these files into one consist of interviewing a sample of • If the program is targeted to a comprehensive listing of service persons using services at homeless specific subpopulation group. providers. This comprehensive list will shelters, soup kitchens, and other • Number of Facilities Under be used as the initial sampling frame for service locations where homeless Contract To, or Accepting Vouchers. identifying and interviewing service people are found. Respondents will be • Expected Days of Operation for providers in the sample areas. asked to complete NSHAPC Form 200A, each program in February, 1996. The local update may also provide the Service User Questionnaire (See • Contact person for each program. Census Bureau with additional names of Attachment A). To facilitate the service providers and local persons or sampling, we are asking providers to Step 2: Reviewing the List of Service organizations knowledgeable about complete Form NSHAPC 300, Roster for Providers homeless services. (Federal, State, and Providers (See Attachment B). Providers Once the CATI interview is Local Agencies may not have the name will be asked to list all clients using the completed, service providers will be of a service provider if the provider does housing program on the day of the mailed a comprehensive list of service not receive any federal, state, or local interview. Interviews will take place providers in the sample areas. Service funding. continuously over a four-week period in providers are asked to review the list for Census Bureau personnel also will order to obtain a representative sample. completeness and accuracy. We are contact the state homeless coordinator In addition to providing data on asking providers to correct any incorrect designated under the McKinney characteristics of the portion of the entries and to identify service providers Homeless Assistance Act. The Census homeless population who use services, that are omitted from the list. The Bureau will tell them about the survey, this phase of the survey would identify updated lists will be mailed back to the indicate which counties in their state homeless subgroups and help determine Census Bureau for update. After receipt are included in the survey, and provide their use of various types of assistance of the reviewed list, Census Bureau them with a list of service providers in programs. It would also collect limited personnel will remove duplicate entries each of the sample areas. The state comparative data on housed persons from the list and prepare a master list coordinators will be asked to review the with very low incomes who also rely on of service providers. New service list of service providers and note any soup kitchens and other emergency providers added to the list will then be additions or changes. assistance. contacted and Census Bureau staff will The survey will estimate Note: Census Bureau personnel have administer the CATI interview. already completed some initial contacts with characteristics at the national level only. The Census Bureau plans to generate federal and state government offices, The sample size is not large enough to listings of service providers for each of agencies, organizations, and knowledgeable produce estimates of client the sample areas in the survey and mail, local persons to begin compiling a national characteristics at the regional or local NSHAPC Form 100–M, List of Providers list of service providers. levels. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44553 In 1987, the Urban Institute Safe Havens (HUD) Programs for Homeless Veterans completed a survey of homeless National Institute of Alcohol Abuse and persons. Data from the 1987 Urban Alcoholism (NIAAA) Research Domiciliary Care for Homeless Veterans Institute study represent the only Demonstration on Homelessness Program (VA) national level data specific to homeless (HHS) Homeless Chronically Mentally Ill persons. Since the 1987 study, no Drug Abuse Prevention for Runaway Veterans Program (VA) significant national studies have been and Homeless Youth (HHS) Shelter for Homeless Vets—Acquired conducted to provide national Education, Training, and Employment Property Sales (VA) information about the characteristics of Assistance homeless persons using services for Homeless Veterans Reintegration Project homeless people. Educ. Homeless Children & Youth State (DOL) NSHAPC data will be used to plan Grants Prog. (ED) Each agency was asked to identify future programs and services funded via Exemplary Projects Program—Homeless their data needs and to rank the the McKinney Homeless Assistance Act Children (ED) importance of those data requirements. and other homeless programs to prevent Adult Education for the Homeless (ED) From this ranking, we developed the homelessness as well as ameliorate it. Job Training for the Homeless Service User Questionnaire, NSHAPC— Understanding the causes of Demonstration Program (DOL) Form 200A. Listed below is a discussion homelessness can help guide the Homeless Veterans Reintegration Project of the survey questions on the development of preventive strategies. (DOL) Respondent Questionnaire and how the Data from the NSHAPC will be used by Housing Assistance data will be used by HUD, HHS, VA, the participating agencies to prepare USDA and the other Federal agencies. reports in accordance with the Transitional Housing Demonstration Section numbers correspond to the requirements of the McKinney Program (HHS) section numbers on the questionnaire. Supportive Housing Demonstration Homeless Assistance Act and other Service User Questionnaire Cover (HUD) homeless assistance programs. Page—Items N and O—on the cover Section 87 Assistance for SROs (HUD) The following targeted programs will page asks the respondent’s name and Single Family Property Disposition benefit from the data collected in the age. Collection of the name (along with Initiatives (HUD) NSHAPC. the other variables described in Section Transitional Living Program for 4) will be used to eliminate duplicate Emergency/Temporary Shelter Homeless Youth (HHS) interviews. Because the sampling and Assistance Farmer’s Home Administration (FMHA) data collection design calls for multiple Emergency Food and Shelter Program Homes for the Homeless (USDA) visits to each provider site, and because (FEMA)—Assistance directed toward Shelter for Homeless Vets—Acquired one homeless person could be found in temporary shelter Property Sales (VA) Emergency Shelter Grants Program Base Closure Properties (DOD, HUD) more than one sampling frame (e.g., in (HUD) both soup kitchens and shelters), Shelter for the Homeless [Department of Homeless Prevention unduplicating is central to the process Defense (DOD)] Emergency Food and Shelter Program of estimating the size of the population. Homeless Support Initiatives—Surplus (FEMA)—Prevention Assistance Question 64a asks for the Blankets (DOD) Emergency Community Services respondent’s social security number. Food and Nutrition Assistance Homeless Grant Program (HHS) Question 64b asks for the first five digits of the respondent’s social security General/Misc. Aid to Homeless Commodities for Soup Kitchens (USDA) number if the respondent refuses to give Providers Emergency Food and Shelter Program— their entire social security number. Food Assistance (FEMA) Emergency Community Services These questions, along with the name Commissary/Food Bank Initiatives Homeless Grant Program (HHS) and the other variables described above, (DOD) and [Department of Excess and Surplus Federal Real are being collected for purposes of Transportation (DOT)] Property [General Services unduplicating respondents. Federal Grain Inspection Service— Administration (GSA)/(HUD)/(HHS)] Donation of Surplus Samples (USDA) Runaway and Homeless Youth Program Section 1: Current Living Condition General Health Assistance (HHS) Questions 1a–7 Health Care for the Homeless Grant Programs for Homeless Children/Youth/ These questions determine whether or Program (HHS) Families not the respondent is homeless, and are Domiciliary Care for Homeless Veterans considered essential by all participating Program (VA) Family Support Centers (HHS) Transitional Housing Demonstration agencies. With minor modifications, Assistance to Homeless Persons With Program (HHS) they are the same screening questions Disabilities Supportive Housing Demonstration used in Rossi’s (1986) Chicago studies, Projects for Assistance in Transition (HUD) in the National Institute on Drug Abuse from Homelessness (PATH) (HHS) Educ. for Homeless Children and Youth (NIDA, 1992) Washington, D.C. Access to Community Care and Effective State Grants Program (ED) Metropolitan Area Drug Study Services and Supports (ACCESS) Exemplary Projects Program—Homeless (DC*MADS), and in the Urban (HHS) Children (ED) Institute’s national study (Burt and Community Support Program— Runaway and Homeless Youth Program Cohen, 1988, 1989) which the NSHAPC homeless-specific portion (HHS) (HHS) methodology is designed to parallel and National Institute of Health (NIH) Transitional Living Program for extend. For purposes of continuity and Research on Homeless (HHS) Homeless Youth (HHS) comparison, it is important that they Homeless Chronically Mentally Ill Drug Abuse Prevention for Runaway remain essentially the same as they Veterans Program (VA) and Homeless Youth (HHS) were in earlier studies. 44554 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Section 2: Without Permanent Housing Section 2, Questions 16 a and b Home Administration (FmHA), FEMA, and HHS’ Health Care for the Homeless Section 3: Currently With Permanent Section 3, Questions 45 a and b program—the federal agencies Housing These questions are modified versions supporting emergency services. Section 2, Questions 8a–10, 24–27 of a question asked in the 1987 Urban Answers to these questions will provide Institute study. We changed the format some explanation of the movement of Section 3, Questions 33a–40 from obtaining only a single response to homeless people from one type of probing for all relevant responses and community to another, such as the push The answers to these questions are then asking the respondent to identify necessary to make estimates of the size of no services or no jobs in the the primary reason. This eliminates the community left behind and the pull of of the homeless population. Sampling difficulty in interpreting single expected services and economic and estimation experts from the Urban responses such as Respondent 1 saying opportunities in the community where Institute and the Census Bureau ‘‘couldn’t pay the rent,’’ Respondent 2 respondents are interviewed. They will developed the questions. Questions 8 saying ‘‘lost my job,’’ and Respondent 3 also help identify the conditions that and 9 parallel similar questions asked in saying ‘‘Was doing drugs,’’ when all generate homelessness, which may not the 1987 Urban Institute study. three could not pay the rent because be the same conditions as those in the The Census Bureau requires Question they lost their jobs because they were community where homeless people are 33B to determine if asking respondents doing drugs. interviewed. to report names of shelters can be used Section 2, Questions 17–19 to assess the completeness of the Section 4: Demographics survey’s list of shelters. Section 3, Questions 46–47c Questions 56–64a Section 2, Questions 11–23, 28–32 These questions were not in the 1987 Urban Institute study. All the sponsoring agencies consider Section 3, Questions 41–55 Subsequent research by NIDA (1992) basic demographic questions which indicates that many homeless people These questions are needed to describe the population to be essential. spend a considerable amount of time in In addition, Question 60 may help understand the circumstances affecting institutions or in temporary the respondent in the period explain a lack of participation in the arrangements with friends or family labor force at the time of the interview, immediately before becoming homeless. between the interview date and the time They have been compiled from similar and Questions 61a, 61b, 62a and 62b when they last had a permanent place provide data about possible educational questions asked in the 1987 Urban to stay (Question 11). In other words, difficulties and deficits in addition to Institute study, the DC*MADS study, they are not literally homeless during the simple fact of ‘‘last grade and other studies. These previously the whole period since they last had a completed.’’ They may help define used questions were augmented by permanent place to stay. The answers to possible prevention strategies. questions or item content which pretests these questions will let us determine revealed to be necessary to give a how much of the time they were Questions 58, 64, and 64a reasonable understanding of the literally homeless. respondent’s experiences. They will Questions 58 asks for the respondent’s Section 2, Question 20 reveal the proximate causes of each date of birth. The date of birth serves a individual’s current homeless episode We want this question included to very important purpose of eliminating (or their last homeless episode if they learn whether respondents have any duplicate interviews. A unique are not now homeless but have been experience in the housing market on identifier is created using the homeless in the past). their own. Never having been a primary respondent’s date of birth, gender, and tenant has been shown (Weitzman, one or two other variables. The data set HHS considers these questions to be 1989) to differentiate homeless from is then searched for duplicates. Because essential and the VA considers them never-homeless families. the sampling and data collection design highly desirable. Other agencies whose calls for multiple visits to each provider Section 2, Questions 21–23 mission includes efforts to prevent site, and because one homeless person homelessness as well as ameliorate it Section 3, Questions 48–50 could be found in more than one sample may also consider them desirable. An frame (e.g., in both soup kitchens and understanding of proximate causes can HHS requested these questions. Local studies (Piliavin, Sosin, and Westerfelt, shelters), unduplicating is central to the help guide the development of process of estimating the size of the preventive strategies. 1986; Sosin, Colson and Grossman, 1988) have shown seriously elevated population. Section 2, Questions 11–15 rates of childhood experiences in foster Question 64a asks for the Section 3, Questions 41–44 care among the adult homeless. The respondent’s social security number. answers to these questions will help Question 64b asks for the first five digits These questions are either identical to identify the prevalence of childhood of the respondent’s social security or minor modifications of questions out-of-home placement and runaway number if they refuse to give their entire asked in the 1987 Urban Institute study. behavior among the adult homeless Social Security Number in response to We modified the wording of some population for the first time on a question 64a. These are being collected questions to make sure that the national sample. High prevalence could as one of the other unduplicating respondent and the researcher mean the indicate a preventive role in programs variables. The Bureau of the Census, same thing by their answers (e.g., on within HHS responsibility. HHS, and the other sponsoring agencies Question 13, some women living with Section 2, Questions 28–32 will hold this information in the their children will say they live alone, strictest of confidence and will ensure it because they do not live with a spouse Section 3, Questions 51–55 is available only to researchers at HHS, or boyfriend. We want to be sure that These questions are of interest to the other sponsoring agencies and ‘‘alone’’ means ‘‘alone.’’) Department of Agriculture—Farmers Bureau of the Census staff. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44555 Section 5: Children and Education government benefits, including any also obviously a precursor of childhood change of benefits that might have out-of-home placement, which in turn is Questions 65–71h played a role in the respondent associated with both youth and adult ED and HHS consider these questions becoming homeless. homelessness. (Piliavin, Sosin and to be essential. Answers to this set of Westerfelt, 1986; Sosin, Colson and Section 8: Veteran Status questions will show the degree to which Grossman, 1988). The answers to these homelessness has split families, and Questions 85–89 questions will reveal the degree to which children have been separated The VA submitted these questions which the present homeless population from their parent(s). This information is and considers them essential. In has these experiences in their important for planning reunification, particular, they have no other national background as potential contributing housing, and other needs of homeless source of data in war zone or combat factors to their homelessness. families. exposure (Questions 87 and 88), which The information is of primary interest Section 12: Mental Health may play a critical role in the need for to ED, and the questions about school services as an antecedent of Questions 121a–126c attendance and barriers are directly homelessness. HHS considers these questions relevant to ED’s agency mission under essential. The remaining agencies the McKinney Act and Congressional Section 9: Food Intake completing the ratings considered them directives to gather this information and Questions 90–93 highly desirable. Given the evidence for report it to Congress. serious mental illness among sizable These questions are considered proportions of the homeless population, Questions 71b and 71d essential by HHS and USDA. these questions will provide data to We added the pre-school content of Questions 94a–95b understand how mental illness relates to these questions for children ages 3–5 at the many other factors included in the the specific request of HHS. ED The Census Bureau needs these interview protocol, including use of requested the other content of these questions to estimate the proportion of services and benefit receipt. questions. persons receiving food that are poor but housed and those who are homeless. Questions 121a–124 Questions 71g, 71h The Census Bureau requires Question Questions 121a–124 are taken directly 95b to determine if asking respondents We added the questions about day from the Psychiatric section of the to report names of soup kitchens can be care at the specific request of HHS. Addiction Severity Index (ASI), an used to assess the completeness of the instrument developed by NIAAA to Question 72 survey’s list of soup kitchens. All participating agencies consider assess addictions and related Section 10: Current Physical Health this question, on the composition of conditions. These questions form a scale; answers are summed to form a homeless households to be essential. Question 96 score, which can be compared to Question 73 HHS and VA consider this item national norms for this segment of the essential. HHS specifically requested that this ASI. The ability to compare homeless question be included on the Questions 97–117 people’s responses to a national norm will let us determine where homeless questionnaire. A pregnancy experienced HHS considers questions 97–107 to be by a precariously housed woman has people fit on the continuum of mental essential. For many questions, the set of health problems. All items in Questions been shown to make her more items to be asked about were specified vulnerable to literal homelessness 121a–124 must be present to construct by agency personnel (e.g., specific the scale score. (Weitzman, 1989). health conditions for Question 96, Section 6: Employment specific service sites for Question 99; all Questions 125–126c of Questions 101 and 103). Questions 125–126c are also taken Questions 74–79 The VA needs information about the from the ASI, with minor modifications HHS considers these questions to be use of VA facilities. The VA considers as accepted by NIMH’s Program for the essential, and the VA considers them the VA-relevant information in Question Homeless Mentally Ill. They give desirable. Where the Bureau of Labor 99 essential, as it will assist them in evidence of treatment patterns (or lack Statistics (BLS) routinely asks questions determining whether veterans are using thereof), and will supply NIMH with an with appropriate content in its national other medical facilities to the exclusion estimate of unmet service need, as well surveys, we adopted the BLS working of, or in addition to, VA facilities. as the usual sources of care sought by for this survey so answers for the Section 11: Victimization and the homeless mentally ill. homeless can be compared with Imprisonment nationally representative data. Section 13: Chemical Dependency Questions 118a–120c Section 7: Sources of Income and Questions 127a–150 Service Use HHS, ED and VA requested that these HHS considers these questions questions be included on the essential. The remaining agencies Questions 80–84 questionnaire. Several divisions of HHS completing the ratings consider them HHS considers all questions in this specifically requested all of the highly desirable. Given the evidence for section to be essential. VA also components of Question 120, and substance abuse among sizable considers Question 80 essential. These question 118c (juvenile detention). A proportions of the homeless population, questions describe receipt of benefits, great deal of evidence suggests that these questions will provide data to other income sources, and total income parental neglect and abuse (asked about understand how alcoholism and drug for the month before the interview. They in Questions 120a–c) is implicated in abuse relate to the many other factors also describe respondent experiences runaway behavior and youth included in the interview protocol— with a variety of HHS, USDA, and local homelessness (Robertson, 1991). It is especially antecedents of homelessness. 44556 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Questions 127a–132, 142–144 respondents’ involvement with alcohol the Urban Institute’s 1987 survey was Questions 127a–132 and 142–144 are and drugs. one week. While the results from the Urban taken directly from the Addiction Question 151 Severity Index (ASI, McLellan et al., Institute’s 1987 survey provide 1991, see above). These questions form This question is asked so that characteristics of homeless persons who several scales; answers are summed to respondents can provide their general used services, it does not include the form scores, which can be compared to impressions on the availability and NSHAPC’s additional emphasis on national norms and norms for treatment quality of services in their community. geographical and topic coverage as described in A.4. The 1987 study did populations for this segment of the ASI. 3. Efforts to Minimize Burden The ability to compare homeless not provide any information on the people’s responses to national norms Not applicable. Respondents are types of programs and services offered. and norms for treatment populations individuals at service sites who cannot The Urban Institute survey is also will let us determine where homeless respond with computer tapes or disks. almost 10 years old. More recent people fit on the continuum of chemical We are also minimizing the burden of information is needed. Thus, there is no dependency problems. All items in the FEMA Local Board Contact Persons, similar information available that could Questions 127a–132 and 142–144 must government contacts, service providers be used or modified for use for the be present to construct the scale score, and knowledgeable local persons by purposes described. and NIAAA has strongly expressed an giving them the combined listing of 5. Minimizing Burden on Small interest in seeing the scales included in service providers to review as opposed Businesses their entirety on this interview protocol. to asking them to list all service providers in their area. The Census Bureau plans on using the Questions 135–139, 147–150 combined files from Federal agencies 4. Efforts to Identify Duplication, and Questions 135–139 (for alcohol and national organizations and Use of Available Information treatment) and 147–150 (for drug advocacy groups to generate listings of treatment) are also taken from the ASI, HUD consulted with other service providers for each sample area with minor modifications as accepted government agencies and outside in the survey and mail the listings to all by NIAAA/NIDA. They give evidence of experts and determined that the service providers contacted by treatment patterns (or lack thereof), and proposed national NSHAPC will be the telephone and all knowledgeable local will supply NIMH with an estimate of only current, national data source with persons. The knowledgeable local persons and service providers will be unmet service need, as well as the usual detailed information on the types and asked to review the listing for sources of care sought by homeless availability of programs and services completeness of all service providers in substance abusers. offered and on the characteristics of their area and to add any missed service literally homeless persons who use Questions 133, 144 providers to the list. The state homeless services. The most recent national data coordinator will only be asked to review The items in these questions are taken is the 1987 Urban Institute Study. the listing of service provider (Form from the Short Michigan Alcoholism In March 1987, the Urban Institute Screening Test (Question 122—Selzer, NSHAPC 100M). The Census Bureau conducted a survey of homeless persons believes the file will provide an initial Vinokur, and van Rooijen, 1975) and the who used services in cities of 100,000 Drug Abuse Screening Test (Question comprehensive listing of service or more. The NSHAPC is intended to providers currently offering services to 132—Skinner, 1982). Both of the parallel and extend the methodology original instruments are too long to the homeless thus reducing the burden used by the Urban Institute in the 1987 of the service providers, government include in this study in their entirety survey to capture a higher proportion of (24 and 28 items, respectively). contacts, and knowledgeable local the literally homeless population who persons. No small businesses will be However, the inclusion of some measure use services. of symptomatology related to substance contacted. a. The NSHAPC will include abuse was felt to be important, to detect additional geographical coverage. Cities 6. Consequences of Less Frequent the level of functional impairment with populations of 100,000 or less and Collection related to substance abuse among those areas outside of cities will be included who never sought treatment as well as Not applicable. This is a one-time among those who have. In each case the in the survey sample. (The 1987 Urban survey. Phase 1 will be conducted from eight items selected are those with the Institute survey only included cities October 2, 1995 to January 15, 1996, and highest correlations with the total scale with populations over 100,000.) Phase 2 from January 21 to March 30, score for the original scale (r=.7 or b. The NSHAPC will include 1996. additional topic coverage. The client higher). Scores based on these selected 7. Consistency With 5 CFR 1320.6 items should function in virtually the questionnaire covers more topics and in The Census Bureau will collect these same way as scores we would obtain if greater depth than was covered in the data in a manner consistent with the we used all of each instrument. 1987 Urban Institute Survey. There are also some questions similar to those in guideline in 5 CFR 1320.6. Questions 134, 145 the 1987 survey so that a comparison 8. Consultations Outside the Agency These questions assess the may be made between the results of the Consultations have been made with respondent’s age when heavy alcohol or two surveys. (The 1987 Urban Institute the following people: drug use began. We are including these survey only asked about drug treatment. questions to assure that we will know The NSHAPC asks about drug treatment, Dr. Martha, Burt, The Urban Institute, 2100 the duration of the respondents’ as well as, types and frequencies of M Street, NW., Washington, DC 20037, Tel: substance abuse problems. Answers to drugs used, and information about (202) 857–8551 mental health.) Ms. Lorraine Reilly (formerly of), The Urban these questions augment the Institute, 2100 M Street, NW., Washington, information on the earliest and most c. The interview period for client DC 20037, Tel: (202) 857–8551 recent treatment, and will provide a interviews for the national survey will Dr. Michael Dennis, Research Triangle more complete picture of the be one month. The interview period for Institute, Center for Social Research and Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44557 Policy Analysis, P.O. Box 12194, Research Statistical Methods Division, Bureau of the SW., Room 447D, Washington, DC 20201, Triangle Park, NC 27709–2194, Tel: (919) Census, Washington, DC 20233, Tel: (301) Tel: (202) 260–0391 541–6429 457–4239 Mr. Fred Osher (formerly of), Office of Dr. Greg Owen, Wilder Foundation, Wilder Ms. Marjorie Dauphin, Victimization and Programs for the Homeless Mentally Ill, Research Center, 1295 Bandana Blvd., Expenditure Branch, Demographic National Institute of Mental Health, Dept. North—Suite 210, St. Paul, MN 55108– Statistical Methods Division, Bureau of the of Health and Human Services, Parklawn 5197, Tel: (612) 647–4612 Census, Washington, DC 20233, Tel: (301) Bldg., Room 3C06, 5600 Fishers Lane, Ms. Joanne Wiggens, U.S. Dept. of Education, 457–4190 Rockville, MD 20857, Tel: (301) 443–3706 600 Independence Avenue, SW—Room Ms. Miriam Rosenthal (formerly of), Mr. Walter Leginski, Homeless Programs 4143, Washington, DC 20202, Tel: (202) Victimization and Expenditure Branch, Branch, Center for Mental Health Services, 401–1958 Demographic Statistical Methods Division, Parklawn Building, room 11c–05, Mr. Tom Fagen, U.S. Dept. of Education, 400 Bureau of the Census, Washington, DC Rockville, MD 20857 Maryland Avenue, SW—Room 2043, 20233, Tel: (301) 457–4270 Dr. Robert Huebner, Ph.D., Health Services Washington, DC 20202, Tel: (202) 401– Mr. David Hornick, Victimization and Research Branch, National Institute of 1682 Expenditure Branch, Demographic Alcohol Abuse and Alcoholism, Dept. of Mr. John Pentecost, USDA—FmHA, Room Statistical Methods Division, Bureau of the Health and Human Services, Willow 5345—South, MFHD—PD, Washington, DC Census, Washington, DC 20233, Tel: (301) Building, Suite 505, 600 Executive 20250, Tel: (202) 720–8983 457–4190 Boulevard, Rockville, MD. 20892–7003, Mr. Tom Sanders, USDA—FmHA, Room Mr. John Bushery, Quality Assurance and Tel: (301) 443–0786 5343—South, MFHD—PD, Washington, DC Evaluation Branch, Demographic Statistical Mr. Steve Bartolomei-Hill, Human Service 20250, Tel: (202) 720–1626 Methods Division, Bureau of the Census, Policy, Office of the Assistant Secretary for Ms. Amy Donoghue, USDA—FmHA—PAS, Washington, DC 20233, Tel: (301) 457– Planning and Evaluation, Dept. of Health 3101 Park Center Drive—Room 1130, 1915 and Human Services, Hubert H. Humphrey Alexandria, VA 22302, Tel: (703) 305–2920 Ms. Andrea Meier, Quality Assurance and Bldg., Room 410E, 200 Independence Ms. Jean Whaley, Dept. of Housing and Evaluation Branch, Demographic Statistical Avenue, SW., Washington, DC 20201, Tel: Urban Development, 451 Seventh Street, Methods Division, Bureau of the Census, (202) 690–7148 SW—Room 7267, Washington, DC 20410, Washington, DC 20233, Tel: (301) 457– Ms. Rhoda Davis, Office of Supplemental Tel: (202) 708–1234 1983 Security Income, Dept. of Health and Ms. Jane Karadbil, Dept. of Housing and Mr. Michael McMahon, Field Division, Human Services, Altmeyer Building, 6401 Urban Development, 451 Seventh Avenue, Bureau of the Census, Washington, DC Security Blvd., Baltimore, MD 21235, Tel: SW—Room 8112, Washington, DC 20410, 20233, Tel: (301) 457–4901 Tel: (202) 708–1537 Mr. Chester Bowie, Demographic Surveys (410) 965–6210 Mr. Lafayette Grisby (formerly of), Dept. of Division, Bureau of the Census, Ms. Terry Lewis, Administration on Labor, Room N–5637, 200 Constitution Washington, DC 20233, Tel: (301) 457– Children, Youth, and Families, Avenue, NW., Washington, DC 20210, Tel: 3773 Administration for Children and Families, (202) 535–0677 Mr. Steven Tourkin, Methods, Procedures Dept. of Health and Human Services, Mary Mr. John Heinberg, Dept. of Labor, Room N– and Quality Control Branch, Demographic E. Switzer Bldg., Room 2426, 330 C Street, 5637, 200 Constitution Avenue, NW., Surveys Division, Bureau of the Census, SW., Washington, DC 20201, Tel: (202) Washington, DC 20210, Tel: (202) 535– Washington, DC 20233, Tel: (301) 457– 205–8051 0682 3791 Dr. Joan Turek Brezina, Ph.D., Program Mr. David Lah, Dept. of Labor, Room N–5637, Ms. Jacquie Lawing, Deputy Assistant Systems, Office of the Assistant Secretary 200 Constitution Avenue, NW., Secretary for Economic Development, for Planning and Evaluation, Dept. of Washington, DC 20210, Tel: (202) 535– Department of Housing and Urban Health and Human Services, Hubert H. 0682 Development, 451 Seventh Street, SW, Humphrey Bldg., Room 444F, 200 Mr. Pete Dougherty, Homeless Programs Suite 7204, Washington, DC 20410, Tel: Independence Avenue, SW., Washington, Specialist, Dept. of Veterans Affairs, 801 (202) 708–2070 DC 20201, Tel: (202) 690–6141 Vermont Avenue, NW., Washington, DC Mr. Mark Johnston, Senior Advisor on Mr. Mike Jewell (formerly of), Office of the 20420, Tel: (202) 273–5716 Homelessness, Department of Housing and Assistant Secretary for Planning and Mr. Eric Lindblom (IIIC) (formerly of), Office Urban Development, 451 Seventh Street, Evaluation, Dept. of Health and Human of Mental Health, Dept. of Veterans Affairs, SW, Suite 7274, Washington, DC 20410, Services, Hubert H. Humphrey Bldg— 801 Vermont Avenue, NW., Washington, Tel: (202) 708–5528 Room 447D, 200 Independence Avenue, DC 20420, Tel: (202) 535–7311 Mr. Mike Roanhouse, Office of Special Needs SW., Washington, DC 20201, Tel: (202) Dr. Robert Rosenheck, MD, VA Medical Assistance, Department of Housing and 690–7316 Center, NEPEC—182, 950 Campbell Urban Development, 451 Seventh Street, Ms. Peg Washnitzer, Office of Community Avenue, West Haven, CT 06516, Tel: (203) SW, Suite 7258, Washington, DC 20410, Services, Administration for Children and 937–3850 Tel: (202) 708–1234 Families, Dept. of Health and Human Ms. Cynthia Taeuber, Office of the Deputy Mr. James Hoben, Office of Policy Services, Aerospace Bldg., 7th Floor, 370 Director, Bureau of the Census, Development and Research, Department of L’Enfant Promenade, SW., Washington, DC Washington, DC 20233, Tel: (301) 457– Housing and Urban Development, 451 20447, Tel: (202) 401–2333 4358 Seventh Street, SW, Washington, DC Mr. Richard Chambers, Division of Ms. Annetta Clark, Special Places/Group 20410, Tel: (202) 708–0574 Intergovernmental Affairs, Health Care Quarters Team, Office of the Assistant Mr. Keith Lively, Acting Deputy Assistant Financing Administration, Dept. of Health Division Chief, Population Division, Secretary for Program Systems, Department and Human Services, Hubert H. Humphrey Bureau of the Census, Washington, DC of Health and Human Services, 200 Bldg., Room 410B, 200 Independence 20233, Tel: (301) 457–2378 Independence Avenue, SW., Room 447D, Avenue, SW., Washington, DC 20201, Tel: Ms. Denise Smith, Special Places/Group Washington, DC 20201, Tel: (202) 690– (202) 690–6257 Quarters Team, Office of the Assistant 8774 Ms. Joan Holloway, Health Resources and Division Chief, Population Division, Mr. Gerald Britten (formerly of), Deputy Services Administration, Public Health Bureau of the Census, Washington, DC Assistant Secretary for Program Systems, Services, Dept. of Health and Human 20233, Tel: (301) 457–2378 Department of Health and Human Services, Services, Parklawn Bldg., Room 9–12, 5600 Dr. Charles H. Alexander, Demographic 200 Independence Avenue, SW., Room Fishers Lane, Rockville, MD 20857, Tel: Statistical Methods Division, Bureau of the 447D, Washington, DC 20201, Tel: (202) (301) 443–8134 Census, Washington, DC 20233, Tel: (301) 690–8774 Ms. Marsha A. Martin (formerly of), 457–4290 Ms. Mary Ellen O’Connell, Office of the Executive Director, Interagency Council on Mr. David Hubble, Victimization and Assistant Secretary for Planning and the Homeless, 457 Seventh Street, NW., Expenditure Branch, Demographic Evaluation, 200 Independence Avenue Washington, DC, Tel: (202) 708–1480 44558 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Mr. George Ferguson, Interagency Council on ‘‘HIV’’, ‘‘have AIDS’’, and ‘‘use drugs detailed information about the services the Homeless, 457 Seventh Street, NW., intravenously’’. There is increasing they offer. After conducting the CATI Washington, DC, Tel: (202) 708–1480 concern about the number of homeless interviews, the Census Bureau will mail Ms. Della Hughes, National Network of persons with these conditions. the appropriate questionnaires, Runaway and Youth Services, 1319 F Street, N.W., Suite 401, Washington, DC Information about these, and other NSHAPC Form 100B to 100L, to the 20004, Tel: (202) 783–7949 conditions, is essential when planning providers in sample. Ms. Vera Johnson, SASHA Bruce Center health care services for the homeless. Census Bureau personnel also will contact individuals from federal and Runaway Shelter, 1022 Maryland Avenue, Section 11—Questions 119 c and d and NE., Washington, DC 20002, Tel: (202) state governments, agencies, 675–9340 120 a–c organizations and knowledgeable local As a result of these consultations, all These questions ask about parental persons and ask them to review the lists issues were resolved. neglect and abuse. A great deal of of service providers. The Census Bureau evidence suggest that parental neglect will conduct these operations during 9. Assurance of Confidentiality and abuse asked about in questions October 1995 to January 1996. The provisions of the Privacy Act of 120a–c is implicated in runaway 1974 (5 USC 552a) assure the behavior and youth homelessness. The B. Collection of Information Employing confidentiality of the data from this answers to these questions will reveal Statistical Methods survey. the degree to which the present 1. Universe and Respondent Selection During Phase 2 of the national survey, homeless population has these The Census Bureau will conduct the the field representatives will inform all experiences in their background as national survey in 76 primary sampling service providers and respondents potential contributing factors to their areas. The Census Bureau will interview verbally of the confidentiality of their homelessness. all service providers in the sample areas responses and the voluntary nature of to collect basic information about the the NSHAPC along with other 11. Cost programs offered. This is a total of information required by the Privacy Act The total estimated cost for Phase 1 of 25,000 interviews. The Census Bureau of 1974 at the time of initial contact. As the national survey is $1,950,000. Cost will select a subsample of providers can be seen on the NSHAPC for Phase 1, Steps 1 and 2 is $1,500,000. within those areas and conduct detailed questionnaire cover sheets (Attachment Cost to collect detailed program and mail interviews for the programs and A), a statement of confidentiality service level data (Step 3) is $450,000. services offered by the provider. This is assurance is printed at the top of the We compiled this estimate using a total of 5,000 providers. form. Careful procedures are followed individual estimates developed within Phase 1 of the survey will provide by the Bureau of the Census to assure each Census Bureau division involved information on the types of programs privacy during the interview, and to in this survey. Estimates are based on and services available to homeless protect the confidentiality of materials the size of the sample and the length of people. Phase 2 of the survey will generated during the course of the the questionnaires. Administrative provide estimates and detailed interview. Every Bureau of the Census overheads, design, printing, and mailing characteristics about homeless service employee takes an oath and is subject to costs are included. users, including the literally homeless. a jail sentence and a fine for improperly The total estimated cost for Phase 2 is Most research to date has been disclosing any information that would $2,200,000. The only cost to the service conducted in urban and suburban areas. identify an individual or household. All providers and the service users (clients) For such areas, there is a growing field representatives are trained to is the time it takes to complete the consensus among researchers that a interview respondents in private. All questionnaire. service-based survey design with questionnaires associated with the 12. Estimate of Respondent Burden sampling over time (vs one-time NSHAPC national survey will be kept sampling) will give a good under secured conditions by the Bureau We estimate the average time to representation of the homeless of the Census. complete the NSHAPC–200A, Service User Questionnaire to be 45 minutes. population. For nonmetropolitan areas, 10. Justification for Sensitive Questions These estimates are based on in-house the consensus is that an expansion of The NSHAPC 200(A) questionnaire testing and out-house testing of the the types of service providers is needed has the following sensitive questions: questionnaire by the Census Bureau. to cover the homeless adequately. The This is a total of 2,850 hours. Department of Agriculture asked us to Section 9—Question 94 increase the number of sample areas and Question 94 asks respondents how 13. Reason for Change in Burden the Census Bureau identified ways to they get their food and where they eat. Not Applicable. This is a new survey. design the survey to produce reasonably The field representatives will read the There are, therefore, 0 hours in the precise estimates of rural homelessness. response categories to the respondent. current OMB inventory. However, it should be noted that the One of the possible answers is ‘‘trash procedures for measuring rural 14. Project Schedule cans’’. When planning services to feed homelessness will be less sophisticated the homeless population, it is critical to Beginning on October 1, 1995, the than our procedures in urban areas. understand where they get their food. Census Bureau plans on telephoning all There is much to learn about rural areas We need to know the number of persons service providers within sample areas to and the NSHAPC is an excellent who eat from trash cans. collect basic information about opportunity to collect information about programs offered. After the phone calls rural homelessness. In the Section 10—Question 96 are completed, the Census Bureau will nonmetropolitan areas the sampling Question 96 asks respondents about mail the listings of service providers by frame is the set of Community their medical condition. The field sample area and the NSHAPC—L(2)L Assistance Program (CAP) ‘‘Catchment representatives will read the response letter to providers contacted by Areas’’, wherever they exist. CAP categories to the respondent. Possible telephone. A subsample of providers catchment areas are counties or local responses include ‘‘test positive for will also be asked to provide more areas grouped together to receive Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44559 funding and provide services to the assumptions about coverage and service use each week. Second, it is not needy and are served by a CAP agency. multiplicity biases. reasonable to ask a person for his/her Our preliminary research indicates that The weights for (a) will be standard average shelter use for an entire month, CAP agencies are a good source for lists survey weights based on the selection so the method cannot give direct of services in the nonmetropolitan areas probability, with adjustments for estimates for the total number using they cover. In a few nonmetropolitan nonresponse. There will be a services during a period longer than a areas where CAPs do not exist, the ‘‘multiplicity’’ adjustment to reduce the week. sampling frame is the set of counties or relative weight of people who have Method 3: Capture-recapture. We are groups of counties. more than one chance of selection not using capture-recapture estimation. because they use more than one type of It would require selecting the sample 2. Procedures for Collecting Information program, for example, both shelters and independently each day, so that there Sampled Service Providers soup kitchens, as determined from the would be a chance that a person or questionnaire. small shelter might come into sample The Census Bureau will conduct the For (b) we are considering three numerous times. survey in 76 sample areas; this is the estimation methods. One purpose of the The Urban Institute and the Census first stage of sampling. Within each pretest was to get information to Bureau developed the survey design. As sample area, a comprehensive list of evaluate these methods. part of Joint Statistical Agreements service providers will be developed. All Method 1: The weight will be between the Urban Institute and the providers will furnish basic, core proportional to the number of Census Bureau, the following information on programs offered. Phase consecutive days prior to the interview operational papers were developed. 1 also includes a second stage of (up to 28 days) that the person did not Each are available from the Census sampling where a subset of service use a shelter (for the shelter sample) or Bureau of request. providers will be selected within each soup kitchen (for the soup kitchen sample area to be asked more detailed sample), and likewise for other types of Joint Statistical Agreement 91–30 information about their programs and programs. For example, a person who —Developing a Provider List— services. says this is their first night in any November 27, 1991 Sample of Clients (Service Users) shelter in the last 28 days will be given —Methodological Issues and Options— a weight 28 times the typical weight of November 27, 1991 In Phase 2, a sample of clients will be a person who was in a shelter the night —Options for Evaluating Coverage in selected for interviewing. To facilitate before. (Intuitively, the method assumes Urban Areas—December 10, 1991 the sampling, we are asking providers to that for every person we find who is just —Ranking of Data Items by Federal complete Form NSHAPC **, Roster for entering homelessness, there are 27 Agencies—December 10, 1991 Provider Facility. This form will help others whom we miss because we did ensure all clients at the housing not happen to interview them on their Joint Statistical Agreement 92–01 programs are listed. This is a three-stage first day.) There is a precise —Draft Questionnaire and Agency Data sample, where the first-stage sample mathematical justification for the Needs—March 26, 1992 corresponds to the same 76 geographic method as giving an unbiased estimate —Developing Provider Lists for a areas discussed above for the provider- of the total number of service users National Homeless Survey—March interview sample. In the second stage, a during 28-day periods centered around 26, 1992 sample of providers will be selected in February, making some assumptions —Proposed Methodology for a National each sample area but only in designated that overall patterns of service use are Homeless Survey—March 26, 1992 programs. In the third stage, a sample of fairly constant throughout the month. —Questions for Unduplicating and for the clients at each of the sample This is intended to be our primary Estimating a Month-Long Point provider facilities will be selected. method. The potential drawback of this Prevalence and Annual Prevalence— method would be if the pretest finds too March 26, 1992 Estimation many people who are just starting to use —Developing Estimates of the Number In Phase 1, the estimates needed for services after a long absence, resulting of Service Providers in Different proportions of providers falling in in too many large weights. Limited Strata—April 10, 1992 different categories. research from 1990 census evaluation —Options for Evaluating Survey The estimates needed from Phase 2 projects suggests that this should not be Coverage in Urban Areas, and consist of proportions of clients falling a problem. However, if this turns out to Preliminary in different categories. The base for be a problem we would either use the —Information on Rural Areas—April 10, these proportions can be derived in two Method 2 or use Method 1 with a 7-day 1992 ways: ‘‘window’’ instead of a 28-day Joint Statistical Agreement 92–04 a. Weighted estimates of the average ‘‘window’’. number of persons using services on any Method 2: The weight will be —Mechanics of List Development and given day in February; inversely proportional to the number of Additional Field and Survey b. Weighted estimates of the total days in the last week the client used a Procedures—August 14, 1992 number of persons using services at any shelter (for the shelter sample) or soup —Estimates of Service Providers and time during February. kitchen (for the soup kitchen sample), Users in Non-MSA Areas, and Other estimates can be derived from and likewise for other types of Options for these. For example, the weights applied programs. This is the procedure used in —Evaluating Survey Coverage in These to obtain estimates (a) or (b) could be the 1987 Urban Institute study. We will Areas—August 4, 1992 used for estimates only of those service- ask this question for comparability with 3. Method to Maximize Response using persons who are homeless that survey. This approach has two according to different definitions of disadvantages. First, even if the a. Survey Frame for Client Interviews homelessness. For the national survey, questions are answered accurately, the New research indicates the greatest it is likely that we will give a range of method has a mathematical bias unless improvement in coverage of the estimates, corresponding to different each person has the same pattern of homeless population is through 44560 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices sampling this population over time. ‘‘food wagon’’ will come by. Including use of monetary incentives to increase (e.q., soup kitchens and shelters) and outreach programs in a design as a the cooperation of economically outreach programs during a four-week sampling frame allows one to maintain disadvantaged populations. Two studies period. The NSHAPC survey design the control and efficiency associated using random assignment have carefully uses a service-based methodology. A with sampling service programs and examined the impact of incentives on ‘‘service user’’ is anyone who uses their users, while still reaching the survey cooperation. generic services or shelters, soup ‘‘reachable’’ proportion of the street The first study, by Stuart H. kitchens, or other services for the homeless population. Outreach Kerachsky and Charles D. Mallor (1981), homelsss. The survey frame will include programs are probably the best single examined the use of incentives in shelters, soup kitchens, outreach source of information about the hidden surveys of Job Corps participants and a programs, and possibly other programs. street population and the most cost comparison group. Five thousand eight A ‘‘non-service user’’ is anyone who effective opportunity to make contact hundred people participated in the does not use any of these services. with the street population. Additional study. The survey population consisted According to the 1987 Urban Institute enumeration of street locations and of economically disadvantaged youths study, the shelter frame covers homeless encampments yields little overall aged 16–21 at the beginning of the people who use shelters, which may be coverage improvement when shelters, study. (The survey respondents were 35 to 40 percent of the homeless on any soup kitchens, and outreach programs interviewed 3 times over 18 months). given night, and about 50 percent over are interviewed over time. Survey respondents were offered either the course of a week. If conducted on a The NSHAPC is designed to cover as no incentive or a $5 payment for their one-night basis, the shelters’ sampling much of the literally homeless participation in the 30 minute survey. frame taken by itself will miss many population as possible and still meet the (The 1991 equivalent value of the homeless who use shelters infrequently, cost considerations of the sponsors. incentive payment is approximately homeless service users who do not use From previous research, it appears that $15.) shelters but do use soup kitchens and up to 90 percent coverage of the literally The impact of the monetary other services, and homeless people homeless population is achievable with incentives was determined by who do not use any services. If data the shelter/soup kitchen/outreach comparing the survey response rates collection involves repeated samples programs methodology conducted and other outcomes for the experimental from the same shelters over the course during a winter month. This service- group (the $5 incentive group) to those of a week or a month, a considerably based methodology will be considerably for the control group (the $0 incentive higher proportion of the homeless cheaper and easier than implementing a group). The most notable findings from (perhaps as high as 70 percent) is likely street enumeration to attempt to get the this survey on the effect of respondent to be captured through a methodology last 10 percent. In addition, even if the payments are: based on shelters. resources were committed to achieve • Response rates increased by offering The soup kitchen sampling frame, full coverage, there is no guarantee we a monetary incentive. [More people taken by itself over the course of a week, would get the last 10 percent. will capture a proportion of very poor were located (10 percent) and people residing in conventional b. Incentives to Participate in the Survey completed the survey (5 percent) when Private university researchers, usually an incentive was offered.] dwellings who may turn out to be at • imminent risk of homelessness. with funding from federal grants, have Item nonresponse rates decreased. According to the 1987 Urban Institute conducted past homeless surveys. In the (Fewer ‘‘Don’t Know’’ responses.) • study, 43 percent of soup kitchen users past, researchers have paid respondents The cost per completed interview are not literally homeless. When shelter to participate in a survey, usually about was smaller for the group that was and soup kitchen frames are combined $20. The NSHAPC survey will impose offered an inventive. during the course of a week, the shelter an extra burden on the service providers The second study, by the Educational and soup kitchen frames will probably who are asked to participate in the testing Service (1991), examined the use cover about 70 percent of the literally survey since they will: participate in of monetary incentives in the pilot test homeless and a small but unknown pre-contact meeting(s) with Census of the National Adult Literacy Survey. proportion of the service-using at-risk Bureau regional office staff; provide The sample population of 2,000 population. When data collection covers space at their facility for the Census included a nationally representative a month (as planned for the national Bureau’s field representatives to sample of adults aged 16 and older survey), the coverage will be even interview sample persons on scheduled living in households. The sample greater—perhaps as high as 85–90 days and at scheduled times; and persons completed a 15 minute percent of the literally homeless. administer cash payments to the survey background questionnaire and a timed In many cities, the array of services respondents. The NSHAPC survey also 45 minute test of literacy skills. The for the homeless include one or more will impose an extra burden on the respondents received a monetary outreach programs. These programs may selected sample of homeless persons incentive of $0, $20, or $35 for be operated by a shelter, soup kitchen, because they will be asked to remain at participating in the survey. The impact drop-in center, health care center, the service provider’s facility for an was of the monetary incentives was neighborhood center, or other service interview that may take 45 minutes and determined by comparing the survey facility. Their target population is respond to personal questions. Given response rates and other outcomes for homeless people who do not routinely these circumstances, we feel it is the experimental groups (the $20 and use shelters or soup kitchens. The appropriate to offer a monetary $35 incentive groups) to those for the outreach programs typically distribute incentive of $200 to each service control group (the $0) incentive group). food, and sometimes blankets or warm provider and $10 to each respondent to The most notable findings from this clothing. Outreach teams typically guarantee their cooperation in the survey on the effect of respondent follow a route that covers the known survey. payments are: locations frequented by homeless street While there is no research specifically • Response rates for economically people, or where homeless street people on the effects of paying the homeless, disadvantaged, minority, and high assemble at the time they know the there is a strong research basis for the school dropout populations are Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44561 significantly improved by offering responses. This point is particularly the cooperation of the service providers monetary incentives. relevant, given the personal nature of and respondents. • The use of monetary incentives the NSHAPC questionnaire (i.e., drug (1) Cooperation of Service Providers reduced item nonresponse and data and alcohol use and mental health collection costs. status) and the fact that the NSHAPC Most service providers require (or • Many other studies have been done questionnaire will be administered at prefer) respondents to be compensated and articles written documenting the the service provider facilities. for their participation in the survey. effect of monetary incentives on The first two studies show that the Paying the service providers is also response rates. response rates for economically critical to guarantee their cooperation. • A study by Miller, Kennedy, and disadvantaged populations, which The cooperation of the service providers Bryant (1972) of the 1971 Health and include homeless persons who use is essential for the following reasons: Nutrition Examination Survey showed services, are significantly improved by (a) Providers determine if the that offering a monetary incentive offering monetary incentives. While the voluntary survey will be conducted at increased the response rate from 70 University of Michigan survey only the facility. They also determine percent to 82 percent. dealt with the effects of monetary logistical arrangements for conducting • A study by Chromy and Horvitz incentives on youth, the results not only the interview. (1978) suggests that response rates were show that youth respondents are more (b) Providers must agree to allow found to be unacceptably low when no willing to cooperate when they receive respondents to remain at the facility monetary incentive was used. However, payment but that the parents of the (e.g., after eating) to be interviewed. the participation rate increased from 70 youth also feel that payment is Normally, persons are required to to 85 percent with the use of monetary beneficial in obtaining the respondents’ immediately leave the site once services incentives. participation. The results from this are provided. • A study by Berk, Mathiowetz, survey are noteworthy since the (c) Providers often have significant Ward, and White (1988) discusses how respondents for the NSHAPC will influence with homeless persons monetary incentives improved the include both youth and adults. seeking their services. response rates of adults. No surveys have been conducted with (2) Respondent Cooperation During 1991 and 1992, the University homeless persons to actually compare of Michigan Survey Research Center, the response rates of homeless persons The survey design of the NSHAPC examined the effects of monetary who receive a monetary incentive for requires sampling persons at the facility. incentives on the willingness of youth participation to those homeless persons Paying respondents is critical to ensure to participate in the Youth Risk who do not receive a monetary that designated sample persons remain Behavior Surveillance System (YRBS) incentive for participation. However, at the facility to be interviewed once interview and on their motivation to there have been numerous studies they have used the services offered. answer YRBS questions as accurately conducted dealing with the homeless Without payment, there is little and truthfully as possible. The study population, in which respondents were incentive for respondents to remain on involved focus groups with about 6 to paid. site for an interview that may take 45 8 teenagers (ages 12–19) in each group. In a paper presented at the Fannie minutes and asks personal questions, The focus groups included teenagers Mae Annual Housing conference in such as drug and alcohol use, mental from a range of ages, racial, and ethnic Washington, DC on May 14, 1991, Dr. health status, living conditions, backgrounds and both sexes. In order to Michael Dennis of the Research Triangle victimizations, and imprisonment. assess the impact of monetary Institute presented a chronological In our consultations with outside incentives on respondent participation summary of ten relevant studies on experts in this field, all persons and the motivation group, interviews homelessness completed since 1983. indicated that paying respondents to with both the youth and their parents (See Attachment D for a list of these participate in the survey was critical to occurred. A split sample experiment studies.) In all ten studies, the achieving acceptable response rates. All was conducted during the pretest respondents received payment for experts agree that we should expect interviews in order to more formally participating in the study. In February high nonresponse rates if respondents assess the effect of monetary incentives 1991, the Research Triangle Institute are not compensated for their on respondent participation. The most conducted the Washington, DC participation. notable findings from the YRBS on the Metropolitan Area Drug Study To ensure the cooperation of the effect of respondent payments are: (DC*MADS) and paid participants $10 service providers and the respondents, • Youth who are aware that they will along with offering them coffee, juices, we recommend that a Memorandum of be paid for completing an interview are Pop Tarts, and/or toothbrushes for Understanding (see Attachment E) be more likely to agree to participate (the taking the time to participate in the entered into by the U.S. Bureau of the cooperation rate increased from 79 survey. The Research Triangle Institute Census and the service facility. Under percent to 90 percent because of the also gave a $35 food donation to the this agreement, the Census Bureau will respondent being paid for participating service providers each morning they compensate the service providers for in the survey). sampled at the provider’s facility. In their help. For example, the Census Note: The youth group participants stated October 1991, the Wilder Foundation Bureau will ask the service provider to: that monetary compensation (the youth completed a statewide enumeration of • Participate in pre-contact meeting(s) received $20 for participating in the study) homeless persons in Minnesota. with Census Bureau regional office staff was important to their keeping their Respondents received a $5 cash to make logistical arrangements to appointments to participate in the study. payment for the half-hour interview. conduct the survey. • Youth feel that monetary These past practices of paying • Make space available at the facility compensation increases the seriousness respondents has direct implications on to interview sample persons. with which they approach the task of the NSHAPC survey design and on • Agree to allow the field answering questions and increases the response rates of the NSHAPC. The representatives to conduct interviews on accuracy and truthfulness of their success of the survey is dependent upon scheduled days and at scheduled times 44562 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices according to the statistical sampling 4. Contacts for Statistical Aspects and Dr. Charles H. Alexander, Demographic schemes designed for the NSHAPC. Data Collection Statistical Methods Division, Bureau of the Census, Washington, DC 20233, (301) 457– • Administer cash payments of $10 to The following individuals are being 4290 survey respondents. Administering cash consulted on statistical aspects of the payments this way alleviates safety The Census Bureau will collect the survey design: concerns about placing the field data for this survey. Mr. Steven Tourkin representatives and survey respondents Dr. Martha Burt, The Urban Institute, 2100 M is responsible for the collection of all at risk of crime. Street, NW., Washington, DC 20037, Tel: data and is the Census Bureau contact (202) 857–8551 person for the survey. We believe that the studies Dr. Michael Dennnis, Research Triangle summarized here make a strong case for Institute, Center for Social Research and Mr. Steven C. Tourkin, Demographic Surveys the use of monetary incentives to Policy Analysis, PO Box 12194, Research Division, Bureau of the Census, guarantee the cooperation of the service Triangle Park, NC 27709–2194, Tel: (919) Washington, DC 20233, (301) 457–3791 providers and the respondents. 541–6429 BILLING CODE 4210±62±M Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44563 44564 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44565 44566 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44567 44568 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44569 44570 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44571 44572 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44573 44574 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44575 44576 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44577 44578 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44579 44580 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44581 44582 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44583 44584 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44585 44586 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44587 44588 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44589 44590 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44591 44592 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44593 44594 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44595 44596 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44597 44598 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44599 44600 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44601 44602 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44603 44604 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44605 44606 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44607 44608 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44609 44610 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44611 44612 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44613 44614 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44615 44616 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44617 44618 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44619 44620 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44621 44622 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44623 44624 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44625 44626 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44627 44628 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44629 44630 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44631 [FR Doc. 95–21111 Filed 8–25–95; 8:45 am] BILLING CODE 4210±62±C federal register August 28,1995 Monday Records; FinalRuleandNotice Schedule 20;DispositionofElectronic Electronic MailSystems;GeneralRecords 36 CFRPart1220etal. Administration and Records National Archives Part III 44633 44634 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations NATIONAL ARCHIVES AND RECORDS response to this proposal, particularly about the most appropriate and effective ADMINISTRATION on the part of those who will be affected use of e-mail, and, therefore, to make more immediately by the rule—the maximum use of its potential. Federal Government agencies. Ninety- 36 CFR Parts 1220, 1222, 1228, and Comments and Response 1234 two responses were received, of which 76 were from Federal agencies, 13 from The following are summaries of and RIN 3095±AA58 other organizations, and three from the responses to the major comments that were received. They are listed in Electronic Mail Systems general public. The vast majority of comments from Federal agencies were descending order according to the AGENCY: National Archives and Records critical of the March standards; most of percentage of respondents who Administration. the comments from other organizations addressed each issue. ACTION: Final rule. were supportive. 1. Comment: The March Standards In addition to the specific responses Would Be Too Expensive and SUMMARY: The National Archives and listed below, NARA has made two Burdensome Records Administration (NARA) is overall revisions that will clarify the issuing standards for management of coverage of the regulations and provide Seventy percent of the agencies and Federal records created or received on further guidance. The first of these 60% of all respondents commented that electronic mail (e-mail) systems in these changes is the framework of the implementation of the requirements in amendments to 36 CFR Chapter XII. The standards. The March standards were the March standards would be too standards will affect all Federal written as an appendix to 36 CFR Part expensive and burdensome. Many of the agencies. 1234. As an appendix to the regulations, agencies interpreted the regulations as On March 24, 1994, NARA published the standards were not clearly requiring electronic maintenance of e- a notice of proposed rulemaking on understood because many of the mail records. Most agencies, because standards for the management of e-mail provisions were duplicative of other their current e-mail systems were not records. In response to this notice sections of 36 CFR Subchapter B or were designed to manage records, must NARA received 92 comments out of context. Accordingly, NARA now maintain their e-mail records on paper (comprising approximately 1500 pages) has revised various sections of 36 CFR and file them with other records. Few covering a wide range of issues from Subchapter B to incorporate the records agencies currently have the technical Federal agencies, private organizations, management standards for e-mail. capability or recordkeeping need to and interested individuals. NARA has Incorporating the provisions concerning maintain e-mail records electronically revised its proposal to reflect many of e-mail in the appropriate sections will for their full retention period. Most of the comments received and to clarify clarify coverage and accomplish the the agencies that responded stated and focus the standards. The standards critical goal of placing e-mail in context clearly that their systems do not have now being issued are framed in with the creation, maintenance, and the capacity to maintain their e-mail regulatory language, rather than as an disposition of records in all media. electronically and that it would require appendix to 36 CFR Part 1234 as The second overall change NARA has unreasonable time and expense to formerly proposed. The final rule places made is to better focus the final modify or replace their systems. The e-mail into its proper context in the regulations by eliminating references burden would be particularly great appropriate parts of 36 CFR Chapter XII, that were in the March standards to because current off-the-shelf software including specifically creation and future e-mail systems, advantages of products do not provide full records maintenance of records, regardless of electronic recordkeeping, and other management functionality. Many media. non-regulatory matters. These important agencies indicated that they are considering the benefits of electronic EFFECTIVE DATE: September 27, 1995. considerations are more appropriately addressed by NARA, in consultation recordkeeping and plan to adopt it in FOR FURTHER INFORMATION CONTACT: with other agencies and organizations, the future, particularly when off-the- James J. Hastings, Director, Records in separate guidance rather than in shelf software products are available. Appraisal and Disposition Division, regulations. NARA will issue bulletins They objected strongly, however, to a National Archives at College Park (NIR), and publications concerning the regulatory requirement to do so. 8601 Adelphi Road, College Park, MD application of the Federal Records Act Response: While the proposed 20740–6001, or by telephone on 301– to the modern office environment. standards encouraged agencies to 713–7110 ext. 274. These issuances will address electronic consider the benefits of electronic A complete set of the responses to the recordkeeping requirements and other recordkeeping, neither the standards nor notice of proposed rulemaking that was matters relating to the effect of office the Federal Records Act require published on March 24, 1994, is automation on records management. electronic recordkeeping. NARA available for public inspection at the NARA will continue to issue guidance, recognizes that agency e-mail systems address listed above. working with agencies and have different characteristics and that SUPPLEMENTARY INFORMATION: representatives of the computer agencies have varying recordkeeping industry, to assist agencies to adapt requirements and procedures. Background their recordkeeping requirements to the Accordingly, the final standards have Because nearly all Federal agencies rapid developments in information been revised to clarify that they apply now use e-mail to transact Government technology. to e-mail messages that meet the business, there is the need for The revised framework and the definition of record in the Federal Government-wide standards on improved focus of the standards will Records Act, regardless of the media on managing e-mail records. NARA clarify their purpose—to define which they are preserved, and to published a Notice of Proposed requirements for proper identification provide realistic requirements that Rulemaking on standards for managing and preservation of Federal records agencies can meet immediately. As e-mail records on March 24, 1994 created or received on e-mail systems. indicated above, guidance that is to be (hereafter referred to as the March The regulations and guidance will issued by NARA will address how standards). There was significant allow agency officials to make decisions agencies can use electronic Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44635 recordkeeping to meet their duplicates of messages. Agencies materials that must be evaluated to recordkeeping requirements and will requested NARA to clarify what determine their record status. describe the advantages of automated constitutes the record copy. The purpose of including the records management. Furthermore, the language and provisions on drafts in the March Other areas that agencies considered examples that were used in the standards was to highlight the point that too costly and burdensome concerned proposed standards would result in all e-mail systems are often used to training and monitoring the proper but the most ephemeral messages being circulate draft documents and, as management of e-mail records. For a considered records. Many of the specified in 36 CFR 1222.34, drafts may summary and response to these agencies also expressed concern about meet the definition of Federal record. comments, see #11, below. the treatment of drafts in the proposed The preservation of drafts, including Many agencies observed that standards. They commented that the those circulated on e-mail systems, implementing the proposed standards March standards exaggerated the could be necessary for an agency to would be so burdensome that it would importance of drafts. meet its recordkeeping requirements. violate the spirit and intent of the Response: NARA believes the final Draft documents or working papers that President’s National Performance standards now being issued will put e- propose or evaluate high-level policies Review initiative to streamline mail into its proper context and provide or decisions and provide unique Government and reduce regulations. E- for preservation of only those messages information that contributes to the mail affords the opportunity for very that are required for agencies to fulfill understanding of major decisions of the efficient communications within their obligation under the law for agency should be preserved as Federal agencies, with other organizations, and adequate and proper documentation of records. Agencies should apply the with the citizenry as a whole. The agency organization, functions, policies, same criteria specified in 36 CFR burden of implementing the standards decisions, procedures, and essential 1222.34 to drafts that are circulated on as proposed would make e-mail more transactions. Agencies have long been e-mail systems as they apply to drafts cumbersome and would place obstacles required to have in place recordkeeping circulated by other means. The final in the way of a streamlined requirements that specify what records regulations now being issued continue Government. are to be created and how they are to be to stress that drafts and other working NARA recognizes that e-mail has a preserved. By placing the e-mail papers that are circulated on e-mail major role in the efficiency of provisions in context with the overall systems may be records. The provision communications; widespread and easy requirements agencies already have for for this has been placed in 36 CFR use of e-mail has made it an important appropriate creation, maintenance, and 1234.24, in the context of an agency’s tool for the conduct of Government disposition of Federal records, NARA overall responsibility for managing business. Accordingly, agencies should has stressed the importance of electronic mail records. ensure that e-mail messages that recordkeeping requirements regardless 3. Comment: Further NARA Guidance is document their policies, programs, and of media and, at the same time, Needed functions are appropriately preserved. reinforced the need to consider e-mail Therefore, agencies must put into place as an important tool for records creation Almost one half of the Federal policies and procedures that ensure that and receipt. E-mail records are no more agencies indicated in their comments e-mail records are identified and and no less important than other that more overall guidance is needed preserved. The final standards now records. Agency personnel must apply from NARA before they could meet the being issued afford discretion as to how the same decision-making process to e- broader requirements they believed the agencies will fulfill this responsibility mail that they apply to other March standards implied. In addition, but do not allow agencies the discretion documentary materials regardless of the many agencies requested that NARA as to whether they will accomplish it. If media used to create them. Proper work with agencies and vendors to help agencies are creating or receiving e-mail implementation of these regulations will develop off-the-shelf software that will messages that meet the definition of result in thorough documentation of accomplish the goals of electronic records in the Federal Records Act, and agency activities. recordkeeping, encryption and most agencies that commented agreed The provision in the March standards authentication functions, and other that they are, then they must have a concerning multiple copies of messages specific features that will be required program in place that preserves these potentially being records was simply a when agencies convert from paper to records for the appropriate period of restatement of long-established NARA electronic recordkeeping. time. policy. The policy is that multiple Response: As indicated previously, copies of the same document may meet NARA agrees that there is a need for 2. Comment: Clarification Needed the definition of records if each of them work in these areas and it has a major Between Record and Nonrecord E-mail is used to transact agency business. responsibility in the development of Nearly 45% of the Federal agencies Copies that have such record status are this guidance. The regulations, however, and more than 40% of the non-Federal usually filed in different recordkeeping must be limited to basic requirements; respondents expressed concerns about systems and are used for different other issuances will provide guidance making the distinction between record purposes. Not all copies, therefore, that explains the requirements and will and nonrecord e-mail. Most indicated would necessarily be considered offer suggestions for compliance. Future that under the March standards too records. This provision was included in guidance from NARA, including a many e-mail messages would be the March standards to ensure that revision of the ‘‘Managing Electronic determined to be records, thus clogging agencies understood that it applied to e- Records’’ handbook, will address the system with unimportant messages. mail just as it has applied for many electronic recordkeeping requirements Of particular concern was the paragraph years to records in other formats. The in the office automation environment, that stated that all copies of e-mail final regulations continue to have a and provide guidance for the messages must be evaluated as to provision concerning multiple copies. It identification of e-mail records and whether they are records or not. is now placed in 36 CFR 1222.34, other information that will prove useful Respondents believe that this would Identifying Federal Records, so it will be to agencies as they progress to more lead to needless retention of many in context with other categories of sophisticated technologies. 44636 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations One specific area of confusion has pertaining to e-mail. These requirements Some agencies and professional been addressed in these regulations. provide simple instructions for staff to organizations expressed the concern Agencies expressed concern about the follow about what materials may be that the emphasis on e-mail was difference between electronic records created on e-mail systems and the misplaced because it focused on only systems and electronic recordkeeping categories that may constitute Federal one type of record and not on the larger systems. To clarify the distinction, the records. There is no indication that issue of whether agency policies, term ‘‘electronic records system’’ has these instructions have had a chilling functions, transactions, and decisions been changed to ‘‘electronic information effect on the use of e-mail. Agencies that are being properly documented, as system’’ in 36 CFR 1234.2. The term lack guidance, however, may not be required by law and regulation. They ‘‘electronic information system’’ is more creating and preserving adequate suggested that NARA attend to its inclusive than ‘‘electronic records and may not be taking responsibility to direct agencies on recordkeeping system’’ and would advantage of the full benefits of e-mail. creation and maintenance of records include any automated system that Clear guidance will allow agency staff to documenting their activities and give contains and provides access to data make decisions about the most agencies the discretion on how to whether or not it provides records appropriate and effective use of e-mail, accomplish that goal. management functions; the term and, therefore, make maximum use of Response: NARA understands that the ‘‘electronic recordkeeping system’’ is its potential. lengthy standards proposed in March limited to those electronic information The final standards now being issued could lead to the conclusion that e-mail systems that are designed to organize, put the obligation to identify e-mail is more important than other records. As categorize, and otherwise control the records in the context of 36 CFR Part indicated above, the final standards now creation, maintenance, and disposition 1222 Creation and Maintenance of being issued will put e-mail in the of records. The definitions of electronic Federal Records, which provides proper context with all other records recordkeeping system and electronic instructions on creation and and, therefore, respond to the concerns information system have been added to maintenance of records in all media. of those who objected to an over- the regulations to clarify this distinction This context should reassure those emphasis on e-mail. NARA also agrees (See 36 CFR 1234.2). Most e-mail agencies who feared that the standards that more emphasis should be placed on systems currently in use are not would inhibit use because the recordkeeping requirements to ensure designed for the preservation, use, and requirements are the same for records in that proper records are created and appropriate disposition of records so all media. If e-mail is used for records maintained. If agencies fail to create and they are electronic information systems, creation or receipt, 36 CFR Part 1222 maintain on another format full not electronic recordkeeping systems. applies. documentation of their policies and See 36 CFR 1234.24 (b)(2) for activities under clear and specific 5. Comment: The Proposed Standards instructions to agencies for preserving e- recordkeeping requirements, e-mail Overly Emphasized the Importance of E- mail records in recordkeeping systems. could assume an inflated importance. mail 4. Comment: The March Standards Agencies have the opportunity and Would Have a Chilling Effect on the Use More than 30% of the Federal responsibility to put e-mail in its proper of E-mail agencies said that the March standards context by issuing, where they are Approximately 40% of the Federal overly emphasized e-mail because of the lacking, recordkeeping requirements agency respondents expressed concerns extraordinarily detailed and stringent that clearly state what records are to be that implementing NARA’s proposed requirements for managing e-mail created and maintained and on what standards would bring about a chilling compared to other records. Agencies medium. The standards on e-mail now effect that would limit the use and expressed the concern that such lengthy being issued should be used by agencies usefulness of e-mail systems. Some felt standards for e-mail inflated the value of as they develop or revise their own that monitoring individual mailboxes e-mail. They stressed that e-mail is a recordkeeping requirements. delivery system only and the value would be unnecessarily invasive and far 6. Comment: The March Standards are comes from the content of the message beyond what is done with paper or Confusing and Poorly Worded records in other media. Others indicated and not the mechanism used to send it. that the informal nature of e-mail Many of the agencies pointed out that More than 30% of the respondents, messages is the main attraction of the regulations for paper records do not primarily Federal agencies, said that the system and NARA’s proposed standards reach the same level of detail, which proposed standards were unclear, would inappropriately formalize the they consider unnecessary. The level of inconsistent, or redundant. These communications and, in this way, control that would be required for e- comments concerned most sections of inhibit use. Still others commented that mail would impose costly and the March standards, including the the obligation placed on users to burdensome measures regardless of the guidance on drafts, scheduling, copies, consider the record status of every relative importance of the messages. recordkeeping systems, definition of message and to take appropriate actions A major subset of the comments in the records, calendars, preserved records, to preserve those that have been category of misplaced emphasis transmission and receipt data, backups, determined to be records would place advocated that NARA place e-mail in nonrecord materials, appropriate for unreasonable burdens on staff, would context with other electronic records preservation, monitoring, and reduce productivity, and would destroy rather than singling e-mail out for permanent and temporary records. rapid communication, the most special treatment. These agencies Response: The final standards have important feature of e-mail. stressed the importance of managing all been revised to eliminate redundancy Response: The majority of the categories of electronic records and and, as noted above, will put the agencies in their comments agreed that suggested that the strong emphasis on e- requirements for e-mail in the context of Federal records are being created on mail in the proposed standards diverted overall records management their e-mail systems. Because of this, a attention from the overall goal of responsibilities. These changes were number of agencies already have in agencies to properly manage records in made in response to the requests to place records management requirements all media. clarify and focus the standards. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44637 7. Comment: There is a Need for a with e-mail records should be the same 10. Comment: The Provisions Schedule for Implementation of the as apply to paper records. Concerning Backups are Confusing March Standards Response: The standards now being The March standards included a issued include fundamentally the same section on the suitability of backup Approximately 30% of the Federal language on transmission and receipt agencies expressed very serious tapes for use as a recordkeeping system. data as was proposed in the March Several agencies found the discussion of concerns about the schedule for standards. E-mail records must identify implementation of the March standards. system and security backups to be who sent and received the message and confusing and the distinction between These concerns were mainly based in the date. Otherwise, their usefulness as the belief that NARA was imposing the two irrelevant. Some also indicated records will be greatly diminished that the proposal could lead to electronic maintenance of e-mail because the context will not be records, which would require expensive changes to backup understood. The body of the text has procedures. expenditure of millions of dollars in little value if the reader does not know some agencies to purchase the hardware Response: The purpose of addressing who was involved in the backups in the standards was to stress and software required to appropriately communication and when it occurred. maintain e-mail records electronically. that backups are not suitable Agencies must take reasonable measures recordkeeping systems. Their purpose is The level of expense is significantly to preserve transmission data with their increased by the fact that, as agencies for recovery of data or systems in case current electronic information systems of loss; their purpose is not efficient pointed out, off-the-shelf products that and they should ensure that any new meet the requirements for electronic preservation, use, retrieval, and electronic information systems disposition of active records. Since this recordkeeping are not yet available. automatically include adequate Accordingly, many agencies said that issue is part of the overall consideration transmission data on a paper printout, of requirements for electronic they would need several years to and, where electronic recordkeeping is implement the proposed standards. recordkeeping systems, guidance on used, that they preserve transmission backups will be included in the future Response: As indicated in the March data electronically. Agencies that are revision of ‘‘Managing Electronic standards, NARA recognizes that the concerned about preserving receipt data Records’’ and/or other guidance from variety of automated systems in Federal should note that the revised standards NARA. Therefore, only one reference agencies have different characteristics direct agencies that have an electronic has been included in the standards and agencies have differing mail system with a receipt feature to pertaining to backups, and it has been recordkeeping requirements. Agencies issue instructions to staff on when to placed in a paragraph concerning must determine whether their needs request receipts and how to preserve appropriate recordkeeping systems (36 require electronic recordkeeping (rather them. If systems do not have this feature CFR 1234.24(c)). than paper recordkeeping) and, if so, or if it is impossible for agencies to when to implement it. The essential preserve receipts, users should be 11. Comment: The Training and point remains, however, that Federal instructed accordingly. The language on Monitoring Provisions are Unrealistic agencies are obliged to identify and receipt data provides discretion to Twenty Federal agencies reacted to preserve their e-mail records. This agencies on when such information the provisions in the March standards obligation originates in the Federal should be requested. Only if it is needed that called for training all staff members Records Act, not in NARA standards. for recordkeeping purposes should it be on identification, maintenance, and The final standards are intended to preserved with the record. disposition of e-mail records. Some amplify the statute and improve the 9. Comment: The Proposed Standards agencies expressed the concern that it is current regulations by focusing more on unrealistic to expect records managers how agencies can fulfill their Do Not Address Privacy/FOIA Considerations to train all agency employees or monitor responsibility to preserve their records staff determinations of the record status appropriately. Twenty-two agencies (nearly 30%) of every e-mail message. They indicated 8. Comment: There are Difficulties believe that the March standards had that it is impossible to ensure the Related to the Preservation of Privacy and Freedom of Information Act effectiveness of the standards because of Transmission and Receipt Data implications. They suggested that staff the huge number of users of e-mail and members have the expectation of the responsibility that individual users A key component of an e-mail privacy or confidentiality when they must have for determining which message is the information about who send messages, and this would be messages are Federal records. Many sent it, who received it, and the date. violated if the messages were preserved were particularly concerned about the Approximately 30% of the Federal as records and released to the public. cost of monitoring, which several agencies expressed concern about Response: Agencies must determine agencies estimated would require one whether their systems could capture what constitutes appropriate use of e- records manager for every 100 agency and preserve transmission and receipt mail systems by staff members and what employees. No agency can afford to data with the record and whether their expectations of privacy may be have a staff of hundreds of records systems had the capacity to store it. assumed. This is not a NARA policy managers monitoring e-mail Some agencies said their systems do not determination. For this reason, the determinations. All respondents who provide the full name of individuals so standards now being issued have not addressed this issue highlighted its users will have to annotate the message been changed to reflect the Privacy/ excessive and unrealistic expectations. to ensure that all necessary information FOIA comments of agencies. Some of Agencies did not entirely object to any is preserved. Agencies stressed that they the comments suggest a training and monitoring; they recognize should have discretion in determining misunderstanding of the distinction that they have the responsibility to carry what information is necessary for them between personal materials and Federal out both of these responsibilities. They to preserve as an adequate record; they records. For guidance in this area, see objected, however, to what they believe that the requirements for NARA’s management guide, ‘‘Personal concluded are the excessively preserving transmission and receipt data Papers of Executive Branch Officials.’’ burdensome and unrealistically detailed 44638 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations requirements specified in the March used to force agencies to do the that for its own recordkeeping needs it standards. impossible nor can these interests must have a record available of the Response: NARA agrees that training dictate to agencies how they should names of individuals who have received and monitoring of e-mail determinations preserve their records for their own use. records. The information could consist must be reasonable and within the Agencies must create and maintain of staff rosters maintained in a administrative and fiscal capabilities of records to conduct Government personnel office, electronic lists the agencies. Monitoring of record status business and account for their activities. maintained in ADP offices, or lists that determinations is an essential part of Only the agency can determine what are automatically attached to the e-mail periodic overall reviews of the format best serves these purposes. Some records. As with other format issues, implementation of an agency’s records agencies, or components of agencies, NARA is not dictating how the lists are management program. A specific may determine that paper recordkeeping to be maintained. reference to monitoring record status will continue to be adequate and cost- determinations of e-mail messages has effective for the documentation of their 14. Comment: The Standards are Not been added to place this responsibility transactions. In addition, it is clear from Necessary in its proper context within 36 CFR the agency responses that the lack of 1220.42, Agency internal evaluations. commercial off-the-shelf technology and The agencies that stated that the The same approach has been taken for the expense of custom developed proposed standards were not needed training requirements. 36 CFR 1222.20 solutions make electronic preservation indicated that the existing law and previously required agencies to train of all e-mail records of the volume regulations already require preservation agency personnel on recordkeeping produced by the Federal Government of records, regardless of format. Some requirements and identification of impossible at the present time. For indicated that the need was for more records. This part now includes an many agencies to fulfill their guidance on specific issues such as amended sentence that stresses that responsibilities immediately under the functional requirements and adequacy training must pertain to all materials, Federal Records Act they must print of documentation. regardless of media. Again, this puts their e-mail records because no Response: NARA agrees that the training for e-mail in the context of alternative currently exists. The final current law and regulations apply to e- existing responsibility. Agencies will be standards are designed to clarify this mail. The standards, however, are able to fulfill their responsibility to point. NARA guidance documents that intended to highlight agency ensure proper management of e-mail are being issued will assist agencies as responsibilities as they use this records without significant additional they consider making the transition relatively new technology for creation burdens or expense if they include e- from paper to electronic preservation. and receipt of records. The final rule mail training and reviews as part of Meanwhile, agencies cannot wait until provides the necessary context to their ongoing programs. they have the technology to preserve underscore these responsibilities. In their records electronically to apply 12. Comment: NARA Cannot Impose addition, as previously indicated, future these records management standards to Upon Agencies the Format on Which guidance will respond to the requests They Preserve Their Records their electronic records. E-mail records must be preserved in accordance with for assistance from NARA in the other The agency concerns about format the provisions of the law and the areas. centered on the expense and burden of capabilities of the agencies. Format 15. Comment: The Coverage of maintaining e-mail electronically. As concerns must not divert the agencies Calendars in E-mail Standards is indicated in comment number one, from this essential requirement. Misleading above, they strongly stated that they are 13. Comment: There are Difficulties not in the position to preserve their e- Numerous agencies and other Concerning the Maintenance of mail electronically, and NARA should respondents expressed concern about Distribution Lists not impose this on them. Some the provisions in the March standards respondents representing researchers Maintaining the names of staff on calendars. Some agencies indicated advocated that e-mail should be members on distribution lists presents that their calendars were not part of preserved in electronic format because numerous technical and administrative their e-mail system. Others indicated of the electronic format’s enhanced use. problems, according to the agencies. that their calendars were not shared. A Response: NARA concurs with both of The dynamic nature and significant public respondent advocated that NARA these seemingly contradictory positions. length of distribution lists make their provide specific guidance to agencies Electronic records that are appraised as preservation problematic for agencies. about identifying and managing permanent in schedules approved by Response: Transmission data is electronic calendars that are records. NARA that are preserved in an necessary to understand the context of electronic format will have enhanced records in any media. Because in some Response: Some confusion has usefulness for future research. This cases e-mail is sent to individuals who resulted from including instructions on enhancement will accrue only if the are only identified on a distribution list, calendars in proposed standards on e- records are preserved in an electronic information page, or other screen that mail. While some e-mail systems recordkeeping system with records shows the names of individuals who include calendars, providing extensive management functionality that allows received messages, agencies should instructions on calendars in regulations for sorting, retrieving, and manipulating make reasonable attempts to have this governing e-mail was misunderstood by the records. This enhancement could information available for the same some. The final regulations continue to also be advantageous for agencies while amount of time as the record itself is stress that calendars on e-mail systems, the records remain in their custody, and retained. Those agencies that have just as calendars on other media, may be NARA encourages agencies to consider limited technical capabilities to records and, if so, General Records the benefits of electronic recordkeeping preserve distribution lists are not Schedule 23 applies. As noted in GRS systems with full records management required to preserve them with each 23, Federal records of high-level capabilities. However, the prospective specific record. The purpose of this officials must be specifically scheduled interests of future researchers cannot be provision is to make the agency realize to allow NARA appraisal. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44639 16. Comment: Other Revisions or be the best means to preserve the As required by the Regulatory Clarifications are Necessary content, structure, and context of Flexibility Act, it is hereby certified that Many other comments requested electronic records. In addition, an this rule will not have a significant clarification or revision of the March automated system may be more easily impact on small entities. searched and manipulated than paper standards. There were numerous List of subjects in 36 CFR parts 1220, records. The electronic format may also suggestions for alternative language and allow simultaneous use by multiple staff 1222, 1228, and 1234 questions on adequacy of members and may provide a more documentation, external systems, Archives and records; Computer efficient method to store records. conflicts with existing laws and technology. Furthermore, when they are no longer authorities, and the security of systems. needed by the creating agency, access by For the reasons set forth in the Response: NARA revised the future researchers to permanently preamble, 36 CFR Chapter XII of the standards to reflect many of these valuable electronic records would be Code of Federal Regulations is amended comments, as explained above. Many of enhanced by electronic preservation. as follows: the other concerns are addressed in the NARA will work closely with agencies NARA guidance publications that will SUBCHAPTER BÐRECORDS as they pursue the next phase of office MANAGEMENT be issued. automation—comprehensive automated 17. Comment: Concur with the Proposed records management. PART 1220ÐFEDERAL RECORDS; To assist in the process of Standards GENERAL determining records status, NARA A few agencies and several recommends that when agencies representatives of the research 1. The authority for part 1220 consider acquiring automated records continues to read as follows: community indicated their concurrence management systems they include a with the March standards. They feature that helps users identify records. Authority: 44 U.S.C. 2104(a) and chs. 29 believed that the standards were timely For example, agencies may want their and 33. and necessary for the preservation of systems to allow users to tag documents 2. Section 1220.14 is amended by important e-mail records. as record or nonrecord material. removing the definition for Response: NARA believes that the Another option would be to install an ‘‘Information system’’ and adding the final regulations continue to reflect the automated records management system following definition in alphabetical intent and spirit of the March standards that analyzes the contents of a message order: that these respondents endorsed. according to specified rules in order to Compliance with the regulations set prompt the user with a suggested § 1220.14 General definitions. forth in this rule will result in the categorization. * * * * * identification and preservation of e-mail As agencies consider automated Recordkeeping system is a manual or messages that constitute Federal records management of their office automated system in which records are records. Those that are appraised as automation records they should include collected, organized, and categorized to permanent will be available in the in their deliberations the following facilitate their preservation, retrieval, future for historians and others who broad functional requirements for use, and disposition. have expressed their interest and recordkeeping systems: * * * * * concern. Agencies will better 1. Recordkeeping systems must allow understand their responsibilities under for the grouping of related records, to 3. Section 1220.42 is revised to read: the final standards. Consequently, these ensure their proper context. § 1220.42 Agency internal evaluations. standards will result in the preservation 2. Recordkeeping systems must make of messages that are Federal records and records accessible to authorized staff, to Each agency shall periodically should continue to meet with the ensure their usefulness to the agency. evaluate its records management approval of those who concurred with 3. Recordkeeping systems must programs relating to records creation the March standards. preserve records for their authorized and recordkeeping requirements, maintenance and use of records, and Conclusion retention period, to ensure their availability for agency use, to preserve records disposition. These evaluations Federal agencies are using office the rights of the Government and shall include periodic monitoring of automation to conduct significant citizens, and to allow agencies to be staff determinations of the record status activities. This challenges the agencies held accountable for their actions. of documentary materials, including and NARA to ensure that records of the When agencies take the next step in electronic mail, and implementation of Federal government that are created office automation, they should do so these decisions. These evaluations through office automation are identified with the assurance that their records should determine compliance with and appropriately preserved. NARA will will be appropriately preserved and NARA regulations in subchapter B of continue to work with agencies to accessible. NARA and the agencies will this chapter and assess the effectiveness develop policies and practices that work together to ensure that of the agency’s records management ensure the preservation of the content, recordkeeping policies and programs for program. context, and structure of records that are records that are produced through office produced through office automation. automation serve the needs of the PART 1222ÐCREATION AND As agencies become more and more agencies and the needs of future MAINTENANCE OF FEDERAL accustomed to conducting their researchers. RECORDS business electronically, they may find This rule is contained in NARA’s 4. The title of part 1222 is revised to that automated records management Regulatory Plan and is a significant read as set forth above. provides a number of advantages that regulatory action for purposes of assists them in accomplishing their Executive Order 12866 of September 30, 5. The authority citation for part 1222 mission more efficiently and effectively. 1993. As such, it has been reviewed by continues to read: Electronic recordkeeping systems may the Office of Management and Budget. Authority: 44 U.S.C. 2904, 3101, and 3102. 44640 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 6. Section 1222.20 is amended by document is a record does not depend adequacy; audit a representative sample revising paragraphs (b)(1) and (b)(5) to upon whether it contains unique of its paper, audiovisual, electronic, read as follows: information. Multiple copies of the cartographic, and architectural files for same document and documents duplication, misclassification, or § 1222.20 Agency responsibilities. containing duplicative information, misfiles; * * * * * including messages created or received * * * * * (b) * * * on electronic mail systems, may each (1) Assign to one or more offices of (8) Establish and implement have record status depending on how procedures for maintaining records and the agency the responsibility for the they are used to transact agency development and implementation of nonrecord materials separately; ensure business. See paragraph (f)(2) of this that record materials generated agency-wide programs to identify, section concerning the nonrecord status develop, issue, and periodically review electronically are clearly identified as of extra copies. recordkeeping requirements for records records and protected from (e) Electronic mail messages. unauthorized change or deletion for the for all agency activities at all levels and Messages created or received on locations in all media including paper, length of their scheduled retention electronic mail systems may meet the period; and microform, audiovisual, cartographic, definition of record in 44 USC 3301. and electronic (including those created * * * * * or received using electronic mail); * * * * * (g) Agency responsibilities. Agencies PART 1228ÐDISPOSITION OF * * * * * shall take appropriate action to ensure FEDERAL RECORDS (5) Ensure that adequate training is that all staff are capable of identifying provided to all agency personnel on Federal records. For electronic mail 11. The authority citation for part policies, responsibilities, and systems, agencies shall ensure that all 1228 is revised to read as follows: techniques for the implementation of staff are informed of the potential record Authority: 44 U.S.C. chs. 21, 29, and 33. recordkeeping requirements and the status of messages, transmittal and distinction between records and 12. Section 1228.1 is amended by receipt data, directories, and nonrecord materials, regardless of adding new paragraph (e) as follows: distribution lists. media, including those materials created 10. In § 1222.50 paragraph (a) and § 1228.1 Scope of part. by individuals using computers to send paragraph (b)(2) are revised; paragraphs or receive electronic mail. * * * * * (b)(3) through (b)(8) are redesignated as (e) The material was created or * * * * * paragraphs (b)(4) through (b)(9); newly received on an electronic mail system Subpart CÐStandards for Agency redesignated paragraphs (b)(4), (b)(6), and it meets the definition of record. For Recordkeeping Requirements and (b)(8) are revised; and new specific instructions on the disposition paragraph (b)(3) is added to read as of records created or received on 7. In § 1222.30 paragraph (b) is follows: electronic mail systems, see 36 CFR revised to read: 1234.32. § 1222.50 Records maintenance. § 1222.30 Purpose. (a) Agencies shall prescribe an PART 1234ÐELECTRONIC RECORDS * * * * * appropriate records maintenance MANAGEMENT (b) Although many agencies regularly program so that complete records are issue recordkeeping requirements for filed or otherwise identified and Subpart AÐGeneral routine operations, many do not preserved, records can be found when 13. The authority citation for part adequately specify such requirements needed, the identification and retention 1234 continues to read: for documenting policies and decisions, of permanent records are facilitated, and Authority: 44 U.S.C. 2904, 3101, 3102, and nor do they provide sufficient guidance permanent and temporary records are 3105. on distinguishing between records and physically segregated or, for electronic 14. Section 1234.1 is revised to read nonrecord materials, and maintaining records, segregable. as follows: records created or received on electronic (b) * * * mail systems. * * * * * § 1234.1 Scope of part. 8. In § 1222.32, the introductory text (2) Formally specify official file This part establishes the basic is revised to read as follows: locations for records in all media and requirements related to the creation, § 1222.32 General requirements. prohibit the maintenance of records at maintenance, use, and disposition of Agencies shall identify, develop, unauthorized locations; electronic records. Electronic records issue, and periodically review their (3) Formally specify which officials include numeric, graphic, and text recordkeeping requirements for all are responsible for maintenance and information, which may be recorded on agency operations and for records in all disposition of electronic records and any medium capable of being read by a media, including those records created which computer systems are used for computer and which satisfies the or received on electronic mail systems. recordkeeping; definition of a record. This includes, but Recordkeeping requirements shall: (4) Standardize reference service is not limited to, magnetic media, such procedures to facilitate the finding, as tapes and disks, and optical disks. * * * * * charging out, and refiling of paper, 9. In § 1222.34, paragraph (d) is Unless otherwise noted, these audiovisual, and cartographic and redesignated as paragraph (f), and new requirements apply to all electronic architectural records, and to ensure that paragraphs (d), (e), and (g) are added to information systems, whether on reference to electronic records read as follows: microcomputers, minicomputers, or minimizes the risk of unauthorized main-frame computers, regardless of § 1222.34 Identifying Federal records. additions, deletions, or alterations; storage media, in network or stand- * * * * * * * * * * alone configurations. This part also (d) Record status of copies. The (6) Review its records maintenance covers creation, maintenance and use, determination as to whether a particular program periodically to determine its and disposition of Federal records Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44641 created by individuals using electronic systems on recordkeeping requirements, issue instructions to e-mail users mail applications. the distinction between Federal records specifying when to request such receipts 15. Section 1234.2 is amended by and nonrecord materials, procedures for or acknowledgments for recordkeeping removing the definitions for ‘‘electronic designating Federal records, and moving purposes and how to preserve them. records system’’ and ‘‘information or copying records for inclusion in an (4) Agencies with access to external system’’ and adding the following agency recordkeeping system; electronic mail systems shall ensure that definitions in alphabetical order: * * * * * Federal records sent or received on these systems are preserved in the § 1234.2 Definitions. Subpart CÐStandards for the Creation, appropriate recordkeeping system and * * * * * Use, Preservation, and Disposition of that reasonable steps are taken to Electronic information system. A Electronic Records capture available transmission and system that contains and provides receipt data needed by the agency for §§ 1234.20 and 1234.22 [Amended] access to computerized Federal records recordkeeping purposes. and other information. 17. In § 1234.20 (a) and (b) the term (5) Some e-mail systems provide Electronic mail system. A computer ‘‘electronic records system’’ is removed calendars and task lists for users. These application used to create, receive, and , and the term ‘‘electronic information may meet the definition of Federal transmit messages and other documents. system’’ is added in its place, and in record. Calendars that meet the Excluded from this definition are file § 1234.22 (a) and (b) the term definition of Federal records are to be transfer utilities (software that transmits ‘‘electronic records system’’ is removed, managed in accordance with the files between users but does not retain and the term ‘‘electronic recordkeeping provisions of General Records Schedule any transmission data), data systems system’’ is added in its place. 23, Item 5. used to collect and process data that §§ 1234.24, 1234.26, 1234.28, 1234.30 and (6) Draft documents that are have been organized into data files or 1234.32 [Redesignated as §§ 1234.26, circulated on electronic mail systems data bases on either personal computers 1234.28, 1234.30, 1234.32 and 1234.34] may be records if they meet the criteria or mainframe computers, and word 18. Sections 1234.24, 1234.26, specified in 36 CFR 1222.34. processing documents not transmitted 1234.28, 1234.30, and 1234.32 are (b) Agencies shall consider the on an e-mail system. redesignated as §§ 1234.26, 1234.28, following criteria when developing Electronic mail message. A document 1234.30, 1234.32, and 1234.34 and a procedures for the maintenance of created or received on an electronic new 1234.24 is added to read as follows: electronic mail records in appropriate mail system including brief notes, more recordkeeping systems, regardless of formal or substantive narrative § 1234.24 Standards for managing format. documents, and any attachments, such electronic mail records. (1) Recordkeeping systems that as word processing and other electronic Agencies shall manage records include electronic mail messages must: documents, which may be transmitted created or received on electronic mail (i) Provide for the grouping of related with the message. systems in accordance with the records into classifications according to Electronic recordkeeping system. An provisions of this chapter pertaining to the nature of the business purposes the electronic system in which records are adequacy of documentation, records serve; collected, organized, and categorized to recordkeeping requirements, agency (ii) Permit easy and timely retrieval of facilitate their preservation, retrieval, records management responsibilities, both individual records and files or use, and disposition. and records disposition (36 CFR parts other groupings of related records; * * * * * 1220, 1222, and 1228). (iii) Retain the records in a usable Transmission and receipt data. (a) Agency instructions on identifying format for their required retention (1) Transmission data. Information in and preserving electronic mail messages period as specified by a NARA- electronic mail systems regarding the will address the following unique approved records schedule; identities of sender and addressee(s), aspects of electronic mail: (iv) Be accessible by individuals who (1) Some transmission data (names of and the date and time messages were have a business need for information in sender and addressee(s) and date the sent. the system; message was sent) must be preserved for (v) Preserve the transmission and (2) Receipt data. Information in each electronic mail record in order for receipt data specified in agency electronic mail systems regarding date the context of the message to be instructions; and and time of receipt of a message, and/ understood. Agencies shall determine if (vi) Permit transfer of permanent or acknowledgment of receipt or access any other transmission data is needed records to the National Archives and by addressee(s). for purposes of context. Records Administration (see 36 CFR * * * * * (2) Agencies that use an electronic 1228.188 and 36 CFR 1234.32(a)). mail system that identifies users by (2) Agencies shall not store the Subpart BÐProgram Requirements codes or nicknames or identifies recordkeeping copy of electronic mail 16. In § 1234.10 paragraphs (e) addressees only by the name of a messages that are Federal records only through (l) are redesignated (f) through distribution list shall instruct staff on on the electronic mail system, unless (m); the term ‘‘electronic records how to retain names on directories or the system has all of the features system’’ is revised to read ‘‘electronic distributions lists to ensure specified in paragraph (b)(1) of this information system’’ in paragraph (d) identification of the sender and section. If the electronic mail system is and redesignated paragraphs (f), (g), (h), addressee(s) of messages that are not designed to be a recordkeeping and (m); and a new paragraph (e) is records. system, agencies shall instruct staff on added to read as follows: (3) Agencies that use an electronic how to copy Federal records from the mail system that allows users to request electronic mail system to a § 1234.10 Agency responsibilities. acknowledgments or receipts showing recordkeeping system. * * * * * that a message reached the mailbox or (c) Agencies that maintain their (e) Ensuring that adequate training is inbox of each addressee, or that an electronic mail records electronically provided for users of electronic mail addressee opened the message, shall shall move or copy them to a separate 44642 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations electronic recordkeeping system unless revised to read ‘‘electronic information system along with all appropriate their system has the features specified system’’ in paragraph (a), and a new transmission data. in paragraph (b)(1) of this section. paragraph (d) is added to read as (2) Records in recordkeeping systems. Because they do not have the features follows: The disposition of electronic mail specified in paragraph (b)(1) of this records that have been transferred to an section, backup tapes should not be § 1234.32 Retention and disposition of electronic records. appropriate recordkeeping system is used for recordkeeping purposes. governed by the records schedule or Agencies may retain records from * * * * * schedules that control the records in electronic mail systems in an off-line (d) Electronic mail records may not be that system. If the records in the system electronic storage format (such as deleted or otherwise disposed of are not scheduled, the agency shall optical disk or magnetic tape) that meets without prior disposition authority from follow the procedures at 36 CFR part the requirements described at 36 CFR NARA (44 U.S.C. 3303a). This applies to 1228. the original version of the record that is 1234.30(a). Agencies that retain 20. Newly redesignated § 1234.34 is sent or received on the electronic mail permanent electronic mail records amended by adding a new paragraph (c) system and any copies that have been scheduled for transfer to the National to read as follows: Archives shall either store them in a transferred to a recordkeeping system. format and on a medium that conforms See 36 CFR part 1228 for records § 1234.34 Destruction of electronic to the requirements concerning transfer disposition requirements. records. at 36 CFR 1228.188 or shall maintain (1) Disposition of records on the * * * * * the ability to convert the records to the electronic mail system. When an agency (c) Agencies shall establish and required format and medium at the time has taken the necessary steps to retain implement procedures that specifically transfer is scheduled. the record in a recordkeeping system, address the destruction of electronic (d) Agencies that maintain paper files the identical version that remains on the records generated by individuals as their recordkeeping systems shall user’s screen or in the user’s mailbox employing electronic mail. print their electronic mail records and has no continuing value. Therefore, Dated: August 14, 1995. the related transmission and receipt NARA has authorized deletion of the data specified by the agency. version of the record on the electronic John W. Carlin, 19. The heading of newly mail system under General Records Archivist of the United States. redesignated § 1234.32 is revised, the Schedule 20, Item 14, after the record [FR Doc. 95–21125 Filed 8–25–95; 8:45 am] term ‘‘electronic records system’’ is has been preserved in a recordkeeping BILLING CODE 7515±01±P Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44643 NATIONAL ARCHIVES AND RECORDS once a recordkeeping copy has been 1. Value of Electronic Records ADMINISTRATION made, and authorizes deletion of a. Comments. Twenty-six respondents electronically-generated administrative expressed an overall concern about the General Records Schedule 20; spreadsheets and other administrative changes to GRS 20. In their opinion GRS Disposition of Electronic Records records that are included in authorization for deletion of electronic recordkeeping systems that have been AGENCY: National Archives and Records versions of records that had been Administration. authorized for disposal by NARA. All converted to paper or microform would electronic records not covered by GRS ACTION: be inappropriate. They stressed that Notice of issuance of General 20 or other General Records Schedules Records Schedule. hard copy records are not satisfactory must be scheduled individually. replacements for records in electronic For convenience of reference, the SUMMARY: General Records Schedules format and cited the well-known revised GRS 20 and GRS 23 are printed (GRS) are issued by the Archivist of the advantages of electronic records for at the end of this notice. United States to provide disposal future research. They believe that the authorization for temporary records Comments and Responses substitution of hard copy records would common to several or all agencies of the NARA received 37 written responses hamper the work of future researchers, Federal Government. NARA is obliged after publication of the proposed so agencies should be required to by the Federal Records Act to issue such changes to GRS 20 and 23 in the Federal preserve electronically the records that schedules, and Federal agencies are Register on October 17, 1994. Fourteen they create on computers. Respondents required to follow their provisions (44 of the comments were submitted by cited several examples of the feasibility U.S.C. 3303a(d)). On October 7, 1994, Federal agencies and 23 were submitted of preserving electronic records, NARA published a notice in the Federal by members of the public. The including the State Department’s Register requesting comment on a responses from Federal agencies were Foreign Affairs Information System, a revision of General Records Schedules. supportive of the changes; two wrote system in the Canadian Trade The revision included removal of only to provide concurrence. Comments Negotiations Office, and a pilot project several items from GRS 23, Records from the Federal agencies focused on at the Navy Research Laboratory as Common to Most Offices Within the coverage and applicability of the examples of the feasibility of preserving Agencies, and consolidation of those General Records Schedules; ten records electronically. items with other electronic records in requested clarifications or suggested b. Response. NARA has recognized for GRS 20. Other changes were made to changes. One agency commented on the many years the advantages electronic clarify and extend the coverage of some overall coverage of the GRS. The records have for searching, of the items. The following is a comments from twenty-one members of manipulating, and storing information. summary of the comments received and the public and professional In 1968 NARA established an NARA’s response. The final GRS 20 was organizations, two Federal agencies, and organizational unit to develop policies approved on August 14, 1995. two state archivists were critical of the for the selection and preservation of FOR FURTHER INFORMATION CONTACT: proposal. Except for the response from electronic records. Since that time James J. Hastings, Director, Records one state archivist, all critical comments NARA’s appraisal guidelines have Appraisal and Disposition Division, were based on a belief that stressed the added value brought by the National Archives at College Park, 8601 implementation of the revised schedules manipulability of automated data. In Adelphi Road, College Park, MD 20740– would result in destruction of valuable addition to the initial focus on archival 6001. (301) 713–7100, ext. 274. Federal documentation. preservation of electronic records, SUPPLEMENTARY INFORMATION: Neither the agencies nor the public NARA concentrated on implementing commented on the revised GRS 23. its statutory obligation to provide Background Several agencies made general agencies with the authority to delete NARA proposed consolidating comments on the GRS or specifically on electronic records that have only authority for the disposition of generic GRS 20 that were not responsive to the temporary value. Accordingly, the first electronic records into General Records notice in the Federal Register. version of GRS 20 was published in Schedule (GRS) 20, Electronic Records, Nevertheless, NARA will carefully 1972 to provide disposal authority for by moving several items from GRS 23, review these comments and will specific categories of temporary records Records Common to Most Offices consider incorporating them in future associated with mainframe applications. Within Agencies, to GRS 20. On August changes to the GRS, NARA handbooks Excluded from its coverage, and all 14, 1995, the Archivist of the United or other guidance. They will not be subsequent revisions, were the types of States approved the revised GRS 20. It addressed in this notice. records generated by large data systems is now in effect. The comments that were received that might have archival value. The revised GRS 20 authorizes included some that were general and A 1988 revision of the GRS extended deletion of certain types of electronic applied to more than one of the items disposal authority to specific categories records associated with large data base in the proposed GRS. Others were of records generated by end-user systems, such as inputs, outputs, specifically directed to one particular applications on stand-alone or processing files, special format files, and item. The comments and responses networked computers used by system documentation for systems that listed below pertain first to the overall individuals. This new GRS, General have been appraised by NARA as comments and then to those that were Records Schedule 23, covered word temporary. To protect potentially addressed to specific items. processing, electronic mail, permanent records, several of these The full set of comments on the spreadsheets, and administrative data items are limited by specific exclusions. revision to GRS 20 that was proposed on bases. The items concerning these As a result of the move of GRS 23 items October 17, 1994, is available for public applications authorized the deletion of that pertain to electronic records into inspection at the National Archives at the electronic versions of records GRS 20, the revised GRS 20 also College Park, Records Appraisal and created after they were printed to hard authorizes deletion of records on word Disposition Division, Room 2100, 8601 copy. Use of word processing software processing and electronic mail systems Adelphi Road, College Park, MD 20740. evolved from use of typewriters and 44644 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices stand-alone word processors used to by individuals rather than in agency- The examples cited by some of the produce paper documents. Even as controlled recordkeeping systems. respondents as support for their networks were installed, agencies Furthermore, if electronic records are position serve more as useful continued to maintain records produced stored in electronic information systems illustrations of NARA’s position. The with office automation applications in without records management Department of State’s Foreign Affairs organized paper files, especially since functionality, permanent records may Information System (now the end-user applications were not designed not be readily accessible for research. Automated Data System) is not a word to classify, index, and maintain Unless the records are adequately processing or electronic documents for their authorized indexed, searches, even full-text communications system. It is a retention period. searches, may fail to find all documents recordkeeping system that stores, NARA’s final standards for the relevant to the subject of the query. In indexes, and retrieves the Department’s management of e-mail and the revision addition, numerous irrelevant important program records. It is not to GRS 20 that has now been approved temporary records, that would be related in any way to GRS 20. The clarify the disposition authority for segregable in systems with records system was appraised as permanent by electronic records produced by end- management functionality, may be NARA in 1983 and consists of an users. The GRS 23 that was approved in found. Agency records can be managed automated index, microfilm copies of 1988 authorized deletion of word only if they are in agency recordkeeping paper documents, computer output processing and e-mail records from the systems. microfilm of electronic message traffic, ‘‘live’’ system after they had been The respondents who expressed this and digitally stored texts of electronic copied to paper or microform. This concern mistakenly concluded that the message traffic. This is an excellent authority has now been moved to GRS proposed GRS 20 authorized the example of the benefits of transferring 20 and is extended to authorize deletion deletion of valuable records. On the records from various formats to a of electronic mail and word processing contrary, GRS 20 requires the recordkeeping system to ensure their records from the ‘‘live’’ system after preservation of valuable records by continued availability to staff and they have been copied to an electronic instructing agencies to transfer them to preservation for NARA. recordkeeping system. It also clearly an appropriate recordkeeping system. The Canadian Trade Negotiation states the requirement to preserve Only after the records have been Office did not have an electronic transmission data with electronic mail properly preserved in a recordkeeping recordkeeping system for its office records to ensure that their context as system will agencies be authorized by automation records. It maintained its well as content are preserved. GRS 20 GRS 20 to delete the versions on the records either on-line, on paper, or on does not authorize the deletion of the electronic mail and word processing backup tapes. The backup tapes were versions of electronic mail or word systems. As indicated, most agencies acquired in their entirety by the processing records that have been have no viable alternative at the present National Archives of Canada. They placed in the agency’s recordkeeping time but to use their current paper files consisted of a complicated mixture of system. as their recordkeeping system. As the data, files, documents, directories, and The new GRS 20 recognizes that technology progresses, however, software and included records that had electronic mail and word processing agencies will be able to consider permanent value, records with no applications are used to create Federal converting to electronic recordkeeping archival value, and duplicates. If the records, including some permanent systems for their records. records had been maintained on a records. Separate NARA guidance and The critical point is that the revised recordkeeping system in the agency, the regulations instruct agencies to GRS does not authorize the destruction Canadian National Archives would have appropriately preserve records that are of the recordkeeping copy of the been able to identify, appraise, and produced through office automation in electronic mail and word processing acquire only records with permanent the form that they determine is best to records. The unique program records value and allow the agency to dispose accomplish their mission within their that are produced with office of the remainder. Because of the great administrative and fiscal capabilities. automation will be maintained in value of the records and the significance GRS 20, NARA regulations, and organized, managed office of the agency, the National Archives of NARA guidance instruct agencies to recordkeeping systems. Federal agencies Canada undertook extraordinary identify records created using office must have the authority to delete the measures to impose basic intellectual automation and to maintain them in a original version from the ‘‘live’’ order on the system data, files, and recordkeeping system that preserves electronic information system to avoid directories to make them retrievable. their content, structure, and context for system overload and to ensure effective Despite this time consuming project, their required retention period. For records management. Program records information concerning the Trade records to be useful they must be that have been transferred to the Negotiation Office’s functions, accessible to all authorized staff, and recordkeeping system will not be activities, and records management must be maintained in recordkeeping affected by GRS 20. Their disposition is practices was not recreated. The systems that have the capability to controlled by other general or specific Canadian experience with this project is group similar records and provide the records schedules. a powerful example of the need for necessary context to connect the record NARA appraises and schedules records to be preserved by an agency on with the relevant agency function or records in organized recordkeeping a recordkeeping system. transaction. Storage of electronic mail or systems. It is essential for the The pilot project by the Navy word processing records on electronic originating agency, for NARA, and for Research Laboratory cited by information systems that do not have future researchers that records, respondents also supports NARA’s these attributes will not satisfy the especially those appraised as position that records need to be needs of the agency or the needs of permanent, be maintained in maintained in a recordkeeping system. future researchers. recordkeeping systems with records The Navy project was conducted by an Search capability and context would management functionality to allow for agency historian who invested be severely limited if records are stored appropriate maintenance and approximately one hour to categorize in disparate electronic files maintained disposition. 100–150 messages that were maintained Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44645 on the electronic mail system. records would be of limited use to both suggested that GRS 20 acknowledge that Additional time was required to edit the originating agency and to future system backups may be records under entries for input into a separate database researchers. Such a practice would not the Freedom of Information Act, and and to manage the database. Federal support agency operations, and another agency suggested that the agencies routinely create or receive tens researchers would have to search introduction acknowledge that courts of thousands of messages per day. If disassociated, unindexed collections of have allowed parties to request these records were preserved and materials for potentially valuable documents that exist only on system managed in a recordkeeping system, as records, which would result in finding backups. Two other agencies questioned advocated by NARA, such labor a large proportion of irrelevant the meaning of ‘‘record copy’’ in the intensive, time consuming work as was documents, an inefficient use of definition of system backups in the done in the Navy pilot project would research time. introduction and recommended adding not be necessary. If, on the other hand, system backups as a new subitem under Federal agencies were to adopt the Navy 2. Disposition Instructions item 8. One agency requested that a pilot project as a model they would be a. Comments. One agency and a subitem be added to item 8 to cover required to analyze each message member of the public expressed concern unscheduled records, and that the individually, provide whatever context about the GRS 20 disposition disposition of item 8 be amended to would be necessary, and enter the data instructions. They said that ‘‘delete provide that if records with different into a database. If an agency has an when no longer needed’’ was too vague retention periods are on backup copies, average of 40,000 messages per week (a or too broad. A state archivist also the backup should be kept for the relatively low average), this would expressed concern that the schedule longest retention period. One state require approximately 400 staff hours, would authorize destruction of archivist stated that the disposition for the equivalent of 10 full time electronic records and related item 8 is inconsistent with accepted employees, just to categorize the documentation needed for establishing processing practices. messages. This is an expenditure that no authenticity and legal admissibility of Some of the public respondents to the agency can afford and is, no doubt, the electronic records. proposed GRS change also took issue reason that the Navy did not implement b. Response. In response to these with the item on backups. In their view the recommendations of the pilot concerns, NARA has replaced ‘‘delete NARA drew an erroneous distinction project. when no longer needed’’ with ‘‘delete between the backups that mirror the Agencies must maintain their records when the agency determines that they ‘‘logical’’ format of the system and those in organized files that are designed for are no longer needed for administrative, that mirror the ‘‘physical’’ format. They their operational needs. Agencies that legal, audit, or other operational suggested that all categories of backups currently have traditional paper files purposes’’ for items 1a, 1c, 3b(1), 3b(3), are records because they serve the same print their electronic mail records, word 4, 5, 6, 7, 9, 12a, and 12b. NARA also function of permitting recovery of an processing records, spreadsheets, and revised the disposition instruction for electronic record or file if the record or data base reports so that their files are item 13 to read ‘‘delete from the word file is damaged or erased from the complete, comprehensible, and in processing system when no longer system, and recommended that item 8 context with related records. Agency needed for updating, revision, or be left unchanged. functions that have not been automated convenience of reference,’’ and the b. Response. NARA has revised item must be supported by hard copy files, disposition instruction for item 14 was 8 to reflect some of the comments and even when some types of related records changed to read ‘‘delete from the e-mail to clarify its coverage. Item 8a has been are generated electronically. Agencies system when no longer needed for retitled ‘‘Backups for Files’’ to eliminate that decide to maintain their records in convenience of reference.’’ In addition, the distinction that formerly was made electronic recordkeeping systems do so NARA changed the disposition for item between system and security backups. for compelling operational needs, not 11a to read ‘‘destroy or delete when This distinction brought about a great for future researchers. In some cases, superseded or obsolete, or upon deal of confusion that tended to distract such as the State Department example authorized deletion of the related master from the purpose of the item. cited by respondents, agencies create file or data base, or upon the destruction Consequently, the new item 8a covers automated indexes to hard-copy records of the output of the system if the output backups, regardless of how they are rather than digitizing all of the records has legal value, whichever is latest.’’ characterized, that are determined by themselves. In any case, the decision the creating agency to be Federal must be based on an analysis of the 3. Item 3 records. The reference to classification needs of and benefits to the agency, a. Comment. An agency suggested that of the format of backups (‘‘logical’’ or balanced against available resources. item 3, Electronic Versions of Records ‘‘physical’’) was also deleted. The role of NARA is to provide Scheduled for Disposal, be extended to 5. Item 13 guidance and regulations that, when GRS 17, Cartographic, Aerial properly implemented, will result in Photographic, Architectural, and a. Comments. One agency stated that agency recordkeeping systems that Engineering Records, and GRS 21, item 13, Word Processing Files, is protect records for their authorized Audiovisual Records. inappropriate because disposition retention period, and, for permanent b. Response. Because of the lack of should be based on content, not media. records, in a format that allows transfer standards for such digitized records at Another agency suggested that item 13 to the National Archives. this time, NARA has not expanded this should provide authorization for If agencies were to maintain their item as suggested. deletion of superseded drafts. electronic mail and word processing b. Response. NARA believes that this records on electronic information 4. Item 8 item responds to a real need. As systems that do not provide the a. Comments. Four agencies raised indicated earlier, the GRS has covered necessary records management questions about the coverage of the original version of word processing functions, just for the sake of backups. Two agencies found the records since 1988. Over the years many maintaining them in electronic format distinction between system and security agencies have told NARA that it has as many respondents advocate, the backups to be confusing. One agency proven very useful to them in 44646 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices conducting their records management as a record. The same agency requested extensively with records managers and programs. By providing authorization that NARA add a subitem to authorize information resource officials in major for deletion of the word processing copy deletion when no longer needed of agencies on the development of records of documents that are preserved routine types of messages, such as management guidance for electronic elsewhere in a recordkeeping system, meeting announcements and mail, and, after publication of proposed NARA has freed Federal records officers acknowledgments. Another agency standards on March 24, 1994 (59 FR from scheduling the duplicative records suggested that item 14 include 13906), held discussion meetings and in those systems. Consequently, the definitions of transmission data and made presentations attended by over records officers can concentrate on receipt data and an agency suggested 840 agency records managers, scheduling the unique electronic that GRS 20 address the issue of record information resource managers, legal records in their agencies. status determinations. Two agencies staff, and others. Based on knowledge NARA has not added provisions to expressed concern that item 14 would and experience, NARA believes that this item concerning draft documents. require electronic maintenance of implementation of this GRS change, In most cases, drafts are nonrecord electronic mail. Many public along with revised regulations and materials so no disposition authority is respondents objected to item 14 because NARA guidance, will significantly required. In those instances where drafts it permitted hard copy records to be improve the quality of Federal created on word processing systems are substituted for electronic versions (see documentation by appropriate records, as described in NARA comments and response number 1). preservation of electronic mail records. regulations (36 CFR 1222.34), the b. Response. NARA has modified the NARA has given authority under the revised GRS 20 will cover them as it item and the introduction to GRS 20 to Federal Records Act to the Federal covers other records generated provide more information on agencies to delete electronic mail electronically. No further authorization transmission and receipt data. records from their electronic mail is needed in the GRS. NARA will be Item 14 also has been modified to systems only after a copy of the full issuing guidance on agency drop its prior reference (item 14b) to message with names of senders and recordkeeping requirements that records maintained on the electronic addresses and date of transmission, and includes a discussion of drafts and mail system itself. Just as with word receipts when required, have been provides criteria for determining when processing records, e-mail records must preserved elsewhere. they are records. be maintained in recordkeeping systems NARA did modify item 13 as a result that allow accessibility and proper 7. Item 15 of numerous meetings and discussions records management. See the response a. Comments: The public comments with records officers and other to comments on item 13, above, for included a concern that item 15, interested parties, and further analysis further explanation of this change. Spreadsheets, could authorize the of recordkeeping requirements. Records Otherwise, NARA has not adopted the destruction of critical information that must be available to all authorized users suggestions concerning this item. is in the electronic version of a and properly managed to ensure their Blanket authorization for deletion of spreadsheet that would not be in a authorized, timely, and appropriate recipients’ copies of messages would be paper printout. The printout would only disposition. Documents meeting the inappropriate. Sometimes such copies contain the results of the computation, definition of record that are only in are unique Federal records. For not the formulas or other information individuals’ word processing example, messages received through that was used to reach the results. Such directories, rather than agency external systems would not be computational information should be recordkeeping systems, are not duplicated elsewhere in the agency. preserved with the electronic accessible to other staff members. Even Also, to ensure file integrity, recipients’ spreadsheet, particularly when it accessible network word processing copies of messages often need to be concerns important budgetary, funding, directories are inadequate if they are incorporated into a recordkeeping or other analysis. part of information systems that lack system in the recipient’s office. b. Response: The coverage of item 15, records management functionality. It is Agencies are responsible for issuing as proposed in October 1994, was not critical that agencies instruct their staff instructions on identifying record clear. It was not intended to apply to all members to copy or transfer any word copies of documents, consistent with program-related spreadsheets that were processing documents that are Federal NARA regulations and guidance. developed for agency use. As the records to paper or electronic Because the GRS is a records disposition respondents correctly indicated, if this recordkeeping systems. Consequently, schedule, it is not the appropriate item were to apply to program records NARA deleted subitem 13b. This mechanism for addressing records generally its application could have subitem would have authorized deletion creation issues. NARA will address resulted in the loss of potentially of records that were maintained only on these issues in standards or guidance valuable information that was used to the word processing system until the dealing with records creation and produce a spreadsheet. Consequently, expiration of the retention period maintenance. As indicated in the item 15 has been rewritten to clarify the authorized by another GRS item or response number 1, GRS 20 does not limitation of its coverage. It now agency schedule. The deletion of item require maintenance of electronic mail authorizes the deletion of electronic 13b from GRS 20 reinforces the records in electronic form. Item 14 spreadsheets only if they support necessity for agencies to properly specifically covers electronic mail administrative, rather than program, maintain Federal records in records converted to paper or functions or if they were generated by recordkeeping systems. microform, as well as those copied for an individual only for background maintenance in electronic purposes. 6. Item 14 recordkeeping systems. a. Comments. One agency suggested During the past two years NARA has Conclusion that item 14, Electronic Mail Records, worked closely with Federal agencies on The Federal Government generates an should authorize deletion of recipients’ the development of records management incalculable number of paper, copies of messages unless the recipient’s guidance concerning electronic mail. electronic, and audiovisual records copy has been designated by the agency NARA staff members have consulted every day. The vast majority (95–98%) Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44647 of these are temporary records and The records covered by several items c. Electronic files and hard-copy many fit into categories that are in this schedule are authorized for printouts created to monitor system common throughout the Government. erasure or deletion when the agency usage, including, but not limited to, log- The GRS is a mechanism mandated by determines that they are no longer in files, password files, audit trail files, law to provide disposition authorities needed for administrative, legal, audit, system usage files, and cost-back files for such common temporary records. or other operational purposes. NARA used to assess charges for system use. GRS 20 is designed to provide authority cannot establish a more specific Delete/destroy when the agency for the deletion of common temporary retention that would be appropriate in determines they are no longer needed records that are generated by computers. all applications. Each agency should, for administrative, legal, audit, or other As indicated in the responses to when appropriate, determine a more operational purposes. comments above, approval of GRS 20 specific disposition instruction, such as 2. Input/Source Records will not affect unique program records ‘‘Delete after X update cycles’’ or that have been preserved in a ‘‘Delete when X years old,’’ for a. Non-electronic documents or forms recordkeeping system. Federal agency inclusion in its records disposition designed and used solely to create, records officers are responsible for directives or manual. NARA approval is update, or modify the records in an scheduling the records that are not not needed to set retention periods for electronic medium and not required for covered by the GRS. GRS 20 will allow records in the GRS that are authorized audit or legal purposes (such as need for agencies and NARA to concentrate more for destruction when no longer needed. signatures) and not previously resources on unique program records. Items 2a and 1a (in part) of this scheduled for permanent retention in a Approval of the revised GRS 20 will schedule apply to hard-copy or NARA-approved agency records allow NARA to continue to focus microform records used in conjunction schedule. attention on electronic records with with electronic files. Item 1 also covers Destroy after the information has been enduring value by eliminating a large printouts produced to test, use, and converted to an electronic medium and proportion of those without such value maintain master files. Items 10 and 11 verified, or when no longer needed to from further consideration. of this schedule should be applied to support the reconstruction of, or serve special purpose programs and as the backup to, the master file, Dated: August 14, 1995. whichever is later. John W. Carlin, documentation for disposable electronic records whatever the medium in which b. Electronic records, except as noted Archivist of the United States. such documentation and programs exist. in item 2c, entered into the system Following is the text of GRS 20 and This schedule has been revised to during an update process, and not GRS 23. include electronically-generated records required for audit and legal purposes. Delete when data have been entered previously covered in General Records General Records Schedule 20 into the master file or database and Schedule 23, Records Common to Most verified, or when no longer required to Electronic Records Offices. The original numbering of the support reconstruction of, or serve as This schedule provides disposal items in GRS 20 has been preserved. back-up to, a master file or database, authorization for certain electronic The items moved from GRS 23 have whichever is later. been added at the end, except the item records and specified hard-copy (paper) c. Electronic records received from covering administrative data bases that or microform records that are integrally another agency and used as input/ has been incorporated into item 3. related to the electronic records. source records by the receiving agency, This schedule applies to disposable Electronic versions of records EXCLUDING records produced by electronic records created or received by authorized for disposal elsewhere in the another agency under the terms of an Federal agencies including those GRS may be deleted under the interagency agreement, or records managed for agencies by contractors. It provisions of item 3 of GRS 20. created by another agency in response to covers records created by computer See also 36 CFR Part 1234 for NARA the specific information needs of the operators, programmers, analysts, regulations on electronic records receiving agency. systems administrators, and all management. Delete when data have been entered personnel with access to a computer. 1. Files/Records Relating to the into the master file or database and Disposition authority is provided for Creation, Use, and Maintenance of verified, or when no longer needed to certain master files, including some Computer Systems, Applications, or support reconstruction of, or serve as tables that are components of data base Electronic Records back up to, the master file or database, management systems, and certain files whichever is later. created from master files for specific a. Electronic files or records created d. Computer files or records purposes. In addition, this schedule solely to test system performance, as containing uncalibrated and covers certain disposable electronic well as hard-copy printouts and related unvalidated digital or analog data records produced by end users in office documentation for the electronic files/ collected during observation or automation applications. These records. measurement activities or research and disposition authorities apply to the Delete/destroy when the agency development programs and used as categories of electronic records determines that they are no longer input for a digital master file or described in GRS 20, regardless of the needed for administrative, legal, audit, database. type of computer used to create or store or other operational purposes. Delete after the necessary data have these records. b. Electronic files or records used to been incorporated into a master file. GRS 20 does not cover all electronic create or update a master file, including, records. Electronic records not covered but not limited to, work files, valid 3. Electronic Versions of Records by GRS 20 may not be destroyed unless transaction files, and intermediate Scheduled for Disposal authorized by a Standard Form 115 that input/output records. a. Electronic versions of records that has been approved by the National Delete after information has been are scheduled for disposal under one or Archives and Records Administration transferred to the master file and more items in GRS 1–16, 18, 22, or 23; (NARA). verified. EXCLUDING those that replace or 44648 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices duplicate the following GRS items: GRS (b) Produced by an extraction process access to records authorized for 1, items 21, 22, 25f; GRS 12, item 3; and which changes the informational destruction by the GRS or a NARA- GRS 18, item 5. content of the source master file or data approved SF 115, EXCLUDING records Delete after the expiration of the base; which may not be destroyed before containing abstracts or other retention period authorized by the GRS securing NARA approval. For print and information that can be used as an or when no longer needed, whichever is technical reformat files see items 6 and information source apart from the later. 7 of this schedule respectively. related records. b. Electronic records that support Delete when the agency determines Delete with related records or when administrative housekeeping functions that they are no longer needed for the agency determines that they are no when the records are derived from or administrative, legal, audit, or other longer needed for administrative, legal, replace hard copy records authorized by operational purposes. audit, or other operational purposes, NARA for destruction in an agency- (Notes: (1) Records consisting of extracted whichever is later. specific records schedule. information that were created from a master 10. Special Purpose Programs (1) When hard copy records are file or data base that is unscheduled, or that retained to meet recordkeeping was scheduled as permanent but no longer Application software necessary solely requirements. exists or can no longer be accessed may not to use or maintain a master file or Delete electronic version when the be destroyed before securing NARA approval. database authorized for disposal in a agency determines that it is no longer (2) See item 12 of this schedule for other GRS item or a NARA-approved records needed for administrative, legal, audit, extracted data.) schedule, EXCLUDING special purpose or other operational purposes. 6. Print File software necessary to use or maintain (2) When the electronic record any unscheduled master file or database replaces hard copy records that support Electronic file extracted from a master file or data base without changing it and or any master file or database scheduled administrative housekeeping functions. for transfer to the National Archives. Delete after the expiration of the used solely to produce hard-copy Delete when related master file or retention period authorized for the hard publications and/or printouts of database has been deleted. copy file, or when no longer needed, tabulations, ledgers, registers, and whichever is later. statistical reports. 11. Documentation Delete when the agency determines (3) Hard copy printouts created for a. Data systems specifications, file that they are no longer needed for short-term administrative purposes. specifications, codebooks, record Destroy when the agency determines administrative, legal, audit, or other layouts, user guides, output that they are no longer needed for operational purposes. specifications, and final reports administrative, legal, audit, or other 7. Technical Reformat File (regardless of medium) relating to a operational purposes. Electronic file consisting of data master file or data base that has been 4. Data Files Consisting of Summarized copied from a complete or partial master authorized for destruction by the GRS or Information file or data base made for the specific a NARA-approved disposition schedule. Records that contain summarized or purpose of information interchange and Destroy or delete when superseded or aggregated information created by written with varying technical obsolete, or upon authorized deletion of combining data elements or individual specifications, EXCLUDING files created the related master file or data base, or observations from a single master file or for transfer to the National Archives. upon the destruction of the output of data base that is disposable under a GRS Delete when the agency determines the system if the output is needed to item or is authorized for deletion by a that they are no longer needed for protect legal rights, whichever is latest. disposition job approved by NARA after administrative, legal, audit, or other b. Copies of records relating to system January 1, 1988, EXCLUDING data files operational purposes. security, including records documenting periodic audits or review and that are created as disclosure-free files 8. Backups of Files to allow public access to the data which recertification of sensitive applications, may not be destroyed before securing Electronic copy, considered by the disaster and continuity plans, and risk NARA approval. agency to be a Federal record, of the analysis, as described in OMB Circular Delete when the agency determines master copy of an electronic record or No. A–130. that they are no longer needed for file and retained in case the master file Destroy or delete when superseded or administrative, legal, audit, or other or database is damaged or inadvertently obsolete. operational purposes. erased. (Notes: (1) Documentation that relates to a. File identical to records scheduled permanent or unscheduled master files and (Note: Data files consisting of summarized for transfer to the National Archives. data bases is not authorized for destruction information which were created from a by the GRS. (2) See item 1a of this schedule master file or data base that is unscheduled, Delete when the identical records for documentation relating to system testing.) or that was scheduled as permanent but no have been captured in a subsequent longer exists or can no longer be accessed, backup file or when the identical 12. Downloaded and Copied Data may not be destroyed before securing NARA records have been transferred to the approval.) National Archives and successfully Derived data and data files that are copied, extracted, merged, and/or 5. Records Consisting of Extracted copied. b. File identical to records authorized calculated from other data generated Information for disposal in a NARA-approved within the agency, when the original Electronic files consisting solely of records schedule. data is retained. records extracted from a single master Delete when the identical records a. Derived data used for ad hoc or file or data base that is disposable under have been deleted, or when replaced by one-time inspection, analysis or review, GRS 20 or approved for deletion by a a subsequent backup file. if the derived data is not needed to NARA-approved disposition schedule, support the results of the inspection, EXCLUDING extracts that are: 9. Finding Aids (or Indexes) analysis or review. (a) Produced as disclosure-free files to Electronic indexes, lists, registers, and Delete when the agency determines allow public access to the data; or other finding aids used only to provide that they are no longer needed for Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44649 administrative, legal, audit, or other deletion, delete after the longest forwarded to higher levels) and other operational purposes. retention period has expired. materials that do not serve as unique b. Derived data that provide user documentation of the programs of the General Records Schedule 23 access in lieu of hard copy reports that office. are authorized for disposal. Records Common to Most Offices Within Destroy when 2 years old, or when no Delete when the agency determines Agencies longer needed, whichever is sooner. that they are no longer needed for This schedule provides for the (Note: This schedule is not applicable to the administrative, legal, audit, or other disposal of certain records common to record copies of organizational charts, operational purposes. most offices in Federal agencies. It functional statements, and related records c. Metadata or reference data, such as that document the essential organization, covers administrative subject files; format, range, or domain specifications, staffing, and procedures of the office, which facilitative records such as suspense which is transferred from a host must be scheduled prior to disposition by files, tracking and control records, computer or server to another computer submitting an SF 115 to NARA.) calendars, and indexes; and transitory for input, updating, or transaction documents. This schedule does not 2–4. Reserved. processing operations. apply to any materials that the agency Delete from the receiving system or 5. Schedules of Daily Activities has determined to be nonrecord or to device when no longer needed for Calendars, appointment books, materials such as calendars or work processing. schedules, logs, diaries, and other schedules claimed as personal. records documenting meetings, (Note: See item 5 of this schedule for other Office Administrative Files described extracted data.) appointments, telephone calls, trips, under item 1 are records retained by an visits, and other activities by Federal 13. Word Processing Files originating office as its record of employees while serving in an official initiation of an action, request, or Documents such as letters, capacity, EXCLUDING materials response to requests for information. determined to be personal. memoranda, reports, handbooks, This item may be applied only to directives, and manuals recorded on a. Records containing substantive separate administrative files containing information relating to official activities, electronic media such as hard disks or such records as copies of documents floppy diskettes after they have been the substance of which has not been submitted to other offices for action incorporated into official files, copied to an electronic recordkeeping including budget feeder documents, system, paper, or microform for EXCLUDING records relating to the purchase orders, training requests. Item official activities of high government recordkeeping purposes. 1 may not be applied to files that also Delete from the word processing officials (see note). contain program records, and it may not system when no longer needed for Destroy or delete when 2 years old. be applied by an office that receives and updating or revision. (Note: High level officials include the heads takes action on documents submitted by of departments and independent agencies; 14. Electronic Mail Records other offices. their deputies and assistants; the heads of Senders’ and recipients’ versions of Several items covering electronic program offices and staff offices including electronic mail messages that meet the records produced on stand-alone or assistant secretaries, administrators, and definition of Federal records, and any networked personal computers (such as commissioners; directors of offices, bureaus, or equivalent; principal regional officials; attachments to the record messages after word processing files, administrative data bases, and spreadsheets) that were staff assistants to those aforementioned they have been copied to an electronic officials, such as special assistants, recordkeeping system, paper or previously in this schedule have been moved to General Records Schedule 20, confidential assistants, and administrative microform for recordkeeping purposes. assistants; and career Federal employees, Delete from the e-mail system after Electronic Records. To preserve the political appointees, and officers of the copying to a recordkeeping system. previous numbering of the items in GRS Armed Forces serving in equivalent or 23, the item numbers that have been comparable positions. Unique substantive (Note: Along with the message text, the moved have been reserved. The records relating to the activities of these recordkeeping system must capture the disposition of records described in this individuals must be scheduled by names of sender and recipients and date submission of an SF 115 to NARA.) (transmission data for recordkeeping schedule that are created in electronic purposes) and any receipt data when form is governed by GRS 20, item 3. b. Records documenting routine required.) 1. Office Administrative Files activities containing no substantive information and records containing 15. Electronic Spreadsheets Records accumulated by individual substantive information, the substance Electronic spreadsheets generated to offices that relate to the internal of which has been incorporated into support administrative functions or administration or housekeeping organized files. generated by an individual as activities of the office rather than the Destroy or delete when no longer background materials or feeder reports. functions for which the office exists. In needed for convenience of reference. general, these records relate to the office a. When used to produce hard copy (Note: GRS 20, item 3, authorizes deletion of that is maintained in organized files. organization, staffing, procedures, and electronic records described by subitems a Delete when no longer needed to communications; the expenditure of and b of this item.) update or produce hard copy. funds, including budget records; day-to- b. When maintained only in day administration of office personnel 6. Suspense Files electronic form. including training and travel; supplies Documents arranged in chronological Delete after the expiration of the and office services and equipment order as a reminder that an action is retention period authorized for the hard requests and receipts; and the use of required on a given date or that a reply copy by the GRS or a NARA-approved office space and utilities. They may also to action is expected and, if not SF 115. If the electronic version replaces include copies of internal activity and received, should be traced on a given hard copy records with differing workload reports (including work date. retention periods and agency software progress, statistical, and narrative a. A note or other reminder to take does not readily permit selective reports prepared in the office and action. 44650 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Destroy after action is taken. policy decision, and no special records that are authorized for b. The file copy or an extra copy of compilation or research for reply. destruction by the GRS or a NARA- an outgoing communication, filed by the b. Originating office copies of letters approved SF 115. date on which a reply is expected. of transmittal that do not add any Destroy or delete when no longer Withdraw documents when reply is information to that contained in the needed. received. (1) If suspense copy is an extra transmitted material, and receiving copy, destroy immediately. (2) If office copy if filed separately from 9. Finding Aids (or Indexes) suspense copy is the file copy, transmitted material. c. Quasi-official notices including Indexes, lists, registers, and other incorporate it into the official files. memoranda and other records that do finding aids used only to provide access 7. Transitory Files not serve as the basis of official actions, to records authorized for destruction by such as notices of holidays or charity the GRS or a NARA-approved SF 115, Documents of short-term interest and welfare fund appeals, bond EXCLUDING records containing which have no documentary or campaigns, and similar records. abstracts or other information that can evidential value and normally need not Destroy when 3 months old, or when be used as an information source apart be kept more than 90 days. Examples of no longer needed, whichever is sooner. from the related records. transitory correspondence are shown below. 8. Tracking and Control Records Destroy or delete with the related records or sooner if no longer needed. a. Routine requests for information or Logs, registers, and other records used publications and copies of replies which to control or document the status of [FR Doc. 95–21126 Filed 8–25–95; 8:45 am] require no administrative action, no correspondence, reports, or other BILLING CODE 7515±01±P federal register August 28,1995 Monday Wells; ProposedRule Correction totheRegulationsforClassI Injection ControlRegulations;Technical and MinorRevisionstotheUnderground Class VWellsÐRegulatoryDetermination 40 CFRParts144and146 Protection Agency Environmental Part IV 44651 44652 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules ENVIRONMENTAL PROTECTION expressly reserves the right to cancel 2. Technical Guidances AGENCY this hearing unless a significant degree a. Industrial Waste Discharge Well Closure of public interest is evidenced by the Guidance above date. b. Septic System Guidance 40 CFR Parts 144 and 146 c. Agricultural Drainage Well Guidance ADDRESSES [FRL±5280±5] : Address written comments d. Storm Water Drainage Well Guidance to UIC Amendments, Water Docket B. Outreach and Education RIN 2040±AB83 (mail code 4101), USEPA, 401 M Street, C. Compliance Assurance Initiative SW, Washington, DC 20460. Please IV. Proposed Minor Amendments to the UIC Class V WellsÐRegulatory submit all references cited in your Regulations in 40 CFR Part 144 Determination and Minor Revisions to comments. Facsimiles (faxes) cannot be A. Proposed Amendments to Subpart A— the Underground Injection Control accepted. EPA would appreciate 1 General Provisions 1. § 144.1(g)—Specific Inclusions and Regulations; Technical Correction to original and 3 copies of your comments the Regulations for Class I Wells Exclusions (including any references). Commenters 2. § 144.3—Definitions AGENCY: Environmental Protection who would like EPA to acknowledge 3. § 144.6—Classification of Wells Agency. receipt of their comments should B. Proposed Amendments to Subpart C— Authorization of Underground Injection ACTION: Proposed rule. include a self-addressed, stamped envelope. by Rule SUMMARY: Today’s proposal presents the The hearing will be held in the EPA 1. § 144.23—Class IV Wells findings of the Environmental Auditorium of the EPA Training Center, 2. § 144.24—Class V Wells Waterside Mall, 401 M Street, SW, 3. § 144.26—Inventory requirements Protection Agency (EPA) with regard to V. Proposed Minor Amendments to UIC the need for additional Underground Washington DC. Regulations in 40 CFR Part 146 Injection Control (UIC) regulations for The proposed rule and supporting A. Proposed Amendments to Subpart A— Class V wells. Typically, Class V wells documents, including public comments, General Provisions are shallow wells which inject a variety are available for review in the Water 1. § 146.3—Definitions of fluids directly below the land surface. Docket at the above address. For 2. § 146.5—Classification of Injection Wells They include shallow non-hazardous information on how to access Docket 3. § 146.10—Plugging and Abandoning industrial waste injection wells, septic materials, please call (202) 260–3027 Class I, II, III, IV and V Wells systems, storm water drainage wells, between 9 a.m. and 3:30 p.m. VI. Solicitation of Comments Requests for a public hearing should A. General Solicitation and assorted other wells that have been B. Specific Comment Solicitations found in some instances to emplace be addressed to Lee Whitehurst, EPA, Office of Ground Water and Drinking VII. Regulatory Impact potentially harmful levels of A. Executive Order 12866 contaminants into and above Water (mail code 4602), 401 M Street, B. Paperwork Reduction Act underground sources of drinking water. SW, Washington DC. C. Impact on Small Businesses All Class V wells are currently FOR FURTHER INFORMATION CONTACT: Lee D. Unfunded Mandates authorized by rule provided they do not Whitehurst, Underground Injection E. Effect on States with Primacy Control Branch, Office of Ground Water endanger underground sources of I. Background drinking water (USDWs) and meet and Drinking Water (mailcode 4602), certain minimum requirements. EPA, 401 M Street, SW, Washington DC, A. Statutory and Regulatory Framework Because EPA has found that some of 20460. Phone: 202–260–5532. Class V wells are regulated under the these wells pose environmental hazards, SUPPLEMENTARY INFORMATION: authority of Part C of the Safe Drinking EPA is developing a comprehensive Water Act (SDWA or the Act) (42 U.S.C. strategy to manage these hazards. As Preamble Outline 300h et seq.). The SDWA is designed to part of this strategy, EPA will continue I. Background protect the quality of drinking water in to authorize Class V wells by rule but A. Statutory and Regulatory Framework the United States, and Part C will aggressively use the authority 1. Categories of Class V Wells specifically mandates the regulation of provided by the current regulations to 2. Requirements Applicable to Class V Wells underground injection of fluids through achieve the closure of Class V wells B. Report to Congress on Class V Wells wells. The Agency has promulgated a which may endanger USDWs and the C. Consent Decree with the Sierra Club series of underground injection control proper management of other Class V II. Proposed Agency Determination on the (UIC) regulations under this authority. wells. Adequacy of Current Regulations Section 1421 of the Act requires EPA EPA is also proposing some minor A. Implementation of Current to propose and promulgate regulations changes to the UIC regulations that Requirements specifying minimum requirements for would make it easier for the regulated B. State Ground Water Protection Programs State programs to prevent underground community to understand who is C. Assessment of the Need for Additional injection that endangers drinking water subject to the current Class V UIC Class V Regulations 1. Beneficial Use Wells sources. EPA promulgated requirements and what these 2. Fluid Return Wells administrative and permitting requirements mean to the owners of a 3. Sewage Treatment Effluent Wells regulations, now codified in 40 CFR specific type of well. 4. Cesspools parts 144 and 146, on May 19, 1980 (45 DATES: EPA will accept public 5. Septic Systems FR 33290), and technical requirements comment, in writing, on the proposed 6. Experimental Technology Wells in 40 CFR part 146 on June 24, 1980 (45 regulations until October 27, 1995. 7. Drainage Wells FR 42472). The regulations were A public hearing has been tentatively 8. Mine Backfill Wells subsequently amended on August 27, scheduled for October 18, 1995, from 1 9. In Situ and Solution Mining Wells 1981 (46 FR 43156), February 3, 1982 10. Industrial Waste Discharge Wells pm to 4 pm EST. Requests for a public III. EPA’s Strategy for the Management of (47 FR 4992), January 21, 1983 (48 FR hearing must be received by September Class V Wells 2938), April 1, 1983 (48 FR 14146), July 27, 1995. When requesting a public A. Technical Assistance 26, 1988 (53 FR 28118), December 3, hearing, please state the nature of the 1. Program Management Implementation 1993 (58 FR 63890) and June 29, 1995 issues proposed to be raised. EPA Guidance (60 FR 33926). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44653 Section 1422 of the Act provides that tank and leachfield combinations the extraction of minerals, or States may apply to EPA for primary intended for sanitary waste disposal. aquaculture. responsibility to administer the UIC Such systems are often used for the • ‘‘Sewage Treatment Effluent Wells’’ program (those States receiving such disposal of industrial wastes or other which are used to inject effluent from authority are referred to as ‘‘Primacy fluids that may have not been treated, publicly or privately owned treatment States’’). Where States do not seek this potentially releasing elevated levels of facilities. responsibility or fail to demonstrate that contaminants directly into the same • ‘‘Cesspools’’ which are wells that they meet EPA’s minimum ground water that may be used as a receive untreated sanitary waste. They requirements, EPA is required to drinking water supply by surrounding may have open bottoms, and are prescribe, by regulation, a UIC program residences and communities. Such typically located in areas not served by for such States. These direct wells are commonly located at sanitary sewers. Under today’s proposal, implementation (DI) programs were automobile service stations, print shops, only those cesspools having the capacity promulgated in two phases, on May 11, dry cleaners, shopping centers, to serve 20 persons or more a day would 1984 (49 FR 20138) and November 15, equipment manufacturers, and other be considered Class V injection wells 1984 (49 FR 45308). commercial and industrial subject to the UIC regulations 1. establishments. • ‘‘Septic Systems’’ which are wells 1. Categories of Class V Wells Today, EPA is proposing to retain the comprised of septic tanks and fluid The UIC regulations define and current definition of Class V wells. distribution systems (e.g., leachfields) establish five classes of injection wells. However, the regulations also contain a used to dispose of sanitary waste only. Class I wells are used to inject non-inclusive list of 16 types of Class V Only those septic systems having the hazardous and non-hazardous waste wells (§ 146.5). This list was further capacity to serve 20 or more persons per beneath the lowermost formation divided into 32 categories in the Report day would be considered Class V containing a USDW within one-quarter to Congress on Class V Wells, which injection wells subject to the UIC mile of the well bore. Class II wells are EPA published in 1987 in response to a regulations 1. used to inject fluids associated with oil mandate of the SDWA amendments of • ‘‘Experimental Technology Wells’’ and natural gas recovery and storage of 1986. The Report to Congress drew the which include any injection well used liquid hydrocarbons. Class III wells are distinctions between the well types as part of an unproven subsurface used in connection with the solution based on the design of the well, in some injection technology. mining of minerals. Class IV wells are instances, and on the types of fluids • ‘‘Drainage Wells’’ which consist of used to inject hazardous or radioactive injected, in others. In reviewing the a variety of wells used to drain surface wastes into or above a formation that is Report to Congress, the Agency has and subsurface fluids including storm within one-quarter mile of a USDW. determined that some of these water and agricultural runoff. (Class IV wells are generally prohibited distinctions are of little consequence as • ‘‘Mine Backfill Wells’’ which are by 40 CFR 144.13.) Class V wells are far as the risk posed by the wells and used to place slurries of sand, gravel, defined in the regulations as any well the appropriate management scheme. cement, mill tailings/refuse, or fly ash not included in Classes I through IV. Therefore, for today’s proposal the into underground mines. Mine backfill Class V injection wells are generally Agency has grouped Class V wells in ten wells serve a variety of purposes ranging shallow waste disposal wells, more appropriate categories which from subsidence prevention to control stormwater and agricultural drainage combine together wells that are mostly of underground fires. systems, or other devices that are used similar both in terms of the nature of • ‘‘In-situ and Solution Mining to release fluids either directly into fluids that they inject and their potential Wells’’ which are used to liberate fossil USDWs or into the shallow subsurface to endanger USDWs. fuels from the geologic formation which that overlies USDWs. In some instances, The 10 general categories of Class V contains them or to bring minerals from the fluids released by these wells wells are: underground deposits to the surface. contain elevated concentrations of • ‘‘Beneficial Use Wells’’ which They do not include wells specifically contaminants that may endanger include a variety of well types used listed as Class III wells under § 146.5. drinking water supplies. EPA estimates either to improve the quality or flow of • ‘‘Industrial Waste Discharge Wells’’ that more than one million Class V aquifers or to provide some other which are used to inject wastewaters wells currently exist in the United benefit, such as preventing salt water generated by industrial, commercial, States. These wells are located in intrusion or controlling subsidence. and service establishments. virtually every State, especially in • ‘‘Fluid Return Wells’’ which are Table 1 shows how these categories unsewered areas where the population used to inject spent fluids associated relate to the listing of wells in § 146.5(e) is likely to depend on ground water. with the production of geothermal of the current regulations and the Class Frequently, Class V wells are designed energy for space heating or electric V well types addressed in EPA’s 1987 as no more than shallow holes or septic power, the operation of a heat pump, Report to Congress. TABLE 1ÐCATEGORIES OF CLASS V INJECTION WELLS Category in today's Current Corresponding injection wells proposal Injection wells in category § 146.5 in report to congress Beneficial Use ...... Aquifer Recharge ...... (e)(6) ...... 5R21 (Aquifer Recharge). Salt Water Intrusion Barrier ...... (e)(7) ...... 5B22 (Saline Water Intrusion Barrier). 1 Note: The current regulations exclude residential and non-residential sanitary waste individual single family and non-residential disposal systems is unnecessary and could be cesspools and septic systems having the capacity to eliminated by applying the 20 person cut-off to all serve fewer than 20 persons per day. For reasons systems. explained in this preamble, the distinction between 44654 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules TABLE 1ÐCATEGORIES OF CLASS V INJECTION WELLSÐContinued Category in today's Current Corresponding injection wells proposal Injection wells in category § 146.5 in report to congress Subsidence Control ...... (e)(10) ...... 5S23 (Subsidence Control). Aquifer Storage and Recovery ...... Not Listed ...... 5X26 (Aquifer Remediation Re- lated). Subsurface Enfironmental Remediation ...... (e)(6). Fluid Return ...... Wells used to inject spent brines after the extraction of min- (e)(14) ...... 5A6 (Direct Heat Return). erals. 5A8 (Ground-water Aqua- culture Return Flow). Wells used to inject heat pump return fluids ...... (e)(1) ...... 5A5 (Electric Power Return). 5X16 (Spent-Brine Return Flow). Wells used to inject fluids that have undergone chemical alter- (e)(12) ...... 5A7 (Heat Pump/Air Condi- ation during the production of geothermal energy for heat- tioning Return Flow). ing, aquaculture, or production of electric power. Sewage Treatment Ef- Wells used to inject effluent from POTWs, or privately owned Not Listed ...... 5W12 (Domestic Wastewater fluent. treatment works receiving solely sanitary sewage. Treatment Plant Effluent Dis- posal). Cesspools ...... Cesspools having the capacity to serve 20 persons or more (e)(2) ...... 5W9 (Untreated Sewage per day and used solely for the subsurface emplacement of Waste (Disposal). sanitary waste. 5W10 (Cesspools). Septic Systems ...... Septic tank and fluid distribution system having the capacity to (e)(9) ...... 5W11 (Septic SystemsÐUndif- serve 20 persons or more per day and used solely for the ferentiated Disposal). subsurface emplacement of sanitary waste. 5W32 (Septic Systems- Drainfield Disposal). 5W31 (Septic SystemsÐWell Disposal). Experimental Tech- Wells used as part of unproven subsurface injection tech- (e)(15) ...... 5X25 (Experimental Tech- nology. nologies other than waste disposal. nology). Drainage ...... Wells used to drain surface and subsurface fluids, including (e)(4) ...... 5D2 (Stormwater Drainage). agricultural drainage and storm water runoff, other than run- 5F1 (Agricultural Drainage). off from loading dock areas, storage areas, and process 5D3 (Improved Sinkholes). areas. 5G30 (Special Drainage). Mine Backfill ...... Wells used to inject a mixture of water, air, and sand, mill (e)(8) ...... 5X13 (Mining, Sand, or Other tailings, or other solids into mined out portions of subsurface Backfill). mines. In Situ and Solution Wells used to inject fluids for the purpose of producing min- (e)(13) ...... 5X14 (Solution Mining). Mining. erals or energy, which are not Class II or III wells. (e)(16) ...... 5X15 (In situ Fossil Fuel Re- covery). Industrial Waste Dis- Wells used to inject wastewaters generated by industrial, com- (e)(5) ...... 5X27 (Other). charge. mercial, and service establishments and which are not in- 5D4 (Industrial Drainage). cluded in the proposed § 146.5 e(1) through e(9). 5W20 (Industrial Process Water and Waste Disposal). 5X28 (Automobile Service Sta- tion Disposal). 5X17 (Air Scrubber Waste Dis- posal). 5X18 (Water Softener Regen- eration Brine Disposal). 5X19 (Abandoned Drinking Water Wells, if used for the subsurface emplacement of industrial or commercial wastes not injected in above categories of Class V wells). 2. Requirements Applicable to Class V § 144.12(a), owners or operators of all Director if a well may not be in Wells UIC wells, including Class V injection compliance with § 144.12(a). wells, are prohibited from engaging in Specifically, the Director must choose Class V wells are currently authorized any injection activity that allows the between requiring the injector to apply by rule (§ 144.24 (a)). Well authorization for an individual permit, ordering such under this section expires upon the movement of fluid containing any effective date of a permit issued contaminant into USDWs, if the action as closure of the well to prevent pursuant to §§ 144.25, 144.31, 144.33 or presence of that contaminant may cause endangerment, or taking an enforcement 144.34, or upon proper closure of the a violation of any primary drinking action. As described in section II.A well. The current regulations subject water regulation under 40 CFR part 142 below, EPA and the States have Class V wells to the general statutory or may otherwise adversely affect effectively used these authorities to and regulatory prohibitions against human health. Sections 144.12(c) and control priority Class V wells. endangerment of USDWs, as well as (d) prescribe mandatory and Owners or operators of Class V some specific requirements. Under discretionary actions to be taken by the injection wells must also submit basic Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44655 inventory and assessment information rulemaking obligations under section Additionally, both States and EPA under § 144.26. In addition, Class V 1421 of the SDWA, 42 U.S.C. 300h, with have been actively identifying Class V wells are subject to the general program respect to Class V injection wells. Under injection well violations and requirements of § 144.25 under which the consent decree in this notice, EPA undertaking enforcement actions to the Director may require a permit, if must (1) propose additional regulations ensure compliance with the necessary, to protect USDWs. Moreover, with respect to all Class V injection endangerment prohibition. For example, under § 144.27, EPA may require wells, (2) propose a decision that no during fiscal years 1991 through 1994, owners or operators of any Class V well, further rulemaking for these wells is EPA and the States conducted more in EPA administered programs, to necessary, or (3) propose additional than 20,000 inspections of Class V submit additional information deemed regulations for some Class V injection wells. These inspections led to the necessary to protect USDWs. Owners or wells and a decision that no further discovery of more than 8,000 Class V operators who fail to submit the rulemaking is necessary for the injection well violations. EPA and information required under §§ 144.26 remaining wells (Consent Decree, ¶2). States responded to these violations and 144.27 are prohibited from using The consent decree further provides with more than 4,500 enforcement their injection wells. that, no later than November 15, 1996, actions against owners and operators of endangering Class V injection wells. In B. Report To Congress on Class V Wells the Administrator shall sign a final rulemaking notice to be published in the some of these enforcement actions, EPA In accordance with the 1986 Federal Register fully discharging the has taken the position that industrial Amendments to the SDWA (42 U.S.C. Administrator’s rulemaking obligations waste disposal wells used to inject 300h–5(b)), EPA summarized under section 1421 with respect to Class fluids exceeding the MCL were in information on 32 categories of Class V V injection wells (Consent Decree, ¶3). violation of § 144.12. In one such action, wells in a Report to Congress entitled This proposal is intended to fulfill EPA issued a general Administrative Class V Injection Wells—Current EPA’s initial obligation under the Order on Consent to 10 major petroleum Inventory; Effects on Ground Water; and consent decree. marketing companies. As a result of the Technical Recommendations, order, penalties totaling more than September 1987 (EPA Document II. Proposed Agency Determination on $830,000 were collected and over 1,300 Number 570/9–87–006). This report the Adequacy of Current Regulations endangering Class V wells were closed. presents a national overview of Class V When EPA promulgated the UIC States and EPA have also required injection practices and State regulations in 1980, little was known other endangering Class V wells to close recommendations for Class V design, about the Class V injection well in order to protect USDWs. For construction, installation, and siting universe, and EPA anticipated that example, during fiscal years 1991 requirements. These State requirements similar to the very specific through 1994, EPA and States reported recommendations, however, did not requirements applicable to Class I, II, that more than 2,500 endangering Class give EPA a clear mandate on how to and III would eventually be V wells were closed. handle Class V wells. For any given type of well, the recommendations can vary promulgated. Therefore, in § 144.24 the B. State Ground Water Protection broadly and are rarely made by more Agency authorized Class V injection Programs than two or three States. For example, wells by rule ‘‘until further In addition to their efforts in the recommendations for septic systems requirements under future regulations implementing the UIC program, States range from further studies (3 States) to become applicable.’’ have been actively developing more State-wide ground water monitoring (1 Several factors had to be considered comprehensive ground water protection State). For industrial waste water wells, in deciding whether such ‘‘further programs. These State ground water some States recommend immediate requirements’’ are in fact necessary. protection efforts are placing greater action and closure while others Important among these factors is the emphasis on prevention of recommend monitoring and ground way in which EPA and the States have contamination and not just remediating water evaluation studies. been able to use current authorities to or controlling specific sources of control Class V wells and the concurrent contamination. Such efforts help to C. Consent Decree with the Sierra Club development of State ground water control the threats associated with On December 30, 1993, the Sierra protection programs. several categories of Class V wells. Club filed a complaint against EPA in A. Implementation of Current Two notable examples of general the United States District Court for the Requirements ground water protection programs being District of Columbia alleging that EPA implemented by the States include failed to comply with section 1421 of Since the mid 1980’s, EPA and State Comprehensive State Ground Water the SDWA regarding publication of UIC programs have been actively Protection Programs (CSGWPPs) and the proposed and final regulations for Class implementing existing requirements for Wellhead Protection Program (WHPP). V injection wells. In particular, the Class V wells, including the Under a new EPA-State initiative, many complaint alleges that EPA’s current endangerment prohibition in § 144.12, States are developing CSGWPPs which regulations regarding Class V wells do in order to protect USDWs. For provide States the flexibility to set not meet the SDWA’s statutory example, State UIC programs and EPA priorities and focus resources on requirements to ‘‘prevent underground directly implemented programs have protecting USDWs from potential injection which endangers drinking used current authorities to require sources of contamination, including water sources.’’ (Complaint, ¶15) owners or operators of Class V wells Class V wells. Eleven States and two EPA entered into a consent decree deemed to have the potential to tribes are currently very active in with the Sierra Club which provides endanger USDWs to obtain permits so developing CSGWPP programs, while that no later than August 15, 1995, the that the wells could be subject to most States have taken the initial steps Administrator shall sign a notice to be additional requirements. During fiscal toward their development. published in the Federal Register years 1991 through 1994, EPA and Under SDWA section 1428, each State proposing regulatory action that fully States issued more than 4,000 permits must prepare and submit a WHPP to discharges the Administrator’s for existing and new Class V wells. protect ground water that supplies wells 44656 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules and well fields that support public industrial and commercial process areas 1. Beneficial Use Wells drinking water systems. The programs or hazardous material/waste storage ‘‘Beneficial use’’ wells include a are implemented primarily at the State areas within well head protection areas. variety of well types used either to level, with municipalities implementing Other States have shown a great deal improve the quality or flow of aquifers programs that reflect State requirements in interest in the development of EPA’s or to provide some other benefit, such or incentives. Under a WHPP, a State or proposed Class V management strategy as salt water intrusion prevention or locality delineates the wellhead and have expressed a commitment to subsidence control. The Agency protection area; identifies sources of work with EPA in achieving appropriate recognizes that, as a group, beneficial contamination in the wellhead control of Class V wells using State use wells are diverse and have a varying protection area; and develops solutions. This commitment will be potential to endanger USDWs. The 1987 management approaches. WHPP are a finalized in EPA/State management Report to Congress concluded that the means to identify Class V wells within agreements and through Regional/State USDW contamination potential of these wellhead protection areas and can serve enforcement agreements. wells ranges from low to high, as a mechanism to institute pollution depending on the particular type of prevention measures, best management C. Assessment of the Need for Additional Class V Regulations well. practices, or well closures. The Program Salt water intrusion barrier wells have also can be used to set priorities among In light of the considerations a low potential to contaminate USDWs permits and enforcement actions, and described above, the Agency has because they generally inject fluids of provide guidance and outreach analyzed the need for additional federal equivalent or better quality than the materials to owners or operators of fluids that naturally exist in the potential contamination sources. As of regulations for each well category injection zone. Based on typical late 1992, approximately 20 States and described in section I.A.1 of this injectate characteristics and the territories had received EPA approval of preamble. possibilities for dilution, injection from their WHPP. By mid-1995, The Agency used two criteria in these wells does not occur in sufficient approximately three-quarters of the evaluating the different categories of volumes to increase contaminant States and territories—40 in all—had Class V wells to determine whether any approved Programs. category warranted additional concentrations in ground water (Report The State of Massachusetts is an regulation: The potential to endanger to Congress, p. 4–334). example of how current UIC authorities USDWs and the anticipated Subsidence control wells, used to in the context of their ground water effectiveness of additional federal control the sudden sinking of the earth’s protection efforts can be used to address regulation under the UIC program in surface resulting from excessive ground Class V wells. The Division of Water preventing endangerment to USDWs. water withdrawal, also have a low Supply within the Massachusetts potential to endanger USDWs. These For wells with a low or no potential wells typically inject fluids of high Department of Environmental Protection to contaminate USDWs based on the (MDEP) has operated the UIC program quality, and typical well construction, quality of injected fluids, the Agency operation, and maintenance would not in the State since 1989 with a limited considers that existing regulations UIC staff. In order to address the risks allow fluid injection or migration into provide sufficient authorities to handle unintended zones (Report to Congress, of Class V injection wells, the few cases where mismanagement of Massachusetts has undertaken both p. 4–342). one of these wells could create an The USDW contamination potential of outreach efforts to industry and endangerment situation. coordination with municipal officials most aquifer recharge wells also is low, To assess the need for additional regarding key elements of its ground because injection fluids are usually of regulation under the UIC program for water protection strategy. These efforts equal or better quality than receiving the other wells, EPA was guided by the have been further supported with an fluids and because typical well inspection and enforcement program following principles. construction, operation, and targeting high priority violators. (1) Additional Federal UIC regulations maintenance would not allow For example, in 1991, MDEP worked are not necessary where adequate State contamination of unintended zones with building code officials and law or local regulations are already in place. (Report to Congress, p. 4–324). makers to revise the State’s Plumbing (2) Additional Federal UIC regulations However, some aquifer recharge wells Code. The code now prohibits auto are not necessary where the Class V may pose a moderate to high threat of service stations, vehicle maintenance wells are not the principal source of USDW contamination, because the facilities and other facilities which endangerment from a widespread quality of the fluid injected may be poor generate liquid hazardous waste from environmental problem. in some cases and because some aquifer recharge wells inventoried by EPA do maintaining floor drains which (3) Additional Federal UIC regulations not appear to be properly designed, discharge to the ground. These regulated are not necessary where endangerments constructed, and operated. For example, facilities must now either connect their are localized problems, e.g., wells which in Texas, many recharge wells are floor drain to a holding tank or a are found only in one or two counties operated by farmers as dual purpose municipal sewer, or seal their floor in one or two States. For these wells drain—a major step in the protection of irrigation supply/injection wells to EPA will work with the States if ground water drinking supplies. drain the land and recharge underlying necessary to bring about better controls. In addition, MDEP is using its aquifers; water injected into these wells wellhead protection regulations to (4) Additional Federal UIC regulations may contain nitrates, phosphorus, impose certain zoning and non-zoning are not necessary where other federal pesticides, herbicides, pathogens, land use controls to protect new programs address the endangerment metals, and total dissolved solids. The municipal water wells. In particular, the caused by certain Class V wells. Agency believes that, in general, regulations state that a town seeking Applying these principles, the Agency recharge wells have impacts similar to approval to construct a new well must decided to address the risk posed by the those of agricultural drainage wells and prohibit the connection of floor drains 10 Class V well categories listed in the the reasons for not proposing additional to subsurface disposal systems in proposed regulation as follows: regulations for these types of wells are Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44657 similar to those described under The excessive temperatures of the The Report to Congress concluded ‘‘Drainage Wells’’ below. In Florida, injected fluids also may pose a concern. that wells used to inject spent brine ‘‘connector’’ wells, specifically designed However, these wells are believed to after the extraction of minerals to allow communication between the pose an overall moderate contamination (halogens or salts) have a low potential surficial perched aquifer and the deeper potential because typical well to contaminate USDWs (Report to supply aquifer, often emplace fluids that construction, operation, and Congress, p. 4–236) and are found in greatly exceed primary drinking water maintenance is not expected to allow only seven States. Typically, these wells standards for gross alpha radiation (in fluid injection into unintended ground are adequately constructed with 10–20 percent of these wells). However, water zones. The wells are typically multiple layers of protection which this is an example of a practice which constructed so that the injection zone is isolate the injected fluids from overlying is so localized that EPA believes that a a geothermal reservoir, below all USDWs and inject into deep confined more effective approach than Federal USDWs. formations. Therefore, even though the regulations is to work with and support The vast majority of the geothermal concentrations of some contaminants in Florida’s efforts to address these wells, fluid return wells are located in the injectate may exceed drinking water and to take appropriate Federal California and Nevada. Both States standards, there is little potential for the enforcement actions where necessary. already require permits for the drilling contaminants to migrate into USDWs. Another type of beneficial use well and operation of these wells. In Based on these factors, EPA believes that could have a high potential to California, the Division of Oil and Gas that additional federal UIC regulations contaminate USDWs if not properly and Geothermal Energy Resources for these wells are unnecessary because controlled is subsurface environmental oversees this permitting, and among these wells are most appropriately remediation wells. These wells are other conditions, requires monthly managed through existing State and designed to improve an aquifer’s quality reports on injection volumes and rates. local authorities who are best equipped by extracting and treating contaminated In Nevada, geothermal wells are to tailor individualized design and ground water and then injecting the regulated by the Division of operational requirements to the treated effluent. While the treated Environmental Protection, and existing hydrogeologic conditions found in each injectate should be of higher quality permit requirements cover construction, of these seven States in order to protect than the receiving aquifer, the injection operation, and closure of these wells. USDWs. must be controlled closely to make sure Aquaculture return flow wells, which Overall, the Agency believes that the that high concentrations of are used for disposal of liquid and semi- State permit programs currently in place contaminants are not released and that solid wastes associated with are sufficiently stringent to protect it does not exacerbate the ground water aquaculture, have a moderate potential USDWs from contamination from contamination that is being cleaned up. to contaminate USDWs according to the geothermal fluid return wells, and are These remediation wells operate as part Report to Congress (Report to Congress, sufficient to prevent exceedences of the of facility specific clean-up plans, p. 4–136). All injection from these wells National Primary Drinking Water which are approved and overseen by occurs adjacent to the ocean. federal and State officials. EPA believes, Standards. Furthermore, EPA believes Operational monitoring of these wells is therefore, that additional federal that because many of these well types minimal. However, it is known that the regulations under the UIC program are are concentrated in just a few western injectate typically contains nitrates, not needed to control potential States, creating a rigorous national nitrites, ammonia, BOD, and problems associated with these wells regulatory system would provide little orthophosphate, often in concentrations because such regulations would simply additional benefits. If any wells pose exceeding drinking water standards. duplicate existing controls. EPA specific problems that are not being Injectate volumes are also extremely believes that remediation actions are adequately addressed by the States, EPA large (exceeding 10,000 acre-feet). already adequately controlled as part of can use the prohibition of fluid Therefore, aquaculture return flow wells RCRA, CERCLA, or State remediation movement standard in 40 CFR 144.12 or have the potential to influence ground programs. can require them to be permitted under water quality in the vicinity of the point 40 CFR 144.25 to prevent the of injection. The potential for serious 2. Fluid Return Wells endangerment of USDWs. degradation of ground water quality is ‘‘Fluid return’’ wells are used to inject According to the Report to Congress, mitigated, however, because the basal spent fluids associated with the heat pump/air conditioning return flow ground water flow in coastal Hawaii is production of geothermal energy for wells pose a low potential to usually seaward and the flow of space heating or electric power, the contaminate USDWs, even though they contaminants will likely be away from operation of a heat pump, the extraction typically inject into or above USDWs fresher water inland (i.e., suitable of minerals, or aquaculture. The 1987 (Report to Congress, p. 4–117). Because drinking water). In addition, all Report to Congress on Class V wells these wells generally dispose of return aquaculture return flow wells are ranked the contamination potential of supply water, which has only been presently regulated under a permit fluid return wells as moderate to low. thermally altered, injectates are usually program administered by the Hawaii Both direct heat return wells and the same quality as fluids within any Department of Health that is adequate to electric power wells were assessed by USDW in connection with the injection prevent the endangerment of USDWs. the Report to Congress as having a zone. Because of the lack of associated For these reasons, EPA believes that moderate contamination potential serious threats and the fact that 16 additional federal UIC regulation for (Report to Congress, p. 4–106). Reasons States already have established permit this type of Class V well is unnecessary given for this ranking include the fact programs for these wells, EPA believes at this time. that injected geothermal fluids typically additional federal standards are have at least one constituent exceeding unnecessary at this time. If EPA finds a 3. Sewage Treatment Effluent Wells water quality standards (e.g., arsenic, particular well is endangering USDWs, Data in the Report to Congress suggest chromium, and mercury), and injection existing authorities under 40 CFR that sewage treatment effluent wells occurs in great enough volumes to 144.12 or 144.25 will be used to remedy have a moderate potential (ranging from potentially affect ground water quality. the problem. high to low) to contaminate USDWs 44658 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules (Report to Congress, p. 4–185). Some federal ban. Where State bans presently necessary to control the threat posed by sewage treatment effluent wells are used exist, States are phasing out existing septic systems. All 50 States allow to inject clarified effluent that has cesspools over a time period negotiated septic systems and recognize septic undergone secondary or tertiary by State and local governments and systems as a critical element of sanitary treatment. For example, a few shallow acceptable to EPA. However, since waste disposal. Most States already have wells in Florida and Hawaii inject cesspools are very likely to be in standards governing the siting, spacing, effluent that has undergone tertiary violation of the non-endangerment construction and operation of septic treatment, and there are 10 wells at a requirements of § 144.12, EPA will systems. These standards have generally U.S. Forest Service ski lodge on Mount continue to use its enforcement been tailored to reflect local Hood, Oregon, that inject effluent that authorities to supplement State bans in hydrogeologic conditions. In addition, has undergone secondary treatment. The direct implementation States. as discussed in the Report to Congress, Agency believes the risk of these the major cause of ground water 5. Septic Systems injection practices is low because the contamination from septic systems is injectate is of high quality. Under the UIC program, EPA improper spacing; that is, the In some States, sewage treatment regulates septic systems which have the construction of too many systems too effluent that has undergone only ′capacity to serve 20 people or more but close together. This problem often primary treatment creates a higher does not regulate smaller, single family occurs in areas of rapid growth and potential to contaminate USDWs. systems. EPA believes that when development, where public sewers do Because the majority of these sewage properly spaced, sited, designed, not exist. In these instances, EPA treatment effluent wells of concern are constructed, and maintained all septic believes that land-use planning being addressed at the State level systems, regardless of their capacity, measures, which are available (Florida and Hawaii have 80 percent of should not endanger USDW. However, principally at the local level, are the them), EPA does not believe that the Report to Congress deemed septic only efficient approach to protecting the additional federal UIC regulations are systems as ‘‘high risk’’. There are two environment. warranted at this time. Any problems important reasons why the Report to The Agency did consider the option with these wells in Florida and Hawaii Congress seems to disagree with the of proposing specific conditions of do not stem from inadequate Agency’s view on the risks posed by authorization by rule for large capacity regulations, but rather can be overcome septic systems. First, the Report to septic systems. However, to effectively through effective enforcement and more Congress considered not only septic protect USDWs from the risks posed by active implementation of existing systems which receive solely sanitary septic systems, proper siting and design regulations and authorities as is waste, but also systems which receive standards must be tailored to local presently ongoing in Hawaii. industrial and commercial wastes in hydrogeologic conditions. EPA believes As a result, the Agency proposes to addition to, or instead of, sanitary that the States and local authorities are control any wells not being adequately waste. EPA does not consider septic in the best position to tailor these addressed by specific State programs systems which receive industrial or standards. Therefore, in order to avoid through the application of the no fluid commercial waste to be properly interfering with existing State and local movement standard in 40 CFR 144.12 classified as ‘‘septic systems’’. Rather, programs, conditions of rule and, if necessary, calling individual EPA proposes to classify these high risk authorization for septic systems at the wells in for a permit under 40 CFR wells as ‘‘industrial waste discharge national level would have to be so 144.25. wells’’ and will manage such wells as general that they may not result in any 4. Cesspools discussed in the appropriate section added protection to USDWs while below. creating an additional administrative Cesspools are Class V wells which Second, the conclusions in the Report burden on States. For these reasons, receive untreated sanitary waste and to Congress regarding the risks posed by EPA is not proposing additional allow the waste to percolate directly septic systems were based, in part, on regulations for septic systems and will into the subsurface. EPA believes single-family septic systems because instead rely on its Class V Management cesspools have a high potential to local records frequently were not Strategy to minimize the threat posed by contaminate USDWs. According to the sufficiently detailed to distinguish these wells. Report to Congress, sanitary waste single-family systems from larger units. 6. Experimental Technology Wells released in cesspools frequently exceeds EPA is aware that improperly spaced the MCLs for nitrates, total suspended and sited single-family septic systems The Report to Congress ranked the solids, and coliform bacteria (Report to can endanger USDWs, however, such USDW contamination potential of Congress, p. 4–151). Other constituents systems are not included under the experimental technology wells as of concern can include phosphates, purview of the UIC program.2 Once moderate to low (Report to Congress, p. chlorides, grease, viruses, and chemicals these single-family systems, and 4–355). The Report identified 225 used to clean cesspools such as misused systems used for the disposal experimental technology wells in 17 trichloroethane and methylene chloride. of industrial or commercial waste States, over half of which were inactive Numerous States, including Arizona, (which are defined as ‘‘industrial waste underground coal gasification, in-situ California, Hawaii, Illinois, Indiana, discharge wells’’ under today’s oil shale retorting, and improperly New York, Ohio, and Oregon, have proposal), are excluded from the classified in-situ uranium solution reported degradation of USDWs from definition of ‘‘septic system(s)’’, EPA mining wells in Wyoming. At present, such cesspools. As opposed to properly does not believe that the remaining EPA is unaware of any operating managed septic systems, cesspools systems pose a significant national experimental technology wells and provide no treatment except for some problem. cannot realistically determine what settling of the solids. Therefore, EPA does not believe that construction and operational processes Based on these concerns, new additional federal UIC regulations are might be involved in future subsurface cesspools are currently banned in all experiments. States, with the exception of Hawaii, 2 See 40 CFR 144.2(g)(2)(ii) and House of Therefore, EPA has decided not to and therefore there is no need for a Representatives Report No. 93–1185. propose additional stringent Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44659 requirements for Class V experimental program. Therefore, the Agency believes Chesapeake Bay Program, may reduce technology wells. EPA believes that that these wells are most appropriately the need for UIC regulation of continuing to rule authorize managed at the State and local level agricultural drainage wells. In 1992 experimental technology wells will where the overall risks associated with alone, the Chesapeake Bay Program provide adequate protection of USDWs. general agriculture practices can be spent 54.2 million dollars on the Under the current 40 CFR 144.26(e)(3), addressed in a holistic fashion. installation of agricultural BMPs to the owner or operator of any new Therefore, under today’s proposal, the reduce agricultural runoff experimental technology well, in States Agency would continue to rule contaminating the Bay. This funding has with EPA administered programs, must authorize agricultural drainage wells, provided for planning, designing, and submit detailed inventory information while seeking to resolve the issues installing nutrient and erosion controls, prior to starting injection. This associated with nitrate and pesticide as well as integrated pest management submittal would alert the EPA UIC contamination in a broader manner. projects intended to reduce the program about the proposed injection While agricultural drainage wells are quantities of pesticides applied to crop activities and give the Director the numerous, they appear to be lands. These efforts help reduce the opportunity to request additional concentrated in Florida, Idaho, and amount of fertilizers, manure, and information under 40 CFR 144.27 and/ Iowa. Problems in these localized areas pesticides potentially migrating through or require a permit under 40 CFR 144.25 can be addressed by specific State and agricultural drainage wells into USDWs if necessary to protect USDWs. local programs, such as the CSGWPPs (Managing Nonpoint Source Pollution, and the Pesticide State Management 7. Drainage Wells USEPA Office of Water, EPA–506/9–90, Plans. EPA also has convened a panel of January 1992). Section VII of this Drainage wells consist of a variety of experts to evaluate and develop BMP preamble provides further discussion of wells used to drain surface and guidelines to help ensure that the relationship between today’s subsurface fluids. According to the 1987 agricultural drainage wells do not proposal and other EPA programs. Report to Congress, these wells range 3 endanger USDWs. As envisioned by Stormwater drainage wells were from low to high in contamination EPA and other members of this panel ranked by the Report to Congress as potential, depending on the particular (including the U.S. Department of having a moderate potential to type of drainage and well. Agriculture, State agencies, and contaminate USDWs (Report to The most common types of drainage universities), EPA can best achieve the wells include agricultural drainage Congress, p. 4–41). This assessment goal of protecting USDWs from considered the fact that urban storm wells that receive irrigation tailwaters or contamination associated with water runoff can acquire contaminant stormwater; certain stormwater runoff agricultural drainage wells by informing loads from streets, roofs, landscaped wells that do not receive uncontrolled, State agencies as to the available BMPs areas, industrial areas and construction contaminated runoff (i.e., chemical and then allowing regional sites consisting of herbicides, pesticides, spills or stormwater runoff that has not governmental or regulatory entities to fertilizers, deicing salts, gasoline, grease, been adequately segregated from select the techniques best suited to local oil, tar and paving residues, rubber chemical spills); ‘‘special’’ drainage conditions. In the meantime, EPA particulates, and many other wells; and improved sinkholes. would work with existing State and constituents. In the Nationwide Urban Data collected for the Report to local programs to provide compliance Runoff Program (NURP), heavy metals Congress indicate that agricultural assistance to the owners and operators drainage wells have a high potential to of these wells. If necessary to protect were found to be the most prevalent contaminate USDWs because they may USDWs, EPA could supplement these priority pollutants in urban runoff. Most inject high concentrations of several efforts by enforcing 40 CFR 144.12 and constituents released into stormwater contaminants, including sediment, requiring owners or operators of drainage wells, however, usually are not nutrients, ions (including chloride and individual wells to submit information present in concentrations that exceed sulfate), pesticides and other organic and, if necessary, obtain permits under drinking water standards, according to compounds, metals (including arsenic, 40 CFR 144.25. the Report to Congress. Moreover, chromium, lead, copper, selenium, and EPA believes that not proposing contamination studies to date have not mercury), and pathogens (Report to additional federal UIC regulations for shown that area-wide degradation of Congress, p. 4–27). agricultural drainage wells is further ground water quality has resulted from Although the Agency acknowledges supported by the ongoing development these drainage wells. these potential problems associated and implementation of other programs EPA believes that the most significant with agricultural drainage wells, EPA designed to address agricultural threats posed by storm water drainage does not believe that additional Federal contamination problems. For example, wells occur when the wells are located UIC regulations are necessary or agriculture-related activities to reduce near loading docks, storage, and process appropriate for these wells. As with pollution receive the bulk of EPA’s grant areas where chemical spills may occur. septic systems, EPA believes that funding in the Nonpoint Source EPA maintains that if storm water additional Federal UIC regulations for program. State funded activities to drainage wells are separated from these agricultural drainage wells would be reduce agricultural contamination (e.g., areas by a physical barrier (e.g., berm, unlikely to prove effective in providing nitrates) of water resources include dike, ditch, etc.), then these wells do not additional protection for USDWs. support for technical assistance, appear to pose a high potential to Agricultural drainage wells are a very educational programs, enforcement contaminate USDWs and do not warrant small part of the overall impact of mechanisms, and assistance for BMP additional UIC regulation. If however, farming on ground water. Most ground demonstration projects. Similarly, no physical barriers are in place that can water contamination problems region-specific programs, such as the adequately contain a spill, EPA attributed to these wells are more often proposes to classify such wells as Class the result of common agricultural 3 See ‘‘Expert Panel on Water Quality Impacts of V industrial waste discharge wells, and practices such as fertilizer and pesticide Agricultural Drainage Practices, September 24–25, subject them to the same management 1991 Meeting Summary,’’ Underground Injection application and land use practices, Control Branch, U.S. Environmental Protection approach as other industrial wells which are outside the scope of the UIC Agency, September 28, 1992. discussed below. 44660 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules A variety of flow diversion structures 144.12, requirements to submit will be working with State UIC and/or spill containment measures can information, and requirements to obtain authorities to make sure that such uses be used to adequately segregate process a permit in certain situations when of Class V wells are, in fact, prohibited. areas, loading docks, and storage tank found to be necessary, under 40 CFR Similarly, use of these wells to inject areas from stormwater drainage wells. 144.25, would be a more appropriate industrial waste or stormwater runoff Flow diversion structures divert regulatory approach than stringent from process areas, loading docks, or stormwater flow away from or around permit requirements under the federal storage areas would cause them to be drainage wells and/or potential spill UIC program. Moreover, the Florida classified as industrial wells. Therefore, areas. These can include gutters, sewers, Department of Environmental today’s proposal would in effect limit channels, diversion dikes, or other Regulation already requires permits for the classification of improved sinkholes structures. Effective diversion structures the construction, plugging, and as drainage wells to those used for are typically constructed with a positive abandonment of swimming pool stormwater emplacement (other than grade, although the grades are not so drainage wells and implements from process areas, loading docks, or steep as to cause erosion from water substantive requirements to protect storage areas), and the potential for movement. The conveyance is sized to USDWs. these wells to contaminate USDWs handle the amount of water it will All of the landslide control drainage would be similar to that of other receive and is routinely inspected and wells inventoried by the Agency for the stormwater drainage wells. On this cleared of debris. Report to Congress are located in basis, the Agency is proposing to Spill containment structures include Montana. These wells inject ground continue to rule authorize these wells dikes, curbs, catch basins, and other water from the shallow subsurface to and continue to utilize existing structures capable of containing spills, deeper zones and are likely to have a regulatory authority (e.g., 40 CFR leaks, or other releases. Effective low contamination potential due to their 144.12, 144.25, etc.) to protect USDWs. containment structures are sized to use of water from relatively handle both rainfall and possible uncontaminated shallow aquifers 8. Mine Backfill Wells releases and spills, and are regularly (Report to Congress, p. 4–68). The Mine backfill wells are used to place inspected and maintained to insure the primary threat from these wells would hydraulic (water) or pneumatic (air) integrity of the system. Further arise from accidental releases of slurries of sand, gravel, cement, mill information about these and other chemicals at the surface that could tailings/refuse, or fly ash into systems that are believed to provide immediately transfer a large amount of underground mines. Mine backfill wells adequate segregation from process areas, contaminants to an aquifer. However, serve a variety of purposes ranging from loading docks, and storage tank areas, because these wells are already subsidence prevention to control of for the purpose of qualifying as a permitted by the State of Montana, and underground fires. Data collected for the stormwater drainage well under today’s the probability of a chemical spill in the Report to Congress indicate that, in proposal, may be obtained in Storm immediate vicinity of landslide control general, mine backfill wells have a Water Management for Industrial well appears small, EPA believes that moderate potential to contaminate Activities; Developing Pollution additional federal regulation is not USDWs (Report to Congress, p. 4–199). Prevention Plans and Best Management warranted. This assessment considered the fact that Practices (EPA 832–R–92–006; A final type of drainage well includes injectates consist of slurries that have September 1992). improved sinkholes, or natural surface the potential to react with acid mine Special drainage wells, which include depressions that have been altered in water to mobilize potential ground swimming pool water drainage wells order to direct fluids into the hole water contaminants. Mill tailings and and landslide control drainage wells, opening. These wells are constructed in fly ash in the slurries also may cause were characterized as having a moderate karst topographic areas and are used to detrimental interactions. Although the to low contamination potential in the dispose of stormwater runoff in low injectate may contain some Report to Congress (Report to Congress, areas along highways. Based on the contaminants, aquifers interconnected p. 4–68). All except one of the 1,385 analysis in the Report to Congress, with these wells are generally of swimming pool drainage wells improved sinkholes pose a high to moderate to poor quality already, and inventoried by EPA for the Report are moderate potential to contaminate the introduction of the injectate may not located in Florida, although the Agency USDWs (Report to Congress, p. 4–53). be considered degradation. Short-term is aware that such wells also exist in Major factors that contributed to this use wells (mine fire control), in other States. Swimming pool drainage ranking included: (1) These wells particular, pose little threat to USDWs. fluid may include calcium hypochlorite, typically inject into or above USDWs, Moreover, most mine backfill/mine fire chlorine, bromine, iodine, fungicides, (2) injectates often have constituent control wells are currently regulated and other contaminants. Some of the concentrations exceeding drinking under State water quality or mining free chlorine in the fluid may degrade water standards, and (3) runoff fluids, programs. into trichloromethane. Although the which may include lead, petroleum An independent assessment of Class drainage fluid sometimes has products, pesticides, fertilizers, wastes V well injection of coal mining waste concentrations of constituents in excess from wild and domestic animals and into underground mines in West of the MCLs, the injectate may be of birds, are injected through and into Virginia 4 provides additional evidence equal or better quality than the fluids channeled and fractured limestone or that mine backfill wells do not pose a within any USDW in connection with dolomite, limiting filtration or other threat to ground water. Prior to the start the injection zone. Moreover, according attenuative processes. of this research in 1985, the West to the Report to Congress, injection from To address these risks, EPA will these wells is unlikely to migrate into classify improved sinkholes on the basis 4 ‘‘An Assessment of Class V Well Injection of unintended zones (considering typical of how they are used as opposed to how Coal Mining Waste into Underground Mines in well construction, operation, and they are designed. For example, when West Virginia,’’ prepared by Diane M. Smith, Keystone Environmental Resources, Inc. maintenance) or degrade the quality of used to inject raw sewage these wells (Monroeville, PA) and Henry W. Rauch, West receiving aquifers. Accordingly, EPA would be cesspools, and thus should be Virginia University, Department of Geology and believes that enforcement of 40 CFR banned by current State regulation. EPA Geography (Morgantown, WV). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44661 Virginia Department of Natural for these wells are needed at this time, of facilities to be regulated, and the Resources and EPA determined that the however, because there currently are no nature of the regulated community. injection of coal slurry and mine such wells known to be operating in the The diversity in the types of fluids drainage precipitate sludge into United States. being injected makes it difficult to underground coal mines was the most Owners or operators of solution establish one set of national minimum common Class V well injection activity mining wells use injection and recovery requirements. On one hand, EPA knows in the State. Slurry or sludge injection techniques to bring minerals from of numerous cases where industrial to underground mines was found to be underground deposits to the surface. wells have caused significant ground practiced by 46 companies having 65 Based on the data in the Report to water contamination. One survey, by injection projects at 60 mines across the Congress, EPA believes that these wells EPA, in 1991 identified 100 Class V State. Overall, slurry injection to have a low potential to contaminate injection well contamination cases. underground coal mines was found USDWs (Report to Congress, p. 4–209). (Drinking Water Contamination by usually to improve the quality of water This assessment considers the fact that Shallow Injection Wells, U.S. EPA that accumulates in the mines, most solution mining wells inject below Office of Water, March 1991.) commonly increasing pH and alkalinity USDWs (though not below the Remediation costs, for the 10 cases for levels as well as causing minor changes lowermost USDW) with very little which cost information was available, in trace element concentrations. Slurry potential for migration of fluids into ranged from tens of thousands to injection, however, did result in USDWs. Though injectates may be millions of dollars per site. Class V increased sulfate levels in mine water. corrosive acids with pHs exceeding wells have been partially or fully Sludge injection to underground mines drinking water standards and injectate responsible for the contamination of was found to affect mine water quality volumes tend to be large, losses of fluid public water supplies in every EPA in variable ways. In general, sludge from the workings should be minimal. Region in the country. In EPA Region 10 injection appeared to improve water Since the construction and operational alone (The States of Idaho, Oregon, quality in highly alkaline mine waters aspects of solution mining are simple, Washington and Alaska), at least eight but cause some degradation in acidic the potential for a malfunction leading Superfund sites can be either mine waters. to migration is minimal. Moreover, most completely or partially attributed to the Based on this information, additional of these wells are located in semi- disposal of industrial or commercial federal regulation of these wells under remote areas far away from population wastes in Class V industrial wells. At one Superfund site in Idaho, over $10 the UIC program does not appear centers. Most solution mining occurs in warranted to protect USDWs. The million has been spent on remedial the desert Southwest whose alluvial Agency recognizes that some mine investigation and feasibility studies to aquifers generally have low water backfill wells may adversely affect clean up contamination associated with quality and USDWs are sparse. New ground water quality, especially when past injection practices. At another site Mexico, Wyoming and Arizona, three slurries or sludges are injected into in Vancouver, Washington, the disposal States in which the majority of these mines that accumulate acid mine water. of dry cleaning solvents in a septic wells are located, have already However, the generally poor quality of system resulted in the contamination of established permit programs for solution ground water that naturally exists in a municipal water supply well, forcing mining wells. For all of these reasons, and around mines and the controls that the city to switch the approximately EPA does not believe that additional are already in place under State water 30,000 people serviced by this well to or mining programs indicate that mine federal regulation of these wells is another source of drinking water. backfill wells can generally continue to necessary to protect USDWs. On the other hand, the Agency be rule authorized under the federal UIC 10. Industrial Waste Discharge Wells recognizes that many industrial sources program without endangering USDWs. inject wastes that have low EPA will continue to control these wells The most difficult decision for EPA concentrations of contaminants and, by enforcing 40 CFR 144.12, requiring concerning this proposal lay with the therefore, are not likely to endanger owners or operators of particularly appropriate management strategy for the USDWs. With proper maintenance and troublesome wells to obtain a permit remaining Class V wells—the industrial management practices, these industrial pursuant to 40 CFR 144.25, and, in EPA waste discharge wells. These Class V injection wells may be able to inject administered programs, requiring the wells, which are used to inject fluids without endangering USDWs. submittal of information under 40 CFR industrial and commercial wastes, For example, some carwashes dispose 144.27 on a case-by-case basis as needed present the greatest danger to USDWs. of the wash water into a septic tank or to protect USDWs. In the process of developing this dry well. If no motor or undercarriage proposal, EPA carefully considered an washing is being performed, in general, 9. In Situ and Solution Mining Wells option of proposing additional such fluids will have low In situ fossil fuel recovery wells are regulatory requirements for these wells. concentrations of contaminants. used to inject water, air, oxygen, Specifically, EPA considered using a Laundromat washwater disposed of into solvents, combustibles, or explosives traditional approach of requiring owners a septic system or dry well, where no on into underground coal or oil shale beds and operators of Class V industrial site dry cleaning is performed and with the purpose of liberating fossil waste discharge wells to apply for a where no solvents are used for fuels. According to the Report to permit or close the wells in accordance laundering, usually should not differ Congress, these wells pose a moderate with closure requirements specified in significantly from household potential to contaminate USDWs the regulation. EPA, however, believes wastewater and should not endanger (Report to Congress, p. 4–229). The that its approach to managing Class V USDWs. main concern for this well type is the industrial waste discharge wells has to Equipment washdown water from potential impact of explosives and be different because of the special such industries as poultry and meat combustion products on ground water problems posed by these wells. This processors, seafood processors, and quality, which may include polynuclear difference is characterized by three pickling operations are, in general, aromatics, cyanides, nitrites, and factors: The diversity in the types of similar in quality to the sanitary waste phenols. No additional UIC regulations fluids being injected, the large number from restaurant kitchens, which the 44662 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules Agency is proposing to define as Class V program for industrial waste annual meeting of the Ground Water sanitary waste that can be disposed of discharge wells depends on a high level Protection Council held in Washington, in septic systems. As long as the wells of voluntary compliance and an DC, on March 13, 1995. accept only equipment washdown water effective program implementation at a In a parallel fashion, EPA’s efforts to and not process wastes from food State or local level of government. Many develop a Class V Management processing operations, EPA believes Class V industrial waste discharge wells Implementation Strategy Guidance to that, in most cases, the injectate would are, in fact, misused septic systems. help States put in place comprehensive not likely endanger USDWs. Because local health departments are Class V programs was also used to Second, the Agency believes that the located in or near communities with advise states on the proposed rule. EPA sheer size of the regulated community these Class V wells, the Agency believes held two consultations with State Class and the lack of facility specific data that control of these is best effected at V managers on this guidance in which makes it difficult to consider a the local level. Implementation of many the particulars of the rule and the traditional approach. In order to aspects of the Class V strategy could be schedule for issuance were discussed. examine options for this proposal, the conducted by these local entities and The first meeting was held in Memphis, Agency attempted to characterize the results better measured by local Tennessee, June 20–21, 1995, and segment of the industrial waste officials. attended by 12 States and one Tribal discharge well population with a Therefore, because of the large government representative. The second significant potential (based on the diversity and size of the industrial waste meeting was held in Salt Lake City, characteristics, volume and type of discharge well universe, and the unique Utah, July 11–12, 1995 and attended by injected fluids) to endanger USDWs (see nature of the regulated community, EPA 18 States. EPA’s proposed approach was background document entitled ‘‘Class V believes that additional federal UIC generally well received and its inherent Industrial Well Inventory Analysis’’). regulations to protect USDWs are flexibilities were viewed favorably by EPA did not include in this analysis the inappropriate. EPA believes that the the States. The roster of attendees at industrial waste discharge wells which risks posed by these wells are best these sessions, added to the list of State it believes are posing a lesser threat to addressed, using existing authorities, as Class V program managers who could USDWs such as: described below. not attend, will serve as the primary (1) Wells used to inject fluids from car III. EPA’s Strategy for the Management target audience for EPA’s distribution of washes where no motor or this Federal Register notice. undercarriage washing is performed; of Class V Wells (2) Wells used to inject wastewaters Instead of proposing additional Class A. Technical Assistance V regulations, EPA will work with the from laundromats where no dry 1. Program Management States to implement a comprehensive cleaning is performed; Implementation Guidance (3) Wells used by food processors for Class V management strategy. The goal disposal of washdown water from of the strategy will be to speed up the EPA plans to issue a Class V poultry, meat and seafood processing, closure of potentially endangering Class Management Implementation Strategy and pickling operations. V wells using current authorities and to Guidance to help States and Regions put Based on its analysis, the Agency promote the use of best management in place comprehensive Class V estimates that of the more than one practices to ensure that other Class V programs using current authorities. EPA million Class V wells, there are over wells of concern do not endanger is in the process of drafting this 117,000 industrial waste disposal wells. USDWs. guidance with input from the States. As These wells are used for the disposal of To achieve these goals, EPA will rely mentioned above, EPA has already held industrial and commercial wastewaters on the existing performance-based two meetings to consult with the States at automotive-related facilities, print standard in § 144.12, its other regulatory on the development of this guidance. shops, dry cleaners, electronic authorities in subpart C of the UIC rules, EPA’s goal in this guidance is to help equipment manufacturers, and photo and a carefully tailored combination of the States put in place programs that processing labs. guidance, education, and outreach. EPA will result in: A third factor is the nature of the believes that this approach will be more —Closure of endangering Class V wells regulated community. A large effective than promulgating additional such as industrial waste disposal proportion of industrial waste discharge design-based Class V requirements. wells and cesspools, particularly in wells are owned by small businesses. Since the Class V rule was developed ground-water priority areas (wellhead For example, 72 percent of all retail in the Fall of 1994, EPA has undertaken protection areas, etc.). motor fuel outlets are owned by small a number of steps to assure effective —Adequate controls being imposed on businesses. In reaching today’s consultations with and the active other Class V wells with a high proposed decision, EPA attempted to involvement of States. EPA has also potential to contaminate USDWs, if minimize the administrative burden on employed a number of other approaches improperly managed. small business without compromising to solicit input from States on the scope This guidance will focus on the the protection of USDWs. EPA believes and appropriateness of the proposed following areas: that the Class V wells are better rule. An overall Class V strategy was (1) The need to set priorities and managed by State and local officials developed early in 1995, which outlined focus the State UIC resources on the because many are owned and operated how the Class V rule, coupled with highest risk Class V wells. To this end, as small local businesses such as ‘‘mom guidances on implementation and a the guidance will offer ideas for and pop’’ gasoline service stations and variety of technical issues, would work prioritization schemes based on the convenience stores, or corner dry to assure that high priority Class V wells types of fluids being injected and cleaners. These small entrepreneurs are addressed properly and their geographic targeting. could be significantly affected by any potential threat to USDWs is reduced or The Class V management guidance additional administrative burden, such eliminated. A draft of the Strategy for will specifically target the following as the obligation to apply for a permit. the Comprehensive Management of types of Class V industrial wells for Also, because of the nature of the Class V Wells was presented to State inspection and follow-up enforcement regulated community, the success of the UIC program directors at the semi- action: Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44663 (a) Disposal wells used by automotive • Hydrogeologic factors to consider in closure of Class V wells which may related facilities such as: system location to ensure the protection endanger USDWs and proper —Gas stations of USDWs. management of other non-industrial —Automobile repair shops c. Agricultural drainage well wells. EPA’s first concern is an outreach —Automobile parts supply companies guidance. The Agency will issue a and education effort directed toward the —Motor vehicle dealers technical assistance guidance to help owners and operators of Class V (b) Disposal wells used by ‘‘light’’ owners/operators of agricultural industrial waste discharge wells. industrial facilities such as: drainage wells minimize the impact of The materials will be designed to their facilities on USDWs. The guidance inform the general public and local —Dry cleaners could include such recommendations government authorities as well as —Photographic processors as: operators of Class V wells, about the —Electroplaters • Pesticides or fertilizers should not potential environmental and public —Metal fabricators be mixed or stored in the immediate health threats posed by these wells. —Printers vicinity of a drainage well in a manner These materials will provide (2) The need to work cooperatively that allows spills, runoff, or leachate to information to operators of Class V with other States and local authorities to enter the well directly. facilities about the risks associated with implement the program. The types of • To the extent possible, the timing these wells, what can be done to facilities regulated under the Class V and methods for applying fertilizers minimize the environmental threats of program are also likely to come under should be selected to provide nutrients shallow injection wells, the benefits of the purview of other regulatory at rates necessary to achieve realistic closing Class V wells that may endanger programs particularly at the local level crop yields, prevent endangerment of USDWs, and where to get appropriate (county sanitarians, fire marshals, USDWs, and avoid applications to technical assistance. zoning boards). The guidance will frozen soil and during periods of The outreach effort will be two describe how States can reach out to leaching or runoff. pronged. and educate these entities to enlist their • To the extent possible, owners or (1) The Agency will develop materials help in implementing the program. operators should use integrated pest to help States work with local (3) The need to develop partnerships management strategies that apply government officials and make them with volunteer organizations and pesticides only when an economic aware of the risks posed by Class V environmental groups to help with benefit to the producer will be achieved wells to the public water supplies on outreach to the regulated community. (i.e., applications based on economic which their constituents depend. The goal of this effort is to enlist local 2. Technical Guidances thresholds), and apply pesticides efficiently and at times when runoff and government help in dealing with Class To support the Implementation leaching losses are unlikely. V wells through the use of local Guidance, EPA is also proposing to • Agricultural drainage wells should ordinances, zoning and other local issue technical guidances, some be located away from unsuitable areas, solutions. directed at the regulated community such as locations with excessively (2) The Agency will work with and some directed at the States. drained or highly erodible soils, and specific trade associations through this a. Industrial waste discharge well areas overlaying fractured bedrock or effort to inform operators of industrial closure guidance. Since EPA believes solution cavities that drain directly into waste discharge wells of the risks posed that the foremost goal of the Class V USDWs. Appropriate separation by these wells and the benefits of management strategy is the closure of distances should be based on a variety closing wells that may endanger endangering Class V wells, EPA will of factors including soil type, USDWs. The Agency will also strive to issue a closure guidance. A draft of this hydrogeologic conditions, nutrient and ensure that facilities which close their guidance should be available for review pesticide types and application rates. Class V wells have the necessary in late 1995. The guidance will be • Nutrient and pesticide application information to manage their wastes in directed to owners and operators of equipment should be properly an environmentally safe manner. The Class V industrial wells and will be calibrated and operated. Agency will use this effort to promote modeled after the closure standards d. Storm water drainage well pollution prevention so that wastes used in EPA’s administrative consent guidance. As a part of the strategy for generated by the facilities are cost order with some major petroleum the comprehensive management of Class effectively minimized. The Office of marketers. V wells, the Agency will issue a Ground Water and Drinking Water has b. Septic system guidance. To support technical assistance guidance on the already produced a set of best existing State ground water protection effective methods of managing storm management practices targeting certain programs in their efforts to protect water injection wells to assure the industrial facilities. These BMPs can be USDWs, EPA will issue a technical protection of USDWs. The guidance will used as a starting point for this effort. assistance guidance which will include provide information about systems that C. Compliance Assurance Initiative recommendations on the installation, are believed to provide adequate operation, and maintenance of large segregation from industrial process or Considering the size of the regulated capacity septic systems, such as: storage areas as well as techniques for community, EPA believes that voluntary • Proper installation of leachfields or minimizing the environmental impacts compliance is essential to the success of other appropriate fluid distribution of injected storm water. its Class V strategy. In cooperation with systems in a variety of geographic States, EPA will develop a compliance settings. B. Outreach and Education initiative targeting high risk Class V • Guidelines for system use and EPA will work with States, Regions, wells. The initiative will seek voluntary maintenance to avoid design capacity local government, trade associations and compliance with section 144.12 and exceedences and system failure. other industry stakeholders to develop other applicable regulation through • Inspection techniques for early and implement a comprehensive outreach, education, and technical detection of systems malfunction or communication, education, and assistance. EPA is in the process of failure. outreach program designed to encourage developing a policy to create special 44664 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules incentives for small businesses who take number of people, as long as the non- Today’s proposed definition would the initiative to identify and correct residential system receives only sanitary codify EPA’s interpretation that the environmental violations by requesting waste. Such a non-residential system intentional use of naturally occurring compliance assistance from the Director. could include, for example, crew karst or limestone depressions, for the quarters or guard stations located at purpose of disposing waste waters, fits IV. Proposed Minor Amendments to the industrial facilities. within the statutory definition of UIC Regulations in 40 CFR Part 144 In this proposal, EPA would define underground injection. Although EPA does not believe that a cesspools and septic systems as wells ‘‘Sanitary waste’’ would be defined as need currently exists for major changes receiving solely sanitary waste to both ‘‘domestic sewage and household to its Class V rules, EPA believes that in distinguish them from similarly waste, including any material (e.g., order to implement its proposed Class V configured devices receiving industrial wastewater from clothes-washing strategy effectively, some minor waste waters which would be machines, toilets, showers, and amendments to the current regulations considered industrial waste disposal dishwashers) derived from single and are necessary. Most of these wells. The proposal would also provide multiple residences, hotels and motels, amendments are intended to clarify the a definition for sanitary waste. Because restaurants, bunkhouses, ranger stations, regulatory terminology used for Class V it makes sense to provide the same type crew quarters, campgrounds, picnic wells and do not impose new of relief to small residential and non- grounds, and day-use recreation areas.’’ requirements on owners or operators of residential users of cesspools and septic The definition of sanitary waste in Class V wells. EPA does not solicit, nor systems, and for the sake of today’s proposal is an adaptation of the will EPA respond to comments related simplification, EPA is proposing to household waste exclusion established to any unamended language included in exclude from regulation all cesspools in the RCRA regulations (40 CFR the proposed revised sections solely for and septic systems serving fewer than 261.4(b)(1)). the purpose of supplying context for the 20 people and to revise § 144.1 The definition of ‘‘well’’ would be reader. accordingly. However, any Class V well, revised to clarify that a ‘‘well’’ includes This section of the preamble describes including a well that is configured like improved sinkholes and subsurface the proposed amendments to part 144 a small capacity septic system or fluid distribution systems. cesspool, which receives something and the rationale for these changes. The definition of ‘‘well injection’’’ other than solely sanitary waste, is not would be revised to eliminate a A. Proposed Amendments to Subpart considered a septic system or cesspool redundancy and simply state that well A—General Provisions and is therefore not excluded from UIC injection means the subsurface regulation. 1. Section 144.1(g)—Specific Inclusions emplacement of fluids through a well. and Exclusions Under today’s proposal, EPA would continue to exclude septic systems and 3. Section 144.6—Classification of Wells EPA believes that a particularly useful cesspools, with the capacity to serve technical amendment to the regulations fewer that 20 people, from UIC The proposed regulation would revise would be the clarification of the regulation. However, in developing this § 144.6(a) by adding a paragraph (3) to definition of septic systems and a better proposal, EPA considered replacing the include in Class I radioactive waste explanation of which systems are and existing septic system/cesspool disposal wells injecting below all are not included under the purview of exclusion in favor of an exclusion that USDWs. Such wells, in fact, are similar the UIC program. would be based on septic tank size (e.g., to Class I wells in terms of their design, The current regulations are somewhat tanks under 2000 gallons would not be the nature of the fluids that they inject, confusing on the issue of septic systems. subject to UIC regulations), flow rate and their potential to endanger USDWs. For example, while the specific (e.g. systems receiving less than 5,000 In particular, like Class I wells, such inclusions in § 144.1(g)(1)(iii) include gallons/day would not be subject to the radioactive waste injection wells inject septic tanks or cesspools used to UIC regulations), or dwelling size. EPA below all USDWs and warrant the same dispose of fluids containing hazardous is requesting comment on the merits of level of control. waste, the list of Class V wells in the proposed exclusion and any other The Agency believes that all of these § 146.5(e)(9) refers to ‘‘septic system alternative exclusion, including those wells are located in Texas, which wells’’ used to dispose of effluent from considered but not proposed by EPA, already regulates them as Class I wells. septic tanks. This has led some that would appropriately define which Existing Class V radioactive waste operators and States to believe that if septic systems and cesspools are subject disposal wells, therefore, would not be the effluent from the septic tank is to UIC regulation. subject to any additional regulatory disposed of through a leachfield the requirements. However, the Agency device is no longer a Class V well. 2. Section 144.3—Definitions believes that Class I requirements Therefore, to clarify the issue, the term The proposed regulation would add related to permitting, construction, ‘‘well’’ in sections 144 and 146 would new definitions for the terms operating, monitoring, reporting, be clarified to specifically include ‘‘cesspool,’’ ‘‘drywell,’’ ‘‘improved mechanical integrity testing, area of subsurface fluid distribution systems. sinkhole,’’ ‘‘sanitary waste,’’ ‘‘septic review, and plugging and abandonment The current regulation also make a system,’’ and ‘‘subsurface fluid are needed to prevent any new distinction in the definition and the distribution system.’’ The rule also radioactive waste disposal wells from exclusion sections between septic would revise the existing definitions for endangering USDWs. The Agency, thus, systems used by single-family homes ‘‘well,’’ and ‘‘well injection.’’ proposes to reclassify wells that inject and non-residential septic systems that The definition of ‘‘cesspool’’ and radioactive waste below the lowermost receive solely sanitary waste and have ‘‘septic system’’ would conform with USDW as Class I wells and subject them the capacity to serve fewer than 20 the new Class V categories explained in to the full set of existing Class I people. EPA now believes that there is section I.A. of the preamble. requirements. This approach is no difference between a single-family An ‘‘improved sinkhole’’ would be administratively much simpler and residence septic system and a non- defined as a type of injection well more straightforward than keeping the residential system serving only a small regulated under the UIC program. wells in the Class V universe and Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44665 developing identical requirements 3. Section 144.26—Inventory the addition of the proposed new Class under the Class V program. Requirements V requirements. As a result, EPA is not Section 144.6 (e) would also be Section 144.26(b)(1)(iii) would be accepting public comment on the revised to include an expanded revised to track the new categories of requirements for Classes I through III as definition of Class V wells. EPA is Class V wells and drop radioactive they appear in today’s proposal. proposing to maintain the general waste disposal wells from the list. VI. Solicitation of Comments existing regulatory definition, i.e. that V. Proposed Minor Amendments to the Class V wells are injection wells not A. General Solicitation included in Classes I, II, III, or IV. The UIC Regulations in 40 CFR Part 146 proposed rule, however, would add This section of the preamble describes EPA invites and encourages public significant detail to this definition by the proposed amendments to part 146 participation in this rulemaking. The including a list of 10 specific categories and the rationale for these changes. Agency welcomes any comments on the of wells that are considered Class V Strategy for the Management of Class V A. Proposed Amendments to Subpart wells. wells announced in this preamble and A—General Provisions on the regulatory changes proposed B. Proposed Amendments to Subpart 1. Section 146.3—Definitions herein. The Agency will review and C—Authorization of Underground Injection by Rule To parallel the proposed amendments evaluate each and every comment at § 144.3, the proposed regulation received. The Agency asks that 1. Section 144.23—Class IV Wells would add new definitions for the terms comments address any perceived A new § 144.23(c) would be added to ‘‘cesspool,’’ ‘‘drywell,’’ ‘‘improved deficiencies in the record of this clearly rule authorize Class IV wells sinkhole,’’ ‘‘sanitary waste,’’ ‘‘septic proposal and that suggested revisions or used to inject treated water into the system,’’ and ‘‘subsurface fluid corrections be supported by appropriate formation from which it came if such distribution system.’’ The rule also data. would revise the existing definitions for injection is approved by EPA or a State B. Specific Comment Solicitations as part of a RCRA or CERCLA ‘‘well,’’ and ‘‘well injection.’’ remediation program. Therefore, these 2. Section 146.5—Classification of For the reasons discussed above, EPA wells would not need a UIC permit to Injection Wells believes its proposed Class V Strategy is operate. However, the Agency the best approach for effectively Section 146.5 would be amended to encourages effective communication make it consistent with § 144.6. implementing the requirement of the between State and Federal RCRA, Safe Drinking Water Act to prevent CERCLA, and UIC programs regarding 3. Section 146.10—Plugging and underground injection from Class V the management of injection wells Abandoning Class I, II, III, IV and V wells which endangers USDWs. The which are part of an approved ground Wells Agency recognizes, however, that the water remediation project. The current regulations provide that proposed approach is not necessarily 2. Section 144.24—Class V Wells authorization by rule terminates upon the only possible means of proper closure of Class V wells but do accomplishing that goal. Accordingly, Section 144.24(a) would be amended not give any direction of what we solicit comment on the advisability by revising paragraph (a) to authorize all constitutes proper closure. This section of adopting other approaches, including Class V wells by rule for the life of the proposes to amend the requirements for ones that might incorporate more and well instead of until further plugging and abandonment (i.e., different regulatory requirements. requirements become applicable. closure) found in 40 CFR 146.10 for Specifically, we invite comment on the This section currently provides at Class I, II, and III injection wells by advisability of including the following § 144.24(b)(3) that authorization by rule adding a reference to the Class IV regulatory amendments: terminates upon proper closure of the closure requirements at § 144.23(b) and 1. A requirement for notification to well. EPA is mindful of the desire of reiterating the Class V abandonment EPA or the State before the closure of owners and operators to make sure that requirements at § 144.12(a). they are ‘‘out of the system’’ and are no New § 146.10(c) would (1) require the Class V industrial waste discharge wells longer subject to the requirements of owner or operator of any Class V well or other specific categories of Class V authorization by rule. One option to to close the well in a manner that wells. accomplish this goal would be to prevents the movement of fluids 2. A requirement for notification to provide the operator with the containing any contaminant into EPA or the State before the construction opportunity to submit a certification USDWs if the presence of this of Class V industrial waste discharge that the well has been closed in contaminant may cause a violation of wells or other specific categories of accordance with the closure guidance any primary drinking water regulation Class V wells. which EPA intends to publish along under 40 CFR part 142 or may otherwise 3. A provision in the regulations with the promulgation of this rule. This adversely affect the health of persons expressly creating general permit would provide EPA with assurances and (2) requires that all material authority for all or specific categories of that the well was properly closed and removed from or adjacent to the well Class V wells. would establish a date certain upon during closure (such as sludge, gravel, which authorization by rule would sand, and possibly soil) be managed in 4. Provisions in the regulations terminate. EPA is, however, concerned accordance with all applicable Federal, expressly requiring owners and with the administrative burden this State, and local regulations and operators of Class V industrial waste option might entail. Therefore, EPA is requirements (including RCRA discharge wells, or other specific requesting comment on the feasibility requirements). The existing categories of Class V wells, to apply for and advisability of such an option. EPA requirements for Classes I, II, and III and comply with specific permitting would also like commentors to provide would not be changed, although they conditions or to close in accordance alternatives to this option. would be renumbered to accommodate with specific regulatory requirements. 44666 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules VII. Regulatory Impact impact on a substantial number of small of responsibility. This is not the case. entities. EPA’s interest in reviewing State A. Executive Order 12866 submittals will be to ensure that all D. Unfunded Mandates Under Executive Order 12866 (58 FR types of wells covered by the Federal 51735 (October 4, 1993)), the Agency Under section 202 of the Unfunded program are subject to the non- must determine whether the regulatory Mandates Reform Act of 1995, signed endangerment standards of the Federal action is ‘‘significant’’ and, therefore, into law on March 22, 1995, EPA must UIC program and to adequate subject to OMB review and the prepare a written statement to enforcement authorities whether or not requirements of the Executive Order. accompany rules where the estimated the State chooses to call them Class V The Order defines ‘‘significant costs to State, local, or tribal wells and regardless of which entity in regulatory action’’ as one that is likely governments, or to the private sector, the State has jurisdiction over the wells. to result in a rule that may: will be $100 million or more in any one (1) Have an annual effect on the year. Under section 205, EPA must List of Subjects in 40 CFR Parts 144 and economy of $100 million or more or select the most cost-effective and least 146 adversely affect in a material way the burdensome alternative that achieves Environmental protection, Ground economy, a sector of the economy, the objective of such a rule and that is water pollution control, Shallow productivity, competition, jobs, the consistent with statutory requirements. disposal wells. environment, public health or safety, or Section 203 requires EPA to establish a Dated: August 15, 1995. State, Local, or Tribal governments or plan for informing and advising any communities; small governments that may be Carol M. Browner, (2) Create a serious inconsistency or significantly and uniquely affected by Administrator. otherwise interfere with an action taken the rule. For the reasons set out in the or planned by another agency; EPA estimates that the costs to State, preamble, title 40 of the Code of Federal (3) Materially alter the budgetary local, or tribal governments, or the Regulations is proposed to be amended impact of entitlements, grants, user fees, private sector, from this proposed rule as follows: or loan programs or the right and will be far less than $100 million. This obligation of recipients thereof: or proposed rule should have no impact on PART 144ÐUNDERGROUND (4) Raise novel legal or policy issues owners or operators of Class V wells INJECTION CONTROL PROGRAM arising out of legal mandates, the because the proposed rule imposes no President’s priorities, or the principles new mandatory requirements. EPA has 1. The authority citation for part 144 set forth in the Executive Order. determined that an unfunded mandates continues to read as follows: Pursuant to the terms of Executive statement, therefore, is unnecessary. Authority: Safe Drinking Water Act, 42 order 12866, it has been determined that Moreover, the rule proposed today does U.S.C. 300f et seq.; Resource Conservation this rule is a ‘‘significant regulatory not establish any regulatory and Recovery Act, 42 U.S.C. 6901 et seq. action’’ because it meets test (4) listed requirements that might significantly or 2. Section 144.1 is amended by above. OMB has reviewed this proposal uniquely affect small governments. revising paragraphs (g)(1) introductory and agrees with this conclusion. E. Effect on States with Primacy text, (g)(1)(iii), (g)(1)(iv) and (g)(2)(ii), B. Paperwork Reduction Act removing paragraph (g)(2)(iii), According to the regulations at 40 redesignating paragraphs (g)(2) (iv) and This rule places no additional CFR 145.32 for non-substantial program (v) as (g)(2) (iii) and (iv), and revising information collection or record-keeping revisions, primacy States must assert in newly designated paragraph (g)(2)(iv) to burden on respondents. Therefore, an a letter from the State’s Director or his read as follows: information collection request has not authorized representative to the been prepared and submitted to the Regional Administrator that the State § 144.1 Purpose and scope of part 144. Office of Management and Budget has incorporated the revisions and * * * * * (OMB) under the Paperwork Reduction regulatory language into its current (g) * * * Act, 44 U.S.C. 3501 et seq. program or that it already meets the (1) Specific inclusions. The following requirements. The State must submit C. Impact on Small Businesses wells are included among those types of this document within 270 days of the injection activities which are covered by Under the Regulatory Flexibility Act, effective date of the final rule. The the UIC regulations. (This list is not an agency is required to prepare an Agency expects that, since the proposed intended to be exclusive but is for initial regulatory flexibility analysis amendments do not impose new clarification only.) whenever it is required to publish mandatory requirements, all States will general notice of any rule, unless the be able to satisfy the requirements of 40 * * * * * head of the Agency certifies that the CFR 145.32 in a letter to the Regional (iii) Any septic system, cesspool, or rule, if promulgated, will not have Administrator. other well, used by generators of significant economic impact on a Primacy States are put on notice that hazardous waste, or by owners or substantial number of small entities. program revisions may be necessary operators of hazardous waste These regulations require no additional pursuant to 40 CFR 145.32 following management facilities to dispose of reporting by owners or operators and final promulgation of these proposed fluids containing hazardous waste. impose no new substantive amendments. EPA anticipates that such (iv) Any septic system, cesspool, or requirements or standards. The revisions will be non-substantial in other well, used solely for the reclassification of radioactive waste nature and that, when submitted, EPA subsurface emplacement of sanitary disposal wells has no impact on any will review them accordingly. EPA is waste, having the capacity to serve existing wells and these wells are aware that jurisdiction over Class V twenty persons or more per day. typically owned and operated by large wells is often split among several (2) * * * mining companies. Therefore, the agencies in a State. Some States have (ii) Any septic system, cesspool, or Administrator certifies that this expressed concern that EPA might other well used solely for the subsurface regulation will not have a significant require changes in State Agencies’ scope emplacement of sanitary waste, having Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44667 the capacity to serve fewer than 20 4. Section 144.6 is amended by 5. Section 144.23 is amended adding persons a day. adding a new paragraph (a)(3) and a new paragraph (c) to read as follows: revising paragraph (e) to read as follows: * * * * * § 144.23 Class IV wells. (iv) Any dug hole which is not used § 144.6 Classification of wells. for the subsurface emplacement of * * * * * (c) Notwithstanding the requirements fluids. (a) * * * (3) Radioactive waste disposal wells of paragraphs (a) and (b) of this section, * * * * * which inject fluids below the lowermost injection wells used to inject 3. Section 144.3 is amended by formation containing, within one contaminated ground water that has adding new definitions in alphabetical quarter mile of the well bore, an been treated and is being injected into order for ‘‘cesspool,’’ ‘‘drywell,’’ underground source of drinking water. the same formation from which it was ‘‘improved sinkhole,’’ ‘‘sanitary waste,’’ drawn are authorized by rule for the life ‘‘septic system,’’’ and ‘‘subsurface fluid * * * * * (e) Class V. Injection wells not of the well if such subsurface distribution system,’’’ and by revising included in Class I, II, III, or IV. Class emplacement of fluids is approved by the definitions of ‘‘well,’’’ and ‘‘well V includes, but is not limited to, the EPA, or a State, pursuant to provisions injection’’’ to read as follows: following well types: for cleanup of releases under the § 144.3 Definitions. (1) Beneficial use wells. Wells used for Comprehensive Environmental * * * * * aquifer recharge, salt water intrusion Response, Compensation, and Liability Cesspool means a ‘‘drywell’’ that barriers, subsidence control, aquifer Act of 1980 (CERCLA), 42 U.S.C. 9601– receives solely untreated sanitary waste, storage and recovery, or subsurface 9675, or pursuant to requirements and and which sometimes has an open environmental remediation; provisions under the Resource bottom and/or perforated sides. (2) Fluid return wells. Wells used to Conservation and Recovery Act (RCRA), inject: 42 U.S.C. 6901–6992k. * * * * * (i) Spent brines after extraction of 6. Section 144.24 is amended by Drywell means a well, other than an minerals; revising paragraph (a) to read as follows: improved sinkhole or subsurface fluid (ii) Heat pump return fluids; and distribution system, completed above (iii) Fluids that have undergone § 144.24 Class V wells. the water table so that its bottom and chemical alteration during the (a) Class V wells are authorized by sides are typically dry except when production of geothermal energy for rule for the life of the well if the owner receiving fluids. heating, aquaculture, or production of or operator uses the well for the * * * * * electric power into the same formation subsurface emplacement of fluids after Improved sinkhole means a naturally from which the fluids have been the date on which a UIC program occurring karst depression which has withdrawn; authorized under the SDWA becomes been modified by man for the purpose (3) Sewage treatment effluent wells. effective for the first time, and of directing and emplacing fluids into Wells used to inject effluent from inventories the well pursuant to the the subsurface. publicly or privately owned treatment requirements of § 144.26. * * * * * works, into formations that are not * * * * * Sanitary waste means domestic below the lowermost USDW; 7. Section 144.26 is amended by sewage and household waste, including (4) Cesspools as defined in § 144.3. revising paragraphs (b)(1)(iii)(A) any material (e.g., wastewater from (5) Septic systems as defined in through (F) and by removing paragraph clothes-washing machines, toilets, § 144.3. (b)(1)(iii)(G) to read as follows: showers, and dishwashers) derived from (6) Experimental technology wells. § 144.26 Inventory requirements. single and multiple residences, hotels Any injection well that is part of an and motels, restaurants, bunkhouses, unproven subsurface injection * * * * * ranger stations, crew quarters, technology; (b) * * * (1) * * * campgrounds, picnic grounds, and day- (7) Drainage wells. Wells used to drain surface and subsurface fluids into (iii) * * * use recreation areas. (A) Mine backfill wells; a subsurface formation, including * * * * * (B) Fluid return wells; Septic system means a ‘‘well’’ that is agricultural drainage and storm water (C) Experimental technology wells; used solely to emplace sanitary waste runoff, other than runoff from load (D) Sewage treatment effluent wells; below the surface and is comprised of dock, storage, and processing areas; (E) Industrial waste discharge wells; a septic tank and subsurface fluid Wells injecting runoff from loading and distribution system. dock, storage and processing areas are (F) Any other Class V wells at the included under paragraph (e)(10) of this discretion of the Regional * * * * * section. Subsurface fluid distribution system Administrator. (8) Mine backfill wells. Wells used to * * * * * means an assemblage of perforated inject a slurry of water or air with sand, pipes or drain tiles used to distribute mill tailings or other solids into mined fluids below the surface of the ground. PART 146ÐUNDERGROUND out portions of subsurface mines; INJECTION CONTROL PROGRAM: * * * * * (9) In-situ and solution mining wells. CRITERIA AND STANDARDS Well means: (1) A bored, drilled, or Wells used to inject fluids for the driven shaft; (2) A dug hole whose purpose of producing minerals or fossil 8. The authority citation for part 146 depth is greater than the largest surface fuels, which are not Class II or III wells; continues to read as follows: dimension; (3) An improved sinkhole; (10) Industrial waste discharge wells. Authority: Safe Drinking Water Act, 42 or (4) A subsurface fluid distribution Wells used to inject wastewaters U.S.C. 300f et seq.; Resource Conservation system. generated by industrial, commercial, and Recovery Act, 42 U.S.C. 6901 et seq. Well injection means the subsurface and service establishments which are * * * * * emplacement of fluids through a well. not included in paragraphs (e)(1) 9. Section 146.3 is amended by * * * * * through (e)(9) of this section. adding the following new definitions in 44668 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules alphabetical order: ‘‘cesspool,’’ (a) * * * and III wells, the well shall be plugged ‘‘drywell,’’ ‘‘improved sinkhole,’’ (3) Radioactive waste disposal wells with cement in a manner which will not ‘‘sanitary waste,’’ ‘‘septic system,’’ and which inject fluids below the lowermost allow the movement of fluids either into ‘‘subsurface fluid distribution system,’’ formation containing, within one or between underground sources of and by revising the definitions of quarter mile of the well bore, an drinking water. The Director may allow ‘‘well,’’ and ‘‘well injection’’ to read as underground source of drinking water. Class III wells to use other plugging follows: * * * * * materials if the Director is satisfied that (e) Class V. Injection wells not such materials will prevent movement § 146.3 Definitions. included in Class I, II, III, or IV. Class of fluids into or between underground * * * * * V includes, but is not limited to, the sources of drinking water. Cesspool means a ‘‘drywell’’ that following well types: (2) Placement of the cement plugs receives solely untreated sanitary waste, (1) Beneficial use wells. Wells used for and which sometimes has an open shall be accomplished by one of the aquifer recharge, salt water intrusion following: bottom and/or perforated sides. barriers, subsidence control, aquifer * * * * * storage and recovery, or subsurface (i) The Balance method; Drywell means a well, other than an environmental remediation; (ii) The Dump Bailer method; improved sinkhole or subsurface fluid (2) Fluid return wells. Wells used to (iii) The Two-Plug method; or distribution system, completed above inject: Spent brines after extraction of the water table so that its bottom and minerals; heat pump return fluids; and (iv) An alternative method approved sides are typically dry except when fluids that have undergone chemical by the Director, which will reliably receiving fluids. alteration during the production of provide a comparable level of protection geothermal energy for heating, to underground sources of drinking * * * * * water. Improved sinkhole means a naturally aquaculture, or production of electric occurring karst depression which has power, into the same formation from (3) The well to be abandoned shall be been modified by man for the purpose which the fluids have been withdrawn; in a state of static equilibrium with the of directing and emplacing fluids into (3) Sewage treatment effluent wells. mud weight equalized top to bottom, the subsurface. Wells used to inject effluent from either by circulating the mud in the well * * * * * publicly or privately owned treatment at least once or by a comparable method Sanitary waste means domestic works, into formations that are not prescribed by the Director, prior to the sewage and household waste, including below the lowermost USDW; placement of the cement plug(s). any material (e.g., wastewater from (4) Cesspools as defined in § 144.3. (4) The plugging and abandonment (5) Septic systems as defined in clothes-washing machines, toilets, plan required in §§ 144.51(o) and § 144.3. showers, and dishwashers) derived from 144.52(a)(6) shall, in the case of a Class (6) Experimental technology wells. single and multiple residences, hotels III project which underlies or is in an Any injection well that is part of an and motels, restaurants, bunkhouses, aquifer which has been exempted under unproven subsurface injection ranger stations, crew quarters, § 146.04, also demonstrate adequate technology; protection of USDWs. The Director shall campgrounds, picnic grounds, and day- (7) Drainage wells. Wells used to prescribe aquifer cleanup and use recreation areas. drain surface and subsurface fluids into monitoring where he deems it necessary * * * * * a subsurface formation, including and feasible to insure adequate Septic system means a ‘‘well’’ that is agricultural drainage and storm water protection of USDWs. used solely to emplace sanitary waste runoff, other than runoff from loading below the surface and is comprised of dock, storage, and processing areas; (b) Requirements for Class IV wells. In a septic tank and subsurface fluid Wells injecting runoff from loading EPA administered programs, prior to distribution system. dock, storage and processing areas are abandoning a Class IV well, the owner * * * * * included under § 144.6(e)(10). or operator shall close the well in Subsurface fluid distribution system (8) Mine backfill wells. Wells used to accordance with § 144.23(b). means an assemblage of perforated inject a slurry of water or air with sand, (c) Requirements for Class V wells. (1) pipes or drain tiles used to distribute mill tailings or other solids into mined Prior to abandoning a Class V well, the fluids below the surface of the ground. out portions of subsurface mines; owner or operator shall close the well in * * * * * (9) In-situ and solution mining wells. a manner that prevents the movement of Well means: (1) A bored, drilled, or Wells used to inject fluids for the fluid containing any contaminant into driven shaft; purpose of producing minerals or fossil an underground source of drinking (2) A dug hole whose depth is greater fuels, which are not Class II or III wells; water, if the presence of that than the largest surface dimension; (10) Industrial waste discharge wells. contaminant may cause a violation of (3) An improved sinkhole; or Wells used to inject wastewaters any primary drinking water regulation (4) A subsurface fluid distribution generated by industrial, commercial, under 40 CFR part 142 or may otherwise system. and service establishments which are adversely affect the health of persons. Well injection means the subsurface not included in paragraphs (e)(1) (2) The owner or operator shall emplacement of fluids through a well. through (e)(9) of this section. dispose of or otherwise manage any soil, * * * * * * * * * * 10. Section 146.5 is amended by gravel, sludge, liquids, or other 11. Section 146.10 is revised to read materials removed from or adjacent to adding a new paragraph (a)(3) and as follows: revising paragraphs (e) to read as the well in accordance with all follows: § 146.10 Plugging and abandoning Class I, applicable Federal, State, and local II, III, IV, and V wells. regulations and requirements. § 146.5 Classification of injection wells. (a) Requirements for Class I, II and III [FR Doc. 95–20765 Filed 8–25–95; 8:45 am] * * * * * wells. (1) Prior to abandoning Class I, II BILLING CODE 6560±50±P federal register August 28,1995 Monday Kjeldahl Nitrogen;FinalRule for theAnalysisofPollutants;Total Guidelines EstablishingTestProcedures 40 CFRPart136 Protection Agency Environmental Part V 44669 44670 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations ENVIRONMENTAL PROTECTION SUPPLEMENTARY INFORMATION: requirements and establish test methods AGENCY I. Authority for pollutants for which no approved Part 136 method exists. 40 CFR 122.41(j) 40 CFR Part 136 This regulation is issued under (4). EPA may also approve additional authority of sections 301, 304(h) and test procedures when establishing 501(a) of the Clean Water Act, 33 U.S.C. [FRL±5280±8] industry-wide technology-based effluent 1251 et seq. (the Federal Water limitations guidelines and standards as Guidelines Establishing Test Pollution Control Act Amendments of described at 40 CFR 401.13. Procedures for the Analysis of 1972 as amended) (the ‘‘Act’’). Section The procedures for approval of 301 of the Act forbids the discharge of Pollutants; Total Kjeldahl Nitrogen alternate test procedures (ATPs) are any pollutant into navigable waters described at 40 CFR 136.4 and 136.5. unless the discharge complies with a AGENCY: Environmental Protection Under these procedures the Agency (EPA). National Pollutant Discharge Administrator may approve alternate Elimination System (NPDES) permit, test procedures for nationwide use ACTION: Final rule. issued under section 402. Section 304(h) which are developed and proposed by of the Act requires the Administrator of any person. 40 CFR 136.4 (a). Under SUMMARY: This amendment approves the the EPA to ‘‘promulgate guidelines 136.4 (d), dischargers seeking to use use of three additional test procedures establishing test procedures for the such alternate procedures on a limited at Part 136 for the determination of analysis of pollutants that shall include basis (e.g. for their own discharge) must Total Kjeldahl Nitrogen (TKN) in the factors which must be provided in apply to the State or Regional EPA office wastewater. Use of approved test any certification pursuant to section 401 in which the discharge occurs. As procedures is required whenever the of this Act or permit application specified below, today’s rule approves waste constituent specified is required pursuant to section 402 of this Act’’. optional nationwide alternate to be measured for: an NPDES permit Section 501(a) of the Act authorizes the procedures for the determination of application; discharge monitoring Administrator to ‘‘prescribe such TKN in wastewater test samples. reports; state certification; and other regulations as are necessary to carry out requests from the permitting authority his functions under this Act’’. III. The Total Kjeldahl Nitrogen (TKN) for quantitative or qualitative effluent Test Procedures II. Regulatory Background data. Use of approved test procedures is The Perstorp Analytical Corporation, also required for the expression of The CWA establishes two principal in accordance with the regulations pollutant amounts, characteristics, or bases for effluent limitations. First, published at 40 CFR 136.5, applied for properties in effluent limitations existing discharges are required to meet nationwide approval of three alternate guidelines and standards of technology-based effluent limitations. procedures for the determination of performance and pretreatment New source discharges must meet new TKN in wastewater. standards, unless otherwise specifically source performance standards based on A. Scope of the Procedures noted or defined. the best demonstrated technology-based controls. Second, where necessary, The applicable ranges for the DATES: This rule shall be effective on additional requirements are imposed to titrimetric method (PAI–DK01) and September 27, 1995. assure attainment and maintenance of colorimetric method (PAI–DK02) are 0.4 In accordance with 40 CFR 23.2 (45 water quality standards established by to 10 mg/L, when analyzing a 100 mL FR 26048), these amendments to the the States under Section 303 of the sample. The applicable range for the gas regulation shall be considered issued for CWA. In establishing or reviewing diffusion method (PAI–DK03) is 0.2 to purposes of judicial review at 1 p.m. NPDES permit limits, EPA must ensure 10 mg/L when analyzing a 200 µL eastern time, September 11, 1995. that permitted discharges will not cause sample. The method detection limit has The incorporation by reference of or contribute to a violation of water been determined to be 0.15 mg/L for the certain publications listed in the quality standards, including designated titrimetric and the colorimetric methods regulation is approved by the Office of water uses. and 0.02 mg/L for the gas diffusion the Federal Register as of September 27, For use in permit applications, method. These methods are not 1995. discharge monitoring reports, and state available for use to determine TKN certification and to ensure compliance concentrations greater than 10 mg/L Under section 509(b)(1) of the Clean with effluent limitations, standards of unless one of the following two Water Act, judicial review of these performance, and pretreatment requirements are met: amendments can be obtained only by standards, EPA has promulgated a. Dilution of the TKN concentration filing a petition for review in the United regulations providing nationally- of a sample to a level less than, or equal States Court of Appeals within 120 days approved testing procedures at 40 CFR to 10 mg/L, before the initiation of the after they are considered issued for Part 136. Test procedures have analysis, multiplication of the TKN purposes of judicial review. Under previously been approved for 262 concentration observed in the digested, section 509(b)(2) of the Clean Water Act, different parameters. Those procedures diluted sample by the appropriate these amendments may not be apply to the analysis of inorganic dilution factor, and demonstration of challenged later in civil or criminal (metal, non-metal, mineral) and organic acceptable accuracy (percent recovery) proceedings brought by EPA to enforce chemical, radiological, bacteriological, as required in the Quality Control these requirements. nutrient, demand, residue, and physical section of the method. FOR FURTHER INFORMATION CONTACT: Mr. parameters. b. Demonstration of the applicability James E. Longbottom, National Exposure Additionally, some particular of a specific scope extension by Research Laboratory, Office of Research industries may discharge pollutants for demonstrating calibration range and Development, U.S. Environmental which test procedures have not been linearity, laboratory performance, and Protection Agency, Cincinnati, Ohio proposed and approved under 40 CFR analyte percent recovery, particularly in 45268. Telephone number: (513) 569– Part 136. Under 40 CFR Part 122.41 fortified samples, as outlined in the 7308. permit writers may impose monitoring Quality Control section. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44671 B. Summary of the Methods approved EPA Ion Selective Electrode regulatory impact analysis. EPA has TKN is defined as the sum of free Method 351.4; EPA statisticians and determined that this regulation is not ammonia and organic nitrogen chemists conducted independent major as it will not result in an effect on compounds which are converted to reviews of the data. The submitted the economy of $100 million or more, a ammonium sulfate under the conditions recovery data for both the approved and significant increase in cost or prices, or described. The procedures convert proposed methods were also compared any of the effects described in the nitrogen components of biological origin to the recovery acceptance criteria Executive Order. This final rule would such as amino acids, proteins and derived from results for block digester simply specify alternative analytical methods which may be used by peptides to ammonia but may not analyses (EPA Method 351.4) in EPA’s laboratories in measuring convert the nitrogenous compounds of Performance Evaluation Studies WP 18 concentrations of TKN and, therefore, some industrial wastes such as amines, through 23. will have no adverse economic impacts. nitro compounds, hydrazones, oximes, The Agency has judged the block The Office of Management and Budget semicarbazones and some refractory digester electrode procedure (EPA (OMB) has waived Executive Order tertiary amines. Method 351.3), utilized as the reference 12866 review of the proposal. For all three methods, the sample is approved method by the applicant to be heated in a block digester with applicable in the evaluation of the three B. Regulatory Flexibility Act proposed procedures. EPA’s Aquatic concentrated sulfuric acid, potassium This rule is consistent with the sulfate and copper sulfate and Research Division of the National Exposure Research Laboratory (formerly objectives of the Regulatory Flexibility evaporated until the solution becomes Act (5 U.S.C. 602 et seq.) because it will colorless or pale yellow. The block- the Environmental Monitoring Systems Laboratory) in Cincinnati, Ohio (NERL- not have a significant economic impact digested sample is cooled and diluted to on a substantial number of small volume. For the colorimetric and Cincinnati), thoroughly reviewed and evaluated the supporting data submitted entities. The procedure included in this titrimetric methods the cooled, diluted rule gives all laboratories the flexibility solution is made alkaline with a by Perstorp. The reviews indicated that the analyses afforded comparable to use these alternate methods or not to hydroxide-thiosulfate solution and use them. distilled in an automated distillation recovery and precision in the system. In the colorimetric method recommended concentration ranges for C. Paperwork Reduction Act TKN. EPA proposed approval of the (Method PAI–DK01) the ammonia in the This rule contains no requests for TKN procedures and sought public alkaline digestate is measured at 400– information activities and, therefore, no comment on the suitability of these 425 nm after reaction with Nessler information collection request (ICR) was three methods as alternate procedures reagent. In Method PAI–DK02, the submitted to the Office of Management for use in the determination of TKN in ammonia is distilled into a boric acid and Budget (OMB) for review in 60 FR 26600 (May 17, 1995). The receiving solution and is measured by compliance with the Paperwork administrative record is on file at NERL- automated or manual titration with 0.02 Reduction Act, (44 U.S.C. 3501 et seq.). Cincinnati, 26 W. Martin Luther King N H2SO4 to a bromocresol green methyl red indicator endpoint. In the FIA Dr., Cincinnati, Ohio 45268. The record D. Unfunded Mandates system (Method PAI–DK03), a 200-µL is available for public inspection. The Under Section 202 of the Unfunded aliquot of the digested and diluted approved procedures are available from Mandates Reform Act of 1995, signed sample is injected into the flow Perstorp Analytical Company, 9445 SW into law on March 22, 1995, EPA must injection manifold. The subsequent Ridder Rd., Suite 310, P.O. Box 648, prepare a written statement to addition of NaOH releases the ammonia Wilsonville, OR 97070. accompany rules where the estimated from the ammonium sulfate originally Based on EMSL-Cincinnati’s review, costs to State, local, or tribal present in the digested sample. The and pursuant to 40 CFR Section 136.5, governments, or to the private sector released ammonia passes through a gas EPA is approving the Perstorp will be $100 million or more in any one diffusion membrane into an indicator titrimetric, colorimetric, and FIA gas year. Under Section 205, EPA must receiving solution which is monitored at diffusion methods for TKN as select the most cost-effective and least 590 nm. The extent of indicator color acceptable alternative test procedures burdensome alternative that achieves change is proportional to the for nationwide use. Specifically, the the objective of such a rule and that is concentration of TKN present in the methods exhibit sufficient precision and consistent with statutory requirements. sample. recovery to establish (1) their Section 203 requires EPA to establish a acceptability under Part 136 and (2) plan for informing and advising any C. Technical Justification for Proposed their comparability to other approved small governments that may be Procedures procedures for analysis of TKN. As significantly and uniquely affected by The approvals of these procedures are approved alternate test procedures, the rule. based on the data packages submitted by these methods are acceptable for use by EPA estimates that the costs to State, the applicant, Perstorp Analytical. EPA any person required to test for TKN. local or tribal governments, or the is approving the methods based on the IV. Public Comments private sector, from this rule will be far method descriptions in EPA’s less than § 100 million. This rule should Environmental Monitoring Management The Agency requested written have minimal impact, if any, on the Council format, comparative analyses comments on the proposal to approve existing regulatory burden imposed on using the proposed and approved the three methods for TKN, but no NPDES permittees required to monitor procedures, and EPA’s technical and comments were received. for regulated pollutants because the rule statistical reviews of each data package. V. Regulatory Requirements would merely make additional options Perstorp Analytical provided test data available to the laboratory analyst comparing the three proposed A. Executive Order 12866 conducting an existing approved test procedures with an appropriate Under Executive Order 12866, EPA method. EPA has determined that an approved procedure. All three proposed must judge whether a regulation is unfunded mandates statement therefore methods were compared to the ‘‘significant’’ and, therefore, requires a is unnecessary. Similarly, the method 44672 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations approved today does not establish any Dated: August 14, 1995. Authority: Secs. 301, 304(h), 307, and regulatory requirements that might Carol M. Browner, 501(a) Public Law 95–217, Stat. 1566, et seq. significantly or uniquely affect small (33 U.S.C. 1251 et seq.) (the Federal Water Administrator. Pollution Control Act Amendments of 1972 governments. In consideration of the preceding, as amended by the Clean Water Act of 1977). List of Subjects in 40 CFR Part 136 EPA amends part 136 of title 40 of the 2. In 136.3(a), Table IB is amended by Code of Federal Regulations as follows: revising entry 31 and by adding Environmental protection, footnotes 39 through 41 to read as Incorporation by reference, Water PART 136Ð[AMENDED] follows: pollution control. 1. The authority citation for part 136 § 136.3 Identification of test procedures. continues to read as follows: (a) * * * TABLE 1B.ÐLIST OF APPROVED INORGANIC TEST PROCEDURES 1 35 Standard methods 2 Parameter, units and method EPA 18th Ed. ASTM USGS Other ******* 31. Kjeldahl NitrogenÐTotal, (as N), mg/L: Digestion and distillation followed by: 351.3 4500±NH3 B or C .. D3590±89(A) ...... Titration ...... 351.3 4500±NH3 E ...... D3590±89(A) ...... 973.483. Nesslerization ...... 351.3 4500±NH3 C ...... D3590±89(A) ...... Electrode ...... 351.3 4500±NH3 F or G ...... Automated phenate colorimetric ...... 351.1 ...... I±4551±788 ...... Semi-automated block digester colorimetric ...... 351.2 ...... D3590±89(B) ...... Manual or block digester potentiometric ...... 351.4 ...... D3590±89(A) ...... Block Digester, followed by: Auto distillation and Titration, or ...... Note 39. Nesslerization ...... Note 40. Flow injection gas diffusion ...... Note 41. ******* 1 ``Methods for Chemical Analysis of Water and Wastes'', U.S. Environmental Protection Agency, Aquatic Research Division, National Exposure Research Laboratory-Cincinnati, EPA±600/4±79±020, Revised March 1983 and 1979 where applicable. 2 Fishman, M. J., et al, ``Methods for Analysis of Inorganic Substances in Water and Fluvial Sediments,'' U.S. Department of the Interior, Tech- niques of WaterÐResource Investigations of the U.S. Geological Survey, Denver, CO, Revised 1989, unless otherwise stated. ***** 35 Precision and recovery statements for the atomic absorption direct aspiration and graphite furnace methods, and for the spectrophotometric SDDC method for arsenic are provided in Appendix D of this part titled, ``Precision and Recovery Statements for Methods for Measuring Metals''. ***** 39 Nitrogen, Total Kjeldahl, Method PAI±DK01 (Block Digestion, Steam Distillation, Titrimetric Detection), revised 12/22/94, Perstop Analytical Corporation. 40 Nitrogen, Total Kjeldahl, Method PAI±DK02 (Block Digestion, Steam Distillation, Colorimetric Detection), revised 12/22/94, Perstop Analytical Corporation. 41 Nitrogen, Total Kjeldahl, Method PAI±DK03 (Block Digestion, Automated FIA Gas Diffusion), revised 12/22/94, Perstop Analytical Corpora- tion. ***** 3. In 136.3(b) the list entitled (35) ‘‘Nitrogen, Total Kjeldahl, Method P.O. Box 648, Wilsonville, OK 97070. Table ‘‘References, Sources, Costs, and Table PAI–DK01 (Block Digestion, Steam IB, Note 40. Citations’’ is amended by adding Distillation, Titrimetric Detection)’’, revised (37) ‘‘Nitrogen, Total Kjeldahl, Method paragraphs (35)-(37) to read as follows: 12/22/94. Available from Perstorp Analytical PAI–DK03 (Block Digestion, Automated FIA Corporation, 9445 SW Ridder Rd., Suite 310, Gas Diffusion)’’, revised 12/22/94. Available § 136.3 Identification of test procedures. P.O. Box 648, Wilsonville, OK 97070. Table from Perstorp Analytical Corporation, 9445 * * * * * IB, Note 39. SW Ridder Rd., Suite 310, P.O. Box 648, (b) * * * (36) ‘‘Nitrogen, Total Kjeldahl, Method Wilsonville, OK 97070. Table IB, Note 41. PAI–DK02 (Block Digestion, Steam References, Sources, Costs, and Table Distillation, Colorimetric Detection)’’, revised [FR Doc. 95–21172 Filed 8–25–95; 8:45 am] citations: 12/22/94. Available from Perstorp Analytical BILLING CODE 6560±50±P * * * * * Corporation, 9445 SW Ridder Rd., Suite 310, federal register August 28,1995 Monday Notice Federal DataonRaceandEthnicity; Standards fortheClassificationof Budget Management and Office of Part VI 44673 44674 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices OFFICE OF MANAGEMENT AND suggestions for change that had been This Federal Register notice provides BUDGET offered by individuals and interested the last opportunity for public comment groups over the past several years. (See on priorities for research in 1996. Standards for the Classification of Appendix for the text of Directive No. All comments received as a result of Federal Data on Race and Ethnicity 15.) the June 9, 1994, notice have been This Federal Register notice (1) reviewed and considered in preparing AGENCY: Executive Office of the summarizes the suggestions for changes this notice. It is not necessary to President, Office of Management and drawn from public comments, research resubmit comments sent previously. Budget (OMB), Office of Information findings, and literature reviews, (2) ADDRESSES: Written comments on these and Regulatory Affairs. briefly discusses the research agenda for issues may be addressed to Katherine K. ACTION: Interim Notice of Review and some of the significant issues that have Wallman, Chief, Statistical Policy, Possible Revision of OMB’s Statistical been identified, and (3) sets forth Office of Information and Regulatory Policy Directive No. 15, Race and Ethnic proposed principles to be used in Affairs, Office of Management and Standards for Federal Statistics and reaching a final decision on standards Budget, NEOB, Room 10201, 725 17th Administrative Reporting: Summary for the classification of data on race and Street, NW., Washington, DC 20503. and Analysis of Public Comments and ethnicity. The issues, suggestions for DATES: To ensure consideration, written Brief Discussion of Research Agenda. change, and pros and cons described in comments must be provided to OMB on SUMMARY: In 1977, OMB issued the Race this notice are those raised in public or before September 30, 1995. and Ethnic Standards for Federal comment and do not reflect OMB ELECTRONIC AVAILABILITY AND COMMENTS: Statistics and Administrative Reporting positions or decisions. In addition it This document is also accessible on the that are set forth in Statistical Policy should be noted that because the U.S. Department of Commerce’s Directive No. 15. The standards in this categories in Directive No. 15 have been FedWorld network under the ‘‘OMB Directive have been used for almost two useful for over 18 years for many Library of Files.’’ The Telnet address for decades throughout the Federal purposes, an option under consideration FedWorld via the Internet is government for recordkeeping, is to make no changes. fedworld.gov. The address (URL) for the collection, and presentation of data on Important dates in the balance of the World Wide Web is http:// race and Hispanic origin. The standards review process are shown below. www.fedworld.gov/ftp.htm#omb. For ftp have been used in two decennial Various agencies are conducting access, ftp://fwux.fedworld.gov/pub/ censuses and in surveys of the activities to support the review process; omb/omb.htm. The telephone number population, data collections necessary these include work by the Bureau of the for the FedWorld help desk is (703) for meeting statutory requirements Census related to the 2000 Census 487–4608. For assistance in using associated with civil rights monitoring program mentioned below. electronic mail, please contact your and enforcement, and in other Fall 1995—OMB analyzes Federal system administrator. administrative program reporting. Register notice comments; receives Comments may be sent to OMB using During the past several years, the results of May 1995 CPS Supplement; the following Internet address: standards have come under increasing continues to consult on options with ombdir15(@)a1.eop.gov. criticism from those who believe that affected groups FOR FURTHER INFORMATION CONTACT: the minimum categories set forth in March 1996—Census Bureau conducts Suzann Evinger, Statistical Policy Directive No. 15 do not reflect the National Content Test (NCT) in Office, Office of Information and increasing diversity of our Nation’s preparation for 2000 Census Regulatory Affairs, Office of population. Some have also proposed June 1996—Census Bureau conducts Management and Budget, NEOB, Room changing the names of some categories. Race and Ethnic Targeted Test 10201, 725 17th Street, NW., In response to the criticisms, OMB (RAETT) in preparation for 2000 Washington, DC 20503. Telephone: initiated a review of the Directive. As a Census 202–395–3093. November 1996 through January 1997— first step in this process, OMB asked the SUPPLEMENTARY INFORMATION: Committee on National Statistics Bureau of the Census provides test (CNSTAT) of the National Academy of results from National Content Test A. Background Sciences to organize a workshop to and Race and Ethnicity Targeted Test The United States government has discuss issues to be addressed in the Spring 1997—OMB publishes Federal long collected statistics on race and review. A report of the workshop, held Register notice on research results ethnicity. Such data have been used to in February 1994, is forthcoming from and proposed decisions on changes, if study changes in the social, CNSTAT. During 1994, the review any, to Directive No. 15 demographic, health, and economic process also included (1) Public Mid-1997—OMB publishes final characteristics of various groups in our hearings in Boston, Denver, San decision regarding any changes to population. Federal data collections, Francisco, and Honolulu, (2) comment Directive No. 15 in a Federal Register through censuses, surveys, and by Federal agencies on their notice administrative records, have provided requirements for racial and ethnic data, ISSUES FOR COMMENT: With this notice, an historical record of the Nation’s (3) development of a research agenda OMB requests public comment on the population diversity and its changing and related literature reviews, and (4) following: (1) Are there any issues or social attitudes and policy concerns. publication of a Federal Register notice, options not listed that should be Since the 1960s, data on race and 59 FR 29831 (1994). The June 9, 1994, considered before a final decision is ethnicity have been used extensively in notice contained information on the made? (2) for each option presented, are civil rights monitoring and enforcement development of the current standards there additional pros and cons to covering areas such as employment, and requested public comment on: (1) consider? (3) are there additional voting rights, housing and mortgage The adequacy of current racial and principles that should govern a final lending, health care services, and ethnic categories, (2) the principles that decision on whether or how to revise educational opportunities. These should govern any proposed revisions to the standards? and (4) which options legislatively-based priorities created the the standards, and (3) specific should be included for testing in 1996? need among Federal agencies for Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44675 compatible, nonduplicative data for the discussed in comments from the public government enumerator filling out the specific population groups that (Section B); the expected future research questionnaire. Now, the usual practice historically had suffered discrimination agenda (Section C); and general is self-administered forms and and differential treatment on the basis of principles for making a final decision on questionnaires, especially when the their race or ethnicity. In response, the standard racial and ethnic categories for purpose of data gathering is to obtain Office of Management and Budget Directive No. 15 (Section D). information on population (OMB) issued in 1977 the ‘‘Race and Historical continuity of racial and characteristics. In the enforcement of Ethnic Standards for Federal Statistics ethnic data is important to many data civil rights laws, however, the and Administrative Reporting’’ users. Over time, however, there have classification is often made by contained in Statistical Policy Directive been variations in how the Nation’s employers or school administrators, and No. 15. These categories also principal population groups have been the observer’s perception is at issue. implemented the requirements of Pub. classified according to race and Whether someone is a victim of L. 94–311 of June 16, 1976, which called ethnicity; such differences have discrimination often turns on the way in for the collection, analysis, and occurred even within data sets. In which others act on their perception of, publication of economic and social decennial censuses, for example, a for example, the color of the statistics on persons of Spanish origin or question on race has been included individual’s skin, the ethnic origin of descent. Hence, the population groups since 1790. There have been many his or her last name, or the accent with identified by the Directive No. 15 racial changes in the broad racial categories, which he or she speaks. Such issues do and Hispanic origin categories reflected the specific components of the not depend generally on the way in legislative and agency needs, and not categories, and whether data on which the individual identifies his or efforts by population groups to be ethnicity were collected. Asian Indians, her racial or ethnic background. In sum, specifically identified. for example, were counted as ‘‘Hindus’’ Federal data sets identifying race and In recent years, Directive No. 15 has in censuses from 1920 to 1940, as ethnicity are a mixture of self- been criticized for not sufficiently ‘‘White’’ from 1950 to 1970, and as identification by respondents and the reflecting the Nation’s diversity. In ‘‘Asians or Pacific Islanders’’ in 1980 perceptions of observers. addition, some critics have proposed and 1990. Until the current racial and ethnic changing the names of some categories. Numerous studies reveal that standards were adopted in 1977, Federal In a June 9, 1994, Federal Register identification of ethnicity is fluid and data collections used an assortment of notice, OMB announced a review of self-perceptions of race and ethnicity definitions for broad racial categories. In Directive No. 15. As part of the review change over time and across response to that problem, a Federal and public comment period, OMB held circumstances for many people. This is interagency committee recommended hearings in Boston, Denver, San especially true among persons with development of common categories for Francisco, and Honolulu. The June 9, heterogeneous ancestries. A study of the racial and ethnic data. Directive No. 15 1994, Federal Register notice contains Current Population Survey showed 1 in provides a minimum set of standard additional background information on 3 people reported an ethnicity in 1972 categories and definitions for presenting the development of Directive No. 15; that was different from the one they had data on various racial and ethnic groups revisions proposed but not made in reported in 1971. This level of in our population. The Directive 1988; congressional hearings before the inconsistency reflects the fluidity of requires compilation of data for four House Subcommittee on Census, ethnicity as well as the effect of racial categories (White, Black, Statistics, and Postal Personnel in 1993; question design. American Indian or Alaskan Native, and a workshop conducted by the Major historical inconsistencies in the Asian or Pacific Islander), and an ethnic Committee on National Statistics in data reflect social reality and public category to indicate Hispanic origin, or 1994; work done by the Interagency policy as well as technical decisions by not of Hispanic origin. Committee for the Review of the Racial data developers. Most agree that To date evaluation of the quality of and Ethnic Standards; and general comparability over time is a desirable racial and ethnic data has been limited principles for the review of the racial goal but that it is important also to to research conducted by the Bureau of and ethnic categories. reflect changes in society as they occur. the Census, the National Center for In the June 9, 1994, Federal Register Thus, General Principles 9 and 10 (see Health Statistics (NCHS), and other notice, OMB cited specific concerns the section D below) call for conducting parts of the Centers for Disease Control public had raised over the years research before any changes are made and Prevention (CDC). Comparisons of regarding Directive No. 15. As a result and for providing a crosswalk between data sets indicate high consistency in of the notice, the public commented on old and any new categories so individual responses for White and the need for new categories, changes in comparisons can be made across time. Black populations (95 percent current categories, whether racial and There are also differences among data consistency) and for the Asian and ethnic data should be collected, sets with respect to how race and Pacific Islander population (90 percent legislative and programmatic needs for ethnicity are classified. On birth consistency) in the 1990 census the data, and the issue of self- records, for example, the race of the National Content Reinterview Survey identification versus observer baby’s mother and father are based on conducted by the Census Bureau. For identification. OMB received nearly 800 reports of the mother or family American Indians and Alaskan Natives, letters in response to the 1994 Federal members. The race of the baby, which reporting is less consistent (63 percent Register notice and heard the testimony is not reported on the birth record, was consistency in the 1990 National of 94 witnesses during the four public once assigned for purposes of published Content Reinterview Survey). Reporting hearings. OMB heard from a wide array statistics by an algorithm based on the race is also less consistent for multiple- of interested parties including parents’ races. Since 1989, however, the race persons, Hispanics, the foreign individuals, data users, and data National Center for Health Statistics has born, and persons who do not read or providers from within and outside the tabulated birth data according to the speak English well. NCHS found Asians Federal Government. mother’s race. In censuses and surveys and American Indians are sometimes This Federal Register notice focuses until 1970, racial data were usually misreported as ‘‘White’’ on death primarily on the six major issues based on the observation of the certificates, and this causes an 44676 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices underestimation of death rates for these should ‘‘race’’ identification be separate (1982) and the Civil Rights Act of 1964.) groups. Nevertheless, these data quality from Hispanic origin or other To end the collection of racial and problems are not so severe as to make ethnicities? ethnic data for these purposes, repeal of the data unusable for most purposes. Issue 4. Should self-identification or these statutes by Congress would be Testimony at the four public hearings the perception of an observer guide the required. The view of those who favor in 1994 and letters to OMB requested methods for collection of racial and continued collection of racial and ethnic data on specific population groups that ethnic data? data can be summed up by the words of go beyond legislatively required levels Issue 5. Should population size and the writer who said, ‘‘* * * the of detail. Some groups say they have geographic distribution of groups be measurable gains made in advancing a suffered discrimination in political and criteria in the final decision of Directive civil rights agenda to bring all economic access but without data for No. 15 categories? Americans into the economic, political, their specific population group, they Issue 6. What should the specific data and social mainstream would have been feel that the discrimination is not collection and presentation categories extremely difficult, if not impossible, if recognized. For others, the request for be? This discussion includes a brief we did not have adequate information recognition of a particular nationality summary of public comments and on racial and ethnic groups.’’ group seems to be primarily a matter of previous research findings. Briefly, Those who favor no collection gave as pride and identification with that suggestions that have been made their reasons the following: (1) Doing so population group. include: is divisive, archaic, unscientific, and Public comment indicates self- (a) White (suggestions include adding racist; (2) it should not be a function of identification is important to many categories for White ethnic groups; the Federal government (the government people. Some who commented adding a category for persons from the should be concerned only with requested different placement of their Middle East or of Arab descent; and citizenship) and the government has no specific group within a broad group. alternative wording for the category need to know (tracking heritage is an Many people of more than one race, name). individual choice and responsibility); who under Directive No. 15 are told to (b) Black (suggestions include (3) the government should collect choose one category that ‘‘most closely identification of geographic origin of ethnicity or ancestry instead of race; (4) reflects (their) recognition in (their) ancestors; adding a category for Creoles; there are no pure races, everyone is community,’’ said they wanted to reflect and alternative wording for the category mixed, and therefore, the categories are their full heritage, not just part of it. name). meaningless; (5) people do not know (c) Asian or Pacific Islander their complete ancestry; (6) we are all B. Summary of Issues and Suggestions (suggestions include having three supposed to have equal protection Raised in Public Comment; Research separate categories, one for Asians, one under the law (race neutral, color blind); Findings for Pacific Islanders, and one for Native (7) we are all Americans, we are a In the June 9, 1994, Federal Register Hawaiians; adding a new category for melting pot, we are one nation; (8) we notice, OMB asked for public comment original peoples of acquired American are all human beings; (9) it is on (1) the adequacy of the current lands (‘‘indigenous populations’’) that dehumanizing to categorize people like categories, (2) principles that should would include American Indians, nuts and bolts; and (10) it is upsetting govern any proposed revisions to the Alaskan Natives, Native Hawaiians, and (for example, the categories are too standards, and (3) specific suggestions native American Samoans and limited; reminds people of the Nazi for changes that have been offered by Guamanians; and specifying major holocaust). various individuals and organizations. nationality groups). Should there be standards at all? This section summarizes the public (d) American Indian or Alaskan Directive No. 15 is used widely and the comment (including comments from Native (suggestions include retaining strong consensus of public comment Federal agencies) that resulted from the the category with no change; expanding was to continue the issuance of June 9, 1994, Federal Register notice as the definition of the category to include standards for collecting data on race and well as research findings related to the the Native Hawaiians and the ethnicity. The background and demand particular issues. In an effort to be indigenous populations of American for the issuance of Directive No. 15 in thorough in summarizing public Samoa and Guam; and alternative 1977 is reviewed in 59 FR 29831, comments the discussion below of wording for the category name). (1994). specific data collection and presentation (e) Multiracial (suggestions ranged As part of the public comment period, categories (Issue 6) is necessarily from not having any multiracial Federal agencies were asked to provide lengthy. category to six suggestions for ways to information about their requirements for The issues and suggestions shown identify multiracial persons). data on race and ethnicity. Federal below are those raised in public (f) Hispanic origin (options include agencies report that the standards in comment and do not reflect OMB categories for subgroups; and alternative Directive No. 15 have facilitated the positions or decisions. OMB will not wording for the category name). exchange of data among agencies and make decisions on the issues until mid- among states, in instances where data Detailed Discussion of the Six Issues 1997. The following six issues are are not used exclusively within a discussed in this section: Issue 1. Should the Federal particular agency or program. Even Issue 1. Should the Federal government collect data on race and where it is not required, Directive No. government collect data on race and ethnicity? Should there be standards at 15 standards are often used in State and ethnicity? Should there be standards at all? business record systems and by all? Summary of views expressed on marketers as a matter of convenience Issue 2. Should Directive No. 15 be whether the Federal government should and to facilitate comparisons with other revised? Should there be different collect racial and ethnic data. Some data sets. collection standards for different agencies presently are required by The information also suggests, purposes? Federal statute and regulation to collect however, that Directive No. 15 may give Issue 3. Should ‘‘race/ethnicity’’ be racial and ethnic data. (See, for a false sense of comparability and asked as a single identification or example, the Voting Rights Act of 1973 continuity among data sets. Even where Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44677 the definitions of categories are Agencies that collect health data In line with the subjective nature of comparable, there have been variations particularly need to know specific the concept, research shows people in collection and processing procedures categories because some diseases and change how they classify themselves that lead to inconsistencies in the data. health problems are more prevalent with respect to race and ethnicity. There Additional differences occur because of among certain racial and ethnic groups. is significant inconsistency in the the mix of self-identification and Data collection agencies are concerned measurement of ethnicity particularly. observer-identification of race and about the significant operational, Research shows different responses are ethnicity. technical, and cost issues of a ‘‘check all summoned by the format of questions Agencies having statutory that apply’’ approach for multiracial (open or specified categories), the requirements to use racial and ethnic persons. For example, processing number of categories, the examples data for policy development, program systems would have to be changed to listed, changes in self-perceptions evaluation, and civil rights monitoring allow for reporting more than one within groups and among age cohorts, and enforcement: (1) Want historical category. Additionally, Federal laws and the political climate. continuity of the data; (2) generally have been written with the assumption The differing views of whether oppose a ‘‘multiracial’’ category because that persons identify with one racial Directive No. 15 should be revised relate the persons seeking this category are group; these laws would either have to to the purpose for collecting such data. already covered by existing racial be changed or some method would have Federal agencies that use racial and categories; (3) indicate that the to be devised to meet legislative ethnic data for regulatory programs, perception of others is more valid for requirements. civil rights monitoring and enforcement evaluating discrimination than Federal agencies have interpreted generally oppose any revision of individual self-identification; (4) note Directive No. 15 to apply only to Directive No. 15 for the reasons that standardized reporting formats, like primary data collection; data collection described in Issue 1. Directive No. 15 is the Employer Information Report, EEO– under grants may or may not comply seen as providing practical guidelines 1, rely on observer identification; (5) with it. for visual identification in a broad and express concern about the cost of Issue 2. Should Directive No. 15 be relatively straightforward manner of the making changes that will affect both revised? Should there be different population groups that have historically Federal agencies, respondents, and collection standards for different suffered discrimination. other governmental bodies; and (6) purposes? Where trend analysis of social and generally favor the broad group Among those who favor collection of economic changes was the commenter’s structure of Directive No. 15 in its racial and ethnic data, there is purpose, more detailed categories were present format. significant difference of opinion as to often favored. The preference varies for Data collection agencies have whether Directive No. 15 should remain other purposes such as policy legislative authority to collect racial and essentially as it is or should be revised. development and program fund ethnic data needed for Federal programs While some believe there should be no allocations. In the public hearings and and in the case of the decennial census, change in Directive No. 15, others say letters to OMB, persons concerned with for redistricting. They also use racial ethnic identification is in constant flux self-identification generally favored and ethnic data for analyses of social, and Directive No. 15 should be changed revisions that would provide more economic, and health trends for now and subsequently reviewed detailed categories and more freedom of population groups. These agencies said: periodically (for example, after every choice (see Issue 6). (1) The categories in Directive No. 15 decennial census). The Directive No. 15 Given the distinct uses of racial and confuse some respondents because they categories are nearly two decades old ethnic data in the Federal government are inconsistent, too broad for some and many people say they no longer (especially trend analysis versus purposes, and the concepts of race, identify with the categories. regulatory and civil rights monitoring Hispanic origin, and ancestry overlap; Intermarriage, changes in immigration and enforcement), the possibility of a (2) historical continuity of the data is flows, and changes in ethnic two-part Directive No. 15, with one part important; (3) it is important to be able consciousness are some of the reasons. focusing on each purpose, has been to aggregate any new categories back to These changes in our basic population suggested as an option if there are the 1977 Directive No. 15 categories; (4) structure suggest an increasingly diverse changes to Directive No. 15. Part A of corrections are needed in Directive No. society and unforeseen future needs for Directive No. 15 could provide more 15 (for example, there is no category for racial and ethnic data. detailed standards for use when a major South American Indians and only Public testimony and research purpose is trend analysis (such as in the Hispanic Whites and Hispanic Blacks indicate that race and ethnicity are decennial census and perhaps are identified in the minimum subjective concepts and inherently household surveys). Such a standard combined format); (5) subgroups of ambiguous. For purposes of collecting would track the increasing diversity of Asians and Hispanics were most data in the United States, race and the U.S. population and provide better frequently cited as a need but required ethnicity are cultural concepts and information to inform decisions about data collection should be limited to social constructs. As stated in the whether the categories for groups with sufficient numbers to current version of Directive No. 15, the administrative and enforcement generate meaningful estimates; (6) a few racial and ethnic categories are not purposes should be expanded. Part B of agencies expressed interest in intended to reflect scientific or Directive No. 15 could remain subcategories of the Black population anthropological definitions of who essentially unchanged for use in (e.g., African, West Indian); and (7) for should be included in a particular program evaluations and civil rights American Indians, some expressed a category. The definitions of the monitoring and enforcement. need to require the identification of minimum set of population categories There are disadvantages to having two Federal- versus state-recognized tribes. under Directive No. 15 include levels of data collection specified in the Many felt a ‘‘multiracial’’ category (that references to color, ancestry, and standards of a revised Directive No. 15. does not specify the races) is too geographic origins in an effort to The most serious disadvantage could be heterogeneous and affects the counts of approximate social constructs of race data sets with different counts of other groups in unknown ways. prevalent in the United States. population groups that cannot be 44678 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices related, a result of different coding and the race and ethnic categories on defines people by what they are not. For tabulation rules. This is especially the administrative records will present example, rather than ‘‘White, not of case if the specific races of multiracial problems in data comparability over Hispanic origin,’’ a category might be persons are identified. Two sets of data time. The categories on the records ‘‘White, European ethnicity’’ or could be confusing to data users who reflect what they were as of the time of ‘‘American Indian, Mexican.’’ This may be unsure of which set to use for initial enrollment and the categories are approach would require a question that various purposes. To prevent refocusing generally carried without change for identifies ancestry groups within the the problem from data collection to decades. Administrative records are broad race groups. tabulation, there would have to be often collected from State and local Most Federal agencies did not generally agreed-upon procedures and sources, which have a variety of comment on whether race and Hispanic guidelines for how agencies would recordkeeping practices, are not origin should be collected in one tabulate data for program purposes. The required to meet Directive No. 15 (but question or two questions, although procedures should ensure that detailed often do), and are unlikely to collect many agencies have been using the data collections could be tabulated back information for detailed categories. A combined format for a number of years to the broad categories of the 1977 few States now require a ‘‘mixed race’’ and have developed data series with the Directive No. 15 in a standard way category. There will be increasing value resulting data. Those few that across programs. Standard and generally to the Federal government if State commented were split on the issue. agreed-upon tabulation rules would be records use the same categories as The public indicated differences of needed for the various combinations of Directive No. 15. opinion also. Those who favored asking multiracial entries, including those Federal and State government race and Hispanic origin separately said where neither race is ‘‘White.’’ The agencies emphasized that if there are Hispanics were a multiracial population Bureau of the Census already has revisions, a reasonable amount of time and a cultural (not a race) group. Many procedures for aggregating detailed data needs to be given to phase in the Latin American countries are populated from the 1990 census to the broader changes. by immigrants from parts of Europe categories of Directive No. 15. The Issue 3. Should ‘‘race/ethnicity’’ be other than Spain. Many wanted to reaggregations could become more asked as a single identification or identify Asian-Hispanics and American complicated because of the different should ‘‘race’’ identification be separate Indian-Hispanics. Research shows assumptions that would be required. from Hispanic origin or other Hispanics who self-identify as White The requests of some groups who do not ethnicities? also fare better economically; thus, some feel they fit into existing categories (e.g., Directive No. 15 states that it is said two questions were needed because some Arabs, Creoles, and Cape preferable to collect data on race and ethnicity alone was insufficient for Verdeans) suggest that aggregations Hispanic separately to allow flexibility. determining which Hispanics are likely could become even more problematic. If a combined format is used to collect to be victims of discrimination. Others Also, the quality of the reaggregated racial and ethnic data the minimum were concerned with historical data can vary by geographic area. acceptable categories are: American continuity of data concepts and wanted Some say cost should not be an Indian or Alaskan Native; Asian or to be able to generate statistics for the ‘‘excuse’’ for failing to improve data Pacific Islander; Hispanic; White, not of total White and total Black population. collection on race and ethnicity, Hispanic origin; and Black, not of When separate questions are used to especially where the data are used for Hispanic origin. The use of the Hispanic collect racial and ethnic data, there is protection of civil rights. Others category in the combined format does also a technical matter of which expressed concern about the cost of not provide information on the race of question should be asked first. making changes to Directive No. 15 those selecting it. As a result, the Some who favored asking race/ when the broad categories are combined format makes it impossible to Hispanic origin as one question said acceptable choices for most of the distribute persons of Hispanic ethnicity many Hispanics do not identify population and cover programs affecting by race and, therefore, reduces the themselves as a race. Others favored this almost all persons. Added costs utility of the four racial categories by approach as a way to end the practice associated with more detailed categories excluding from them persons who of using the term ‘‘race’’ which they see are discussed in Issue 6 below. would otherwise be included. Thus, the as a social rather than a scientific Federal, State, and local government two formats currently permitted by construct. agencies urged that any revisions ensure Directive No. 15 for collecting racial and For some individuals, race and that data can be tabulated back to the ethnic data do not provide comparable ethnicity may not be clearly separable. 1977 categories. Most expressed a data. One proposed solution is to ask a single preference to maintain historical Public testimony reflected some data race/ethnicity question (that is, one continuity of the two decades of data problems with the standards in question in which ‘‘Hispanic’’ is sets with the understanding they are not Directive No. 15. The combined format included in the list with the broad race perfectly comparable. It was also does not provide for identification of categories) and allow respondents to recognized that final tabulations give Asians or American Indians with mark all that apply. Hispanics who the data an appearance of comparability Hispanic origins, and would classify the identify with a race category could mark among data sets when actually there are people of Equatorial Guinea, who are both categories. Hispanic respondents differences caused by data collection geographically Africans but who speak who do not identify with any race methods (especially self-identification Spanish, as Hispanic. There is no category could mark ‘‘Hispanic’’ only. versus identification by observers). apparent category for Central and South The question would correspond to self- Nevertheless, the data are widely American Indians. perceived membership in population accepted by courts and government Some persons from non-Hispanic groups defined by cultural heritage, agencies as reliable indicators of change ethnic groups questioned why language, physical appearance, or other in housing patterns, redistricting, and Hispanics had been singled out as the characteristics. labor markets. only ethnic group specifically identified Some research supports the public If there are revisions to Directive No. in Directive No. 15. Others objected to comments that some respondents are 15, research indicates that changes in the term ‘‘non-Hispanic’’ because it confused about how to respond to Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44679 separate race and Hispanic origin items. At the heart of criticisms and public In the 1990 census, 8.7 million persons In the 1990 census, 4 in 10 Hispanics requests for review of Directive No. 15 reported in the ancestry question that marked ‘‘Other’’ in the race question is the feeling of some persons, they were American Indian but only 1.9 and about 10 percent of the population particularly those of mixed heritage, million reported American Indian race. did not respond to the Hispanic origin that they cannot accurately identify Only 3 of 4 who reported ‘‘American item. The 1990 census reinterview their race and ethnicity as they prefer in Indian’’ as their race gave ‘‘American study, in which the answers given by a Federal data systems using the current Indian’’ as their first ancestry; about 9 sample of respondents to the 1990 categories. They say the government percent gave an European first ancestry. census were compared with answers should not limit their choice of There are also regional effects in they gave in a reinterview after the identification. As stated in the second reporting American Indian as a race census, also showed that Hispanics had principle for the review of racial and related to the prevalence of high levels of inconsistent reporting in ethnic categories (Section D below), intermarriage, migration, Federal the race item. These results indicate the ideally OMB prefers that self- recognition of regional tribes, and question may not be operating as identification should be facilitated to attitudes towards Indians. intended. the greatest extent possible but there are Development of Federal data sets Cognitive research shows that many data collection systems where observer includes increased use of administrative Hispanics perceive redundancy in identification is more practical. Federal records matched to survey data for trend separate race, Hispanic origin, and censuses, surveys, and vital records give analysis. This makes the issue of data national origin questions. Some preference to using self-identification; collection methods, both by observation Hispanic respondents do not identify that is, having the individual (or in and self-identification, a greater with the Black or the White category, some cases a proxy respondent) provide technical difficulty than in the past. and are offended by an ‘‘Other race’’ the information requested about his or Where identification is by observers or category (which they interpret to mean her race and Hispanic origin. proxy respondents, blood relatives may that Hispanics are less important than Research shows that ethnic groups be identified differently in other races since they do not have their evolve and may modify their preferred administrative records and an own ‘‘label’’). For some, ‘‘White’’ is ethnic group names; individuals may individual may be identified differently synonymous with ‘‘Anglo’’ meaning represent their affiliation with groups among data sets. non-Hispanic. For example, in a focus differently depending on the situation Issue 5. Should population size and group, a Mexican-American man said and may alter their perceived ethnic geographic distribution of groups be that where he lived people were either membership over time. Category names criteria in the final decision of Directive Mexicans or Anglos. He was confused need to be acceptable and generally No. 15 categories? by a race question that seemed to be understood both by members and Many of the groups for which data trying to make him say he was White nonmembers of the groups to which collection has been requested are and to his mind, non-Hispanic. In an they apply. numerically small and often are found analysis of the responses of Hispanics to Self-identification is not the preferred primarily in specific geographic areas. the race question in the 1990 Panel method among Federal agencies In national sample surveys, these factors Study of Income Dynamics, Cubans concerned with monitoring and often make it unreasonably costly or were the most likely and Mexican- enforcement of civil rights. They prefer burdensome on the public to collect Americans the least likely to identify to collect racial and ethnic data by reliable data. A question that allows for themselves as ‘‘White.’’ Cognitive visual observation. Since discrimination self-identification to the greatest extent research shows some Hispanics, is based on the perception of an possible may be very lengthy. Some see especially the foreign born, expect to see individual’s race or Hispanic origin, this as a technical problem, others do a single category for Hispanics. these agencies oppose any changes that not. If race and Hispanic origin are asked would make it more difficult to collect There are difficulties with using size as two separate questions, there is the data by observation. Such proposed of population as a basis for making a issue of whether to ask race or Hispanic changes include the suggested population group a specific category. origin first. Research done since 1987 ‘‘multiracial’’ category as well as The size of the population is itself a indicates that additional instructions identification of national origins and subject of controversy at times. and asking Hispanic origin first reduce ethnicities (for example, ‘‘Arab’’ or For sample surveys, how small is ‘‘too nonresponse to that question. Asking ‘‘Cape Verdean’’). These agencies say small’’? Sample data can provide only Hispanic origin first also reduces that if categories are more detailed and an estimate of a number and not, with reporting as ‘‘other race’’ and increases include nationality groups, or if there is 100-percent certainty, the true number reporting as ‘‘White’’ by U.S.-born a ‘‘multiracial’’ category (and especially itself. The smaller the group, the more Hispanics but not by immigrants. A if the multiple races have to be unreliable estimates are with respect to large minority of respondents still report identified), it would be virtually sampling error. For example, in the as ‘‘other race.’’ The Census Bureau will impossible to give instructions for how Current Population Survey (CPS), a conduct research in the 1996 National to classify by visual observation. national survey of households, summary Content Test for the 2000 census to Additionally, they report it is their measures such as means and percentage determine whether placing the Hispanic experience that direct inquiry about a distributions are shown only when the item first affects consistency of person’s race, ethnicity, or national population base is 75,000 or greater. An responses and reporting in the race origin sometimes raises concerns among example of how much sampling error category among subgroups not employees or other respondents about increases in a survey as the population adequately represented in other studies. the purpose of collecting the data. size of a group decreases can be The future research agenda is American Indian groups express provided for a characteristic such as the described in Section C below. concern about self-identification. Tribal poverty rate. If the estimated poverty Issue 4. Should self-identification or recognition of status as an American rate for the total U.S. population is the perception of an observer guide the Indian or Alaskan Native (Alaskan about 14 to 15 percent (a 90-percent methods for collection of racial and Indian, Eskimo, or Aleut) is a legal confidence interval), then for a ethnic data? definition, not one of long-ago ancestry. population group of 1 million persons, 44680 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices the poverty rate would be about 8 to 21 ethnic origin interchangeably; they see more expensive to capture and code percent; for a population group of little difference between the two handwritten responses to open-ended 500,000 persons, the poverty rate would concepts. Most people do understand questions than fixed, pre-determined be about 6 to 23 percent; and for a the concept of ancestry. categories. Some of the increased costs population group of 200,000 persons, Some groups stated that their associated with categories more detailed the poverty rate would be about 1 to 28 preference was for standard categories than the current Directive No. 15 would percent. (A 90-percent confidence that would maximize the size of their include: interval can be interpreted roughly as population because they believed larger • Interviewer training for providing 90-percent confidence that numbers provide importance in society implementing changes in collecting the true number falls between the upper and greater political leverage. these data and updating of interviewer and lower limits.) The accuracy and In short, groups differed in what they instruction manuals; reliability of an estimate depends not considered the most desirable standard. • Additional interview time to collect only upon sample sizes, but also upon It is impossible to satisfy every request more detailed data; whether the groups are ‘‘controlled’’ for racial and ethnic categories that • The technical and practical (i.e., weighted to independent OMB received; such a list would be both difficulty of administering more estimates). Estimates of the Asian and lengthy and contradictory. Some detailed or more complex categories Pacific Islander population from the persons requested religious (such as long lists of nationalities, 1994 March Current Population Survey identification; this option is not especially if multiple responses are differed by about 20 percent from discussed below because the Federal allowed) in telephone surveys; demographic estimates due primarily to collection of religious affiliation has • Increases in computer this factor. been interpreted as possibly violating reprogramming and data processing One person suggested that groups the separation of church and state. costs; should constitute at least one percent of Some suggested a completely open- • Increases in the likelihood of the population (nationally, about 2.6 ended question with no standard litigation over data aggregation and million in 1994) to be considered as a categories for data collection; rather, processing decision rules; separate category. A time frame and data standards would be set for data • Increases in the costs of source would have to be agreed upon if tabulation. An open-ended question is disseminating data in hard copy or such a guideline were considered. discussed in part (e), Multiracial option electronic format and storing larger Issue 6. What should the specific data (2)(cc). computer data files; collection and presentation categories Below is a discussion of public • Updating program manuals, be? comment with regard to the current regulations, and recordkeeping There are no clear, unambiguous, broad categories of ‘‘White,’’ ‘‘Black,’’ requirements to reflect changes; and objective, generally agreed-upon ‘‘Asian or Pacific Islander,’’ ‘‘American • Making data analysis more definitions of the terms, ‘‘race’’ and Indian or Alaskan Native,’’ and complex. ‘‘ethnicity.’’ Cognitive research shows ‘‘Hispanic origin.’’ Part (e) below The cost considerations described that respondents are not always clear on discusses options with respect to above apply, in varying degrees, to any the differences between race and classification of persons of multiple change and so are not described further ethnicity. There are differences in races, a category that does not exist in in the discussion below of pros and terminology, group boundaries, the current standards. Where possible, cons for the various options raised in attributes, and dimensions of race and in the discussion of options and their public comment. ethnicity. Historically, ethnic pros and cons, past research results are communities have absorbed other included. (a) White groups through conquest, the expansion As part of the discussion of options, In Directive No. 15, the ‘‘White’’ of national boundaries, and the cost of proposed changes with category includes persons having acculturation. respect to collecting, tabulating, and origins in any of the original peoples of Groups differ in their preferred analyzing data is an essential Europe, North Africa, or the Middle identification. Concepts also change consideration (see Section D, General East. The public comment included over time. Research indicates some Principle 8). Any changes in Directive suggestions for subcategories and respondents are referring to the national No. 15 will be imposed on tens of related changes in terminology to collect or geographic origin of their ancestors, thousands of State and local agencies more detailed information on White while others are referring to the culture, such as law enforcement agencies ethnic groups according to the religion, racial or physical (through the Uniform Crime Reporting geographic region of their ancestors. characteristics, language, or related system), school districts, the business This summary reports only on options attributes with which they identify. The community, and others required to use proposed during public hearings and in 1977 Directive No. 15 categories are a the Directive in reporting these data to the public comment period. It also mix of these. The categories do not the Federal government. If highlights pros and cons for these represent objective ‘‘truth’’ but rather, administrative records for Federal options as raised in public comment or are ambiguous social constructs and programs have to be completely updated shown by research. Inclusion in the involve subjective and attitudinal to meet a new standard, there will be summary does not reflect OMB issues. significant costs to entities that report to endorsement of the comments or Some said the categories should the Federal Government. For example, suggestions. Requests included: reflect ancestry or cultural affiliation the State of Florida estimates it would rather than skin color. Some wanted to cost $2 million to change school Options Suggested in Public Comments indicate they were ‘‘American’’ and had enrollment records. (1) Collect data for White ethnic ancestry from a particular geographic Changes in the current Directive No. groups according to the country of region (‘‘hyphenated Americans’’) while 15 would also entail additional ancestral origin (for example, German, others opposed this (‘‘we are all processing costs as software and Scottish, or Irish). Some prefer other Americans’’). Cognitive research sometimes data capture methods would terms such as ‘‘European-American,’’ or indicated that some people use race and have to be changed. For example, it is ‘‘German-American’’ and some Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44681 requested that ‘‘European’’ be further East/North Africa and West Asian —Reflects the ethnic diversity of the subcategorized into ‘‘Western region, regardless of their race, ‘‘White’’ category. European’’ and ‘‘Eastern European.’’ religion, or language group. It would Cons of Option (a)(2): Some suggested subcategories for include Arab states, Israel, Turkey, • Collection: identifying the original peoples of Afghanistan, and Iran. Some —Requires space on form for an Europe, North Africa, and Southwest suggested also including Pakistanis additional category. Asia (Middle East). and Asian Indians in their geographic —There was no general agreement in Pros of Option (a)(1): definition of the term. Data • public comment about the geographic Collection: Some persons identify availability on subsets of the Middle definition of ‘‘Middle East.’’ For more with their ancestry than with Eastern regional category was also example, there is disagreement in ‘‘White’’ as a racial category. requested. Some comments referred to • public comment about whether Tabulation and analysis: Indicates the ‘‘Middle Eastern’’ category as an Pakistanis and Asian Indians are the ethnic diversity of the ‘‘White’’ ethnic identifier; some favored the included if the term, ‘‘Middle population. addition of a ‘‘Middle Eastern’’ Eastern’’ is used. The term, ‘‘Arab’’ Cons of Option (a) (1): category to the list of basic racial and • clarifies that Asian Indians and Collection: ethnic categories; and others Pakistanis would remain classified —Physical space on forms: If national suggested a ‘‘Middle Eastern’’ with Asians, which some consider origin groups are listed, considerably subcategory be created within the preferable for historical continuity; no more space would be needed. ‘‘White’’ category. Those preferring a requests were received from Asian —Telephone interviews: More difficult ‘‘Middle Eastern’’ to an ‘‘Arab’’ Indians or Pakistanis to be than currently, especially if national category felt that the category would reclassified. Public testimony origin groups are listed; more time build on the other regionally defined indicated inconsistencies in consuming to ensure that respondent categories, consolidate people from understanding which countries is given the opportunity to different countries but with similar should be included as ‘‘Arab.’’ understand the possible choices. cultural/geographic experiences —Identification by observers: Because —Data quality: Effect on counts of regardless of race, and distinguish some Arabs are light-skinned and specific nationality groups if country them from persons of European some are dark-skinned, identification not listed as an example; count also descent in the ‘‘White’’ category. by visual observation is prone to affected by which nationalities/ —Add an ethnic category called ‘‘Arab- error. countries are listed; respondent may American’’ based on a linguistic and • Tabulation and analysis: be confused between reporting cultural approach to the minimum set ancestry (e.g., German) versus country of categories in Directive No. 15. —A separate Arab/Middle Eastern of birth (e.g., Russia); and some Those who preferred the term, ‘‘Arab’’ category may affect the historical respondents do not know their said Arabs, like Hispanics, are an comparability of data in the ‘‘White’’ ancestry. ethnic group of mixed race and have category and may affect the counts of —Categories not required by Federal a shared language and culture. They other racial groups since Arabs are a legislation/programs and States would make ‘‘Arab’’ a separate mixed racial group. —Adds a category on many national unlikely to collect this detail in category rather than part of the surveys for a geographically administrative records. ‘‘White’’ category; they would leave concentrated population (about half of —Visual observation: Nationality not North Africans, who are not Arabs, as the Arab population is concentrated easily determined. part of the ‘‘White’’ category. • —Reclassify ‘‘Muslim West Asians’’ as in Detroit, New York, Los Angeles, Tabulation and analysis: Need rules and Washington, DC). for tabulating multiple ancestries. part of the ‘‘Asian or Pacific Islander’’ category. —Relatively small population (less than More categories add costs for 900,000 according to the 1990 census, tabulation and analysis. It is more Pros of Option (a)(2): although Arab groups claim 1–3 • Collection: complex to analyze and report on million). Geographically, ‘‘Middle many nationalities as compared with —A separate category would satisfy Easterner’’ as a category would single race categories. Arab/Middle Eastern respondents include persons other than Arabs. (2) Create a separate category for who do not think of themselves as (3) Alternative words suggested for Arabs/Middle Easterners (currently ‘‘White’’ or as having any identity in ‘‘White’’ include ‘‘Caucasian’’ and included as part of the ‘‘White’’ common with Europeans. ‘‘Anglo.’’ category) in order to distinguish this —A separate category would facilitate Pros of Option (a)(3): population from persons of European self-identification and could possibly • Collection: ‘‘Caucasian’’ preferred descent in the ‘‘White’’ category. The improve the quality of the data on by some respondents. public comment offered different Arabs/Middle Easterners. Cons of Option (a)(3): suggestions for the name of the category —Telephone survey: Easy to ask if it is • Collection: ‘‘Anglo’’ generally refers and how to define the population group the only category added; however, if to Whites of European ancestry and it would be intended to cover. Some additional categories are added, it excludes Hispanics; this would affect comments supported a separate category may be problematic. historical continuity. The term tends to for the decennial census enumeration, • Tabulation and analysis: be used regionally and may not be but not necessarily adding a separate —Would provide treatment comparable generally understood. category to the minimum set of racial to Hispanics (and in some data sets, Past research results/literature review: and ethnic categories in Directive No. specific Asian nationality groups). Some object to the term ‘‘White’’ (for 15. These suggestions included: —Data could be used in policy example, in cognitive research one said, —Create a geographically oriented development, in delivery of services ‘‘white is the color of paint’’ and in a category called ‘‘Middle Eastern’’ and needs assessments, for civil rights letter another said, ‘‘I am not the color (based not on race but on region of monitoring and enforcement, and in of this paper’’). Some preferred the term, origin) for persons from the Middle health research. ‘‘Caucasian.’’ Ethnicity is largely 44682 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices symbolic or optional for many Whites. Jamaican, Caribbean, West Indian, Cons of Option (b)(3): Whites often reported inconsistently, as Brazilian, Ethiopian, etc.). • Collection: ‘‘American,’’ or not at all in response to Pros of Option (b)(1): —Excludes Africans who are not the 1990 census ancestry question. A • Collection: Easy to ask in a American citizens. significant number of Whites do not telephone survey. Some persons —Term generally refers to Blacks but strongly identify with a specific identify more with their ancestry than respondents could reasonably be European ethnicity. This has been the with ‘‘Black’’ as a racial category. confused as to whether to include case for decades. For example, only • Tabulation and analysis: Useful for Whites, Asians, or others born in about 55 percent of matched persons research on health, diversity, needs Africa (especially North Africa). who reported English, Scottish, or assessments, trends analysis; does not Could affect historical comparability Welsh in the March 1971 Current affect historical continuity. Indicates the of data. Population Survey (CPS) reported the ethnic diversity of the Black population. —Blacks born in Brazil or the Caribbean Cons of Option (b)(1): (especially immigrants) do not same origin in March 1972. The • ‘‘example effect’’ is very strong for Collection: identify with the term, ‘‘African White ancestry groups. For example, in —Determining geographic origin or American.’’ Some Blacks who have two surveys held five months apart, 40 nationality/ancestry by visual been in the United States for million people reported English as their observation would be difficult and generations have no record of where ancestry and in the other, nearly 50 prone to error. in Africa their ancestors were born million said they were English. The —If national origin groups are listed, and do not wish to be called ‘‘African- only difference was placement of a considerably more space would be Americans.’’ question on language use in their home needed on forms. —Use of ‘‘American’’ increases (English for 90 percent of the —Telephone interviews would be more respondent error by persons who are population) after the ancestry question difficult than currently, especially if not Black but who wish to identify as in the second survey and farther apart national origin groups are listed; more ‘‘Americans.’’ in the first survey. ‘‘German’’ was the time consuming to ensure that • Tabulation and analysis: Refers to a first example in the 1990 census respondent is given the opportunity to continent, not a country. ancestry question and, as a result, the understand the possible choices. (4) Provide a separate category for • German population appeared to grow Tabulation and analysis: Data not Cape Verdeans (Portuguese and African very rapidly. Some Whites, however, do needed for Federal program evaluation ancestry from Cape Verde on the identify strongly with their ancestry and and enforcement. States are unlikely to western tip of Africa. This is mostly a were confused by the 1990 census race collect this detail in administrative multiracial population. ‘‘Cape Verdean’’ question which listed nationality groups records. Count of specific nationality is generally considered a national, for Asians and Hispanics but not for groups could be affected if respondent ethnic and linguistic designation rather Whites. is confused between reporting ancestry than a racial designation). The category (e.g., Haitian) versus country of birth could be an ethnic category rather than (b) Black (e.g., Virgin Islands); some respondents a racial category as is the case for The term ‘‘Black’’ in Directive No. 15 do not know their ancestry. Rules would persons of Hispanic origin. refers to a person having origins in any be needed for tabulating multiple Pros of Option (b)(4): • of the Black racial groups of Africa. ancestries. More categories add costs for Collection: Would satisfy Cape There were suggestions to change the tabulation and analysis. It is more Verdean respondents and is easy to ask. • definition to ‘‘persons having origins in complex to analyze and report on many Tabulation and analysis: Useful for any of the Black peoples of Africa,’’ or nationalities as compared with single civil rights monitoring and enforcement to define the term to include all Black race categories. in State of Massachusetts. persons regardless of country of origin (2) Create a separate category for Cons of Option (b)(4): • or country of citizenship. Requests were Louisiana (French) Creoles. They Collection: made to identify Blacks according to the objected to categorization with Blacks as —Visual identification of Cape geographic region of their ancestors. they are a multiracial/ethnic group Verdeans prone to error because of ‘‘African-American’’ and ‘‘Black (African, French, American Indian, and various skin colors. People within the African-American’’ were suggested as Hispanic). same family say they are identified Pros of Option (b)(2): names for the category (the suggestions differently. • Collection: Easy to ask in a of ‘‘Black American’’ and ‘‘Amerofian’’ —Adds a category for a small, telephone survey if it is the only (described as Blacks who are American geographically concentrated category added; however, if additional Natives, European, and West African) population. categories are added may be are not discussed below). This summary • problematic. Tabulation and analysis: Not reports only on options proposed during Cons of Option (b)(2): required for Federal programs. public hearings and in the public • Collection: Extra space on forms; Past research results/literature review: comment period. It also highlights pros extra time in telephone interview. In surveys from 1989 to 1991, more and cons for these options as raised in • Tabulation and analysis: Small Blacks said it did not matter if they were public comment or as shown by population size. Affects historical called ‘‘Black’’ or ‘‘African American’’ research. Inclusion in the summary does continuity of data sets. than said they preferred one over the not reflect OMB endorsement of the (3) Use the alternative term, ‘‘African other. Among those with a preference, comments or suggestions. Requests American’’ or ‘‘Black, African- the ratio choosing ‘‘Black’’ over included: American.’’ ‘‘African-American’’ was 1.2 to 1. In a Options Suggested in Public Comments Pros of Option (b)(3): 1993 survey in the Chicago area, a • Collection: Commonly-used majority of Blacks preferred ‘‘African (1) Collect data for Black ethnic identification for Blacks born in the American’’ for their ethnicity and groups according to geographic origin of United States or Blacks whose parents ‘‘Black’’ for their race but the proportion Black ancestors (African, Haitian, are Americans. had declined since 1991. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44683 Several studies of Blacks with roots in —Pacific Islanders are culturally and States. They said that including them the Caribbean or Africa show they do ethnically distinct from Asians so in the large ‘‘Asian or Pacific not feel they share a common history or separate data would be useful for Islander’’ category resulted in data culture with American-born Blacks and trends analyses, needs assessments, that do not accurately reflect their distinguish themselves from this and health research. Historical social and economic conditions. Some population. Further research is needed continuity can be maintained by representatives of Asian groups on the terminology that is generally aggregating ‘‘Pacific Islanders’’ with supported this suggestion. understood or most acceptable. In the ‘‘Asians.’’ —No increase in the number of 1990 census, about 370,000 persons —Separate categories for Pacific categories. wrote in an entry classified as ‘‘Black’’; Islanders and for Native Hawaiians —Category mutually exclusive. about three-fourths of these were ethnic would meet program needs of the • Tabulation and analysis: subgroups such as Jamaican and Department of Veterans Affairs to —Inclusion of indigenous Pacific Haitian. Cognitive research suggests that report on veterans from specific Islanders as ‘‘Asians or Pacific many foreign-born Blacks interpreted minority groups. Islanders’’ masks their economic the race question in terms of national Cons of Option (c)(1): status. For example, Pacific Islanders origin rather than race. • Collection: have relatively high poverty rates. (c) Asian or Pacific Islander —Adds a category. They also have health issues and —Respondents may be confused as to educational needs different from The definition used for ‘‘Asian or the exclusion or inclusion of Native Asians. Pacific Islander’’ in Directive No. 15 Hawaiians and other indigenous Cons of Option (c)(3): refers to a person having origins in any populations which could seriously • Collection: of the original peoples of the Far East, affect data quality. —This might be viewed as a political Southeast Asia, the Indian subcontinent, —Effect on data collected by visual category rather than as one commonly and the Pacific Islands. This area observation is unknown. recognized by most individuals in includes, for example, China, India, • Tabulation and analysis: society. Japan, Korea, the Philippine Islands, the —Respondent error likely both on forms Hawaiian Islands, and Samoa. Public —Pacific Islanders are geographically and in telephone surveys as comment indicated confusion about concentrated and a relatively small ‘‘indigenous’’ or ‘‘original peoples’’ which countries are included in this population group for a separate are not familiar terms to most of the definition, particularly for ‘‘Indian category. population; the term, ‘‘native’’ is subcontinent’’ and whether the (2) Specify major Asian nationality interpreted to mean any person born aboriginal peoples of Australia are groups. in a particular area. No generally- included in this category. Requests were Pros of Option (c)(2) • understood choice for the category made to have separate categories for Collection: Done successfully in the name. Asians and Pacific Islanders and to 1990 census. • —Unknown how data collected by provide additional subcategories under Tabulation and analysis: Indicates diverse and significant differences in visual observation would be affected. ‘‘Asians’’ to describe better this diverse • population; to move Native Hawaiians, the characteristics of the Asian Tabulation and analysis: American Samoans, and Chamorros to population; potentially useful in —Opposed by most American Indian either a separate category or to the analyses of health and other trends. tribal governments and organizations Cons of Option (c)(2): as they preferred to maintain a ‘‘American Indian or Alaskan Native’’ • category. This summary reports only on Collection: category which refers specifically to options proposed during public —Requires significant physical space on American Indians. hearings and in the public comment forms. —Heterogeneous population in terms of period. It also highlights pros and cons —Telephone interviews: Tedious to characteristics; data would be less for these options as raised in public read long lists. useful than currently for policy comment or shown by research. —Identification by observers: difficult to development, trend analyses, and Inclusion in the summary does not determine specific nationality. needs assessment. Not useful for reflect OMB endorsement of the (3) Develop a new category for health research. American Indians comments or suggestions. Requests original peoples of acquired American were particularly concerned about included: lands (‘‘indigenous’’ populations). This possible effects on the quality of data would include persons having origins in needed for programs and funding. Options Suggested in Public Comments any of the original peoples of North (4) Have a separate category for Native (1) Make two categories, one for America who maintain cultural Hawaiians (defined as individuals who ‘‘Asians’’ and one for ‘‘Pacific identification through tribal affiliation are descendants of the aboriginal people Islanders.’’ Pacific Islanders include or community recognition (American who, prior to 1778, occupied and indigenous populations from American Indians, Alaskan Indians, Aleuts, and exercised sovereignty in the area that Samoans, Carolinians and Chamorros, Eskimos); the Hawaiian Islands; now constitutes the State of Hawaii). and Native Hawaiians, as well as other American Samoa; Guam; and the Change ‘‘Hawaiian’’ to ‘‘Hawaiian, part- population groups in the Pacific Islands. Northern Marianas. Some suggested this Hawaiian,’’ because most Native Native Hawaiians have a specific legal be a ‘‘Native American’’ category. Refer Hawaiians are part Hawaiian and many, status in Federal statutes different from also to Option (d)(2) below. in the past, have categorized themselves other indigenous Pacific Islanders. Pros of Option (c)(3): as ‘‘White.’’ Pros of Option (c)(1): • Collection: Pros of Option (c)(4): • Collection: —Many Native Hawaiians preferred this • Collection: —Easy to ask in a telephone survey. option. They do not consider —Clearcut, simple and mutually- —Categories are mutually exclusive. themselves Asians and they insist that exclusive category for those who • Tabulation and analysis: they are not immigrants to the United identify as Native Hawaiians. 44684 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices —Easy to ask in a telephone survey. Options Suggested in Public Comments respond in terms of ancestry further • Tabulation and analysis: (1) Suggestions for change in category back than their immediate parents. —American Indian groups, concerned title include: ‘‘American Indian, —The term, ‘‘Native American,’’ is an with an accurate count of their Alaskan Indian, Eskimo, and Aleut’’; unacceptable term to many American population, preferred this option to ‘‘American Indian, Alaskan Indian, Indians. It is also confusing to some including Native Hawaiians in the Aleut, or Eskimo’’; ‘‘Federally persons who are not American ‘‘American Indian or Alaskan Native’’ Recognized American Indian and Indians but who use the term to category. Alaskan Native’’; and ‘‘Native indicate they were born in the United —Provides specific information for American.’’ Some prefer ‘‘Alaska States. The term appears to include policy development, trends analyses, Native’’ to ‘‘Alaskan Native.’’ Native Hawaiians although this is not needs assessments, program Suggestions also include collecting entirely clear. ‘‘Aboriginal evaluation, health research, and civil information on Tribal enrollment. population,’’ while technically rights enforcement. Pros of Option (d)(1): correct, is considered by many to be Cons of Option (c)(4): • Collection: ‘‘Alaskan Indian,’’ a demeaning term. ‘‘Indigenous • Collection: ‘‘Eskimo,’’ and ‘‘Aleut’’ are more populations’’ include persons having —Adds a category. specific terms than ‘‘Alaskan Native’’ origins in any of the original peoples —High respondent error likely as some and reduce respondent error. of North America, the Hawaiian persons born in Hawaii but who do • Tabulation and analysis: Islands; American Samoa; Guam; and not have their origins in any of the —‘‘Federally recognized American the Northern Marianas Islands. The original peoples of Hawaii likely to be Indian and Alaskan Native’’ meets terms, ‘‘aboriginal population,’’ confused by the term ‘‘Native.’’ Federal program needs as it indicates ‘‘indigenous populations,’’ and Because the Native Hawaiian the legal (rather than racial) status of ‘‘original peoples,’’ are not generally population is relatively small persons in this category. The federal understood and would likely result in (211,000 according to the 1990 census trust responsibility to provide various misreporting. race question), respondent error could educational, health, and housing —It is unclear where South American seriously affect the count. services extends only to federally Indians, Russian and European —Unknown how data collected by recognized American Indian and aboriginal tribes, or Australian visual observation would be affected. Alaskan Native tribes and their aborigines who have immigrated to —Addition of ‘‘Part-Hawaiian’’ will members and descendants of the United States are classified. Some affect historical comparability of members. More people self-identify as think the current Directive No. 15 ‘‘White’’ category in Hawaii to some being of American Indian or Alaskan categories exclude these populations. small extent. Native race or descent than are Others include in the definition of • Tabulation and analysis: Very small enrolled in tribes or can prove ‘‘American Indian,’’ all the aboriginal population group. descendance, which tribal peoples of North America (except Past research results/literature review: governments feel deprives their Eskimos and Aleuts) and of Central The proportion of Asian and Pacific people of benefits rightfully belonging and South America. Some suggest a Islanders such as Cambodians and to them under Federal programs. separate category for ‘‘other Laotians (groups not listed separately) —Inclusion of the term, ‘‘Federally indigenous tribes’’ to include tribes reporting in the ‘‘other race’’ response recognized’’ will affect historical such as Mapuchi and Mayan. circle to the 1990 census race item may continuity but for the future, it could (2) Change the category to include be due to question design. Additionally, clarify the intention of the category Native Hawaiians and other indigenous persons who were not Asians or Pacific and reduce the changes over time in populations. Suggested category names Islanders marked the circle for ‘‘Other the numbers included in the category. include: ‘‘American Indian, Alaskan Asian or Pacific Islander.’’ Of persons Cons of Option (d)(1): Native, or Native Hawaiian’’; ‘‘American marking the ‘‘Other Asian or Pacific • Collection: Indian, Alaskan Native, Native Islander’’ circle in the 1990 census, 54 —The term, ‘‘Alaskan Native’’ results in Hawaiian, and American Samoan’’; percent of the write-ins were not respondent error because some ‘‘aboriginal population’’; ‘‘indigenous consistent with the marked circle and persons born in Alaska but who do populations’’; and ‘‘Indigenous/ nearly 40 percent were Hispanic group not have Alaskan Indian, Eskimo, or Aboriginal People’’ (also see discussion write-ins. Aleut origins are confused by the under (c)(3) above). term. Pros of Option (d)(2): (d) American Indian or Alaskan Native —Some individuals of tribes not • Tabulation and analysis: Native The category of American Indian or Federally recognized may not be Hawaiians are not Asians or immigrants Alaskan Native in Directive No. 15 aware of the status of their tribe (e.g., to the United States. includes persons having origins in any State recognized tribes or tribes Cons of Option (d)(2): • of the original peoples of North America awaiting recognition). Tabulation and analysis: and who maintain cultural —When tribal enrollment/descendance —There is a legal distinction between identification through tribal affiliations is not required information, possible ‘‘American Indians and Alaskan or community recognition. This overcoverage occurs because the Natives’’ and ‘‘Native Hawaiians.’’ summary reports only on options category is marked by many persons Native Hawaiians are not eligible for proposed during public hearings and in with American Indian ancestry but no the majority of programs and services the public comment period. It also legal tribal affiliations or community available to American Indians and highlights pros and cons for these recognition. This possible Alaskan Natives. Indian tribes are options as raised in public comment or overcoverage could become more self-governing political entities. For shown by research. Inclusion in the serious if there is an instruction to example, the legislative mandates for summary does not reflect OMB ‘‘check all that apply’’ to allow Indian Health Service and the Bureau endorsement of the comments or multiracial persons to identify their of Indian Affairs pertain only to suggestions. Requests included: specific racial groups and they American Indians and Alaskan Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44685 Natives. On the other hand, some Indian tribal and Alaska Native Village One concern of those who oppose a programs for ‘‘Native Americans’’ governments. About 2 million persons category for multiracial persons is that includes Native Hawaiians as well as said they were American Indian in the it will reduce the count for persons in American Indians and Alaska Natives. race question of the 1990 census; the basic categories. Organizations Native Hawaiians are of Polynesian/ however, 8.7 million included representing multiracial persons Pacific Islander descent and are not American Indian in their response to the disagree. They say minority groups descendants of the original peoples of ancestry question. could gain numbers as some persons are North America. They have a distinct (e) Multiracial now classified as ‘‘White’’ under the culture and social environment. The ‘‘choose one’’ rule. As reflected in the category would be too heterogeneous How to classify persons who identify options listed below, there was for health research. with more than one race is perhaps the disagreement as to whether —Would affect historical continuity of issue that has engendered the most identification should include specific the data: Effect on the data for controversy in the present review. For races. If specific races are identified, carrying out trust obligations toward the most part, the public comment used there might be some flexibility in how American Indians and Alaskan the term, ‘‘multiracial’’ to refer to users could tabulate data. For some, this Natives is unknown. persons of two or more races. A variety is seen as an advantage. For others, it is —Western Samoa is an independent of options were suggested in public seen as a disadvantage because different nation and how to report could be a comment for how to collect racial data tabulation rules would result in problem. from multiracial persons. They are different counts of groups. shown below, followed by pros and (3) Collect information on specific Some asked how far back in one’s cons cited for each option. Table 1 tribal affiliation and distinguish ancestry respondents should go in summarizes the options. This summary between Federally-recognized tribes and deciding to identify multiple races. reports only on options proposed during State-recognized tribes (Tribal affiliation Most who commented meant only the public hearings and in the public race or Hispanic origin of parents. This is based on criteria established by the comment period. It also highlights pros tribe, not self-identification.). would require additional instructions and cons for these options as raised in and may not be acceptable to those who Pros of Option (d)(3): public comment or shown by research. • Tabulation and analysis: Meets wish to identify their earlier ancestry. Inclusion in the summary does not Presumably, persons would be Federal agency needs for policy reflect OMB endorsement of the development, trends analyses, needs instructed to list all races if the parent(s) comments or suggestions. were also of multiple races; this assessments, and program evaluation In Latin America, a racially mixed concerned those who oppose a and enforcement. A way to distinguish society, there is an array of terms to multiracial category. between legal and ancestral describe gradations of skin color. This The discussion below refers to ‘‘race’’ identification with the American Indian has not been the history of the United but some respondents suggested category. States in this century where the multiple ‘‘ancestry’’ (listing both Cons of Option (d)(3): terminology implies ‘‘pure’’ races such • parents) should be the focus instead. Collection: Respondents may not as White or Black, rather than biracial Asking about ancestry focuses the know the difference between Federally- or multiracial categories. In 1960, there questions back in time and conveys an recognized and State-recognized tribes. were about 150,000 interracial marriages • historical and geographic context which Tabulation and analysis: compared with 1.5 million in 1990. In —State-recognized tribal affiliation is the 1990 census, about 4 percent of some feel is clearer than the ambiguity not required for Federal purposes. couples reported they were of different of ‘‘race’’ or ‘‘ethnicity.’’ —Small numbers for most tribes would races or one was of Hispanic origin. Table 1. Summary of Options for not provide meaningful statistics in Such households had about 4 million Identification of Multiracial Persons surveys. children. (e)(1) Multiracial identification not Past research results/literature review: Directive No. 15 says that persons of allowed (must pick one broad Of persons reporting as ‘‘American mixed racial and ethnic origins should Indian’’ in the 1990 census, 13 percent use the single category which most category): (aa) Individual chooses the one with did not specify a tribe; this was an closely reflects the individual’s which he or she most closely improvement from the 1980 census recognition in his or her community. identifies results. There was higher than expected The public comments indicate that (bb) Mother’s category is designated growth rate of American Indians from multiracial persons objected to this (cc) Father’s category is designated 1980 to 1990 (as well as from 1970 to instruction. The commenters indicate (dd) Race of minority-designated 1980) which raises questions about what that a single category does not reflect parent (if one is White) the census race question is measuring how they think of themselves. From (e)(2) Multiracial identification allowed: for this population. Some of the change their perspective, the instruction (aa) ‘‘Multiracial’’ category—self- is attributed to growth and requires them to deny their full heritage identification (SI) or observer improvements in the census and and to choose between their parents. identification (OI) outreach programs, some to They feel they are being required to (bb) ‘‘Mark all that apply’’ from list of misreporting (for example, some Asian provide factually false information. specific categories—SI only Indian parents reported their children as They maintain that the current (cc) Open-ended question—SI or OI American Indian), and some to shifts in categories do not recognize their (dd) ‘‘Other’’—SI only self-identification from White to existence. They say they could mark (ee) Mother’s and father’s geographic American Indian. The quality of the ‘‘Other’’ where that category is provided ancestry—SI only data for the American Indian population but they feel it is demeaning. They want (ff) Skin-color gradient chart—SI or OI is of concern since it is a relatively to identify their multiple races, but say small population (about 2 million in that those who prefer to choose one of Options Suggested in Public Comments 1990) and the data are used to disburse the existing broad categories could do Option (e)(1): Mark one broad Federal program funds to American so. category with which the respondent 44686 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices most closely identifies (categories are proportion of that population group other option for multiracial persons same or similar to current list) may mark ‘‘Other’’ or not respond. (however, compared with observer Pros to Option (e)(1)—mark one broad The 1994 pretest of the Survey of identification in Option (e)(1), this category: Income and Program Participation option is likely to result in an • Collection: showed some Hispanics would report undercount and a substantially —Physical space on forms and in the multiracial category. different distribution of current broad questionnaires same as now. —Inconsistencies: The same person is categories). —Identification: Most people identify likely to be identified differently • Tabulation and analysis: with only one of the current across administrative records and —A few States have passed laws to categories; facilitates collection by surveys which reduces analytic include this category in their observers where that method is used; usefulness of the data. If mother’s race administrative records. Currently they persons of multiracial heritage who is used to assign the child’s race as in proportion their multiracial counts identify with one broad category do birth records, the classifications may among the OMB categories for Federal not have difficulty responding. be different than the person’s self- reporting purposes based on —Telephone survey: Easy to ask. identification. percentages of minorities in the • Tabulations and analysis: —There is a significant number of general population, although it is not —Easier than options that allow the interracial marriages among Asians and Whites. For example, in the 1990 clear what geographic level they are identification of multiple races. using (National, State, local, school —Meets needs of Federal agencies census, in California, nearly one- districts, etc.) when they refer to concerned with program evaluation fourth of children with any Asian ‘‘general population.’’ A change by and civil rights monitoring and background were White and Asian. OMB to a ‘‘multiracial’’ category enforcement. Asian groups contend they are —This is the only option that meets the undercounted when forced to identify would reduce costs for these few needs of the Indian Health Service with one category only. One study of States because they would not have to which is responsible for health care of the 1990 census indicates that the maintain data in two different ways. anyone who is a Federally-recognized children of these marriages are more —Indication of population diversity. —Potentially useful in analyzing trends American Indian or Alaskan Native, likely to identify themselves as such as education and employment, regardless of the proportion of Indian ‘‘White’’ than as ‘‘Asian.’’ blood or which parent has Indian • Tabulations: Option (e)(1)(dd), in especially if specific categories are blood. which the race of the minority- identified. —Maintains historical continuity of designated parent is designated as the Cons to Option (e)(2)(aa)—‘‘Multiracial’’ data. person’s category, requires additional category: —Categories are the same or similar to rules if one parent is not White. • those used in State and local • Analysis: Collection: administrative records and historical —Does not sufficiently reflect Nation’s —Requires testing for effect on Federal administrative records. diversity; no information for respondents, response rates, and data —Federal laws are written based on the multiracial persons about differences quality. Multiracial persons who assumption that people identify with in health, economic status, and previously identified principally with one Directive No. 15 category. For likelihood of discrimination. one broad category may become civil rights monitoring and —Not as useful in health research as unsure of what is being asked. Multi- enforcement, respondents clearly fall identification of the specific mixtures. ethnic persons of the same race (e.g., in or out of a particular category. All of the current racial categories are a White person of English and Would address concerns of those who said to be too broad for analysis of German descent) may find the believe a ‘‘multiracial’’ category health risks and economic trends; for questions confusing. It is not clear would compromise effective example, a study found that 25 how multiracial Hispanics would implementation of civil rights laws. percent of those in the ‘‘Asian or answer. Cons to Option (e)(1)—mark one Pacific Islander’’ category smoked, but —The category is imprecise and specific broad category: this ranged from 20 percent of instructions would be required on • Collection—identification and Filipinos to 72 percent of Laotians. whether respondents should answer count issues: Option (e)(2)(aa): ‘‘Multiracial’’ category in terms of the races of their parents —Having to choose one racial category (SI or OI) only or further back. Imprecision of the category leads to possible upsets some respondents, especially (Note: May ask respondent to specify races those with immediate multiracial but not necessarily) confusion since, if one goes back far heritage, who identify with more than enough, many Americans are of one race/ethnicity; telephone Pros to Option (e)(2)(aa)—‘‘Multiracial’’ mixed racial heritage (for example, interviewers ask race in early part of category: many Whites have American Indian interview and then must deal with an • Collection if specific races are not heritage and many Blacks have unhappy respondent for the identified: African, White, and American Indian remainder of the questions; and —Physical space on forms: adds one heritage). Federal agencies must respond to racial category. —Have to determine an acceptable those upset by the policy. —Meets demand of some multiracial category name. Suggestions included: —Nonresponse rates may increase for respondents, especially those whose Multiple races; Mixed race; persons who wish to identify with parents are of different races. Multiracial; Tan American; TIRAH more than one race but who are —Telephone survey: Easy to ask if it is (Tan InterRacial American instructed to select the one category the only category added; however, if Humankind); Mixed origins; Mestee; with which they most closely additional categories are added may More than one race; and Mulatto. identify. be problematic. Some of these suggestions apply only —As the size of the Hispanic population —Somewhat more amenable to to Black and White mixtures. increases, a larger number and identification by observers than any Cognitive research shows that most Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44687 people understand the terms, physical characteristics may be proportion of children whose race ‘‘multiracial’’ and ‘‘biracial.’’ classified differently. was reported as ‘‘API’’ versus ‘‘White’’ —Requires establishment of a category Option (e)(2)(bb): ‘‘Mark all that apply’’ was different in the last two censuses. (and the associated extra costs) but (SI only) Allocation rules would be the category may be used by only a controversial even if the objective is small proportion of the population. Pros of Option (e)(2)(bb)—Mark All That to achieve historical continuity to the Some school systems allow use of a Apply extent possible (especially for ‘‘multiracial’’ category and report it is • Collection: characteristics). used by less than 2 percent of —If no new categories are added, —Aggregation decision rules would be students. physical space on forms and required and may be subject to —Where identification is by an questionnaires same as now. controversy. observer: Unknown what criteria an —Meets desire for self-identification of —Current Federal laws are premised on observer would use to identify many multiracial respondents. persons identifying with one racial persons of more than one race; • Tabulation and analysis: group. It is not clear what the impact identification of specific races would be for persons identifying as —Detail allows flexibility. Indicates unlikely or too inaccurate to be multiracial. useful; because of likely mismatch, extent and makeup of Nation’s unclear how it would affect a count of diversity. Option (e)(2)(cc): Open-Ended Question mixed race persons; broad category of —Can maintain some historical (SI or OI) (Allows Multiple Responses) blood relatives likely to be identified continuity by aggregating specific categories into current broad Pros of Option (e)(2)(cc)—Open-Ended differently, especially in Question administrative records; and the same categories (for example, a person who • Collection: person is likely to be identified has one Black parent and one White differently across administrative parent could be tabulated, depending —Physical space on questionnaire/ records and surveys which reduces on the purposes of the data, in three forms less than currently. the analytic usefulness of the ways: White, Black, or Black/White). —Telephone survey: easy to ask if it is category. See related discussion below under the only category added; however, if additional categories are added may • Tabulations and analysis: ‘‘cons.’’ —Decision rules about aggregations of be problematic. —The category is not an alternative in detailed categories could be discussed —Meets desire for self-identification of the administrative records of many and documented. Currently, we do many multiracial respondents, those State and local governments. not know what basis multiracial who want to answer ‘‘American,’’ and —If specific races are identified through people use for marking their specific persons from small national-origin an open-ended question, the identity as a broad category. groups. Respondents likely to be development of a classification —Provides potentially useful subgroup satisfied since they are not restricted system for tabulating responses would information for health researchers in by pre-defined categories. One study be required; choices may be terms of race-specific diseases, of an open-ended question showed controversial and challenged. especially if the race of each parent is only 13 percent of Hispanic —If specific races are not indicated, the respondents used the conventional general category is too heterogeneous identified. For example, one study for meaningful analysis or for use in found a difference in the probability racial designations of ‘‘White’’ or civil rights monitoring and of low birth weight between Black ‘‘Black.’’ For these Hispanics, self- enforcement. A heterogeneous mother-White father and White identification was based more on category does not provide sufficient mother-Black father populations; cultural and ethnic identity. In the information for health researchers small-for-gestational-age rates and 1990 census, about 90 percent of the (disease risk specific to racial and preterm delivery rates also vary by population reported an ancestry in the ethnic groups, monitoring of race of the mother. open-ended question; only 0.7 percent were uncodable responses; but about historical trends) and would Cons of Option (e)(2)(bb)—Mark All 10 percent did not respond to the complicate the design, conduct, and That Apply evaluation of health intervention question. • Collection: programs. It is unclear how such a • Tabulations and analysis: heterogeneous category could be used —Telephone survey: Difficult and may —Detail allows maximum flexibility in civil rights monitoring and negatively affect data quality. and provides sociologically rich enforcement and such efforts could be —In personal interviews, must use a information for analyzing trends. more difficult and costly. flash card (can list responses on Provides subgroup information useful —There would be a major effect on control card if survey will be done by to health researchers in terms of race- historical continuity if specific races telephone later); tedious in large specific disease risk. are not indicated because it may households. —Can maintain some historical • reduce the count of the current broad Tabulations and analysis: continuity by aggregating specific categories and in unknown ways. —Complex because of the many categories into broad categories in Some expressed concern that if possible combinations. Historical 1977 Directive No. 15 (except see cons specific races are not known, the continuity of counts and below and under (e)(2)(bb), category has the potential for characteristics would be problematic. ‘‘tabulations and analysis’’). increasing racial segregation, In the 1980 and 1990 censuses, for —Does not require respondent to discrimination, and the stigmatization example, race was reported as indicate a preferred race; if desired, of broad categories (other than White) ‘‘Black’’ for two-thirds of children in the tabulation rules can imply a which may result in less effective families with one Black parent and priority by following the order of enforcement of civil rights laws. one White parent present. For families responses. Cons of Option (e)(2)(cc)— —Persons with the same general with a White parent and an Asian or open-ended question: cultural heritage and with similar Pacific Islander (API) parent, the • Collection: 44688 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices —Unlikely States would collect data Option (e)(2)(dd): ‘‘Other—specify’’ (SI) —If specific responses are not coded, this way for their administrative at end of list of broad categories the category is too heterogeneous to records and thus, there would likely be useful. Pros of Option (e)(2)(dd)—‘‘Other’’: be a mismatch among data sets (also —Negative effects on counts of broad negative effect on analysis when • Collection: categories and data quality, including trying to compare results among data —Does not take up much physical space considerations listed below: sets). on the questionnaire. (1) Religions given as responses —Same person likely to be identified —Telephone survey: Easy to ask if it is cannot be tabulated into a broad differently across administrative the only category added; however, if category. This generates complaints records and surveys which reduces additional categories are added may (because of separation of church and analytic usefulness. be problematic. state, religions cannot be tabulated by —Does not allow for observer —Identification issues: Respondents government agencies) and increases the identification. likely to find it easier to express their effective nonresponse rate. Tabulations and analysis: identity since they are not restricted (2) National origins or nationalities —Must develop a classification system to only the pre-defined categories (for are likely answers. Data collection to categorize hundreds of possible example, those who want to answer agencies would have to code to broad responses and the choices can be ‘‘American’’ can do so); can ask categories based on probability (e.g., controversial. See discussion above in multiracial respondents to choose one ‘‘English’’ likely to be White but could (e)(2)(bb) under cons, ‘‘tabulations racial category but if they refuse, they be Black or Asian also). and analysis.’’ can specify all the categories they (3) ‘‘American’’ is a frequent response —Negative effect on counts of broad choose; and allows identification of (the 6th ranked group in the 1990 categories and data quality, including multiple and single categories not census ancestry question with 12.4 considerations listed below: listed elsewhere (e.g., Indians of million such responses or 5 percent of (1) Religions given as responses South and Central American all responses) and cannot be coded to a cannot be tabulated into a broad background). broad category (effectively increases category. This generates complaints • Tabulations and analysis: nonresponse rate). (because of separation of church and —Detail allows maximum flexibility —Negative effect on data quality: Citing state, religions cannot be tabulated by and provides sociologically rich examples is interpreted as influencing government agencies) and increases the information for analyzing trends. respondents and giving no examples effective nonresponse rate. Potentially provides subgroup can also have significant effect on (2) National origins or nationalities information useful to health counts of broad categories. are likely answers. Data collection researchers in terms of race-specific —It is sometimes hard to interpret what agencies would have to code to broad disease risk. respondents intend by their responses. categories based on probability (e.g., —Can maintain historical continuity by ‘‘English’’ likely to be White but could aggregating specific categories; Option (e)(2)(ee): Mother’s and Father’s be Black or Asian also). however, see discussion in (e)(2)(bb) Geographic Ancestry (SI only) (3)’’American’’ is a frequent response under cons, ‘‘tabulations and (Respondent would be given a (the 6th ranked group in the 1990 analysis.’’ numbered geographic list and mark census ancestry question with 12.4 the appropriate numbers to indicate million such responses or 5 percent of Cons of Option (e)(2)(dd)—‘‘Other’’: the region of origin of ancestors who all responses) and cannot be coded to a • Collection: migrated to the United States) broad category (effectively increases —Some people are offended by Pros of Option (e)(2)(ee)—Geographic nonresponse rate). Foreign born and identification as ‘‘Other’’; when this Ancestry non-English speakers showed greater proposal was made by OMB in 1988, difficulty with open-ended write-in • Collection: it was not widely accepted and so was questions such as the 1990 census —No overlapping categories. not adopted. ancestry question. —One clear concept, geographic origin —Same person likely to be identified of ancestors. In the 1990 census —Negative effect on data quality: Citing differently across administrative examples is interpreted as influencing ancestry question, virtually all of the records and surveys which reduces responses were national origin rather respondents and giving no examples analytic usefulness. can also have significant effect on than ethnic origin (e.g., ‘‘Italian’’ more —If ‘‘Hispanic’’ is not listed as a often than ‘‘Amalfi’’ or ‘‘Calabrian’’). counts of broad categories. Research separate category, research shows an from the 1980 and 1990 censuses —Telephone survey: Can do but not extremely high percentage of ‘‘Other’’ easily. indicates high levels of inconsistent responses are Hispanics who do not • Tabulations and analysis: responses to open-ended questions identify with one of the listed race Geographic origin may be a better and strong ‘‘example’’ effects. For categories. instance, from 1980 to 1990, the indicator of health differences than race • number of Cajuns, which was an Tabulations and analysis: for many people. Tabulations would be example in the ancestry question in —Must develop a classification system lengthy but not difficult. to categorize hundreds of possible 1990 but not in 1980, grew from Cons of Option (e)(2)(ee)—Geographic responses and the choices can be 30,000 to 600,000. French, which was Ancestry dropped as an example in 1990, controversial. See discussion in declined from 13 million to 10 (e)(2)(bb) under cons, ‘‘tabulations • Collection—identification issues: million. and analysis.’’ —People who can mark their race may —It is sometimes hard to interpret what —Detailed information not needed for not know the geographic region of respondents intend by their program evaluation or civil rights origin of their ancestors or parents responses. monitoring and enforcement. (e.g., adoptees). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44689 —Likely to be a high rate of error in the and ethnicity. Culture, geography, and • Tabulation and analysis: The ‘‘North America’’ category (only history, for example, are also category, ‘‘Hispanic origin,’’ represents a American Indians could correctly considerations for many. For example, heterogeneous population. Information mark this category but it is likely Black Africans and very dark Asian on subgroups describes the significant those born in the United States would Indians may have similar skin tones social, economic, and health differences also mark it). but do not consider themselves in the among the Puerto Rican, Mexican- —Same person likely to be identified same race category. American, Cuban, and other Hispanic differently across administrative —Blood relatives may be coded populations. records and surveys which reduces differently. Cons of Option (f)(1): analytic usefulness. —Not useful for health research or other • Collection: Visual identification of —Many people have ancestors from types of socioeconomic research. nationality groups is difficult. several different geographic regions Past research results/literature review (2) Alternative or additional words and reports are often inconsistent on a multiracial category: Some persons suggested for ‘‘Hispanic’’ include among data sets. of mixed parentage or parents of ‘‘Latino/Hispanic Origin,’’ ‘‘Latino,’’ • Collection—physical space on interracial children who want to report ‘‘Latin,’’ ‘‘Latin American,’’ and ‘‘Hispanics from the Americas’’ (to forms: Considerably more than more than one race are unsure how to exclude persons from Spain and the currently. respond. In the 1990 census, 98 percent • Tabulation and analysis: Does not of the population identified in one Philippines). Persons of Mexican ancestry did not agree on terminology meet Federal program needs or provide category; only 2 percent provided write- for their group. Some wanted ‘‘Pre- historical continuity (for example, a in multiple responses to the race Columbian’’ because of their Mestizo person from Africa might be White or question despite the instruction to mark (Indian) background. Others disagreed Black). one race only. Developing instructions for who should and who should not saying some Mexicans have European Option (e)(2)(ff): Skin-Color Gradient mark a ‘‘multiracial’’ category is background. Some preferred the term, Chart (SI or OI) difficult; in a 1994 pretest of the Census ‘‘Chicano’’ to identify Mexican- This is a suggestion for a numbered Bureau’s redesigned Survey of Income Americans while others found the term chart, a scale of skin-tone colors, and Program Participation, some offensive. reproduced on forms. Respondents persons thought they were being asked Pros of Option (f)(2): • Collection: Some respondents would check the skin-tone number what race they would like to be if they could be multiracial even though their prefer an alternative. closest to the color of the individual Cons of Option (f)(2): respondent. parents were from the same racial • group. Collection: The term, ‘‘Latino,’’ Pros of Option (e)(2)(ff)—Skin Color includes a diverse group of people from Chart (f) Hispanic Origin many national origins, races, and backgrounds. Some understand the • Collection: Less physical space on Directive No. 15 defines Hispanic as term, ‘‘Latin’’ or ‘‘Latino’’ to include forms than now. a person of Mexican, Puerto Rican, Europeans such as Italians, French, • Analysis: Cuban, Central or South American, or other Spanish culture or origin, Portuguese, Romanians, and Spaniards. —Can compare skin-tone responses regardless of race. There is significant Cognitive research by the Census with socioeconomic status and confusion in public comment as to Bureau indicates some understand differences in effects of whether Spaniards, Portuguese, ‘‘Latino’’ as meaning from Latin discrimination. Brazilians, and American Indians with a America, ‘‘Hispanic’’ as meaning —A measure without racial labels less someone who speaks Spanish, and ‘‘of subject to changes in meaning over mixed heritage of Mexican or Central or South American tribes are included in Spanish origin’’ as someone from Spain time as compared with labels based or with a distant relative who was on race, ethnicity, and ancestry. the category, ‘‘Hispanic origin.’’ Three major questions were raised. One is Hispanic. Cons of Option (e)(2)(ff)—Skin Color whether Hispanic origin should be a Past research results/literature review: Chart category in a single ‘‘race/ethnicity’’ Results from the 1990 census showed that the Hispanic population of some • Collection: question or whether there should be a question about Hispanic origin separate 22.4 million grew by 53 percent from —Identification: Offensive to many; from race (discussed in Issue 3 above). 1980 to 1990. Immigration accounted for same person likely to be identified The other two questions, on about half the growth. Overall, the differently across administrative heterogeneity of the category and Census Bureau considers the quality of records and surveys which reduces terminology, are discussed below. This census and survey data for Hispanic analytic usefulness; individuals could summary reports only on options origin to be good. Nevertheless, change skin colors over a lifetime as proposed during public hearings and in evaluations show high nonresponse (10 a result of exposure to sunlight or the public comment period. It also percent; research shows most are not disease. Hispanics) and misreporting (for —Telephone survey: Impossible. highlights pros and cons for these options as raised in public comment or example, some non-Hispanics report in —Costly: Requires precise, multicolor the ‘‘Mexican-Amer.’’ category to printing (color tones will vary among shown by research. Inclusion in the summary does not reflect OMB indicate they are American). In the 1990 forms) when one-color (usually black) census race question, two in three printing is now the case for most endorsement of the comments or suggestions. Requests included: persons who did not mark a race circle, forms and questionnaires. wrote in a response reflecting Hispanic • Tabulation and analysis: Options Suggested in Public Comment ethnicity. Among persons who —No historical continuity; does not (1) Collect data for population indicated in the 1990 census that they meet program needs. subgroups of the ‘‘Hispanic origin’’ were of Hispanic origin, 52 percent —Skin color (melanin content) is not category. marked the ‘‘White’’ circle and 43 the sole way people identify their race Pros of Option (f)(1): percent marked the ‘‘Other race’’ circle. 44690 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices Based on evaluations of the 1980 Census will receive one of the following four the multiracial category in larger and 1990 Census pretests, it appears survey instruments. samples (as in the May 1995 CPS that persons reporting ‘‘Other Spanish/ Panel 1: Separate race and Hispanic Supplement), as well as perhaps the Hispanic,’’ included Brazilians and origin questions; no multiracial need for additional definitions or other persons of Portuguese descent category instructions for the category if the who feel the term, ‘‘Hispanic,’’ also Panel 2: Separate race and Hispanic intention is to draw responses primarily applies to them. origin questions; with a multiracial from persons whose parents are of different races. These early findings also C. Future Research Agenda category and races specified Panel 3: A combined race and Hispanic served to indicate that cognitive Agency staff and funding for research origin question; no multiracial research would aid in developing that and testing associated with possible category Supplement. changes are very limited. As a result, Panel 4: A combined race and Hispanic In preparation for the May 1995 CPS plans necessarily have to be developed origin question; with a multiracial Supplement, cognitive research within those resource constraints and category and races specified interviews were conducted in 1994 and early 1995 with individuals who have may change. Within available resources, In addition, all households in the May parents of different races, as well as Federal agencies are conducting Supplement will be asked questions individuals who may identify with only research through 1996 to inform about their ancestry, preferences one race, even though they may have a decisions on selected options. A brief concerning specific terms, and use of mixed heritage. The main objective of summary of the future research agenda, languages other than English in the this cognitive research was to examine as of April 1995, is presented in this home. The ancestry and language how individuals view race and ethnicity section. The number of issues that can questions are included to help explain and how they might interpret and be tested in 1995 and 1996 is limited. differences in reporting by households This Federal Register notice provides respond to a race question that provides with similar racial characteristics. a ‘‘multiracial, specify’’ option. the last opportunity for public comment Results of this test are expected to be on priorities for research in 1996. Combining Race and Hispanic available in late Fall 1995. Origin.—The May 1995 CPS Research Agenda Multiracial Category.—Research and Supplement will provide needed testing of a multiracial category is research on whether a combined race/ The Interagency Committee’s especially important since it could have Hispanic ethnicity question should be Research Working Group, which is co- a significant impact on the usefulness of used instead of separate questions on chaired by the Bureau of the Census and data resulting from the current racial race and Hispanic ethnicity. Important the Bureau of Labor Statistics, reviewed and ethnic categories. An important reasons to research this issue are that all the criticisms and suggestions for aspect of this issue on which research some Federal agencies have been changing the current categories that needs to be conducted is the extent to collecting and reporting data in a appeared in OMB’s June 9, 1994, which persons of mixed racial heritage combined format for a number of years, Federal Register notice, including will identify in a separate multiracial and a high percentage of Hispanics requests received during the public category on surveys and censuses. selected ‘‘other race’’ in the 1990 comment period to expand the To begin research on this issue, a decennial census race question when standards by establishing additional multiracial response option was race and ethnicity were collected in two categories for specific population included in operational pretests for the separate questions. Research questions groups. Some of the more significant revised Survey of Income and Program include examining the effects of having issues that have been identified for Participation involving 292 households a single race and Hispanic ethnicity research and testing are: classification of in the Atlanta, Boston, and Chicago question on the counts for other races multiracial persons; combining race and metropolitan areas during April and and for Hispanics; examining which Hispanic origin; combining concepts of May 1994. Despite the small sample subgroups to include as ‘‘Hispanic’’; race/ethnicity/ancestry; changing the size, the results were somewhat determining what percentage of names of current categories; and adding informative for two reasons: (1) A higher administrative record data bases already new classifications. The Race and percentage (7.3 percent) of persons use ‘‘Hispanic’’ as a racial category and Ethnic Targeted Test, to be conducted reported in the multiracial category than what percentage of respondents in these by the Bureau of the Census in 1996, have done so in some of the records data bases are missing information on will be the major opportunity to test from school and military systems cited Hispanic ethnicity; and deciding if three to four options on race and in various public hearings and Hispanic ethnicity should be assumed ethnicity. conferences, and (2) in nearly two-thirds to take priority over other racial The Bureau of Labor Statistics (65 percent) of the 55 write-ins to the categories (e.g., Black Hispanics). designed a Supplement to the May 1995 multiracial item, the respondent In considering this issue, one should Current Population Survey (CPS) to reported as Hispanic (23 cases or 42 bear in mind that the concepts of race, provide information about three issues percent) or as Hispanic and some other ethnicity, and ancestry are not clearly or with respect to Directive No. 15. They race group. The higher percentage consistently distinguished in the U.S. are (1) what proportion of respondents reporting as multiracial might reflect the population. For example, some will choose a ‘‘multiracial’’ category and sites of the pretest and the oversampling Hispanics regard the ‘‘Hispanic’’ how that may impact on the data for the of low and high income areas. The high designation as a ‘‘racial’’ category, other racial categories; (2) inclusion of proportion of multiracial responses defining ‘‘race’’ in terms of national an Hispanic category in the list of races; involving Hispanics does indicate that a origin and cultural characteristics. As and (3) preferences concerning specific multiracial category might draw discussed below, it has been suggested, terms such as ‘‘African American’’ and disproportionately more responses from therefore, that census and survey ‘‘Latino.’’ To gather this information, the Hispanics than from the other racially respondents be asked about only a Supplement is divided into four panels, mixed persons for whom many were single concept—perhaps ethnicity or and a random sample of approximately seeking this option. These results race/ethnicity—corresponding to self- 15,000 of the 60,000 CPS households underscored the importance of testing perceived membership in population Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44691 groups that might define themselves by due to changes in questions and about 90,000 households will be cultural heritage, language, physical response options. targeted to a diverse sample of racial appearance, behavior, or other Terminology for Categories.—This and ethnic populations. The Census characteristics. issue is concerned with whether to Bureau expects that the RAETT will Combining Concepts of Race/ replace or revise current terminology for allow further testing of a multiracial Ethnicity/Ancestry.—Directive No. 15 Black, Hispanic, or American Indian classification, terminology, and other has been criticized for not clearly racial/ethnic categories for data selected options. distinguishing among race, ethnicity, collection and data reporting with terms • The National Center for Health and ancestry. Directive No. 15 that have been suggested such as Statistics and the Office of the Assistant specifically notes the absence of African American, Latino/Latina, and Secretary for Health will conduct anthropological or other scientific bases Native American. Research is needed to research on the effects of changes in for their separate designation. Varied determine whether, and in what ways, racial classification on birth certificate any proposed changes in terminology records. and possibly inconsistent definitional • criteria, such as geographic origin, may affect reporting or data collection. The Centers for Disease Control and cultural origin, cultural identification If a change in terms produces a change Prevention is undertaking a project to and affiliation, community recognition, in coverage, it is useful to know what evaluate the recording of racial and race itself, are used to describe the that change signifies. Any replacement classifications on death certificates. This terms. of terminology should consider: (1) That study will involve a survey of a sample The current Federal categories have the new terms might have meanings of funeral directors with the aim of created five single aggregations from different from the old terms for improving the quality of racial data heterogeneous and highly diverse respondents while, for the users, the old reported on death certificates. • A literature search on work related populations. Since ethnic groups evolve and new categories might appear to racial classification in the health field and may change their group name over synonymous; (2) that as current usage (using MEDLINE) is being conducted by time, research is needed on the basic changes, terms are likely to have different meanings to people, and the the Department of Health and Human concepts to be measured as well as on new terms may exclude persons who Services (DHHS). the popular terminology respondents were comfortable with the old terms but • An inventory of DHHS minority use to refer to their ethnic group. This who may not perceive themselves as health data bases is being developed by research will be helpful in determining ‘‘fitting’’ under the new designation; the DHHS. It will provide information those response categories which would and (3) the extent to which definitions on what data are available and data provide useful information about our need to accompany new categories. collection problems that have been Nation’s population. Questions about preferences for various encountered. The research on this issue needs to terms are included on the May 1995 • The National Center for Education consider a number of implications of CPS supplement. Statistics (NCES) is conducting a Spring combining the concepts. The Additional research plans: 1995 survey to obtain information: (a) consolidation of questions of ‘‘race,’’ • The Census Bureau is conducting How schools currently students’ collect ‘‘ethnicity,’’ and ‘‘ancestry’’ into a single cognitive research from February racial and ethnic data; (b) how question of ‘‘ethnicity’’ (or ‘‘race/ through July 1995 on issues such as a administrative records containing racial ethnicity’’) or of ‘‘identified population multiracial category, marking all and ethnic data are maintained and groups’’ would eliminate the distinction categories that apply, terminology, and reported; (c) what State laws mandate or between race and ethnicity indicated in a combined race/Hispanic origin/ require of school systems with respect Directive No. 15. Consolidation of the ancestry question. Research on the to collecting data on race and ethnicity; categories would also address the issue classification of ‘‘Native Hawaiian’’ is and (d) current issues in schools of including Hispanics as a racial also planned. The extent of research is regarding race and ethnicity categories. designation rather than as a separate dependent upon available resources. ethnic category. Under consolidation, The Census Bureau also plans to D. General Principles for the Review of Hispanic would be included as an conduct two tests in 1996: the National the Racial and Ethnic Categories ethnic or racial/ethnic category along Content Test (NCT) and the Race and The criticisms and suggestions for with other categories previously Ethnic Targeted Test (RAETT). The NCT changing Directive No. 15 have classified as races. If, in addition to is designed to test selected population underscored the importance of having a consolidating categories, respondents and housing questions for the 2000 set of general principles to govern the are allowed to select more than one census. It will be a national sample of current review process. The following ethnic or racial/ethnic identity, the 35,000 to 50,000 households. To principles were drafted in cooperation issue of ‘‘multiracial’’ identification determine what information with Federal agencies serving on the might also be addressed. The combined respondents will provide in a self- Interagency Committee. The principles question would most likely solicit reporting context, the Census Bureau listed below are those OMB may use to multi-ethnic as well as multiracial has identified a multiracial category or guide final decisions on standards for responses. In the 1990 census ancestry response option (for example, multiple the classification of racial and ethnic question, which allows multiple responses) as a high priority for panels data. The principles are, for the most reporting of ethnicities, about 30 on the 1996 National Content Test. part, the same as those published in the percent of the population reported Other issues to be tested in the NCT June 9, 1994, Federal Register notice. multiple ancestries. Such a large include terminology and the placement There are changes to Principles 2, 5, 6, proportion of multiple responses would of the Hispanic origin question first, and 8. Principles 12 and 13 are new. present processing problems for Federal followed immediately by the race The public is invited to comment on agencies. The consolidation of race and question. The RAETT, which will these or suggest additional principles. ethnicity would interrupt the continuity include a reinterview, will provide the 1. The racial and ethnic categories set of categorization in the race and most extensive opportunity to test forth in the standard should not be ethnicity questions in recent decades; several options for collecting racial and interpreted as being primarily biological however, continuity is already imperfect ethnic data. The proposed sample of or genetic in reference. Race and 44692 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices ethnicity may be thought of in terms of the new categories so that historical data of the Far East, Southeast Asia, the Indian social and cultural characteristics as series can be statistically adjusted and subcontinent, or the Pacific Islands. This area well as ancestry. comparisons can be made. includes, for example, China, India, Japan, 2. Respect for individual dignity 11. Because of the many and varied Korea, the Philippine Islands, and Samoa. should guide the processes and methods c. Black. A person having origins in any of needs and strong interdependence of the black racial groups of Africa. for collecting data on race and ethnicity; Federal agencies for racial and ethnic d. Hispanic. A person of Mexican, Puerto ideally, respondent self-identification data, any changes to the existing Rican, Cuban, Central or South American or should be facilitated to the greatest categories should be the product of an other Spanish culture or origin, regardless of extent possible, recognizing that in interagency collaborative effort. race. some data collection systems observer 12. Time will be allowed to phase in e. White. A person having origins in any of identification is more practical. any new categories. Agencies will not be the original peoples of Europe, North Africa, 3. To the extent practicable, the required to update historical records. or the Middle East. concepts and terminology should reflect 13. The new directive should be 2. Utilization for Recordkeeping and clear and generally understood applicable throughout the U.S. Federal Reporting definitions that can achieve broad statistical system. The standard or To provide flexibility, it is preferable to public acceptance. To assure they are standards must be usable for the collect data on race and ethnicity separately. reliable, meaningful, and understood by decennial census, current surveys, and If separate race and ethnic categories are respondents and observers, the racial administrative records, including those used, the minimum designations are: and ethnic categories set forth in the using observer identification. a. Race: standard should be developed using The agencies recognize that these —American Indian or Alaskan Native appropriate scientific methodologies, principles may in some cases represent —Asian or Pacific Islander including the social sciences. —Black competing goals for the standard. —White 4. The racial and ethnic categories Through the review process, it will be b. Ethnicity: should be comprehensive in coverage necessary to balance statistical issues, and produce compatible, needs for data, and social concerns. The —Hispanic origin —Not of Hispanic origin nonduplicated, exchangeable data application of these principles to guide across Federal agencies. the review and possible revision of the When race and ethnicity are collected 5. Foremost consideration should be separately, the number of White and Black standard ultimately should result in persons who are Hispanic must be given to data aggregations by race and consistent, publicly accepted data on ethnicity that are useful for statistical identifiable, and capable of being reported in race and ethnicity that will meet the that category. analysis and program administration needs of the government and the public If a combined format is used to collect and assessment, bearing in mind that while recognizing the diversity of the racial and ethnic data, the minimum the standards are not intended to be population and respecting the acceptable categories are: used to establish eligibility for individual’s dignity. American Indian or Alaskan Native participation in any Federal program. Sally Katzen, Asian or Pacific Islander 6. The standards should be developed Black, not of Hispanic origin to meet, at a minimum, Federal Administrator, Office of Information and Hispanic legislative and programmatic Regulatory Affairs. White, not of Hispanic origin. requirements. Consideration should also Appendix The category which most closely reflects be given to needs at the State and local the individual’s recognition in his Directive No. 15 government levels, including American community should be used for purposes of Indian tribal and Alaska Native village Race and Ethnic Standards for Federal reporting on persons who are of mixed racial governments, as well as to general Statistics and Administrative Reporting and/or ethnic origins. In no case should the provisions of this societal needs for these data. As adopted on May 12, 1977. Directive be construed to limit the collection 7. The categories should set forth a This Directive provides standard of data to the categories described above. minimum standard; additional classifications for recordkeeping, collection, However, any reporting required which uses categories should be permitted provided and presentation of data on race and more detail shall be organized in such a way they can be aggregated to the standard ethnicity in Federal program administrative that the additional categories can be categories. The number of standard reporting and statistical activities. These aggregated into these basic racial/ethnic categories should be kept to a classifications should not be interpreted as categories. manageable size, as determined by being scientific or anthropological in nature, The minimum standard collection statistical concerns and data needs. nor should they be viewed as determinants categories shall be utilized for reporting as 8. A revised set of categories should of eligibility for participation in any Federal follows: be operationally feasible in terms of program. They have been developed in a. Civil rights compliance reporting. The categories specified above will be used by all burden placed upon respondents; public response to needs expressed by both the executive branch and the Congress to provide agencies in either the separate or combined and private costs to implement the for the collection and use of compatible, format for civil rights compliance reporting revisions should be a factor in the nonduplicated, exchangeable racial and and equal employment reporting for both the decision. ethnic data by Federal agencies. public and private sectors and for all levels 9. Any changes in the categories of government. Any variation requiring less should be based on sound 1. Definitions detailed data or data which cannot be methodological research and should The basic racial and ethnic categories for aggregated into the basic categories will have include evaluations of the impact of any Federal statistics and program administrative to be specifically approved by the Office of changes not only on the usefulness of reporting are defined as follows: Management and Budget (OMB) for executive a. American Indian or Alaskan Native. A agencies. More detailed reporting which can the resulting data but also on the person having origins in any of the original be aggregated to the basic categories may be comparability of any new categories peoples of North America, and who used at the agencies’ discretion. with the existing ones. maintains cultural identification through b. General program administrative and 10. Any revision to the categories tribal affiliations or community recognition. grant reporting. Whenever an agency subject should provide for a crosswalk at the b. Asian or Pacific Islander. A person to this Directive issues new or revised time of adoption between the old and having origins in any of the original peoples administrative reporting or recordkeeping Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notices 44693 requirements which include racial or ethnic reports clearance process, a direct request for descriptions of minority races when the most data, the agency will use the race/ethnic a variance should be made to OMB. summary distinction between the majority categories described above. A variance can be 3. Effective Date and minority races is appropriate; specifically requested from OMB, but such a (2) The designations ‘‘White,’’ ‘‘Black,’’ and The provisions of this Directive are variance will be granted only if the agency ‘‘All Other Races’’ when the distinction can demonstrate that it is not reasonable for effective immediately for all new and revised among the majority race, the principal the primary reporter to determine the racial recordkeeping or reporting requirements or ethnic background in terms of the containing racial and/or ethnic information. minority race and other races is appropriate; specified categories, and that such All existing recordkeeping or reporting or determination is not critical to the requirements shall be made consistent with (3) The designation of a particular minority administration of the program in question, or this Directive at the time they are submitted race or races, and the inclusion of ‘‘Whites’’ if the specific program is directed to only one for extension, or not later than January 1, with ‘‘All Other Races,’’ if such a collective or a limited number of race/ethnic groups, 1980. description is appropriate. e.g., Indian tribal activities. In displaying detailed information which 4. Presentation of Race/Ethnic Data c. Statistical reporting. The categories represents a combination of race and described in this Directive will be used at a Displays of racial and ethnic compliance ethnicity, the description of the data being minimum for federally sponsored statistical and statistical data will use the category displayed must clearly indicate that both data collection where race and/or ethnicity is designations listed above. The designation bases of classification are being used. required, except when: The collection ‘‘nonwhite’’ is not acceptable for use in the involves a sample of such size that the data presentation of Federal Government data. It When the primary focus of a statistical on the smaller categories would be is not to be used in any publication of report is on two or more specific identifiable unreliable, or when the collection effort compliance or statistical data or in the text groups in the population, one or more of focuses on a specific racial or ethnic group. of any compliance or statistical report. which is racial or ethnic, it is acceptable to A repetitive survey shall be deemed to have In cases where the above designations are display data for each of the particular groups an adequate sample size if the racial and considered inappropriate for presentation of separately and to describe data relating to the ethnic data can be reliably aggregated on a statistical data on particular programs or for remainder of the population by an biennial basis. Any other variation will have particular regional areas, the sponsoring appropriate collective description. to be specifically authorized by OMB through agency may use: the reports clearance process. In those cases (1) The designations ‘‘Black and Other [FR Doc. 95–20787 Filed 8–25–95; 8:45 am] where the data collection is not subject to the Races’’ or ‘‘All Other Races,’’ as collective BILLING CODE 3110±01±P federal register August 28,1995 Monday Rule Protection ofPupilRights;Proposed 34 CFRPart98 Education Department of Part VII 44695 44696 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules DEPARTMENT OF EDUCATION proposes these regulations because he surveys and the instructional material believes they are necessary to used in connection with these surveys 34 CFR Part 98 implement the law and give the greatest of a student; (2) parental or student right flexibility to local governments and to consent before a student is required RIN 1880±AA66 schools. In addition, the regulations to submit to certain surveys; (3) parental Protection of Pupil Rights minimize burden while retaining or student right to file a complaint for parents’ and students’ rights. alleged violations of their rights under AGENCY: Department of Education. The Secretary interprets the the law; and (4) parental or student right ACTION: Notice of proposed rulemaking. Protection of Pupil Rights provision, as to receive effective notice of these amended, contained in section 445 of rights. The Secretary would implement SUMMARY: The Secretary proposes the General Education Provisions Act each of these rights in the proposed regulations to implement the Pupil (GEPA) to provide parents with the right regulations. Protection Rights Amendments of 1994 to have access to surveys, analyses, or (PPRA) to the Protection of Pupil Rights evaluations (surveys) administered by a Section 98.3 Definitions provision contained in the General State educational agency (SEA), local The Secretary proposes to define Education Provisions Act (GEPA). PPRA educational agency (LEA), or other ‘‘recipient’’ to include (1) a contractor was amended in the Goals 2000: recipient that asks a student to reveal who receives financial assistance Educate America Act (Pub. L. 103–227). information concerning the areas directly from the Department to carry The proposed regulations rename and specified in section 445(b) of GEPA. In out the project and (2) the Department. revise the current regulations (34 CFR addition, parents or the student, if a This definition clarifies that any survey part 98 ‘‘Student Rights in Research, student is an adult or an emancipated that the Department directly contracts Experimental Activities, and Testing’’) minor, must consent before a student is for or carries out itself would be subject for the Protection of Pupil Rights to required to submit to a survey that asks to these regulations. implement these statutory changes and a student to reveal information The Secretary proposes not to define to make other changes that are necessary concerning these areas. Finally, parents the term ‘‘survey’’ because he believes for proper program operation. or the student, if a student is an adult the term is self-explanatory. The DATES: Comments must be received on or an emancipated minor, must be Secretary would welcome comment on or before October 27, 1995. notified of these rights and may file a whether the terms ‘‘survey, analysis, or evaluation’’ as used in section 445 of ADDRESSES: All comments concerning complaint for alleged violations of these these proposed regulations should be rights. GEPA should be defined in regulations. addressed to LeRoy Rooker, U.S. Summary of Major Provisions Sections 98.10, 98.20 Access and Department of Education, 600 Consent Independence Avenue SW., room 1366, The following is a summary of the regulatory provisions the Secretary Section 445(a) of GEPA provides for Washington, DC 20202–4605. the parental right of access to Comments may also be sent through proposes as necessary to implement the statute, such as interpretations of instructional materials that will be used Internet to ‘‘PPRA— in connection with any survey as part of [email protected].’’ statutory text or standards and procedures for the operation of the any applicable program. A copy of any comments that concern Section 445(b) of GEPA provides for information collection requirements program. The summary does not address provisions that merely restate statutory the parent’s, in the case of an should also be sent to the Office of unemancipated minor, and student’s, if Management and Budget at the address language. The Secretary is not authorized to change statutory the student is an adult or emancipated listed in the Paperwork Reduction Act minor, right of consent to submit to a of 1980 section of this preamble. requirements. Commenters are requested to direct their comments to survey that reveals information FOR FURTHER INFORMATION CONTACT: the regulatory provisions that would concerning one or more of the areas Ellen Campbell, U.S. Department of implement the statute. specified in the statute (also listed in Education, 600 Independence Avenue, § 98.4(a)(2)). SW., room 1366, Washington, DC Section 98.1 Applicable Program The Secretary interprets the statutory 20202–4605. Telephone: (202) 260– The Protection of Pupil Rights provisions on access and consent to be 3887. Individuals who use a provision contained in GEPA applies to read together; this interpretation would telecommunications device for the deaf any program that is an ‘‘applicable require an SEA, LEA, or other recipient (TDD) may call the Federal Information program’’ under section 400(c)(1) of of program funds from the Department Relay Service (FIRS) at 1–800–877–8339 GEPA. Under this section the term of Education to make available for between 8 a.m. and 8 p.m., Eastern time, ‘‘applicable program’’ means any inspection by a parent or guardian only Monday through Friday. program for which the Secretary or the those surveys (and instructional SUPPLEMENTARY INFORMATION: These Department has administrative material in connection with a survey) proposed regulations have been responsibility as provided by law or by concerning one or more of the areas reviewed and revised in accordance delegation of authority pursuant to law. listed in section 445(b) of GEPA. with the Department’s ‘‘Principles for The term includes each program for Because, unlike the Family Educational Regulating,’’ which were developed to which the Secretary or the Department Rights and Privacy Act (FERPA), this ensure that the Department regulates in has administrative responsibility under statute makes no specific reference the most flexible, most equitable, and the Department of Education applying the access and consent least burdensome way possible. These Organization Act (DEOA) or under provisions to post-secondary principles advance the regulatory Federal law effective after May 4, 1980. institutions and the legislative history reinvention and customer service supports only applying these provisions objectives of the Administration’s Section 98.2 Purpose to elementary and secondary school National Performance Review II and are The Secretary interprets section 445 students, these proposed regulations essential to an effective partnership of GEPA to provide four general rights: will only apply to surveys administered with states and localities. The Secretary (1) Parental right of access to certain in elementary and secondary schools. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44697 —Access provision: The Secretary elementary or secondary school; and students have the four rights listed in would implement the access (3) requires a student to submit to a § 98.2. An LEA would have the option provision by requiring that an SEA, survey that asks the student to reveal to include more information in the LEA, or other recipient that uses any information concerning one or more notice. With respect to frequency, an type of program funds received from of the areas listed in section 445(b) of annual notification, for example, would the Department, to develop or GEPA. The Secretary has not constitute an effective notice. implement a survey must make interpreted ‘‘required’’ as used in Section 98.40 Family Policy available for inspection by a parent or section 445(b) of GEPA. By not Compliance Office and the Office of guardian of a student a survey, and interpreting the word ‘‘required’’, the Administrative Law Judges Functions the instructional materials used in Secretary will not be imposing a connection with the survey, if the single rule to address a myriad of Section 445(e) of GEPA requires the survey (1) asks the student to reveal situations. Recipients will make Secretary to establish or designate an information concerning one or more initial judgments in individual cases office and review board within the of the areas listed in section 445(b) of as to whether a survey is or has been Department to investigate, process, GEPA; and (2) is administered in an ‘‘required’’ in the administration of review, and adjudicate violations of the elementary or secondary school. their activities. In the event a rights established under this section. —Compliance with a request for access: complaint is filed with the The Secretary would designate the An SEA, LEA, or other recipient Department, the Department will Family Policy Compliance Office would be required to comply with a determine on a case-by-case basis in (Office) to investigate, process, and request to inspect a survey (and the light of all the circumstances whether review complaints of violations under instructional materials used in a student has been required to submit the regulations and to provide technical connection with the survey) without to a survey. assistance to ensure compliance with unnecessary delay and in no case Section 445(b) of GEPA provides that the regulations. The Secretary would more than 45 days after it has if a student is an unemancipated minor, designate the Office of Administrative received the request. This a parent or guardian of a student Law Judges as having jurisdiction over requirement is consistent with provides the consent. If a student is an proceedings to recover, withhold, and FERPA. Also, the Secretary believes adult or emancipated minor, the student terminate funds and to conduct hearings this requirement is a reasonable way provides the consent. An adult would to compel compliance through cease to ensure a prompt response to a be defined as an individual who has and desist orders. parent’s request for access to these attained 18 years of age. An Section 98.41 Conflict With State or materials while not requiring an SEA, emancipated minor would be defined Local Laws LEA, or other recipient to provide according to the definition under State immediate access. If an SEA or LEA determines that it law. cannot comply with the requirements of An SEA, LEA, or other recipient —Obtaining consent: To meet the would not be required to provide these regulations due to a conflict with requirements of prior consent an SEA, State or local laws, it would be required parents with their own copy of a survey LEA, or other recipient must provide (and the instructional material used in to notify the Office within 45 days, an opportunity for the student or giving the text and citation of the connection with the survey). The parent or guardian of a student to Secretary believes that such a conflicting law. This provision is review a general description or consistent with the Family Educational requirement would be unduly summary of the type of information burdensome. The Secretary notes, Rights and Privacy regulations (34 CFR found in section 445(b) that is 99.61). The Secretary believes that, to however, that an SEA, LEA, or other included in the survey and to provide recipient may wish to provide a copy of the extent possible, these proposed information to the parent or guardian regulations should parallel the a survey in order to accommodate on the right to inspect the materials parents with disabilities. regulations implementing the Federal before the student submits to the Educational Rights and Privacy Act —Destruction of material: An SEA, LEA, survey. Rather than prescribing in (FERPA) because both the protection of or other recipient would not be regulations a standard form of written pupil rights legislation and FERPA were permitted to destroy any survey or the consent for parents or guardians, the originally introduced together with a instructional material used in Secretary proposes to allow an SEA, common purpose and, therefore, should connection with the survey, if there is LEA, or other recipient the flexibility be administered in a similar fashion. an outstanding request to inspect the to develop its own type of written material under § 94.10 of the consent. To provide guidance to Section 98.42 SEA or LEA Required regulations. The Secretary believes SEAs, LEAs, and other recipients, the Reports this provision is necessary to ensure Department intends to develop a Under the proposed regulations the that a parent’s request for access is not model consent form. Office may require an SEA or LEA to frustrated. Section 98.30 LEA Notification submit reports containing information —Consent provision: The Secretary necessary to resolve complaints under would implement the consent Section 445(c) of GEPA provides that this part, including information provision by requiring an SEA, LEA, educational agencies and institutions regarding the source of funding for the or other recipient to obtain the prior shall give parents and students effective survey, and to ensure that SEAs, LEAs, consent of the parent or guardian, or notice of their rights. The Secretary or other recipients are complying with student, as appropriate, before a would implement this provision by the statute. This requirement is in the student is required to submit to the requiring each LEA to give effective current regulations (34 CFR 98.6). survey if the SEA, LEA, or other notice to parents of students in recipient (1) uses any type of program attendance, and students currently in Sections 98.43, 98.44, 98.45 funds, received from the Department, attendance, at the LEA of their rights Complaint Procedures to develop or implement a survey; (2) under the regulations. The notice would The statute does not specify any the survey is administered in an state, at a minimum, that parents and procedures for filing or processing a 44698 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules complaint. The regulations would allow that the SEA, LEA, or other recipient To assist the Department in a parent or student, as appropriate, to must take to comply; and (2) provide a complying with the specific file a written complaint with the Office reasonable period of time, given all the requirements of Executive Order 12866, regarding an alleged violation under this circumstances of the case, during which the Secretary invites comment on part. This requirement is in the current the SEA, LEA, or other recipient may whether there may be further regulations (34 CFR 98.7(a)). comply voluntarily. This procedure is opportunities to reduce any potential The proposed regulations would consistent with that in 34 CFR 98.9 of costs or increase potential benefits clarify when a parent and student have the current regulations. resulting from these proposed a right to file a complaint. Also, the If an SEA, LEA, or other recipient regulations without impeding the proposed regulations would require that other than a contractor does not effective and efficient administration of a complaint contain specific allegations voluntarily comply with the proposed the program. of fact giving reasonable cause to believe regulations, the Office may, in 2. Clarity of the Regulations that a violation of this part has occurred. accordance with part D of GEPA, (1) The Office would investigate each withhold, recover, or terminate funds Executive Order 12866 requires each timely complaint to determine whether under 34 CFR 81.3; or (2) issue a agency to write regulations that are easy an SEA, LEA, or other recipient has complaint to compel compliance to understand. failed to comply with the proposed through a cease-and-desist order under The Secretary invites comments on regulations. These requirements are in 34 CFR 81.3. This is consistent with 34 how to make these proposed regulations 34 CFR 98.7(a) and (b), respectively, of CFR 98.10(a)(1) of the current easier to understand, including answers the current regulations. regulations. to questions such as the following: (1) The proposed regulations clarify If a contractor does not voluntarily Are the requirements in the proposed when a complaint would be timely and comply with the proposed regulations, regulations clearly stated? (2) Do the when the Office may extend the time the Office may direct the contracting regulations contain technical terms or limit. These provisions are consistent officer to take an appropriate action other wording that interferes with their with the requirements in 34 CFR authorized under the Federal clarity? (3) Does the format of the 99.64(c) and (d) of the FERPA Acquisition Regulation, including either regulations (grouping and order of regulations. Again, the Secretary (1) issuing a notice to suspend sections, use of headings, paragraphing believes that for the reasons already operations under 48 CFR 12.5; or (2) etc.) aid or reduce their clarity? Would discussed, and to the extent possible, issuing a notice to terminate for default, the regulations be easier to understand the proposed regulations should be either in whole or in part under 48 CFR if they were divided into more (but consistent with the FERPA regulations. 49.102. shorter) sections? (A ‘‘section’’ is —Notice of complaint issued by the If, after an investigation, the Secretary preceded by the symbol ‘‘§ ’’ and a Office: The Office notifies the finds that an SEA, LEA, or other numbered heading; for example, § 98.1 complainant and the SEA, LEA, or other recipient has complied voluntarily with To which programs do these regulations recipient in writing if it initiates an these regulations, the Secretary provides apply?) (4) Is the description of the investigation of a complaint and notifies the complainant and the SEA or LEA regulations in the ‘‘Supplementary the complainant if it does not initiate an written notice of the decision and the Information’’ section of this preamble investigation of a complaint. The basis for the decision. These helpful in understanding the required content of the notice to the enforcement provisions are consistent regulations? How could this description SEA, LEA, or other recipient is with 34 CFR 98.10(b) of the current be more helpful in making the consistent with 34 CFR 98.8(a) and (b) regulations. regulations easier to understand? (5) of the current regulations. The Secretary What else could the Department do to believes this notification is necessary to Executive Order 12866 make the regulations easier to keep the complainant properly informed 1. Assessment of Costs and Benefits understand? of the status of his or her complaint. A copy of any comments that concern These proposed regulations have been how the Department could make these Sections 98.46, 98.47 Enforcement reviewed in accordance with Executive Process proposed regulations easier to Order 12866. Under the terms of the understand should be sent to Stanley M. The statute does not prescribe any order the Secretary has assessed the Cohen, Regulations Quality Officer, U.S. enforcement procedures except for the potential costs and benefits of this Department of Education, 600 establishment or designation of an office regulatory action. Independence Avenue, SW. (room 5121, and review board within the The potential costs associated with FOB–10B), Washington, DC 20202– Department of Education to investigate, the proposed regulations are those 2241. process, review and adjudicate resulting from statutory requirements violations of the rights established by and those determined by the Secretary Regulatory Flexibility Act Certification section 445 of GEPA. Under the to be necessary to administer this The Secretary certifies that these proposed regulations, the Office would program effectively and efficiently. proposed regulations would not have a review a complaint and response and Burdens specifically associated with significant economic impact on a may permit the parties to submit further information collection requirements, if substantial number of small entities. written or oral arguments or any, are identified and explained The small entities that would be information. Following its investigation, elsewhere in this preamble under the affected by these proposed regulations the Office would provide to the heading Paperwork Reduction Act of are small LEAs receiving Federal funds complainant and the SEA, LEA, or other 1980. from the Department. However, the recipient written notice of its findings In assessing the potential costs and regulations would not have a significant and the basis for its findings. If the benefits—both quantitative and economic impact on the small LEAs Office found that the SEA, LEA, or other qualitative—of these proposed affected because the regulations would recipient had not complied with these regulations, the Secretary has not impose excessive regulatory burdens regulations, the notice would (1) determined that the benefits of the or require unnecessary Federal include a statement of the specific steps proposed regulations justify the costs. supervision. The regulations would Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44699 impose minimal requirements to ensure any survey given by a school that Dated: August 21, 1995. that LEAs comply with the pupil receives money from the Department, Richard W. Riley, protection requirements in GEPA. and an identification of whether Secretary of Education. Paperwork Reduction Act of 1980 Department money was used in (Catalog of Federal Domestic Assistance developing or implementing the survey Number does not apply.) Section 98.30 contains information would be unnecessary. The Secretary The Secretary proposes to amend title collection requirements. As required by welcomes comments on whether school the Paperwork Reduction Act of 1980, 34 of the Code of Federal Regulations by officials believe the broader revising part 98 to read as follows: the Department of Education will interpretation of ‘‘applicable program’’ submit a copy of this section to the would be less burdensome. PART 98ÐPROTECTION OF PUPIL Office of Management and Budget RIGHTS (OMB) for its review. (44 U.S.C. 3504(h)) The Secretary also requests comments on whether it is clear that these SEAs, LEAs, and other recipients may Subpart A—General be affected by these regulations. The proposed regulations only apply to surveys that are developed, purchased, Sec. Department needs and uses the 98.1 To which programs do these information to ensure compliance with implemented, or otherwise funded regulations apply? requirements in the Pupil Protection under Department programs covered by 98.2 What is the purpose of these Rights in GEPA. Annual public section 445 of GEPA. The Secretary also regulations? reporting burden for this collection of requests comments on whether the 98.3 What definitions apply to these information is estimated to be .25 hours provisions regarding access and consent regulations? per response for 15,713 respondents, rights, §§ 98.10 and 98.20 respectively, Subpart B—Access provide adequate guidance. including the time for reviewing 98.10 What are a parent’s rights of access to instructions, searching existing data As previously stated in the preamble a survey? sources, gathering and maintaining the the Secretary would like comments on Subpart C—Consent data needed, and completing and whether the regulations should include reviewing the collection of information. a definition of ‘‘survey’’ (see discussion 98.20 In what circumstances must an SEA, Organizations and individuals of § 98.3 Definitions) and ‘‘required’’ LEA, or other recipient obtain consent desiring to submit comments on the before requiring a student to submit to a (see discussion of §§ 98.10, 98.20 Access survey? information collection requirements and consent: Obtaining consent). should direct them to the Office of Subpart D—Notification Information and Regulatory Affairs, Finally, as already discussed, the regulations interpret the statute to apply 98.30 What must an LEA include in its OMB, room 3002, New Executive Office annual notification? Building, Washington, DC 20503; to surveys administered in elementary Attention: Daniel J. Chenok. or secondary schools because the statute Subpart E—Enforcement specifically provides protections under 98.40 What are the functions of the Family Invitation to Comment this law to ‘‘students.’’ The Secretary Policy Compliance Office (Office) and Interested persons are invited to requests specific comments on whether the Office of Administrative Law Judges? submit comments and recommendations the statutory provisions should be 98.41 What are an SEA’s and LEA’s regarding these proposed regulations. interpreted to include surveys responsibilities in the case of a conflict administered in settings outside of with State or local laws? This section highlights those issues 98.42 What information must an SEA, LEA, already discussed in the preamble on schools, such as Department-sponsored or other recipient submit to the Office? which the Secretary would particularly household-based surveys, conducted 98.43 Where are complaints filed? like comment. either by telephone or in person. 98.44 What is the complaint procedure? The Secretary has attempted to All comments submitted in response 98.45 What is the content of the notice of balance a number of interests by to these proposed regulations will be complaint issued by the Office? interpreting ‘‘applicable program’’ available for public inspection, during 98.46 What are the responsibilities of the Office in the enforcement process? narrowly and applying these regulations and after the comment period, in room only to surveys that are developed or 98.47 How does the Office enforce 1366, FOB–10, 600 Independence decisions? implemented under Department Avenue SW., Washington, DC, between programs. The Secretary believes that Authority: 20 U.S.C. 1232h, unless the hours of 8:30 a.m. and 4 p.m., otherwise noted. this interpretation balances the rights of Monday through Friday of each week parents and students under the statute except Federal holidays. Subpart AÐGeneral with the interests of local governments and schools in minimal administrative Assessment of Educational Impact § 98.1 To which programs do these burdens. The Secretary requests regulations apply? comments on this interpretation. The The Secretary particularly requests This part applies to any applicable Secretary is trying to minimize the role comments on whether the proposed program, that is, any program for which of the Federal government in regulations in this document would the Secretary or the Department has implementing the statute. require transmission of information that administrative responsibility as The Secretary specifically requests is being gathered by or is available from provided by law or by delegation of comments from school officials any other agency or authority of the authority pursuant to law. United States. regarding the practicality of a narrow (Authority: 20 U.S.C. 1232h) interpretation. As proposed, if asked, an List of Subjects in 34 CFR Part 98 SEA or LEA would have to be able to § 98.2 What is the purpose of these identify which funds it used to develop, Administrative practice and regulations? or otherwise implement, a survey. On procedure, Education, Educational Parents and students have the the other hand, if the Secretary research, Privacy, Reporting and following rights under this part: interpreted ‘‘applicable program’’ recordkeeping requirements, Schools, (a) Parental right to have access to broadly, the regulations would apply to and Students. certain surveys, analyses, or evaluations 44700 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules (surveys), and the instructional (vi) Legally recognized privileged or (c) To meet the requirements of prior materials used in connection with these analogous relationships, such as those consent the SEA, LEA, or other recipient surveys of a student. of lawyers, physicians, and ministers. must provide— (b) Parental or student right to consent (vii) Income, other than that required (1) An opportunity for the student or before the student is required to submit by law to determine eligibility for parent or guardian of a student to to certain surveys. participation in a program or for review a general description or (c) Parental or student right to file a receiving financial assistance under a summary of the type of information complaint for alleged violations of the program. found in § 98.10(a)(2) that is included in rights in paragraphs (a), (b), and (d) of (b)(1) An SEA, LEA, or other recipient the survey; and this section. shall comply with a parent’s request to (2) Information to the parent or (d) Parental or student right to receive inspect a survey (and the instructional guardian on the right to inspect these effective notice of the rights under material used in connection with the materials before the student submits to paragraphs (a), (b), and (c) of this survey) under paragraph (a) of this the survey. section. section without unnecessary delay and (Authority: 20 U.S.C. 1232h(b)) (Authority: 20 U.S.C. 1232h) in no case more than 45 days after the recipient receives the request. Subpart DÐNotification § 98.3 What definitions apply to these (2) An SEA, LEA, or other recipient is regulations? not required to give a personal copy of § 98.30 What must an LEA include in its (a) The following terms used in this the survey, and the instructional notification? part are defined in 34 CFR 77.1: materials, to a parent who requests to (a) Each LEA shall give effective Department inspect a survey under paragraph (a) of notice to parents of students in Elementary school this section. attendance, and to students currently in Grantee (c) An SEA, LEA, or other recipient attendance at the LEA of their rights Local educational agency (LEA) may not destroy any survey, or any under this part. Secondary school instructional material used in (b) The notice must state that parents Secretary and students have the rights listed in State educational agency (SEA). connection with the survey, if there is an outstanding request by a parent to § 98.2. (b) Other definitions. The following inspect the material under this section. (c) As used in paragraph (a) of this definitions also apply to this part: (d) An SEA, LEA, or other recipient section, effective notice means a notice Adult means an individual who has shall make the survey available for that is reasonably likely to inform attained 18 years of age. Emancipated minor means a person inspection under paragraph (a) of this parents and students, including those under 18 years of age who would be section even if a student is not required with disabilities and those whose considered emancipated according to to submit to the survey under § 98.20. primary or home language is not state law. (Authority: 20 U.S.C. 1232h(a)) English, of their rights. Recipient, for the purposes of this (Authority: 20 U.S.C. 1232h(c)) part, means a grantee, subgrantee, or Subpart CÐConsent Subpart EÐEnforcement contractor that receives financial § 98.20 In what circumstances must an assistance directly from the Department SEA, LEA, or other recipient obtain consent § 98.40 What are the functions of the to carry out a project and includes the before requiring a student to submit to a Family Policy Compliance Office (Office) Department. survey? and the Office of Administrative Law (Authority: 20 U.S.C. 1232h) (a) An SEA, LEA, or other recipient Judges? shall obtain the prior consent of the (a) The Family Policy Compliance Subpart BÐAccess parent or guardian of a student, or the Office (Office)— § 98.10 What are a parent's rights of student, if appropriate under paragraph (1) Investigates, processes, and access to a survey? (b) of this section, before the student is reviews complaints of violations under (a) An SEA, LEA, or other recipient required to submit to the survey if the this part; and that receives funds from the Department SEA, LEA, or other recipient— (2) Provides technical assistance to to develop or implement a survey shall (1) Uses funds, received from the ensure compliance with this part. make available for inspection by a Department, to develop or implement (b) The Office of Administrative Law parent or guardian of a student the the survey; Judges has jurisdiction to conduct the survey, and the instructional materials (2) Administers the survey in an following proceedings to enforce the used in connection with the survey, if elementary or secondary school; requirements in this part— (3) Requires the student to submit to (1) Hearings for recovery of funds. the survey— (1) Is administered in an elementary the survey; and (2) Withholding hearings. or a secondary school; and (4) Asks the student in the survey to (3) Termination hearings. (2) Asks the student to reveal reveal information concerning one or (4) Cease and desist hearings. information concerning one or more of more of the areas listed in § 98.10(a)(2). (Authority: 20 U.S.C. 1232h(e)) the following areas: (b)(1) If a student is an (i) Political affiliations. unemancipated minor, the SEA, LEA, or § 98.41 What are an SEA's and LEA's (ii) Mental and psychological other recipient must obtain the consent responsibilities in the case of a conflict with State or local laws? problems potentially embarrassing to required in paragraph (a) of this section, the student or his or her family. in writing, from the parent or guardian If an SEA or LEA determines that it (iii) Sex behavior and attitudes. of the student. cannot comply with any of the (iv) Illegal, anti-social, self- (2) If a student is an adult or requirements of this part due to a incriminating, and demeaning behavior. emancipated minor, the SEA, LEA, or conflict with State or local laws, it shall (v) Critical appraisals of other other recipient must obtain the consent notify the Office within 45 days, giving individuals with whom the student has required in paragraph (a) of this section the text and citation of the conflicting close family relationships. from the student. law. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44701 (Authority: 20 U.S.C. 1232h) violation of this part that is submitted complied with this part, the notice to the Office within 180 days of— under paragraph (b) of this section— § 98.42 What information must an SEA, LEA, or other recipient submit to the (i) The date of the alleged violation; (1) Includes a statement of the specific Office? or steps that the SEA, LEA, or other (ii) The date that the complainant The Office may require an SEA, LEA, recipient must take to comply; and knew or reasonably should have known or other recipient to submit reports (2) Provides a reasonable period of of the alleged violation. containing information necessary— time, given all the circumstances of the (2) The Office may extend the time (a) To resolve complaints under this case, during which the SEA, LEA, or limit in this section if the complainant part, including information regarding other recipient may comply voluntarily. the source of funding for the survey; and shows that he or she was prevented by (Authority: 20 U.S.C. 1232h(d)) (b) To ensure that SEAs, LEAs, or circumstances beyond the other recipients are complying with the complainant’s control from submitting § 98.47 How does the Office enforce statute. the matter within the time limit, or for decisions? other reasons considered sufficient by (Authority: 20 U.S.C. 1232h) the Office. (a) If the SEA, LEA, or other recipient § 98.43 Where are complaints filed? other than a contractor does not comply (Authority: 20 U.S.C. 1232h(d)) during the period of time set under A parent or student, as appropriate § 98.46(c)(2), the Office may, in under § 98.44(a), may file a written § 98.45 What is the content of the notice of complaint issued by the Office? accordance with part D of the General complaint with the Office regarding an Education Provisions Act— alleged violation under this part. The (a) The Office notifies the Office’s address is: Family Policy complainant and the SEA, LEA, or other (1) Withhold, recover, or terminate Compliance Office, U.S. Department of recipient in writing if it initiates an funds under 34 CFR 81.3; or Education, 600 Independence Avenue, investigation of a complaint under (2) Issue a complaint to compel SW., FOB–10, room 1366, Washington, § 98.46(b). The notice to the SEA, LEA, compliance through a cease-and-desist D.C. 20202–4605. or other recipient— order under 34 CFR 81.3. (1) Includes the substance of the (Authority: 20 U.S.C. 1232h(d)) (b) If a contractor does not comply alleged violation; and during the period of time set under (2) Requests that the SEA, LEA, or § 98.44 What is the complaint procedure? § 98.13(c)(2), the Office may direct the other recipient submit a written (a)(1) A parent may file a complaint contracting officer to take an response to the complaint. under this part for alleged violations of appropriate action authorized under the (b) The Office notifies the the parent’s rights of access, consent, or Federal Acquisition Regulation, complainant if it does not initiate an to be notified of the parent’s rights including either— investigation of a complaint because the under §§ 98.10, 98.20, and 98.30. (1) Issuing a notice to suspend (2) A student who is an emancipated complaint fails to meet the requirements operations under 48 CFR 12.5; or minor or an adult may file a complaint of § 98.44. under this part for alleged violations of (Authority: 20 U.S.C. 1232h(d)) (2) Issuing a notice to terminate for the student’s rights to consent or to be default, either in whole or in part under notified of the student’s rights under § 98.46 What are the responsibilities of the 48 CFR 49.102. §§ 98.20 and 98.30. Office in the enforcement process? (c) If, after an investigation under (b) A complaint filed under § 98.43 (a) The Office reviews the complaint § 98.44(c), the Secretary finds that an must contain specific allegations of fact and response and may permit the SEA, LEA, or other recipient has giving reasonable cause to believe that parties to submit further written or oral complied voluntarily with this part, the a violation of this part has occurred. arguments or information. Secretary provides the complainant and (c) The Office investigates each timely (b) Following its investigation, the the SEA, LEA, or other recipient written complaint to determine whether the Office provides to the complainant and notice of the decision and the basis for SEA, LEA, or other recipient has failed the SEA, LEA, or other recipient written the decision. notice of its findings and the basis for to comply with the provisions of this (Authority: 20 U.S.C. 1232h(d)) part. its findings. (d)(1) For purposes of this section, a (c) If the Office finds that the SEA, [FR Doc. 95–21227 Filed 8–25–95; 8:45 am] timely complaint is an allegation of a LEA, or other recipient has not BILLING CODE 4000±01±P federal register August 28,1995 Monday Tribal Consultation;Notice Office ofTrustManagementNational Bureau ofIndianAffairs Interior Department ofthe Part VIII 44703 44704 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Notice DEPARTMENT OF THE INTERIOR DATES: The consultation meeting will be upon being published for public held on September 20, 1995 from 8:30 comment. Bureau of Indian Affairs a.m. to 4:00 p.m. 1. These draft proposed regulations will ADDRESSES: Tropicana Hotel, 3801 Las implement Title II, Public Law 103–412, The Office of Trust Funds Management Vegas Boulevard South (Las Vegas Blvd. National Tribal Consultation American Indian Trust Fund Management at Tropicana Blvd.), Las Vegas, NV Reform Act, CFR 144. AGENCY: Bureau of Indian Affairs, 89109. Telephone Number: 702–739– 2. The purpose of the regulations in this Interior. 2222. part is to describe the processes by which Indian tribes can manage tribal funds ACTION: Notice of tribal consultation FOR FURTHER INFORMATION CONTACT: The currently held in trust by the United States. meeting. OTFM, Bureau of Indian Affairs, Joe Weller, Branch of Policy and This rule defines how tribes may withdraw SUMMARY: Notice is hereby given that Procedures, 505 Marquette NW., Suite their funds from trust status; how they may the Bureau of Indian Affairs (BIA), 700, Albuquerque, New Mexico 87102, return funds to trust; and how they may Office of Trust Funds Management telephone number 505–766–8606, fax request technical assistance or grants to help number 505–766–8641. prepare plans to manage funds or to ensure (OTFM), will conduct a consultation the capability to manage those funds. meeting with any Indian tribe, band, SUPPLEMENTARY INFORMATION: The nation, or other organized group or purpose of the consultation meeting is All oral and written comments community, including any Alaska to provide Indian tribes an opportunity presented by tribes at the tribal Native village or regional or village for participation in the development of consultation meeting will be recorded, corporation as defined in or established these regulations. Briefing books and transcribed and taken into consideration pursuant to the Alaska Native Claims deadline dates for the submission of by the agency in the development of the Settlement Act (85 Stat. 688), which is written comments on the proposed final regulations. Each tribe will be recognized as eligible for the special actions and regulations will be mailed given a minimum of five minutes for programs and services provided by the to all Federally recognized Indian tribes presentation of oral testimony. United States to Indians because of their who now have funds held in trust by the Dated: August 22, 1995. status as Indians, to obtain oral and Secretary of the Interior, and to BIA area written comments regarding draft directors. The Department of the Interior Michael J. Anderson, regulations for Public Law 103–412, The is considering publishing these Acting Assistant Secretary—Indian Affairs. American Indian Trust Fund regulations as interim regulations, so [FR Doc. 95–21258 Filed 8–25–95; 8:45 am] Management Reform Act concerning: that they will be effective immediately BILLING CODE 4310±02±M federal register August 28,1995 Monday Personal FinancialInterest;InterimRule 18 U.S.C.208(b)(2);ActsAffectinga Certain MiscellaneousExemptionsUnder 5 CFRPart2640 Government Ethics Office of Part IX 44705 44706 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations OFFICE OF GOVERNMENT ETHICS financial interests from the applicability 208 did not apply to payments made to of section 208(a) for all or a portion of employees under section 7 of the 5 CFR Part 2640 the executive branch if it determines Technology Transfer Act, 15 U.S.C. that such interests are either too remote 1501–1534, because such payments ‘‘are RIN 3209±AA09 or too inconsequential to affect an indistinguishable for these purposes Certain Miscellaneous Exemptions employee’s services to the Government. from salary, benefits, and other Under 18 U.S.C. 208(b)(2) (Acts Further, section 201(c) of Executive payments such as performance awards.’’ Affecting a Personal Financial Interest) Order 12674, as modified by E.O. 12731, Memorandum for Stephen D. Potts, states that OGE is to obtain the Director, Office of Government Ethics, AGENCY: Office of Government Ethics concurrence of the Department of from Walter Dellinger, Acting Assistant (OGE). Justice for any section 208 regulations it Attorney General, Office of Legal ACTION: Interim rule with request for promulgates. The Office of Government Counsel, Re: Ethics Issues Related to the comments. Ethics has obtained that concurrence for Federal Technology Transfer Act of this interim rule. Finally, as provided in 1986 (September 13, 1993). The opinion SUMMARY: The Office of Government section 402 of the Ethics in Government stated that section 208 was intended to Ethics (OGE) is issuing an interim Act of 1978, as amended, 5 U.S.C. cover only ‘‘outside’’ financial interests regulation describing the circumstances appendix, OGE has consulted with the and therefore would not bar an under which certain financial interests Office of Personnel Management on this employee from participating in matters arising from Federal Government interim rule. that would affect his Government employment in the executive branch are The Office of Government Ethics will compensation.1 A copy of this OLC exempt from the prohibition in 18 soon be issuing in the Federal Register memorandum is available from OGE U.S.C. 208(a). Section 208(a) generally a proposed regulation describing a (see the FOR FURTHER INFORMATION prohibits employees of the executive variety of holdings or relationships that CONTACT block above). branch from participating in an official OGE has determined are either too The notion that section 208 applies capacity in particular matters in which remote or too inconsequential in value only to so-called ‘‘outside’’ financial they have a financial interest. It also to be likely to affect an employee’s interests has some support in the bars employees from acting in particular consideration of any particular matter. statute’s legislative history. In 1962, matters in which certain other persons That proposed regulation will also section 208 replaced 18 U.S.C. 434 or entities, which are specified in the contain a more detailed analysis of which barred employees from acting in statute, have a financial interest. Section section 208, and guidance on individual an official capacity in the transaction of 208(b)(2) of title 18 permits the Office of waivers of disqualifying financial business with any business entity in Government Ethics to promulgate interests that agencies may grant under which they were ‘‘directly or indirectly executive branch-wide regulations 208 (b)(1) and (b)(3). The text of this interested in the pecuniary profits or describing financial interests that are interim regulation will be included in contracts.’’ The Senate Report on the too remote or inconsequential to the appropriate place in the overall bill that became section 208 described warrant disqualification pursuant to proposed section 208 regulation. the provision as follows: This interim regulation exempts section 208(a). This interim regulation The disqualification of the subsection exempts, in certain circumstances, disqualifying financial interests that embraces any participation on behalf of the disqualifying financial interests that an arise from employment in the executive Government in a matter in which the employee may have in Federal salary branch of the Federal Government. With employee has an outside financial interest, and benefits, or in Social Security or certain exceptions, the regulation even though his participation does not veterans’ benefits. specifically exempts an employee’s involve the transaction of business. DATES: This interim regulation is interest in his Government salary and S. Rep. No. 2213, 87th Cong., 2d Sess. effective August 28, 1995 Comments by benefits, and his interest in Social 12 (1962). agencies and the public are invited and Security and veterans’ benefits. It also Practical considerations might also are due by October 27, 1995. exempts, with certain exceptions, the favor interpreting section 208 to disqualifying financial interests that ADDRESSES: Office of Government conclude that an employee does not arise from the Federal Government Ethics, suite 500, 1201 New York have a disqualifying financial interest in employment interests of an employee’s Avenue NW., Washington, DC 20005– spouse, minor child, general partner, or 3917. Attention: Ms. Glynn. 1 In 1980, OLC also concluded that section 208 anyone with whom he is negotiating or was inapplicable to financial interests which arise FOR FURTHER INFORMATION CONTACT: has an arrangement for prospective from Government employment and salary, where no Marilyn Glynn, Office of Government employment. As noted, it is anticipated outside financial interest was implicated. See Ethics, telephone 202–523–5757, FAX that the exemption for salary and Memorandum for Thomas Martin, Deputy Assistant 202–523–6325. Attorney General, Civil Division, from Leon Ulman, benefits in this interim regulation will Deputy Assistant Attorney General, Office of Legal SUPPLEMENTARY INFORMATION: Section be added to the larger group of Counsel, Re: 18 U.S.C. § 208 and Pending Salary 208(a) of title 18 of the United States exemptions that will be published as a Adjustment Litigation (January 24, 1980). Code prohibits Government employees proposed regulation, as described above. Subsequently, however, OLC questioned the from participating in an official capacity correctness of the 1980 opinion in two other I. Background opinions dealing with section 208. See in particular Government matters in Memorandum for Richard K. Willard, Assistant which, to their knowledge, they or The question of whether an executive Attorney General, Civil Division, from Charles J. certain other persons specified in the branch employee may have a Cooper, Assistant Attorney General, Office of Legal Counsel, Re: 18 U.S.C. § 208 and Participation of statute have a financial interest, if the disqualifying financial interest in his Departmental Attorneys in Debt Ceiling Litigation matter would have a direct and Government salary and benefits has p. 2 at n.1 (December 6, 1985); Memorandum for predictable effect on the financial been addressed a number of times, but the Solicitor of the Interior, from Samuel A. Alito, interest. Section 208(d)(2) directs the has never been definitively resolved. An Deputy Assistant Attorney General, Office of Legal Counsel, Re: Scope of the Term ‘‘Particular Matter’’ Office of Government Ethics, after opinion issued by the Office of Legal under 18 U.S.C. § 208 p. 9 at n.13 (January 12, consultation with the Attorney General, Counsel (OLC) of the Department of 1987). Copies of all of these memoranda also are to adopt uniform regulations exempting Justice in 1993 concluded that section available from OGE. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44707 his Government position and salary. improper for an employee to participate III. Exemption for Interests Arising Otherwise, an employee’s routine in Government matters that have a From Government Salary and Benefits performance of duties might be viewed unique or individual impact on the or From Social Security or Veterans’ as creating a disqualifying financial employee’s own salary or benefits, such Benefits interest. For example, it may be argued as approving his own promotion or that every time an employee strives to awarding himself a cash bonus for Section 2640.101 applies to executive branch employees whose activities enthusiastically and conscientiously superior performance. It is generally affect Government salary or benefits, or perform his duties, he increases the acknowledged that it would be similarly veterans’ or Social Security benefits. likelihood that he will receive a inappropriate for an employee to favorable performance rating and a With two exceptions, the provision approve his general partner’s pay exempts all disqualifying financial subsequent bonus. Similarly, simply increase or performance bonus. asking for a promotion or submitting an interests that arise from Federal salary official request for travel reimbursement II. Need for Exemption or benefits, or from Social Security or might be considered participating in a veterans’ benefits. The exemption does particular matter that would have a In light of the somewhat differing not permit an employee to make (1) direct and predictable effect on the interpretations of section 208 that have determinations that individually or employee’s financial interest. been advanced, and in order to resolve specially affect his own financial On the other hand, it is arguable that continuing questions about the interest in Government salary and since section 208 was intended to cover applicability of section 208 to Federal benefits, or (2) determinations, requests, a broader range of activities than section salary and benefits, the Office of or recommendations that individually 434,2 it plainly encompasses actions Government Ethics, in consultation with or specially relate to, or affect the affecting financial interests arising from and with the concurrence of the Government employment-related Government employment. In United Department of Justice, has decided to financial interests of any other person States v. Lund, 853 F.2d 242 (4th Cir. treat financial interests that arise from specified in section 208, such as the 1988), the court found that section 208 Government salary and employment as employee’s spouse, minor child, or barred an employee from acting in disqualifying under section 208(a). This general partner. matters affecting his spouse’s regulation, however, would exempt To the extent that the performance of Government employment interests.3 The most of those financial interests from everyday duties affects an employee’s court noted that the disqualification provision of section potential for promotion, for receiving a the language of section 208(a), unlike that of 208(a). bonus or other similar benefit having its predecessor, is not restricted to conflicts monetary value, or even for being of interest in matters involving outside Given the ambiguous nature of removed involuntarily from Federal entities, and nothing in the legislative history existing advice on and interpretations of service, the exemption at § 2640.101 reveals a congressional intent to limit that section 208, OGE’s decision to publish applies to all employees. It also applies broad language to less than its normal span. this exemption should not be construed To the contrary, the legislative history to employees who affirmatively ask for indicates that Congress was fully aware of the as an indication that any particular action on, or otherwise make requests or potential breadth of the new statute * ** activity in which an employee might recommendations about, their own [t]hat the legislative history contains no have engaged prior to publication of this salary and benefits. The exemption specific mention of conflicts of interest in regulation was a violation of section would permit employees, for example, internal personnel matters cannot be taken as 208. The exemption simply provides to ask for pay raises and promotions, for affirmative evidence that it did not intend the employees with reassurance that transfers to higher-paid positions, and statute’s sweeping language to reach them performance of the duties required by * * *. for reimbursement of travel expenses. their positions does not amount to a The exemption applies to employee Id. at 246. violation of section 208. Additionally, participation in matters that would Moreover, it is not difficult to the exemption and the illustrative affect a panoply of interests that derive envision examples of employee examples describe the types of activities from Government employment, such as participation in matters relating to that are not covered by the exemption, salary, premium pay, performance salary and benefits that would clearly and in which the employee may not bonuses, recruitment and relocation appear to amount to a conflict of interest engage in the absence of an individual payments, Technology Transfer Act under section 208. For example, no one waiver under section 208 (b)(1) or (b)(3). payments, leave, compensatory time, seriously doubts that it would be pensions, health and life insurance, The need for the exemption is buyouts and early outs, payment of the 2 particularly important at this time Unlike prior section 434, section 208 is costs of training or continuing applicable to matters that would affect the interests because a number of executive branch education, disability payments, housing of an employee’s spouse, minor child, general Departments and agencies are engaged partner, and certain other persons or organizations allowances, severance pay, with which the employee has a specified in ‘‘reinvention’’ or ‘‘privatization’’ unemployment compensation, relationship. It also applies to a wider scope of activities that will result in the authorized personal use of agency Government activities than simply those that elimination of Federal positions. In amount to the ‘‘the transaction of business.’’ equipment, and Government day care Instead, it applies to applications, contracts, some cases, employee involvement in facility expenses. The exemption does judicial proceedings and other similar particular these activities necessarily will affect not permit employees to make matters. financial interests arising from determinations, such as approvals or 3 In Lund, the employee secretly married a Government salary and benefits. suboradinate and subsequently promoted her to disapprovals, that would have an another position, granted her pay increases, and However, the exemption will permit an individual or special effect on their recommended that the Government pay her tuition employee to engage in many of these financial interests. Thus, while an for a masters’ degree program. The court’s activities, with certain limited employee could request that his agency determination that section 208 applies to internal personnel matters may have been influenced by the exceptions described below. pay the cost of his tuition at a local fact that the marriage was concealed from agency university, the employee could not officials. approve his own request. 44708 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations The exemption does allow an taking over a ‘‘privatized’’ Government concern Social Security and veterans’ employee to make a determination (as function, are not governed by this benefits to participate in matters well as a request or recommendation) exemption. For example, where an affecting those benefits. Accordingly, an affecting his own financial interest (or agency has decided to transfer certain employee at the Social Security that of anyone else specified in section agency functions to an employee-owned Administration could recommend and 208), as long as that interest is not (or ESOP) corporation, an employee approve changes to certain procedures affected in an individual or special way. whose position will be transferred to the for applying for Social Security benefits This aspect of the exemption has new corporation could not, absent an even though her spouse is an applicant particular applicability to employees individual waiver, participate on an for benefits.5 However, the exemption who administer employee benefit plans agency task force advising the would not permit her to approve her for their own agency, or for the independent trustee who is charged spouse’s application for benefits. The executive branch as a whole. The with creating the ESOP corporation. The exemption also would not permit an responsibilities of these employees, of new position is not a financial interest employee to take an action in violation course, affect their own interests to the that arises from Federal salary or of some other statutory or regulatory extent that they affect the interests of all benefits. However, an employee who provision such as the prohibitions on employees. The exemption permits evidences her intent to retire from the nepotism in 5 U.S.C. 3110. them to continue to perform their Government when the agency function IV. Matters of Regulatory Procedure functions, provided the matters in is transferred to the ESOP corporation which they act are not ones in which may participate in task force activities Administrative Procedure Act they, or any other person specified in since she has no financial interest in a Pursuant to 5 C.F.R. 553 (b) and (d), section 208, have an individual or new position in the new corporation. I find that good cause exists for waiving special interest. For example, the The exemption does not permit an the general requirements of notice of exemption permits employees of the employee to make requests or proposed rulemaking and 30-day Federal Retirement Thrift Investment recommendations, as well as delayed effective date for this interim Board to promulgate less stringent determinations, in matters that would rule. These requirements are being standards for borrowing from thrift have an individual or special effect on waived because this regulation grants accounts, even though the employees the financial interests of anyone else certain exemptions under the applicable 4 may participate in the thrift savings specified in section 208. See conflict of interest law, 18 U.S.C. 208. plan themselves and may borrow from § 2640.101(b). For example, this Moreover, it is in the public interest that their accounts. Similarly, the exemption exemption does not permit an employee this regulation take effect as soon as permits an employee of the Federal to recommend that his spouse receive possible in order to clarify the Reserve (the ‘‘Fed’’) who participates in an award for meritorious service. Nor permissible limits of employees’ official the Fed pension plan to administer the does it permit an employee to determine actions when certain of their financial plan within the Fed. that his general partner should receive interests may be affected. Interested The exemption also permits an compensatory time for work performed persons are invited to submit written employee whose agency is involved in in excess of the normal tour of duty. The comments to OGE on this interim ‘‘privatization’’ or ‘‘reinvention’’ Office of Government Ethics believes regulation, to be received on or before activities to participate in certain of that it would be inappropriate to exempt October 27, 1995. The Office of those activities even when his own recommendations and requests (as well Government Ethics will review all position, salary, or benefits might be as determinations) in matters that would comments received and consider any affected. As the provision specifies, an specifically affect the financial interests modifications to this rule which appear employee may participate in such of other persons specified in section warranted. This same provision will activities provided that he does not 208. The narrower exemption for also be part of the overall proposed make any determination that has a matters affecting a person other than an section 208 regulation which OGE will special or individual effect on his salary employee specified in section 208 is and benefits. Thus, for example, an publish in a separate rulemaking warranted because the employee’s document. employee could serve on an agency task relationship with that other person force that makes a recommendation to might not be generally known, and the Executive Order 12866 the agency head to eliminate the agency employee’s impartiality in such matters In promulgating this proposed component to which he is assigned. In reasonably might be questioned. Making regulation, the Office of Government the absence of an individual waiver a request or recommendation in a matter Ethics has adhered to the regulatory under section 208(b)(1) or (b)(3), affecting one’s own position is on a philosophy and the applicable however, the employee could not be different footing since the employee’s principles of regulation set forth in responsible for deciding which of two potential bias is readily recognizable. section 1 of Executive Order 12866, senior positions in the component Within the limitations specified in Regulatory Planning and Review. This should be eliminated—his own or that § 2640.101 (a) and (b), the provision also interim rule has also been reviewed by of another senior employee. If the matter permits employees whose duties would have a direct and predictable 5 As indicated in the Standards of Ethical effect on the salary and benefits of a 4 Of course, because only individual persons may Conduct for Employees of the Executive Branch at very small number of employees, become Government employees, the exemption has 5 C.F.R. 2635.402(b)(3), not all Government matters including that of the employee charged no relevance to matters affecting organizations the are sufficiently focused on the interests of a discrete with the responsibility to act, the employee serves as officer, director, trustee, general and identifiable class of persons that they can be partner, or employee, or those with which he is considered ‘‘particular matters’’ within the meaning employee should not participate negotiating or has an arrangement for prospective of section 208. Example one accompanying without first receiving an individual employment. The persons specified in section 208 § 2635.402(b)(3) makes clear that certain Social waiver. that are relevant for purposes of this exemption Security procedures are not ‘‘particular matters.’’ Moreover, matters that would affect include the employee’s spouse, minor child, general This exemption applies to those Social Security partner, or individual person with whom the matters that are focused on the interests of a an ‘‘outside’’ interest of the employee, employee is negotiating or has an arrangement for discrete and identifiable class of persons, and such as his interest in obtaining a prospective employment, or for whom he serves as therefore are considered ‘‘particular matters’’ for position with a contractor who will be an employee in a position outside the Government. purposes of section 208. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Rules and Regulations 44709 the Office of Management and Budget (b) Make determinations, requests, or participate in GSA’s evaluation of the under that Executive order. recommendations that individually or feasibility of privatizing the entire Federal specially relate to, or affect, the Supply Service, even though the employee’s Regulatory Flexibility Act Government salary or benefits, or Social own position would be eliminated if the As Director of the Office of Security or veterans’ benefits of any Service were privatized. Example 8: Absent an individual waiver Government Ethics, I certify under the other person specified in section 208. Regulatory Flexibility Act (5 U.S.C. under section 208(b)(1), the employee in the chapter 6) that this interim regulation Note: This exemption does not permit an preceding example could not participate in employee to take any action in violation of the implementation of a GSA plan to create will not have a significant economic any other statutory or regulatory requirement, an employee-owned private corporation impact on a substantial number of small such as the prohibition on the employment which would carry out Federal Supply entities because it primarily affects of relatives at 5 U.S.C. 3110. Service functions under contract with GSA. Federal employees. Example 1: An employee of the Office of Because implementing the plan would result Paperwork Reduction Act Management and Budget may vigorously and not only in the elimination of the employee’s energetically perform the duties of his Federal position, but also in the creation of The Paperwork Reduction Act (44 position even though his outstanding a new position in the new corporation to U.S.C. chapter 35) does not apply performance would result in a performance which the employee would be transferred, because this interim regulation does not bonus or other similar merit award. the employee would have a disqualifying contain information collection Example 2: A policy analyst at the Defense financial interest in the matter arising from requirements that require the approval Intelligence Agency may request promotion other than Federal salary and benefits, or of the Office of Management and to another grade or salary level. However, the Social Security or veterans’ benefits. analyst may not recommend or approve the Budget. Example 9: A career member of the Senior promotion of her general partner to the next Executive Service (SES) at the Internal List of Subjects in 5 CFR Part 2640 grade. Revenue Service (IRS) may serve on a Example 3: An engineer employed by the performance review board that makes Conflict of interests, Government National Science Foundation may request employees. recommendations about the performance that his agency pay the registration fees and awards that will be awarded to other career appropriate travel expenses required for him Approved: July 21, 1995. SES employees at the IRS. The amount of the to attend a conference sponsored by the Donald E. Campbell, employee’s own SES performance award Engineering Institute of America. However, would be affected by the board’s Deputy Director, Office of Government Ethics. the employee may not approve payment of recommendations because all SES awards are his own travel expenses and registration fees. Accordingly, for the reasons set forth derived from the same limited pool of funds. Example 4: A GS–14 attorney at the in the preamble, the Office of However, the employee’s activities on the Government Ethics is amending title 5, Department of Justice may review and make comments about the legal sufficiency of a bill board involve only recommendations, and chapter XVI, subchapter B of the Code not determinations that individually or of Federal Regulations by adding a new to raise the pay level of all Federal employees paid under the General Schedule even specially affect his own award. Additionally, part 2640 to read as follows: though her own pay level, and that of her 5 U.S.C. 5384(c)(2) requires that a majority of the board’s members be career SES PART 2640ÐMISCELLANEOUS spouse who works at the Department of Labor, would be raised if the bill were to employees. EXEMPTIONS UNDER 18 U.S.C. become law. Example 10: In carrying out a 208(b)(2) (ACTS AFFECTING A Example 5: An employee of the reorganization of the Office of General PERSONAL FINANCIAL INTEREST) Department of Veterans Affairs (VA) may Counsel (OGC) of the Federal Trade assist in drafting a regulation that will Commission, the Deputy General Counsel is § 2640.101 Exemptions for financial provide expanded hospital benefits for asked to determine which of five Senior interests arising from Federal Government veterans, even though he himself is a veteran Executive Service (SES) positions in the OGC employment or from Social Security or who would be eligible for treatment in a to abolish. Because her own position is one veterans' benefits. hospital operated by the VA. of the five SES positions being considered for An employee may participate in any Example 6: An employee of the Office of elimination, the matter is one that would particular matter, whether of general Personnel Management may participate in individually or specially affect her own applicability or involving specific discussions with various health insurance salary and benefits and, therefore, the Deputy parties, where the disqualifying providers to formulate the package of benefits may not decide which position should be financial interest arises from Federal that will be available to Federal employees abolished. Government salary or benefits, or from who participate in the Government’s Federal Authority: 5 U.S.C. App. (Ethics in Employees Health Benefits Program, even Social Security or veterans’ benefits, Government Act of 1978); 18 U.S.C. 208; E.O. though the employee will obtain health 12674, 54 FR 15159, 3 CFR, 1989 Comp., p. except an employee may not: insurance from one of these providers (a) Make determinations that 215, as modified by E.O. 12731, 55 FR 42547, through the program. 3 CFR, 1990 Comp., p. 306. individually or specially affect his own Example 7: An employee of the Federal Government salary and benefits, or Supply Service Division of the General [FR Doc. 95–21299 Filed 8–25–95; 8:45 am] Social Security or veterans’ benefits; or Services Administration (GSA) may BILLING CODE 6345±01±U federal register August 28,1995 Monday for RecycledOil;ProposedRule Test ProceduresandLabelingStandards 16 CFRPart311 Commission Federal Trade Part X 44711 44712 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules FEDERAL TRADE COMMISSION SUPPLEMENTARY INFORMATION: phrase, or description connoting less I. Background than substantial equivalency of such 16 CFR Part 311 recycled oil with new oil.6 A. EPCA’s Requirements Section 383 of EPCA does not specify Test Procedures and Labeling The purposes of the recycled oil any particular rulemaking procedures Standards for Recycled Oil section of EPCA are to encourage the that must be followed. The Commission, therefore, is using the notice and AGENCY: Federal Trade Commission. recycling of used oil, to promote the use of recycled oil, to reduce consumption comment rulemaking procedures of the ACTION: Notice of proposed rulemaking. of new oil by promoting increased Administrative Procedure Act (‘‘APA’’) utilization of recycled oil, and to reduce to obtain the views of interested parties. SUMMARY: Section 383 of the Energy environmental hazards and wasteful 5 U.S.C. 553(b) and (c). Pursuant to Policy and Conservation Act of 1975 practices associated with the disposal of section 553(b)(3) of the APA, the (‘‘EPCA’’) directs the Federal Trade used oil.1 To achieve these goals, Commission has elected to publish the Commission (‘‘FTC’’ or ‘‘Commission’’) section 383 of EPCA directs NIST to specific terms of its proposed rule. 5 to promulgate a rule prescribing test develop test procedures for the U.S.C. 553(b)(3). procedures and labeling standards determination of the substantial B. The FTC Used Oil Rule and the Used applicable to recycled oil. The equivalency of re-refined or otherwise Oil Recycling Act Commission is required to prescribe the processed used oil or blend of oil In 1964, prior to the enactment of rule within 90 days after the National (consisting of such re-refined or EPCA, the Commission had Institute of Standards and Technology otherwise processed used oil and new promulgated a trade regulation rule (‘‘NIST’’) reports to the Commission the oil or additives) with new oil relating to the advertising and labeling test procedures to determine the distributed for a particular end use and of previously used lubricating oil substantial equivalency of processed to report such test procedures to the (‘‘Used Oil Rule’’).7 The Rule was based used oil with new oil distributed for a Commission.2 Within 90 days after on the Commission’s finding that particular end use. Because NIST has receiving such report from NIST, the whether a lubricant has been made from reported the relevant test procedures to Commission is required to prescribe, by crude oil or from used oil is material to the Commission, this notice announces rule, the substantial equivalency test consumers, and it was promulgated to the Commission’s proposed rule procedures, as well as labeling prevent deception of those consumers implementing the statutory directive. standards applicable to containers of who prefer new and unused lubricating The Commission invites interested recycled oil.3 EPCA further requires that oil. Specifically, the Rule requires that persons to submit written comments the Commission’s rule permit any advertising, promotional material, and addressing any issue they believe may container of processed used oil to bear labels on containers of lubricant made bear upon the proposed rule. After a label indicating any particular end from used oil disclose that such used reviewing comments received in use, such as for use as engine lubricating oil has been previously used. response to this notice, the Commission lubricating oil, so long as a The Rule further states that it is an will publish a final rule. determination of ‘‘substantial unfair method of competition and an equivalency’’ with new oil has been DATES: Written comments must be unfair and deceptive act or practice to made in accordance with the test submitted on or before September 27, represent in any manner that used procedures prescribed by the 1995. Due to the time constraints of this lubricating oil is new or unused and to Commission.4 rulemaking proceeding, the Commission Once this proposed rule becomes use the term ‘‘re-refined,’’ or any other does not contemplate any extensions to final, no Commission order or rule, and term of similar import, to describe this comment period. no law, regulation, or order of any State previously used lubricating oil unless the physical and chemical contaminants ADDRESSES: Written comments should (or political subdivision thereof), may remain in effect if it has labeling acquired through previous use have be submitted to Office of the Secretary, 8 requirements with respect to the been removed by a refining process. Federal Trade Commission, room 159, On October 15, 1980, the Used Oil comparative characteristics of recycled Sixth and Pennsylvania Avenue, NW., Recycling Act, which reiterated oil with new oil that are not identical to Washington, DC 20580, telephone Congress’ policy favoring the recycling the labels permitted by this rule.5 Also, number 202–326–2506. Comments of used oil, suspended the provision of no rule or order of the Commission may should be identified as ‘‘16 CFR Part the Used Oil Rule, as well as any similar require any container of recycled oil to 311 Comment-Recycled Oil.’’ If provision in a Commission order, also bear a label containing any term, possible, submit comments both in requiring labels to disclose the origin of writing and on a personal computer lubricants made from used oil.9 The diskette in Word Perfect or other word 1 42 U.S.C. 6363(a). processing format (to assist in 2 42 U.S.C. 6363(c). Although EPCA does not explicitly define the term ‘‘processed used oil,’’ it 6 42 U.S.C. 6363(e)(2). processing, please identify the format is defined herein to mean re-refined or otherwise 7 16 CFR 406. used). Written comments should be processed used oil or any blend of such oil, 8 16 CFR 406.5. submitted, when feasible and not consistent with the definition of ‘‘recycled oil’’ at 9 Used Oil Recycling Act of 1980, Pub. L. 96–463, burdensome, in six copies. 42 U.S.C. 6363(b)(2)(A) and (B). 94 Stat. 2055 (codified as amended in scattered 3 42 U.S.C. 6363(d). Recycled oil, as defined in sections of 42 U.S.C.). Section 4(c) of the Used Oil FOR FURTHER INFORMATION CONTACT: Neil section 6363(b)(2) of EPCA is either (a) used oil Recycling Act provides that before the effective date J. Blickman, Attorney, or Laura Koss, from which physical and chemical contaminants of the FTC rule prescribed under section 383 of acquired through prior use of the oil have been EPCA, no requirement of any rule or order of the Attorney, Federal Trade Commission, removed by refining or other processing, or (b) any FTC could remain applicable if it required that a Bureau of Consumer Protection, blend of re-refined or otherwise processed used oil container of recycled oil bear any label referring to Division of Enforcement, Room S–4631, and new oil or additives, that, for either (a) or (b), the fact that its contents were derived from Sixth and Pennsylvania Ave., NW., the manufacturer has determined, pursuant to the previously used oil. However, section 4(c) does not Commission’s rule, is substantially equivalent to restrict the ability of the FTC to regulate the Washington, DC 20580, telephone new oil for a particular end use. labeling of oil on the basis of performance numbers 202/326–3038, or 202/326– 4 42 U.S.C. 6363(d)(1)(B). characteristics or fitness for its intended use. See 42 2890. 5 42 U.S.C. 6363(e)(1). U.S.C. 6363 note. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44713 legislative history of the Used Oil C. Basis for this Proceeding are also used to produce all of these Recycling Act indicates that Congress On July 27, 1995, NIST reported to the products. was concerned that the requirement in Commission the test procedures for the The principal customers for re-refined the FTC’s Rule that previously used oil determination of the substantial base oils are lubricant manufacturers be labeled as such was having an equivalency of processed used engine who produce the various products adverse impact on consumer acceptance oils with new engine oils.13 The test mentioned above. These products are of recycled oil, provided no useful procedures and performance standards sold in the same markets as lubricants information to consumers concerning reported by NIST for such processed made from virgin base oil. For example, the performance of the oil, and was used engine lubricating oils are the some re-refiners sell base oil to other inhibiting recycling. The re-refining same as those adopted by the American manufacturers for use in producing industry and environmental community Petroleum Institute (‘‘API’’) for engine finished lubricant products, and some contended that such labeling gave lubricating oils generally, irrespective of directly produce finished products that consumers the incorrect impression that the origin of the oil. As required by may then be sold to distributors, mass the product is inferior, while providing EPCA, the Commission is proposing in merchandisers, and large private end- no information relating to its quality. this notice a rule regarding the labeling users. According to Congress, the intent of of containers of recycled engine oil. section 383 of EPCA was clear. ‘‘Oil II. Scope of the Proposed Rule should be labeled on the basis of D. The Used and Re-refined Oil Markets As discussed above, EPCA directs the performance characteristics and fitness According to the Environmental Commission to issue a rule prescribing: for intended use, and not on the basis Protection Agency, approximately 1.5 (1) test procedures for determining the of the origin of the oil.’’ 10 The billion gallons of used oil are made substantial equivalency of processed legislative history also states that the available for collection or disposal each used oil with new oil for a particular Commission, in response to a petition of year. Of this 1.5 billion, some 900 end use; and (2) labeling standards the Association of Petroleum Re- million gallons are collected; the applicable to containers of such refiners, published a proposed remaining 600 million gallons are recycled oil.15 NIST has reported test Statement of Enforcement Policy on disposed of improperly. Of the 900 procedures and performance standards August 19, 1980 announcing its million gallons that are collected, for determining the substantial intention to replace the term ‘‘used’’ approximately 100 million gallons are equivalency of processed used engine with ‘‘recycled’’ on the belief that the used as feedstock for re-refineries. The oils with new engine oils. Until NIST term ‘‘recycled’’ connotes more primary use for used oil is as fuel for develops test procedures for other end accurately the origin and processing of industrial boilers and marine engines. uses, the scope of the rule is limited to the product.11 However, the Association Re-refined oil is used oil from which all engine oil. of Petroleum Re-refiners expressed its contaminants have been removed. Re- concern to Congress that even the term III. Section-by-Section Discussion of refiners use a sophisticated process, Proposed Rule ‘‘recycled’’ was likely to inhibit sales of including hydrotreating,14 to produce re-refined oil because the label might re-refined base oils that pass the API EPCA gives the Commission broad suggest that the product is in some way tests and meet the International latitude to prescribe labeling standards inferior. The Commission’s proposed Lubricant Standardization and Approval to effectuate the statute’s purposes. Statement of Enforcement Policy would Committee requirements for motor oils. EPCA, however, requires that the become effective on October 18, 1980. The volume of re-refined base oil sold Commission’s rules permit any However, the Used Oil Recycling Act, or used in the United States is container of processed used oil to bear which was enacted just days before, approximately 65 million gallons per a label indicating any particular end use suspended any Commission labeling year. This represents a relatively small, for which a determination of requirements until a final Commission but still significant, portion of the total ‘‘substantial equivalency’’ with new oil rule is issued under EPCA. U.S. lubricating oil market of some 1.2 has been made in accordance with the Accordingly, on April 8, 1981, the billion gallons per year. The principal test procedures prescribed by the Commission published a notice products made from re-refined based Commission.16 EPCA further states that announcing the statutory suspension of oils are: gear lubricants, hydraulic oils, the Commission’s rule may not require the origin labeling requirements of the power transmission fluids, passenger any container of recycled oil to also bear Used Oil Rule and relevant orders. In car motor oils, diesel engine oils, and a label containing any term, phrase, or the same notice, the Commission railroad diesel engine oils. Virgin oils description connoting less than announced a Statement of Enforcement substantial equivalency of such recycled Policy suspending enforcement of those F.T.C. 629 (1957); Acme Refining Corp., 54 F.T.C. oil with new oil.17 portions of the Used Oil Rule and 1126 (1958); Allied Petroleum Corp., 54 F.T.C. 1132 Commission orders requiring that (1958); Deep Rock Refining Co., 54 F.T.C. 1123 Section 311.1 advertising and promotional material (1958); Double Eagle Refining Co., 54 F.T.C. 1035 Section 311.1 of the proposed rule disclose the origin of lubricants made (1958); Mohawk Refining Corp., 54 F.T.C. 1071 (1958); Seaboard Oil Co., 54 F.T.C. 1135 (1958); defines the following terms, which are 12 from used oil. Salyer Refining Co., 54 F.T.C. 1026 (1958). used in the proposed regulation: 13 NIST recently has been involved with the ‘‘manufacturer,’’ ‘‘new oil,’’ ‘‘recycled 10 See Legislative History Pub. L. 96–463, U.S. subject of re-refined oil pursuant to a 1993 oil,’’ and ‘‘used oil.’’ These are the Code Cong. and Adm. News, pp. 4354–4356 (1980). Executive Order, which, in part, requires federal principal terms defined in section 11 Id. agencies to implement procurement guidelines for 18 12 46 FR 20979. There are 12 Commission orders re-refined lubricating oil, and requires NIST to 383(b) of EPCA. The proposed rule, requiring oil processors/manufacturers to cease establish a program for testing the performance of however, also adds definitions for ‘‘re- advertising and selling their products without products containing recovered materials. See Exec. refined oil’’ and ‘‘processed used oil,’’ disclosing that such products are refined, Order No. 12,873, 58 FR 54911 (1993). 14 Hydrotreating is a re-refining process in which reclaimed, or reprocessed. Dabrol Products Corp., 15 70 F.T.C. 1099 (1949); Pennsylvania Oil Terminal, oil is first distilled and then reacted with hydrogen 42 U.S.C. 6363(d)(1)(A). Inc., 48 F.T.C. 356 (1951); High Penn Oil Co., Inc., to eliminate contaminants (such as chlorine and 16 42 U.S.C. 6363(d)(1)(B). 53 F.T.C. 256 (1956); Supreme Petroleum Products polynuclear aromatics) that an ordinary distillation 17 42 U.S.C. 6363(e)(2). Inc., 54 F.T.C. 1129 (1956); Royal Oil Corp., 70 process would not eliminate. 18 42 U.S.C. 6363(b). 44714 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules and includes a revised, shorter would be preempted because they Congressional stay of enforcement as to definition for ‘‘recycled oil.’’ The would require a label that is not non-engine oils.24 (The Used Oil covers Commission seeks comment on whether ‘‘identical to that permitted by the other lubricating oils as to which the additional terms should be included (FTC’s) rule. .. .’’ States, however, EPCA preemption does not apply.) The and defined in section 311.1 of the final may adopt labeling requirements Commission also is continuing its 1981 rule. identical to those required by the FTC, stay of the origin advertising provisions 25 Section 311.2 if they wish, and prosecute violations of the Used Oil Rule as to all oils. under state law. Section 311.4 Section 311.2 of the proposed rule is Section 383(e)(2) of EPCA also a general provision that states if any part restricts Commission rules and orders, In accordance with section of the Commission’s rule is stayed or stating ‘‘the Commission may [not] 383(d)(1)(A)(i) of EPCA,26 section 311.4 held invalid, the rest of the rule will require any container of recycled oil to of the proposed rule prescribes test remain in force. also bear a label containing any term, procedures for determining the Section 311.3 phrase, or description which connotes substantial equivalency of processed less than substantial equivalency. . . .’’ used oil with new oil distributed for use Section 311.3 of the proposed rule is To some extent this section overlaps as engine oil. The test procedures, as a preemption provision that tracks the with section 383(e)(1) of EPCA. But, reported to the Commission by NIST, preemption language contained in whereas section (e)(1) expresses are found in American Petroleum section 383(e)(1) of EPCA.19 Section Congressional intent that there be a Institute Publication 1509, Thirteenth 383(e)(1) states that ‘‘no rule or order of national uniform labeling standard, Edition, January 1995, entitled ‘‘Engine the Commission, other than the rule preempting non-identical state laws, Oil Licensing and Certification required to be prescribed pursuant to section (e)(2) is specifically aimed at System.’’ 27 In its letter transmitting the section 383(d) of EPCA, and no law, prohibiting Commission label test procedures to the Commission, regulation, or order of any State or requirements in addition to what the NIST stated that the engine test political subdivision thereof may Commission prescribes under section procedures described in API Publication remain applicable to any container of 383(d)(1) of EPCA if the additional 1509 combined with the API Engine Oil recycled oil, if the law, regulation, rule, requirements would create the Licensing and Certification System are or order requires that containers of impression that the recycled oil is not accepted for use with automotive engine recycled oiled, which bear a label in substantially equivalent to recycled oil. oils by the Society of Automotive accordance with the terms of the Engineers, the American Society of Commission’s rule prescribed under For example, the Commission’s Used Oil Rule requires disclosures in Testing and Materials, and all major section 383(d) of EPCA, bear any label automotive engine manufacturers. with respect to the comparative advertising and on labeling that 21 The American Petroleum Institute characteristics of recycled oil with new recycled oil is used. When the Commission issues its final rule based operates a voluntary licensing and oil that is not identical to that permitted certification system that is designed to by the Commission’s rule respecting on the equivalency determination for engine oil, the Used Oil Rule’s provide consumers with the technical labeling standards prescribed under information needed to understand the 20 requirements for origin labeling with section 383(d) of EPCA.’’ The statute’s performance, viscosity, and accepted preemptive effect is limited to recycled respect to engine oil will be preempted 22 use of engine oils. Under this system, oil that meets the definition of recycled pursuant to section 383(e) of EPCA. Accordingly, the Commission need not API licenses two types of ‘‘Marks’’ oil in EPCA (i.e., oil that is substantially which may appear on the labeling of equivalent to new oil pursuant to FTC- take further action to repeal those portions of the Used Oil Rule. Further, qualified engine oils: The API Service specified test procedures). Symbol and the API Certification Mark. Section 383(e)(1) appears to intend the relevant labeling origin provisions of The Service Symbol identifies the type that there be one uniform labeling the Used Oil Rule and the twelve of engine in which the oil should be requirement regarding the comparative Commission orders concerning recycled 23 used, explains the oil’s characteristics, characteristics of recycled oil (for a oil continue to be subject to and describes the oil’s ability to protect particular end use). If a container of 21 against wear, sludge, and corrosion. The recycled oil is labeled in accordance Specifically, the Used Oil Rule, in part, requires manufacturers to disclose ‘‘clearly and symbol also contains a rating of the oil’s with the FTC’s EPCA rule, neither the conspicuously that such used lubricating oil has viscosity that is based on specifications FTC nor any state or political been previously used, in all advertising, established by the Society of subdivision can require any additional promotional material and on each front or face Automotive Engineers. Finally, the or different disclosure. By preventing panel of the container.’’ 16 CFR 406.5(b)(2). 22 For example, the legislative history of the Used symbol indicates whether the oil has multiple labeling requirements, this Oil Recycling Act reveals Congress’ concern that the any energy conserving properties when section furthers the Congressional requirement in the FTC’s rule was having an compared to a standard reference oil. purpose ‘‘to promote the use of recycled adverse impact on consumer acceptance of recycled The API Certification Mark identifies oil.’’ oil. The re-refining industry expressed dissatisfaction with the Commission’s proposal to engine oils recommended for a specified The proposed rule permits substitute the term ‘‘recycled’’ for the term ‘‘used’’ use. An engine oil is eligible to receive manufacturers to choose how they in the Used Oil Rule, since it too might suggest that convey substantial equivalency (if they the product is in some way inferior. Similarly, Competition and Consumer Protection Orders, 60 meet the specified test procedures for EPCA’s history indicates that Congress believed that disclosures conveying the origin of oil (words like FR 42,481 (1995). substantial equivalency). State laws that used, recycled, re-refined) did not provide 24 42 U.S.C. 6363 note. require specific disclosures (e.g., that information that would be useful or relevant to 25 46 FR 20,979. the product is recycled) or have specific consumers. Congress made clear that disclosures 26 42 U.S.C. 6363(d)(1)(A)(i). format requirements (e.g., specific print should instead pertain to performance 27 The Commission will be seeking approval from size requirements for their disclosures) characteristics and fitness for intended use. the Director of the Federal Register to incorporate 23 These orders will be eliminated if the this document by reference into section 311.4 of the Commission adopts as final its proposed rule for final rule, as required by section 552(a) of the APA, 19 42 U.S.C. 6363(e)(1). sunsetting administrative consumer protection 5 U.S.C. 552(a), and by regulations issued by the 20 Id. orders over twenty years old. Duration of Existing Office of the Federal Register, 1 CFR 51. Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44715 the API Certification Mark only if it labeling recycled oil containers with shall be granted without bond. Any satisfies the minimum performance terms or phrases such as ‘‘recycled’’ to such court also may issue mandatory standards established by the assist in the marketing of their injunctions commanding any person to International Lubricant Standardization products.29 comply with the Commission’s rule.35 and Approval Committee (‘‘ILSAC’’). To Section 311.6 Because section 525 of EPCA does not receive ILSAC approval and, in turn, explicitly authorize the Commission to API certification, motor oils must pass Section 311.6 of the proposed rule bring enforcement actions, this rule will a series of tests designed to evaluate the tracks the language relating to be enforced by the Department of Justice following factors: (1) The oil’s prohibited acts and enforcement of the under 28 U.S.C. 516, a provision that performance and its effect on the engine Commission’s rule contained in sections 30 authorizes the Department of Justice to at zero degrees Fahrenheit or lower; (2) 524 and 525 of EPCA. Pursuant to enforce statutes that are not specifically the extent to which the oil prevents section 524 of EPCA, it is a prohibited assigned to other agencies for engine rust and corrosion; (3) the oil’s act to violate the Commission’s final enforcement. The Commission, fuel efficiency; (4) the capability of the rule issued pursuant to section 383 of however, has the authority to investigate EPCA.31 The proposed rule declares that oil to reduce friction and to protect violations, and make referrals to the it is unlawful for any manufacturer to moving parts within the engine from Department of Justice pursuant to represent, on a label on a container of fusing together; (5) the oil’s resistance to section 525(d) of EPCA.36 thickening under high temperatures up processed used oil, that the processed to three hundred degrees Fahrenheit; (6) used oil is substantially equivalent to IV. Effective Date the level of detergents and dispersants new oil for engine use unless the manufacturer has based such EPCA directs the Commission to in the oil; and (7) the content of ‘‘prescribe’’ the relevant test procedures phosphorus in the oil. The current representation on the manufacturer’s determination of the substantial and pertinent labeling standards within standards for these factors, as well as 90 days after the date on which NIST the applicable test procedures, are equivalency of the processed used oil to new oil for use as engine oil in reports such test procedures to the found in Appendices D, E, F, G, I, J, K, Commission. It does not, however, L, M, and N of API Publication 1509. accordance with the test procedures prescribed under section 311.4 of the specify an effective date for the rule. Section 311.5 proposed rule. The Commission proposes that the rule In accordance with section The proposed rule also provides that become effective 30 days after 383(d)(1)(A)(ii) of EPCA,28 section 311.5 violations will be subject to enforcement publication of a final rule in the Federal of the proposed rule prescribes labeling in accordance with section 525 of EPCA. Register. The Commission seeks standards applicable to containers of Section 525 of EPCA provides that comment on whether the proposed recycled oil. Section 311.5 states that a whoever violates the Commission’s final effective date will allow affected manufacturer may represent, on a label rule is subject to a civil penalty of not interests sufficient time to comply with on a container of processed used oil, more than $5,000 for each violation.32 the proposed labeling standards. that such oil is substantially equivalent Whoever willfully violates the V. Invitation To Comment to new oil for engine use, but only if the Commission’s rule shall be fined not manufacturer has determined the more than $10,000 for each violation.33 The Commission invites interested substantial equivalency of the oil to new Any person who knowingly and persons to address any questions of fact, oil for that particular end use in willfully violates the Commission’s rule law, or policy that they believe may bear accordance with the test procedures after having been subjected to a civil upon the proposed rule. The prescribed by the Commission, and has penalty for a prior violation of the rule, Commission particularly desires based the representation on that shall be fined not more than $50,000, or comment, however, on the questions determination. For example, a imprisoned not more than six months, listed below. All comments should manufacturer could represent that its oil or both.34 Further, pursuant to section reference the aspect of the proposed rule is substantially equivalent to new oil by 525 of EPCA, whenever it appears to or question being discussed. Comments displaying the API Mark on its any officer or agency of the United opposing the proposed rule or specific container. A manufacturer would not be States (in whom is vested,or to whom is provisions should, if possible, suggest a required to add any qualifiers to its label delegated, authority under EPCA) that specific alternative. Proposals for such as ‘‘used’’ or ‘‘re-refined.’’ any person has engaged, is engaged, or alternative regulations should include The Commission’s proposal focuses is about to engage in acts or practices reasons and data explaining why the on the performance of oil and its fitness constituting a violation of the alternative would better serve the for an intended use rather than its Commission’s rule, such officer or purposes of section 383 of EPCA. origin, and thus should encourage the agency may request the Attorney Before adopting a final rule, recycling of used oil, encourage the use General to bring an action in an consideration will be given to any of recycled oil, and reduce consumption appropriate district court of the United written comments timely submitted to of new oil by promoting increased States to enjoin such acts or practices, the Commission. Comments submitted utilization of recycled oil. Because the and upon a proper showing, a will be available for public inspection in proposed rule does not mandate the use temporary restraining order or a accordance with the Freedom of of specific disclosures, recycled oil preliminary or permanent injunction Information Act 37 and the manufacturers have flexibility to Commission’s Rule of Practice,38 during promote the performance of their 29 Manufacturers should, of course, consider the normal business days from 8:30 a.m. to products and their ‘‘substantial Commission’s Guides For The Use Of 5 p.m., at the Public Reference Room, equivalency’’ with new oil and develop Environmental Marketing Claims. See e.g., 16 CFR 260.7(e). Room 130, Federal Trade Commission, marketing strategies for various markets. 30 42 U.S.C. 6394(2) and 42 U.S.C. 6395. For example, the proposed rule does not 31 42 U.S.C. 6394(2). 35 42 U.S.C. 6395(d). restrain manufacturers from voluntarily 32 42 U.S.C. 6395(a). 36 42 U.S.C. 6395(d). 33 42 U.S.C. 6395(b). 37 5 U.S.C. 552. 28 42 U.S.C. 6363(d)(1)(A)(ii). 34 42 U.S.C. 6395(c). 38 16 CFR 4.11. 44716 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 6th and Pennsylvania Ave., NW., requirements specified by law (either In light of the above, the Commission Washington, DC 20580. federal, state, or local) be affected by the certifies, pursuant to section 605 of Commission’s proposal? RFA, 5 U.S.C. 605, that the proposed A. Proposed Labeling Rule (9) Are there additional appropriate rule would not, if promulgated, have a The Commission is proposing labeling and meaningful definitions that the significant impact on a substantial standards applicable to containers of Commission should include in section number of small entities and, therefore, recycled engine oil. The proposed rule 311.1 of the final rule? If yes, what that a regulatory analysis is not also prescribes test procedures, as should they be, and why; if no, why necessary. The Commission requests reported to the Commission by NIST, for not? comment on this certification, and determining the substantial equivalency B. Effective Date whether the proposed rule will have a of processed used engine oil to new oil, significant impact on a substantial and includes definition, preemption and The Commission proposes that its number of small entities. After prohibited acts sections that track the rule become effective 30 days after reviewing any comments received on language contained in sections 383, 524, publication of a final rule in the Federal this subject, the Commission will decide and 525 of EPCA. The Commission Register. whether the preparation of a final seeks comment on all aspects of its (1) Does the proposed effective date regulatory-flexibility analysis is proposal. The questions below also allow affected interests sufficient time appropriate. include those that are routinely asked in to comply with the proposed rule? If conducting FTC regulatory reviews.39 yes, why; if no, why not? How much D. Paperwork Reduction Act (1) Is the Commission’s proposal extra time would be necessary to If promulgated, the Commission’s consistent with, and does it promote, comply with the proposed rule? Why is proposed rule would not involve the the purposes of section 383 of EPCA? If that extra time necessary? ‘‘collection of information’’ as defined yes, why; if no, why not? C. Regulatory Flexibility Act by the regulations of the Office of (2) Should the Commission issue its Management and Budget (‘‘OMB’’)45 proposal relating to the labeling of The Regulatory Flexibility Act implementing the Paperwork Reduction 40 recycled engine oil containers as a final (‘‘RFA’’) requires agencies to prepare Act (‘‘PRA’’).46 The Commission’s rule? If yes, why; if no, why not? regulatory flexibility analyses when proposed rule contains no reporting, 41 (3) What are the advantages of the publishing proposed rules unless the recordkeeping, labeling or other third- Commission’s proposal? proposed rule, if promulgated, would party disclosure requirements, so there (4) What changes, if any, should be not have a ‘‘significant economic impact is no ‘‘information collection’’ in this made to the proposed rule to increase on a substantial number of small proceeding to submit to OMB for 42 the benefits of the rule? entities.’’ Here, the economic impact clearance. However, to ensure the (a) How would these changes affect of the proposed labeling standards accuracy of its conclusion, the the costs the proposed rule would appears to be de minimis. The Commission solicits comment on any impose on firms subject to its Commission’s proposed rule permits, paperwork burden that the public requirements? rather than requires, any container of believes the proposed requirements may (5) What significant burdens or costs, recycled oil to bear a label indicating impose. including costs of compliance, will the that it is substantially equivalent to new proposed rule impose on firms subject engine oil, if such determination has VI. Additional Information for to its requirements? been made in accordance with the test Interested Persons (a) Will the proposed rule provide procedures prescribed in the proposed A. Motions or Petitions benefits to such firms? rule. Any economic costs incurred by (b) To what extent will consumers of entities that choose to make a Any motions or petitions in recycled engine oils benefit or be determination of substantial connection with this proceeding must harmed by the Commission’s proposal? equivalency are neither statutorily be filed with the Secretary of the (c) How will the Commission’s imposed nor imposed by the proposed Commission. proposal affect the consumption of regulations. The Commission proposes B. Communications by Outside Parties recycled engine oil relative to new no reporting or recordkeeping to Commissioners or Their Advisors engine oil? requirements, and the proposed rule Pursuant to Commission Rule of (6) What changes, if any, should be permits recycled oil containers to be Practice 1.18(c),47 communications with made to the proposed rule to reduce the labeled with information that is basic respect to the merits of this proceeding burdens or costs that would be imposed and easily ascertainable. from any outside party to any on firms subject to its requirements? The Commission also tentatively Commissioner or Commissioner advisor (a) How would these changes affect concludes that the proposed rule also during the course of this rulemaking the benefits provided by the proposed will not affect a substantial number of shall be subject to the following rule? small entities because information the (7) Should the Commission require or Commission currently possesses treatment: Written communications, permit any additional or alternative indicates that relatively few companies including written communications from disclosures, or variations on the currently manufacture and sell recycled members of Congress, shall be proposed labeling standards? If yes, how oil as engine oil. Of those that do, most forwarded promptly to the Secretary for should the Commission’s proposal be are not ‘‘small entit[ies]’’ as that term is placement on the public record. Oral modified, and why; if no, why not? defined either in section 601 of RFA43 communications, not including oral (8) To what extent would any or applicable regulations of the Small communications from members of recycled oil container labeling Business Administration.44 Congress, are permitted only when such oral communications are transcribed 39 The Commission has implemented a program 40 5 U.S.C. 601–612. verbatim or summarized at the to review all of its current and proposed rules and 41 guides. One purpose of the review is to minimize 5 U.S.C. 603(a). the economic impact of new regulatory actions by 42 5 U.S.C. 605(b). 45 5 CFR 1320.7(c). seeking comment on, for example, regulatory 43 5 U.S.C. 601(6). 46 44 U.S.C. 3501–3520. options. 44 13 CFR 121. 47 16 CFR 1.18(c). Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Proposed Rules 44717 discretion of the Commissioner or (b) New oil means any oil which has manufacturers must use the test Commissioner advisor to whom such been refined from crude oil and has not procedures that were reported to the oral communications are made and are been used, and which may or may not Commission by the National Institute of promptly placed on the public record, contain additives. Such term does not Standards and Technology (‘‘NIST’’) on together with any written include used oil or recycled oil. July 27, 1995, entitled ‘‘Engine Oil communications and summaries of any (c) Processed used oil means re- Licensing and Certification System,’’ oral communications relating to such refined or otherwise processed used oil and found in Publication 1509 of the oral communications. Oral or blend of oil, consisting of such re- American Petroleum Institute (‘‘API’’), communications from members of refined or otherwise processed used oil Thirteenth Edition, January, 1995. Congress shall be transcribed or and new oil or additives. summarized at the discretion of the (d) Recycled oil means processed used § 311.5 Labeling. oil with respect to which the Commissioner or Commissioner advisor A manufacturer may represent, on a manufacturer has determined, pursuant to whom such oral communications are label on a container of processed used to § 311.4 of this part, is substantially made and promptly placed on the oil, that such oil is substantially equivalent to new oil for use as engine public record, together with any written equivalent to new oil for use as engine communication and summaries of any oil. oil only if the manufacturer has oral communications relating to such (e) Used oil means any oil which has determined that the oil is substantially oral communications. been refined from crude oil, has been used, and as a result of such use has equivalent to new oil for use as engine List of Subjects in 16 CFR Part 311 been contaminated by physical or oil in accordance with the NIST test Energy conservation, Incorporation by chemical impurities. procedures prescribed under § 311.4 of reference, Labeling, Recycled oil, Trade (f) Re-refined oil means used oil from this Part, and has based the practices. which physical and chemical representation on that determination. contaminants acquired through use have Text of Proposed Rule § 311.6 Prohibited acts. been removed. Accordingly, it is proposed that It is unlawful for any manufacturer to Chapter I of 16 CFR be amended by § 311.2 Stayed or invalid parts. represent, on a label on a container of adding a new part 311 to Subchapter C If any part of this rule is stayed or processed used oil, that such oil is to read as follows: held invalid, the rest of it will remain substantially equivalent to new oil for in force. use as engine oil unless the PART 311ÐLABELING STANDARDS manufacturer has based such FOR RECYCLED OIL CONTAINERS § 311.3 Preemption. No law, regulation, or order of any representation on the manufacturer’s Sec. State or political subdivision thereof determination that the processed used 311.1 Definitions. may apply, or remain applicable, to any oil is substantially equivalent to new oil 311.2 Stayed or invalid parts. for use as engine oil in accordance with 311.3 Preemption. container of recycled oil, if such law, regulation, or order requires any the NIST test procedures prescribed 311.4 Testing. under § 311.4 of this Part. Violations 311.5 Labeling. container of recycled oil, which 311.6 Prohibited acts. container bears a label in accordance will be subject to enforcement through Authority: 42 U.S.C. 6363(d) with the terms of § 311.5 of this Part, to civil penalties, imprisonment, and/or bear any label with respect to the injunctive relief in accordance with the § 311.1 Definitions. comparative characteristics of such enforcement provisions of Section 6395 As used in this Part: recycled oil with new oil that is not of the Energy Policy and Conservation (a) Manufacturer means any person identical to that permitted by § 311.5 of Act (42 U.S.C. 6395). who re-refines or otherwise processes this Part. By direction of the Commission. used oil to remove physical or chemical impurities acquired through use or who § 311.4 Testing. Donald S. Clark, blends such re-refined or otherwise To determine the substantial Secretary. processed used oil with new oil or equivalency of processed used oil with [FR Doc. 95–21447 Filed 8–25–95; 8:45 am] additives. new oil for use as engine oil, BILLING CODE 6750±01±M federal register August 28,1995 Monday August 14,1995 Presidential DeterminationNo.95±36of August 10,1995 Presidential DeterminationNo.95±35of August 3,1995 Presidential DeterminationNo.95±34of The President Part XI 44719 44721 Federal Register Presidential Documents Vol. 60, No. 166 Monday, August 28, 1995 Title 3— Presidential Determination No. 95–34 of August 3, 1995 The President Determination To Authorize the Furnishing of Emergency Military Assistance to the United Nations for Purposes of Supporting the Rapid Reaction Force in Bosnia Under Sec- tion 506(a)(1) of the Foreign Assistance Act Memorandum for the Secretary of State [and] the Secretary of Defense Pursuant to the authority vested in me by section 506(a)(1) of the Foreign Assistance Act of 1961, as amended, 22 U.S.C. 2318(a)(1) (the ‘‘Act’’), I hereby determine that: (1) an unforeseen emergency exists, which requires immediate military assistance to an international organization; and (2) the emergency requirement cannot be met under the authority of the Arms Export Control Act or any other law except section 506 of the Act. Therefore, I hereby authorize the furnishing of up to $17,000,000 in defense articles and defense services from the Department of Defense to the United Nations for purposes of supporting the Rapid Reaction Force in Bosnia. The Secretary of State is authorized and directed to report this determination to the Congress and to arrange for its publication in the Federal Register. œ– THE WHITE HOUSE, Washington, August 3, 1995. [FR Doc. 95–21440 Filed 8–24–95; 4:24 pm] Billing code 4710–10–M Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Presidential Documents 44723 Presidential Documents Presidential Determination No. 95–35 of August 10, 1995 Presidential Determination Under Section 1542(f) of the Food, Agriculture, Conservation and Trade Act of 1990, as Amend- ed—Emerging Democracies Memorandum for the Secretary of State [and] the Secretary of Agriculture Pursuant to the authority vested in me by section 1542(f) of the Food, Agriculture, Conservation and Trade Act of 1990, as amended (7 U.S.C. 5622 note) (hereinafter ‘‘the Act’’), I hereby determine that the following countries are taking the steps set forth in section 1542(f) of the Act to qualify as emerging democracies for purposes of that section: Albania, Bangladesh, Belarus, Bosnia and Herzegovina, Bulgaria, Cambodia, Croatia, Czech Republic, Egypt, El Salvador, Estonia, the Former Yugoslav Republic of Macedonia, Ghana, Guatemala, Hungary, Jordan, Kazakhstan, Latvia, Lithuania, Morocco, Namibia, Nicaragua, Pakistan, Panama, the Phil- ippines, Poland, Romania, Russia, Slovak Republic, Slovenia, South Africa, Tanzania, Tunisia, Ukraine, Yemen, and Zimbabwe. In making this determination, I have considered the eligibility only of those countries for which programs are underway or currently contemplated by the Department of Agriculture. The Secretary of State is authorized and directed to publish this determina- tion in the Federal Register. œ– THE WHITE HOUSE, Washington, August 10, 1995. [FR Doc. 95–21441 Filed 8–24–95; 4:25 pm] Billing code 4710–10–M Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Presidential Documents 44725 Presidential Documents Presidential Determination No. 95–36 of August 14, 1995 Suspending Restrictions on U.S. Relations With the Palestine Liberation Organization Memorandum for the Secretary of State Pursuant to the authority vested in me by the Middle East Peace Facilitation Act of 1994, part E of title V, Foreign Relations Authorization Act, Fiscal Years 1994 and 1995, Public Law 103–236, as amended (‘‘the Act’’), I hereby: (1) certify that it is in the national interest to suspend the application of the following provisions under law until October 1, 1995: (A) Section 307 of the Foreign Assistance Act of 1961, as amended (22 U.S.C. 2227), as it applies with respect to the Palestine Liberation Organiza- tion or entities associated with it; (B) Section 114 of the Department of State Authorization Act, Fiscal Years 1984 and 1985 (22 U.S.C. 287e note), as it applies with respect to the Palestine Liberation Organization or entities associated with it; (C) Section 1003 of the Foreign Relations Authorization Act, Fiscal Years 1988 and 1989 (22 U.S.C. 2502); and (D) Section 37, Bretton Woods Agreement Act (22 U.S.C. 286w), as it applies to the granting to the Palestine Liberation Organization of observer status or other official status at any meeting sponsored by or associated with the International Monetary Fund. (2) certify that the Palestine Liberation Organization continues to abide by the commitments described in section 583(b)(4) of the Act. You are authorized and directed to transmit this determination to the Con- gress and to publish it in the Federal Register. œ– THE WHITE HOUSE, Washington, August 14, 1995. [FR Doc. 95–21442 Filed 8–24–95; 4:26 pm] Billing code 4710–10–M i Reader Aids Federal Register Vol. 60, No. 166 Monday, August 28, 1995 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±523±5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Public inspection announcement line 523±5215 the revision date of each title. 404...... 40055 Laws 3 CFR 718...... 44255 Proclamations: Public Laws Update (numbers, dates, etc.) 523±6641 792...... 43705 6814...... 40451 Presidential Documents 6815...... 40736 800...... 39242 Executive orders and proclamations 523±5227 6816...... 43345 802...... 42429 6817...... 43703 905...... 40056 The United States Government Manual 915...... 42769 Executive Orders: 523±5227 July 9, 1910 (Revoked 916...... 43350 917...... 43350 Other Services in part by PLO 922...... 39104 Electronic and on-line services (voice) 523±4534 7153) ...... 42067 12924 (See Notice of 923...... 39104 Privacy Act Compilation 523±3187 August 15)...... 42767 924...... 39104 523±5229 TDD for the hearing impaired 12967...... 39623 927...... 42771 12968...... 40245 928...... 43351 ELECTRONIC BULLETIN BOARD 12969...... 40989 929...... 40745 Administrative Orders: 931...... 40058 Free Electronic Bulletin Board service for Public Law numbers, 932...... 42772 Memorandums: Federal Register finding aids, and list of documents on public 944...... 42772 August 8, 1995 ...... 41791 inspection. 202±275±0920 948...... 39105, 40259 August 10, 1995 ...... 42023 FAX-ON-DEMAND 959...... 40747, 42774 Notices: 981...... 40059, 42776 August 15, 1995 ...... 42767 You may access our Fax-On-Demand service. You only need a fax 982...... 40061 machine and there is no charge for the service except for long Presidential Determinations: 984...... 40063 distance telephone charges the user may incur. The list of No. 95±32 of July 28, 989...... 39837 documents on public inspection and the daily Federal Register’s 1995 ...... 40255 993...... 39107 table of contents are available using this service. The document No. 95±33 of July 31, 997...... 43353 numbers are 7050-Public Inspection list and 7051-Table of 1995 ...... 40257 1004...... 43953 Contents list. The public inspection list will be updated No. 95±34 of August 3, 1126...... 40260 immediately for documents filed on an emergency basis. 1995 ...... 44721 1413...... 43001, 44255 No. 95±35 of August NOTE: YOU WILL ONLY GET A LISTING OF DOCUMENTS ON 1414...... 44255 10, 1995 ...... 44723 FILE AND NOT THE ACTUAL DOCUMENT. Documents on 1415...... 44255 No. 95±36 of August public inspection may be viewed and copied in our office located 1416...... 44255 14, 1995 ...... 44725 at 800 North Capitol Street, N.W., Suite 700. The Fax-On-Demand 1421...... 43001 telephone number is: 301±713±6905 4 CFR 3015...... 44122 21...... 40737 3019...... 44122 FEDERAL REGISTER PAGES AND DATES, AUGUST Proposed Rules: 5 CFR 17...... 43566 39101±39240...... 1 316...... 39101 58...... 40115 39241±39624...... 2 351...... 44253 273...... 40311 39625±39834...... 3 430...... 43936 319 ...... 39888, 39889, 42814 39835±40052...... 4 432...... 43936 340...... 43567 40053±40258...... 7 451...... 43936 352...... 42814 353...... 42472 40259±40452...... 8 531...... 43936 354...... 42472 40453±40736...... 9 532...... 40744 581...... 42425 920...... 44282 40737±40992...... 10 1201 ...... 40744, 43001, 44254 987...... 40116 40993±41792...... 11 2640...... 44706 1005...... 43986 41793±42024...... 14 Proposed Rules: 1007...... 42815 42025±42424...... 15 315...... 43724 1011...... 43986 42425±42766...... 16 2421...... 39878 1030...... 41833 42767±43000...... 17 2422...... 39878 1040...... 43066 43001±43346...... 18 1046...... 43986, 43994 43347±43512...... 21 7 CFR 1065...... 41833 43513±43704...... 22 51...... 39241 1068...... 41833 43705±43952...... 23 272...... 43347, 43513 1076...... 41833 43953±44252...... 24 273...... 43347, 43513 1079...... 41833 1280...... 40313 44253±44414...... 25 301 ...... 39101, 39835, 40053, 40993, 44415 1924...... 44283 44415±44726...... 28 319...... 39101 1942...... 44283 400...... 40054, 40055 1948...... 44283 401...... 40055 1980...... 44283 402...... 40055 3403...... 42990 ii Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Reader Aids 8 CFR 6...... 39226 298...... 43521 19 CFR 103...... 40064 208...... 39226, 39490 300...... 43521 19...... 42431 208...... 44260 219...... 44144 313...... 43521 101...... 41804 212...... 40064, 44260 225...... 39226 324...... 43521 122...... 41804 214...... 44260 325...... 39226, 39490 325...... 43521 132...... 39108 217...... 40064 327...... 42680, 42741 372...... 43521 191...... 40995 235...... 40064 565...... 39226 379...... 43521 236...... 44260 567...... 39226, 42025 398...... 43521 20 CFR 611...... 42029 242...... 43954, 44260 399...... 43521 335...... 40073 618...... 42029 245...... 44260 Proposed Rules: 404...... 42431, 43709 620...... 42029 248...... 44260 Ch. I...... 43726, 44142 422...... 42431 934...... 42779 264...... 40064 1...... 41160 Proposed Rules: Proposed Rules: 274a...... 44260 25...... 44387 230...... 42482, 43999 286...... 40064 3...... 39495 33...... 43727 208...... 39495 345...... 43300 299...... 43954, 44260 39 ...... 40118, 40782, 40783, 366...... 42818 220...... 43726 41030, 41868, 42479, 43089, 9 CFR 325...... 39495 367...... 42818 43413, 43415, 43417, 43728, 416...... 40542 77...... 44416 327...... 40776 43730, 43995, 44450 78...... 44416 500...... 44442 61...... 41160, 42764 21 CFR 117...... 43355 504...... 44442 63...... 42764 73...... 41805 160...... 39840 510...... 44442 65...... 42764 175...... 39645 161...... 39840 515...... 44442 71 ...... 39280, 39893, 39894, 176...... 39645 201...... 42777 529...... 44442 40020, 40227, 43420 177...... 39647, 40073 203...... 42777 533...... 44442 108...... 42764 178...... 39648, 43370 381...... 43356, 44396 543...... 44442 121...... 41992, 42764 310...... 42435 Proposed Rules: 545...... 44442 125...... 41992 510 ...... 39846, 40454, 40455 94...... 39890, 43409 552...... 44442 127...... 41992 520...... 39846, 40454 113...... 43573 556...... 44442 135...... 41992, 42764 522...... 39846 201...... 43411 562...... 44442 141...... 41160 529...... 40455 308...... 41029, 42816 563...... 44442 143...... 41160 524...... 39846 310...... 41029, 42816 563d...... 44442 145...... 41992 558...... 39846, 39847 318...... 41029, 42816 563g...... 44442 882...... 43967 320...... 41029, 42816 567...... 44442 15 CFR 1309...... 42436 325...... 41029, 42816 571...... 44442 902...... 39248 1310...... 42436 326...... 41029, 42816 583...... 44442 905...... 39249 327...... 41029, 42816 584...... 44442 Proposed Rules: Proposed Rules: 201...... 44182 381...... 41029, 42816 701...... 39273 801...... 40336 741...... 39274 208...... 44182 10 CFR 806...... 39128 314...... 44182 13 CFR 944...... 40540 601...... 44182 55...... 43358 990...... 39804, 43574 810...... 43002 120...... 42779 1301...... 43732 Proposed Rules: 122...... 42779, 42781 16 CFR 1303...... 43732 20...... 40117 Proposed Rules: 1304...... 43732 3...... 39640 1305...... 43732 30...... 40117 116...... 42817 14...... 42031 40...... 40117 310...... 43091, 43421 14 CFR 234...... 40262 341...... 43091, 43421 50...... 40117, 43726 237...... 40263 25...... 39625, 42029 801...... 41314 51...... 40117 242...... 40265 39 ...... 39243, 39245, 39627, 803...... 41314 52...... 43726 248...... 40267 39628, 39631, 39633, 39635, 804...... 41314 60...... 42079 252...... 40453 39637, 39842, 40748, 40750, 897...... 41314 70...... 40117 305...... 43367 40753, 40755, 40993, 41793, 898...... 44451 72...... 40117, 42079 310...... 43842 41795, 43359, 43361, 43362, 73...... 42079 800...... 40704 22 CFR 43364, 43517, 43519, 43707, 75...... 42079 803...... 40704 43963, 44417, 44419, 44421, 41...... 42034 100...... 43726 1117...... 41799 44423 213...... 40456 436...... 44286 1500...... 40785, 41801 490...... 40539 71 ...... 39247, 39638, 39639, Proposed Rules: 23 CFR 600...... 40323 40069, 41798, 41799, 42031, 42429, 42430, 42431, 43366 3...... 42481 635...... 44271 11 CFR 73...... 40994, 43708 311...... 44712 24 CFR 106...... 42429 95...... 43964 17 CFR 9002...... 42429 97 ...... 40070, 40071, 42781, 25...... 39236 9003...... 42429 42784, 43965 30...... 41802 26...... 39236 9004...... 42429 189...... 39614 200...... 39643 100...... 43322 9006...... 42429 200...... 43521 240...... 40994 202...... 39236 9007...... 42429 201...... 43521 Proposed Rules: 203...... 42754 9008...... 42429 203...... 43521 270...... 39574, 39592 206...... 42754 9032...... 42429 204...... 43521 274...... 39574 300...... 42012 9033...... 42429 206...... 43521 310...... 42012 18 CFR 9034...... 42429 215...... 43521 320...... 42012 9036...... 42429 232...... 43521 35...... 39251 330...... 42012 9037...... 42429 271...... 43521 284...... 39252 340...... 42012 9038...... 42429 272...... 43521 Proposed Rules: 350...... 42012 9039...... 42429 291...... 43521 35...... 43997 360...... 42012 294...... 43521 141...... 43998 370...... 42012 12 CFR 296...... 43521 284...... 39895 380...... 42012 3 ...... 39226, 39490, 43191 297...... 43521 388...... 43998 390...... 42012 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Reader Aids iii 395...... 42012 372...... 44277 43396, 43710, 43713, 43714, Proposed Rules: 586...... 42972 393...... 44277 44277, 44431 412...... 39304 888...... 42222, 42230 Proposed Rules: 60...... 43244 413...... 39304 1710...... 42436 220...... 39285 61...... 39263, 43396 424...... 39304 Proposed Rules: 63...... 43244 485...... 39304 982...... 43840 33 CFR 70 ...... 39862, 40101, 42045 489...... 39304 75...... 40295 888...... 42290 100 ...... 40096, 43976, 43978, 43 CFR 44424, 44428 80...... 40006 26 CFR 110...... 43372 81 ...... 39115, 39258, 39857, Public Land Orders: 7149...... 39655 1 ...... 39649, 40075, 40997, 117...... 40097, 43373 40297, 43017, 43020 7150...... 39655 42785, 43531, 44274 126...... 39788 82...... 40420 86 ...... 39264, 40474, 43880 7151...... 42792 20...... 43531, 43554 127...... 39788 7152...... 42792 25...... 43531 137...... 39849 93...... 40098 122...... 40230 7153...... 42067 31...... 39109 151...... 43374 7154...... 44435 40...... 40079 155...... 43374 124...... 40230 48...... 40079 165 ...... 40458, 41017, 41018, 131...... 44120 44 CFR 301...... 39652, 40086 42787, 42788, 42790, 43372, 136...... 39586, 44670 180 ...... 40498, 40500, 40503, 64...... 39123, 42462 602 ...... 40079, 40997, 43531, 44428, 44429, 44430 65...... 39865, 39867 42443, 42446, 42447, 42449, 43554 334...... 43378 67...... 39868 42450, 42453, 42456, 42458, Proposed Rules: Proposed Rules: 206...... 43740 43718 20...... 43574 1...... 39130 Proposed Rules: 1 ...... 39896, 39902, 40792, 117 ...... 39287, 40138, 42826, 185 ...... 40503, 42453, 42456, 42458, 42460 10...... 39694 40794, 40796, 42819, 43091 42827 67...... 39912 301...... 39903, 43091 165...... 40543 186...... 42460 183...... 40545 195...... 41813 45 CFR 258...... 40104 28 CFR 11...... 40505 261...... 41817 2 ...... 40092, 40094, 40270 34 CFR 1160...... 42464 271 ...... 41818, 42046, 43979 49...... 44279 76...... 41286 1355...... 40505 366...... 39216 272...... 44278 29 CFR 667...... 41286 712...... 39654 46 CFR 20...... 41016 668...... 42408 Proposed Rules: 30 ...... 39267, 40227, 41157 Ch. I...... 39668, 44290 1613...... 43371 Proposed Rules: 67...... 40238 1614...... 43371 98...... 44696 9...... 41870 150 ...... 39267, 40227, 41157 1910...... 40457 345...... 40688 51...... 39297, 43092 160...... 39268 1926...... 39254 371...... 42490 52 ...... 39298, 39907, 39910, 310...... 44438 1952...... 43969 39911, 40139, 40338, 40799, 387...... 42466, 43720 2200...... 41805 36 CFR 42130, 42491, 43092, 43099, 514...... 44436 43100, 43104, 43421, 43423, 2606...... 39848 7...... 39257 583...... 44436 43424, 43737, 44452 2609...... 39848 242...... 40569, 40461 Proposed Rules: 60...... 41870 2619...... 42037 1220...... 44634 5...... 39306 61...... 39299, 43424 2676...... 42037 1222...... 44634 10...... 39306 70...... 39911, 40140 Proposed Rules: 1228...... 44634 12...... 39306, 40145 80...... 40009 1910...... 39281 1234...... 44634 15...... 39306 81 ...... 39298, 39911, 40338, 2510...... 39208 1253...... 40416 16...... 40145, 43426 43104, 44452 2606...... 44158 32...... 43427 Proposed Rules: 85...... 43092 2615...... 41033 13...... 40798 144...... 44652 47 CFR 2616...... 44158 242...... 42085, 44000 146...... 44652 1 ...... 39268, 39656, 40712 2617...... 44158 1415...... 39905 148...... 43654 2...... 39657 2629...... 44158 37 CFR 180 ...... 39299, 39302, 40545, 15...... 40760 30 CFR 42494, 43738 26...... 40712 1...... 41018, 44120 185...... 39302 63...... 44280 901...... 42040 2...... 41018, 44120 194...... 39131 64...... 42068 925...... 43972 7...... 41018, 44120 258...... 40799 68...... 42068 946...... 40271 401...... 41811 260...... 41870 73 ...... 39127, 39659, 40105, 948...... 42437 Proposed Rules: 262...... 41870 40301, 40761, 41027, 42069, Proposed Rules: 1...... 41035, 42352 264...... 41870 43026, 43027, 43028, 43781, 206 ...... 40120, 40127, 43735 3...... 42352 265...... 41870 44439 250...... 41034, 42819 5...... 42352 268...... 43654 87...... 40227 260...... 43735 90...... 39660, 43720 38 CFR 270...... 41870 256...... 41034 271...... 41870, 43654 Proposed Rules: 931...... 43576 2...... 40756 300...... 41051, 43424 1...... 39134 944...... 43577 302...... 40042 21...... 43740 39 CFR 31 CFR 355...... 40042 25...... 43740 111...... 39111, 43005 372...... 39132, 44000 36...... 44296 0...... 42042 433...... 40145 61...... 39136 40 CFR 103...... 44144 438...... 40145 64...... 39136 515...... 39255 9 ...... 40474, 42791, 43244, 464...... 40145 69...... 39136, 44296 Proposed Rules: 43880 73 ...... 39141, 39142, 39143, 1...... 40797 51...... 40098, 40465 41 CFR 39308, 40146, 40812, 40813, 103 ...... 39665, 44146, 44151 52 ...... 39115, 39258, 39851, Ch. 114 ...... 39864 40814, 41870, 42130, 44003, 39855, 39857, 40101, 40285, 44004 32 CFR 40286, 40291, 40292, 40465, 42 CFR 95...... 43105 92...... 40277 40758, 42042, 43008, 43012, 409...... 39122 356...... 44277 43015, 43017, 43020, 43379, 411...... 41914 48 CFR 358...... 44277 43383, 43386, 43388, 43394, 484...... 39122 Ch. I ...... 42648 iv Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Reader Aids Ch. II ...... 40105 609...... 39661 2829...... 40108 20...... 43314, 43318 1...... 42649, 42664 610...... 39661 2830...... 40108 23...... 43405 2...... 42652 613...... 39661 2832...... 40108 100...... 40459, 40461 4...... 42649, 42652 616...... 39661 2833...... 40108 204...... 39248 5...... 42652 619...... 39661 2835...... 40108 210...... 39271 6...... 42652, 42664 625...... 39661 2845...... 40108 216...... 39271 14...... 42649, 42652 636...... 39661 2852...... 40108 217...... 42809 15 ...... 42649, 42652, 43721 637...... 39661 2870...... 40108 222...... 43721 17...... 42652 653...... 39661 Proposed Rules: 19...... 42652 939...... 39871 227...... 42809 31...... 43508 250...... 39271 25...... 42649, 42652 1516...... 43402 204...... 43756 31 ...... 42657, 42659, 42662 1552...... 43402 270...... 39271 209...... 40146 285...... 42469 36...... 42652 1801...... 40508 216...... 40146 301 ...... 39663, 40227, 43563 37...... 42659 1803...... 40508 223...... 43756 380...... 43062 42 ...... 42657, 42659, 42663 1804...... 40508 246...... 40146 50...... 42649 1805...... 40508 252...... 40146, 43756 604...... 39271 51...... 42652 1808...... 40508 1516...... 42828 625...... 40113 52 ...... 42649, 42652, 42657, 1809...... 40508 1552...... 42828 640...... 41828 42659, 42663 1810...... 40508 661 ...... 39991, 40302, 42469, 204...... 43191 1812...... 40508 49 CFR 43564, 43984 206...... 40106 1814...... 40508 10...... 43982 662...... 40303 207...... 40106 1815...... 40508 171...... 39608, 40030 663...... 39875 215...... 40106, 43191 1819...... 40508 671...... 40763 217...... 43191 1822...... 40508 172 ...... 39608, 39991, 40030 672 ...... 40304, 40763, 43494 219 ...... 40106, 41157, 43563 1825...... 40508 173...... 40030 227...... 41157 1827...... 40508 178...... 40030 673...... 42070 235...... 40107 1829...... 40508 192...... 41821, 43028 675 ...... 39877, 40304, 40763, 252...... 40106 1831...... 40508 390...... 40761, 44439 43494, 43984 501...... 40107, 42793 1833...... 40508 501...... 43028 676...... 40304, 40763 503...... 42793, 42801 1835...... 40508 571 ...... 41028, 42804, 43031 677...... 40763, 42470 504...... 42801 1837...... 40508 572...... 43031 Proposed Rules: 505...... 42793, 42801 1839...... 40508 575...... 39269 Ch. VI ...... 40340, 40815 506...... 42793 1846...... 40508 589...... 43031 17 ...... 39309, 39314, 39326, 507...... 42793, 42801 1849...... 40508 653...... 39618 39337, 40149, 40339, 40549, 510...... 42801 1850...... 40508 654...... 39618 42140 512...... 42801 1852...... 40508 800...... 40111 20...... 42960, 44463 513...... 42801 1853...... 40508 830...... 40111 23...... 39347 831...... 40111 514...... 42801, 44387 1870...... 40508 32...... 42668 1023...... 39874 515...... 42801 2801...... 40108 100...... 42085, 44000 519...... 39660, 42793 2802...... 40108 Proposed Rules: 227...... 43106 5...... 39919 523...... 42801 2804...... 40108 402...... 39921 107...... 43430 528...... 42801 2805...... 40108 625...... 42830 529...... 42801 2807...... 40108 229...... 44457 638...... 40150 532...... 42801 2808...... 40108 571 ...... 39308, 42496, 42830 642...... 39698 536...... 42801 2809...... 40108 575...... 42496 543...... 42801 2810...... 40108 1051...... 40548 646...... 40815 546...... 42801 2812...... 40108 1220...... 40548 649...... 40341 552...... 39660, 42793 2813...... 40108 1312...... 39143 650...... 40341 570...... 42793 2814...... 40108 651...... 40341 601...... 39661 2815...... 40108 50 CFR 663...... 39144 602...... 39661 2816...... 40108 2...... 40301 675...... 43579 605...... 39661 2817...... 40108 17...... 43721 683...... 43106 606...... 39661 2828...... 40108 18...... 42805 697...... 39700 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Reader Aids v CFR CHECKLIST Title Stock Number Price Revision Date 14 Parts: 1–59 ...... (869–026–00042–5) ...... 33.00 Jan. 1, 1995 This checklist, prepared by the Office of the Federal Register, is 60–139 ...... (869–026–00043–3) ...... 27.00 Jan. 1, 1995 published weekly. It is arranged in the order of CFR titles, stock 140–199 ...... (869–026–00044–1) ...... 13.00 Jan. 1, 1995 numbers, prices, and revision dates. 200–1199 ...... (869–026–00045–0) ...... 23.00 Jan. 1, 1995 An asterisk (*) precedes each entry that has been issued since last 1200–End ...... (869–026–00046–8) ...... 16.00 Jan. 1, 1995 week and which is now available for sale at the Government Printing 15 Parts: Office. 0–299 ...... (869–026–00047–6) ...... 15.00 Jan. 1, 1995 A checklist of current CFR volumes comprising a complete CFR set, 300–799 ...... (869–026–00048–4) ...... 26.00 Jan. 1, 1995 also appears in the latest issue of the LSA (List of CFR Sections 800–End ...... (869–026–00049–2) ...... 21.00 Jan. 1, 1995 Affected), which is revised monthly. 16 Parts: The annual rate for subscription to all revised volumes is $883.00 0–149 ...... (869–026–00050–6) ...... 7.00 Jan. 1, 1995 domestic, $220.75 additional for foreign mailing. 150–999 ...... (869–026–00051–4) ...... 19.00 Jan. 1, 1995 Mail orders to the Superintendent of Documents, Attn: New Orders, 1000–End ...... (869–026–00052–2) ...... 25.00 Jan. 1, 1995 P.O. Box 371954, Pittsburgh, PA 15250±7954. All orders must be accompanied by remittance (check, money order, GPO Deposit 17 Parts: Account, VISA, or Master Card). Charge orders may be telephoned 1–199 ...... (869–026–00054–9) ...... 20.00 Apr. 1, 1995 ...... to the GPO Order Desk, Monday through Friday, at (202) 512±1800 *200–239 (869–026–00055–7) 24.00 Apr. 1, 1995 ...... from 8:00 a.m. to 4:00 p.m. eastern time, or FAX your charge orders 240–End (869–026–00056–5) 30.00 Apr. 1, 1995 to (202) 512-2233. 18 Parts: Title Stock Number Price Revision Date 1–149 ...... (869–026–00057–3) ...... 16.00 Apr. 1, 1995 150–279 ...... (869–026–00058–1) ...... 13.00 Apr. 1, 1995 1, 2 (2 Reserved) ...... (869–026–00001–8) ...... $5.00 Jan. 1, 1995 280–399 ...... (869–026–00059–0) ...... 13.00 Apr. 1, 1995 3 (1994 Compilation 400–End ...... (869–026–00060–3) ...... 11.00 Apr. 1, 1995 and Parts 100 and 19 Parts: 1 101) ...... (869–026–00002–6) ...... 40.00 Jan. 1, 1995 1–140 ...... (869–026–00061–1) ...... 25.00 April 1, 1995 4 ...... (869–026–00003–4) ...... 5.50 Jan. 1, 1995 141–199 ...... (869–026–00062–0) ...... 21.00 9Apr. 1, 1995 200–End ...... (869–026–00063–8) ...... 12.00 Apr. 1, 1995 5 Parts: 1–699 ...... (869–026–00004–2) ...... 23.00 Jan. 1, 1995 20 Parts: 700–1199 ...... (869–026–00005–1) ...... 20.00 Jan. 1, 1995 1–399 ...... (869–026–00064–6) ...... 20.00 Apr. 1, 1995 1200–End, 6 (6 400–499 ...... (869–026–00065–4) ...... 34.00 Apr. 1, 1995 Reserved) ...... (869–026–00006–9) ...... 23.00 Jan. 1, 1995 500–End ...... (869–026–00066–2) ...... 34.00 Apr. 1, 1995 7 Parts: 21 Parts: 0–26 ...... (869–026–00007–7) ...... 21.00 Jan. 1, 1995 1–99 ...... (869–026–00067–1) ...... 16.00 Apr. 1, 1995 27–45 ...... (869–026–00008–5) ...... 14.00 Jan. 1, 1995 100–169 ...... (869–026–00068–9) ...... 21.00 Apr. 1, 1995 46–51 ...... (869–026–00009–3) ...... 21.00 Jan. 1, 1995 170–199 ...... (869–026–00068–7) ...... 22.00 Apr. 1, 1995 52 ...... (869–026–00010–7) ...... 30.00 Jan. 1, 1995 200–299 ...... (869–026–00070–1) ...... 7.00 Apr. 1, 1995 53–209 ...... (869–026–00011–5) ...... 25.00 Jan. 1, 1995 300–499 ...... (869–026–00071–9) ...... 39.00 Apr. 1, 1995 210–299 ...... (869–026–00012–3) ...... 34.00 Jan. 1, 1995 500–599 ...... (869–026–00072–7) ...... 22.00 Apr. 1, 1995 300–399 ...... (869–026–00013–1) ...... 16.00 Jan. 1, 1995 600–799 ...... (869–026–00073–5) ...... 9.50 Apr. 1, 1995 400–699 ...... (869–026–00014–0) ...... 21.00 Jan. 1, 1995 800–1299 ...... (869–026–00074–3) ...... 23.00 Apr. 1, 1995 700–899 ...... (869–026–00015–8) ...... 23.00 Jan. 1, 1995 1300–End ...... (869–026–00075–1) ...... 13.00 Apr. 1, 1995 900–999 ...... (869–026–00016–6) ...... 32.00 Jan. 1, 1995 1000–1059 ...... (869–026–00017–4) ...... 23.00 Jan. 1, 1995 22 Parts: 1060–1119 ...... (869–026–00018–2) ...... 15.00 Jan. 1, 1995 1–299 ...... (869–026–00076–0) ...... 33.00 Apr. 1, 1995 1120–1199 ...... (869–026–00019–1) ...... 12.00 Jan. 1, 1995 300–End ...... (869–026–00077–8) ...... 24.00 Apr. 1, 1995 1200–1499 ...... (869–026–00020–4) ...... 32.00 Jan. 1, 1995 23 ...... (869–026–00078–6) ...... 22.00 Apr. 1, 1995 1500–1899 ...... (869–026–00021–2) ...... 35.00 Jan. 1, 1995 24 Parts: 1900–1939 ...... (869–026–00022–1) ...... 16.00 Jan. 1, 1995 ...... 1940–1949 ...... (869–026–00023–9) ...... 30.00 Jan. 1, 1995 0–199 (869–026–00079–4) 40.00 Apr. 1, 1995 1950–1999 ...... (869–026–00024–7) ...... 40.00 Jan. 1, 1995 *200–219 ...... (869–026–00080–8) ...... 19.00 Apr. 1, 1995 2000–End ...... (869–026–00025–5) ...... 14.00 Jan. 1, 1995 220–499 ...... (869–026–00081–6) ...... 23.00 Apr. 1, 1995 500–699 ...... (869–026–00082–4) ...... 20.00 Apr. 1, 1995 8 ...... (869–026–00026–3) ...... 23.00 Jan. 1, 1995 700–899 ...... (869–026–00083–2) ...... 24.00 Apr. 1, 1995 9 Parts: 900–1699 ...... (869–026–00084–1) ...... 24.00 Apr. 1, 1995 1–199 ...... (869–026–00027–1) ...... 30.00 Jan. 1, 1995 1700–End ...... (869–026–00085–9) ...... 17.00 Apr. 1, 1995 200–End ...... (869–026–00028–0) ...... 23.00 Jan. 1, 1995 25 ...... (869–026–00086–7) ...... 32.00 Apr. 1, 1995 10 Parts: 26 Parts: 0–50 ...... (869–026–00029–8) ...... 30.00 Jan. 1, 1995 §§ 1.0-1–1.60 ...... (869–026–00087–5) ...... 21.00 Apr. 1, 1995 51–199 ...... (869–026–00030–1) ...... 23.00 Jan. 1, 1995 §§ 1.61–1.169 ...... (869–026–00088–3) ...... 34.00 Apr. 1, 1995 200–399 ...... (869–026–00031–0) ...... 15.00 6Jan. 1, 1993 §§ 1.170–1.300 ...... (869–026–00089–1) ...... 24.00 Apr. 1, 1995 400–499 ...... (869–026–00032–8) ...... 21.00 Jan. 1, 1995 §§ 1.301–1.400 ...... (869–026–00090–5) ...... 17.00 Apr. 1, 1995 500–End ...... (869–026–00033–6) ...... 39.00 Jan. 1, 1995 §§ 1.401–1.440 ...... (869–026–00091–3) ...... 30.00 Apr. 1, 1995 11 ...... (869–026–00034–4) ...... 14.00 Jan. 1, 1995 §§ 1.441-1.500 ...... (869-026-00092-1) ...... 22.00 Apr. 1, 1995 §§ 1.501–1.640 ...... (869–026–00093–0) ...... 21.00 Apr. 1, 1995 12 Parts: *§§ 1.641–1.850 ...... (869–026–00094–8) ...... 25.00 Apr. 1, 1995 1–199 ...... (869–026–00035–2) ...... 12.00 Jan. 1, 1995 §§ 1.851–1.907 ...... (869–026–00095–6) ...... 26.00 Apr. 1, 1995 200–219 ...... (869–026–00036–1) ...... 16.00 Jan. 1, 1995 §§ 1.908–1.1000 ...... (869–026–00096–4) ...... 27.00 Apr. 1, 1995 220–299 ...... (869–026–00037–9) ...... 28.00 Jan. 1, 1995 §§ 1.1001–1.1400 ...... (869–026–00097–2) ...... 25.00 Apr. 1, 1995 300–499 ...... (869–026–00038–7) ...... 23.00 Jan. 1, 1995 §§ 1.1401–End ...... (869–026–00098–1) ...... 33.00 Apr. 1, 1995 500–599 ...... (869–026–00039–5) ...... 19.00 Jan. 1, 1995 2–29 ...... (869–026–00099–9) ...... 25.00 Apr. 1, 1995 ...... 600–End (869–026–00040–9) 35.00 Jan. 1, 1995 30–39 ...... (869–026–00100–6) ...... 18.00 Apr. 1, 1995 13 ...... (869–026–00041–7) ...... 32.00 Jan. 1, 1995 40–49 ...... (869–026–000101–4) .... 14.00 Apr. 1, 1995 vi Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Reader Aids Title Stock Number Price Revision Date Title Stock Number Price Revision Date 50–299 ...... (869–026–00102–2) ...... 14.00 Apr. 1, 1995 400–424 ...... (869–022–00152–3) ...... 27.00 July 1, 1994 300–499 ...... (869–026–00103–1) ...... 24.00 Apr. 1, 1995 425–699 ...... (869–022–00153–1) ...... 30.00 July 1, 1994 500–599 ...... (869–026–00104–9) ...... 6.00 4 Apr. 1, 1990 700–789 ...... (869–022–00154–0) ...... 28.00 July 1, 1994 600–End ...... (869–026–00105–7) ...... 8.00 Apr. 1, 1995 790–End ...... (869–022–00155–8) ...... 27.00 July 1, 1994 27 Parts: 41 Chapters: 1–199 ...... (869–026–00106–5) ...... 37.00 Apr. 1, 1995 1, 1–1 to 1–10 ...... 13.00 3 July 1, 1984 200–End ...... (869–026–00107–3) ...... 13.00 8Apr. 1, 1994 1, 1–11 to Appendix, 2 (2 Reserved) ...... 13.00 3 July 1, 1984 3–6 ...... 14.00 3 July 1, 1984 28 Parts: ...... 7 ...... 6.00 3 July 1, 1984 *1-42 ...... (869–026–00108–1) ...... 27.00 July 1, 1995 8 ...... 4.50 3 July 1, 1984 43-end ...... (869-022-00106-0) ...... 21.00 July 1, 1994 9 ...... 13.00 3 July 1, 1984 29 Parts: 10–17 ...... 9.50 3 July 1, 1984 0–99 ...... (869–022–00107–8) ...... 21.00 July 1, 1994 18, Vol. I, Parts 1–5 ...... 13.00 3 July 1, 1984 100–499 ...... (869–022–00108–6) ...... 9.50 July 1, 1994 18, Vol. II, Parts 6–19 ...... 13.00 3 July 1, 1984 500–899 ...... (869–022–00109–4) ...... 35.00 July 1, 1994 18, Vol. III, Parts 20–52 ...... 13.00 3 July 1, 1984 900–1899 ...... (869–022–00110–8) ...... 17.00 July 1, 1994 19–100 ...... 13.00 3 July 1, 1984 1900–1910 (§§ 1901.1 to 1–100 ...... (869–022–00156–6) ...... 9.50 July 1, 1994 1910.999) ...... (869–022–00111–6) ...... 33.00 July 1, 1994 101 ...... (869–022–00157–4) ...... 29.00 July 1, 1994 1910 (§§ 1910.1000 to 102–200 ...... (869–022–00158–2) ...... 15.00 July 1, 1994 end) ...... (869–022–00112–4) ...... 21.00 July 1, 1994 201–End ...... (869–022–00159–1) ...... 13.00 July 1, 1994 1911–1925 ...... (869–022–00113–2) ...... 26.00 July 1, 1994 42 Parts: 1926 ...... (869–022–00114–1) ...... 33.00 July 1, 1994 1–399 ...... (869–022–00160–4) ...... 24.00 Oct. 1, 1994 1927–End ...... (869–022–00115–9) ...... 36.00 July 1, 1994 400–429 ...... (869–022–00161–2) ...... 26.00 Oct. 1, 1994 30 Parts: 430–End ...... (869–022–00162–1) ...... 36.00 Oct. 1, 1994 1–199 ...... (869–022–00116–7) ...... 27.00 July 1, 1994 43 Parts: 200–699 ...... (869–022–00117–5) ...... 19.00 July 1, 1994 1–999 ...... (869–022–00163–9) ...... 23.00 Oct. 1, 1994 700–End ...... (869–022–00118–3) ...... 27.00 July 1, 1994 1000–3999 ...... (869–022–00164–7) ...... 31.00 Oct. 1, 1994 31 Parts: 4000–End ...... (869–022–00165–5) ...... 14.00 Oct. 1, 1994 0–199 ...... (869–022–00119–1) ...... 18.00 July 1, 1994 44 ...... (869–022–00166–3) ...... 27.00 Oct. 1, 1994 200–End ...... (869–022–00120–5) ...... 30.00 July 1, 1994 45 Parts: 32 Parts: 2 1–199 ...... (869–022–00167–1) ...... 22.00 Oct. 1, 1994 1–39, Vol. I ...... 15.00 July 1, 1984 200–499 ...... (869–022–00168–0) ...... 15.00 Oct. 1, 1994 1–39, Vol. II ...... 19.00 2 July 1, 1984 2 500–1199 ...... (869–022–00169–8) ...... 32.00 Oct. 1, 1994 1–39, Vol. III ...... 18.00 July 1, 1984 1200–End ...... (869–022–00170–1) ...... 26.00 Oct. 1, 1994 1–190 ...... (869–022–00121–3) ...... 31.00 July 1, 1994 191–399 ...... (869–022–00122–1) ...... 36.00 July 1, 1994 46 Parts: 400–629 ...... (869–022–00123–0) ...... 26.00 July 1, 1994 1–40 ...... (869–022–00171–0) ...... 20.00 Oct. 1, 1994 630–699 ...... (869–026–00127–8) ...... 14.00 5 July 1, 1991 41–69 ...... (869–022–00172–8) ...... 16.00 Oct. 1, 1994 700–799 ...... (869–022–00125–6) ...... 21.00 July 1, 1994 70–89 ...... (869–022–00173–6) ...... 8.50 Oct. 1, 1994 800–End ...... (869–022–00126–4) ...... 22.00 July 1, 1994 90–139 ...... (869–022–00174–4) ...... 15.00 Oct. 1, 1994 140–155 ...... (869–022–00175–2) ...... 12.00 Oct. 1, 1994 33 Parts: 156–165 ...... (869–022–00176–1) ...... 17.00 7Oct. 1, 1993 1–124 ...... (869–022–00127–2) ...... 20.00 July 1, 1994 166–199 ...... (869–022–00177–9) ...... 17.00 Oct. 1, 1994 125–199 ...... (869–022–00128–1) ...... 26.00 July 1, 1994 200–499 ...... (869–022–00178–7) ...... 21.00 Oct. 1, 1994 200–End ...... (869–022–00129–9) ...... 24.00 July 1, 1994 500–End ...... (869–022–00179–5) ...... 15.00 Oct. 1, 1994 34 Parts: 47 Parts: 1–299 ...... (869–022–00130–2) ...... 28.00 July 1, 1994 0–19 ...... (869–022–00180–9) ...... 25.00 Oct. 1, 1994 300–399 ...... (869–022–00131–1) ...... 21.00 July 1, 1994 20–39 ...... (869–022–00181–7) ...... 20.00 Oct. 1, 1994 400–End ...... (869–022–00132–9) ...... 40.00 July 1, 1994 40–69 ...... (869–022–00182–5) ...... 14.00 Oct. 1, 1994 35 ...... (869–022–00133–7) ...... 12.00 July 1, 1994 70–79 ...... (869–022–00183–3) ...... 24.00 Oct. 1, 1994 80–End ...... (869–022–00184–1) ...... 26.00 Oct. 1, 1994 36 Parts: 1–199 ...... (869–022–00134–5) ...... 15.00 July 1, 1994 48 Chapters: 200–End ...... (869–022–00135–3) ...... 37.00 July 1, 1994 1 (Parts 1–51) ...... (869–022–00185–0) ...... 36.00 Oct. 1, 1994 1 (Parts 52–99) ...... (869–022–00186–8) ...... 23.00 Oct. 1, 1994 37 ...... (869–022–00136–1) ...... 20.00 July 1, 1994 2 (Parts 201–251) ...... (869–022–00187–6) ...... 16.00 Oct. 1, 1994 38 Parts: 2 (Parts 252–299) ...... (869–022–00188–4) ...... 13.00 Oct. 1, 1994 0–17 ...... (869–022–00137–0) ...... 30.00 July 1, 1994 3–6 ...... (869–022–00189–2) ...... 23.00 Oct. 1, 1994 18–End ...... (869–022–00138–8) ...... 29.00 July 1, 1994 7–14 ...... (869–022–00190–6) ...... 30.00 Oct. 1, 1994 39 ...... (869–022–00139–6) ...... 16.00 July 1, 1994 15–28 ...... (869–022–00191–4) ...... 32.00 Oct. 1, 1994 29–End ...... (869–022–00192–2) ...... 17.00 Oct. 1, 1994 40 Parts: 1–51 ...... (869–022–00140–0) ...... 39.00 July 1, 1994 49 Parts: 52 ...... (869–022–00141–8) ...... 39.00 July 1, 1994 1–99 ...... (869–022–00193–1) ...... 24.00 Oct. 1, 1994 53–59 ...... (869–022–00142–6) ...... 11.00 July 1, 1994 100–177 ...... (869–022–00194–9) ...... 30.00 Oct. 1, 1994 60 ...... (869-022-00143-4) ...... 36.00 July 1, 1994 178–199 ...... (869–022–00195–7) ...... 21.00 Oct. 1, 1994 61–80 ...... (869–022–00144–2) ...... 41.00 July 1, 1994 200–399 ...... (869–022–00196–5) ...... 30.00 Oct. 1, 1994 81–85 ...... (869–022–00145–1) ...... 23.00 July 1, 1994 400–999 ...... (869–022–00197–3) ...... 35.00 Oct. 1, 1994 86–99 ...... (869–022–00146–9) ...... 41.00 July 1, 1994 1000–1199 ...... (869–022–00198–1) ...... 19.00 Oct. 1, 1994 100–149 ...... (869–022–00147–7) ...... 39.00 July 1, 1994 1200–End ...... (869–022–00199–0) ...... 15.00 Oct. 1, 1994 150–189 ...... (869–022–00148–5) ...... 24.00 July 1, 1994 50 Parts: 190–259 ...... (869–022–00149–3) ...... 18.00 July 1, 1994 1–199 ...... (869–022–00200–7) ...... 25.00 Oct. 1, 1994 260–299 ...... (869–022–00150–7) ...... 36.00 July 1, 1994 200–599 ...... (869–022–00201–5) ...... 22.00 Oct. 1, 1994 300–399 ...... (869–022–00151–5) ...... 18.00 July 1, 1994 600–End ...... (869–022–00202–3) ...... 27.00 Oct. 1, 1994 Federal Register / Vol. 60, No. 166 / Monday, August 28, 1995 / Reader Aids vii Title Stock Number Price Revision Date Subscription (mailed as issued) ...... 264.00 1995 CFR Index and Findings Individual copies ...... 1.00 1995 Aids ...... (869–026–00053–1) ...... 36.00 Jan. 1, 1995 1 Because Title 3 is an annual compilation, this volume and all previous volumes should be retained as a permanent reference source. Complete 1995 CFR set ...... 883.00 1995 2 The July 1, 1985 edition of 32 CFR Parts 1–189 contains a note only for Parts 1–39 inclusive. For the full text of the Defense Acquisition Regulations Microfiche CFR Edition: in Parts 1–39, consult the three CFR volumes issued as of July 1, 1984, containing those parts. Complete set (one-time mailing) ...... 188.00 1992 3 The July 1, 1985 edition of 41 CFR Chapters 1–100 contains a note only Complete set (one-time mailing) ...... 223.00 1993 for Chapters 1 to 49 inclusive. For the full text of procurement regulations in Chapters 1 to 49, consult the eleven CFR volumes issued as of July 1, Complete set (one-time mailing) ...... 244.00 1994 1984 containing those chapters. 4 No amendments to this volume were promulgated during the period Apr. 1, 1990 to Mar. 31, 1995. The CFR volume issued April 1, 1990, should be retained. 5 No amendments to this volume were promulgated during the period July 1, 1991 to June 30, 1995. The CFR volume issued July 1, 1991, should be retained. 6 No amendments to this volume were promulgated during the period January 1, 1993 to December 31, 1994. The CFR volume issued January 1, 1993, should be retained. 7 No amendments to this volume were promulgated during the period October 1, 1993, to September 30, 1994. The CFR volume issued October 1, 1993, should be retained. 8 No amendments to this volume were promulgated during the period April 1, 1994 to March 31, 1995. The CFR volume issued April 1, 1994, should be retained. 9 Note: Title 19, CFR Parts 141-199, revised 4-1-95 volume is being republished to restore inadvertently omitted text.