4–6–01 Friday Vol. 66 No. 67 April 6, 2001 Pages 18185–18394
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1 II Federal Register / Vol. 66, No. 67 / Friday, April 6, 2001
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2 III
Contents Federal Register Vol. 66, No. 67
Friday, April 6, 2001
Agricultural Marketing Service Commerce Department NOTICES See International Trade Administration Agency information collection activities: See National Oceanic and Atmospheric Administration Proposed collection; comment request, 18226 Community Services Office Agriculture Department NOTICES See Agricultural Marketing Service Grants and cooperative agreements; availability, etc.: See Animal and Plant Health Inspection Service Family Violence Prevention and Services Discretionary Funds Program, 18371–18393 Animal and Plant Health Inspection Service RULES Corporation for National and Community Service Exportation and importation of animals and animal NOTICES products: Grants and cooperative agreements; availability, etc.: Rinderpest and foot-and-mouth disease; disease status AmeriCorps* programs— change— AmeriCorps State/National; Indian tribal applications, Great Britain and Northern Ireland; correction, 18357 18230
Army Department Defense Department See Engineers Corps See Army Department NOTICES See Engineers Corps Patent licenses; non-exclusive, exclusive, or partially exclusive: Drug Enforcement Administration Schlager Blast Utility Program, 18230 NOTICES Applications, hearings, determinations, etc.: Bonneville Power Administration Alexander Drug Co., Inc., 18299–18305 NOTICES Ansys Technologies, Inc., 18305 Environmental statements; notice of intent: B.I. Chemicals, Inc., 18305 Wallula Power Project, Walla Walla County, WA, 18236– Brooks, Barry H., M.D., 18305–18309 18237 Chirex Cauldron, 18309 Ganes Chemicals Inc., 18309–18310 Centers for Disease Control and Prevention Isotec, Inc., 18310 NOTICES Research Triangle Institute, 18256–18257 Agency information collection activities: Submission for OMB review; comment request, 18255– Education Department 18256 NOTICES Grants and cooperative agreements; availability, etc.: Children and Families Administration Indian education programs— See Community Services Office Professional Development Program, 18232–18234 NOTICES National Institute on Disability and Rehabilitation Agency information collection activities: Research— Proposed collection; comment request, 18256, 18310– Disability and Rehabilitation Research Projects and 18311 Centers Program, 18359–18363, 18365–18369 Special education and rehabilitative services: Civil Rights Commission Blind vending facilities under Randolph-Sheppard Act— NOTICES Arbitration panel decisions, 18234–18236 Meetings; State advisory committees: Alabama, 18226 Employment and Training Administration Wyoming, 18226–18227 NOTICES Meetings; Sunshine Act, 18227 Agency information collection activities: Proposed collection; comment request, 18313–18314 Coast Guard 18314–18315 RULES Drawbridge operations: Employment Standards Administration Connecticut, 18193–18194 NOTICES Regattas and marine parades: Minimum wages for Federal and federally-assisted San Diego Crew Classic, 18193 construction; general wage determination decisions, PROPOSED RULES 18311–18313 Drawbridge operations: New York, 18221–18223 Energy Department Regattas and marine parades: See Bonneville Power Administration Seattle Seafair Unlimited Hydroplane Race, 18219–18221 See Federal Energy Regulatory Commission
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Engineers Corps NOTICES NOTICES Airport noise compatibility program: Environmental statements; notice of intent: Port Columbus International Airport, OH, 18348–18349 St Johns Bayou and New Madrid Floodway Project, MO, Meetings: 18230–18231 Aging Transport Systems Rulemaking Advisory Tucson, AZ; Santa Cruz River, 18231–18232 Committee, 18349–18350 Environmental Protection Agency Federal Deposit Insurance Corporation RULES NOTICES Air quality implementation plans; approval and Meetings; Sunshine Act, 18254 promulgation; various States: Missouri, 18198–18200 Federal Energy Regulatory Commission Pesticides; tolerances in food, animal feeds, and raw NOTICES agricultural commodities: Electric rate and corporate regulation filings: Ethametsulfuron methyl, 18201–18207 Haleywest L.L.C. et al., 18239 PROPOSED RULES Applications, hearings, determinations, etc.: Air quality implementation plans; approval and California Public Utilities Commission et al., 18237– promulgation; various States: 18238 Missouri, 18223 Transwestern Pipeline Co., 18238–18239 NOTICES Agency information collection activities: Federal Railroad Administration Proposed collection; comment request, 18239–18242 NOTICES Submission for OMB review; comment request, 18242– Exemption petitions, etc.: 18243 Alternative fuel tank safety standard; special approval Environmental statements; availability, etc.: (American Public Transportation Association), 18350 Agency statements— Guilford Rail System, 18350–18351 Comment availability, 18243–18244 Wabtec Railway Electronics, 18351 Weekly receipts, 18243 Meetings: Environmental statements; notice of intent: Railroad Safety Advisory Committee, 18351–18353 Ocean-dredged material disposal sites— Traffic control systems; discontinuance or modification: Rhode Island Sound et al., RI and MA, 18244–18245 Union Pacific Railroad Co., 18353–18354 Grants and cooperative agreements; availability, etc.: Greenhouse gas emissions, State activities to quantify and Federal Reserve System reduce, 18245–18248 RULES Meetings: Extensions of credit by Federal Reserve banks (Regulation U.S. Government Representative to Commission for A): Environmental Cooperation— Discount rate change, 18185–18186 National and Governmental Advisory Committees, NOTICES 18248 Banks and bank holding companies: Pesticides; experimental use permits, etc.: Formations, acquisitions, and mergers, 18254 Monsanto Co., 18249–18250 Permissible nonbanking activities, 18254 Superfund; response and remedial actions, proposed Meetings; Sunshine Act, 18255 settlements, etc.: Southern Cross Site, MO, 18250 Financial Management Service Toxic and hazardous substances control: See Fiscal Service Test marketing exemption approvals, 18250–18252 Water pollution; discharge of pollutants (NPDES): Fiscal Service Gulf of Mexico OCS operations— NOTICES Eastern portion; oil and gas extraction category; general Surety companies acceptable on Federal bonds: permit; correction, 18253–18254 Great American Alliance Insurance Co., 18355–18356 Water pollution control: Great American Insurance Co. of New York, 18356 Clean Water Act— Class II administrative penalty assessments, 18252– Fish and Wildlife Service 18253 RULES Fish and wildlife restoration; Federal aid to States: Executive Office of the President Sport fish program; participation by District of Columbia See Trade Representative, Office of United States and U.S. insular territories and commonwealths, 18210–18213 Federal Aviation Administration PROPOSED RULES RULES Endangered and threatened species: Airworthiness standards: Critical habitat designations— Special conditions— Various plants from Lanai, HI; correction, 18223–18225 Ayres Corp. Model LM 200 Loadmaster airplane, 18186–18187 Food and Drug Administration Class E airspace, 18187 NOTICES PROPOSED RULES Reports and guidance documents; availability, etc.: Airworthiness standards: Hospitals, nursing homes, and other health care facilities; Special conditions— potentially fatal hazards of medical gas mixups, Gulfstream Model GV airplanes, 18214–18216 18257
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Reports and guidance documents; availabilty, etc: Justice Department Veterinary Medicinal Products, International Cooperation See Drug Enforcement Administration on Harmonisation of Technical Requirements for Registration— Labor Department Anthelmintics effectiveness; general and specific See Employment and Training Administration recommendations, 18257–18259 See Employment Standards Administration See Mine Safety and Health Administration Health and Human Services Department See Occupational Safety and Health Administration See Centers for Disease Control and Prevention See Pension and Welfare Benefits Administration See Children and Families Administration NOTICES See Community Services Office Agency information collection activities: See Food and Drug Administration Submission for OMB review; comment request, 18311 See Health Resources and Services Administration See Substance Abuse and Mental Health Services Land Management Bureau Administration NOTICES Environmental statements; notice of intent: Health Resources and Services Administration Douglas and Coos Counties, OR; natural gas pipeline NOTICES right-of-way; correction, 18357 Meetings: Primary Care Medicine and Dentistry Training Advisory Minerals Management Service Committee, 18259 NOTICES Agency information collection activities: Housing and Urban Development Department Proposed collection; comment request, 18294–18298 NOTICES Outer Continental Shelf operations: Agency information collection activities: Western and Central Gulf of Mexico— Proposed collection; comment request, 18262–18284 Oil and gas lease sales, 18298 Submission for OMB review; comment request, 18285 Grants and cooperative agreements; availability, etc.: Mine Safety and Health Administration Facilities to assist homeless— NOTICES Excess and surplus Federal property, 18285 Agency information collection activities: Reports and guidance documents; availability, etc.: Proposed collection; comment request, 18315 Lead-safe housing; transition assistance period extension to certain jurisdictions, 18285–18287 National Highway Traffic Safety Administration Public and Indian housing— RULES Quality Housing and Work Responsibility Act of 1998; Motor vehicle safety standards: implementation status; public housing and tenant- Occupant crash protection— based assistance, 18287–18294 Seat belt assemblies; pelvic restraint; reconsideration petitions denied, 18208–18210 Interior Department NOTICES See Fish and Wildlife Service Motor vehicle safety standards; exemption petitions, etc.: See Land Management Bureau Subaru of America, Inc., 18354–18355 See Minerals Management Service See Surface Mining Reclamation and Enforcement Office National Oceanic and Atmospheric Administration NOTICES Internal Revenue Service Coastal zone management programs and estuarine RULES sanctuaries: Income taxes: State programs— Long-term contracts; income accountability Intent to evaluate performance, 18229–18230 Correction, 18357, 18190–18191 Qualified transportation fringe benefits National Science Foundation Correction, 18190 NOTICES Income taxes, etc.: Meetings: Withholding of tax on certain U.S. source income paid to Advanced Networking Infrastructure Research Special foreign persons and related collection, deposit, Emphasis Panel, 18316 refunds, and credits, etc.; correction, 18187–18190 Biological Sciences Advisory Committee, 18316 Earth Sciences Proposal Review Panel, 18316 International Trade Administration Electrical and Communications Systems Special NOTICES Emphasis Panel, 18316–18317 Antidumping: Elementary, Secondary, and Informal Education Special Live processed blue mussels from— Emphasis Panel, 18317 Canada, 18227–18229 Environmental Research and Education Advisory Countervailing duties: Committee, 18317 Industrial phosphoric acid from— Experimental and Integrative Activities Special Emphasis Israel, 18229 Panel, 18317 Geosciences Special Emphasis Panel, 18317–18318 International Trade Commission Materials Research Special Emphasis Panel, 18318 NOTICES Methods, Cross-Directorate and Science and Society Meetings; Sunshine Act, 18299 Advisory Panel, 18318
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Neuroscience Advisory Panel, 18318–18319 Consumer and Consumer Supporter Technical Assistance Physics Special Emphasis Panel, 18319 Centers, 18260–18262
Nuclear Regulatory Commission Surface Mining Reclamation and Enforcement Office NOTICES PROPOSED RULES Applications, hearings, determinations, etc.: Permanent program and abandoned mine land reclamation Energy Department, 18319–18320 plan submissions: Exelon Generation Co., LLC, 18319–18321 Arkansas, 18216–18219 Portland General Electric Co., 18321 NOTICES Agency information collection activities: Nuclear Waste Technical Review Board Proposed collection; comment request, 18298–18299 NOTICES Meetings: Surface Transportation Board Yucca Mountain, NV, repository, 18321–18322 NOTICES Occupational Safety and Health Administration Railroad services abandonment: RULES Paducah & Louisville Railway, Inc., 18355 Safety and health standards: Cotton dust; occupational exposure; effective date, Trade Representative, Office of United States 18191–18192 NOTICES Intellectual property rights, countries denying; Office of United States Trade Representative identification, etc.: See Trade Representative, Office of United States Ukraine, 18346–18348
Pension and Welfare Benefits Administration Transportation Department NOTICES See Coast Guard Agency information collection activities: See Federal Aviation Administration Reporting and recordkeeping requirements, 18315–18316 See Federal Railroad Administration See National Highway Traffic Safety Administration Public Debt Bureau See Surface Transportation Board See Fiscal Service Public Health Service Treasury Department See Centers for Disease Control and Prevention See Fiscal Service See Food and Drug Administration See Internal Revenue Service See Health Resources and Services Administration RULES See Substance Abuse and Mental Health Services Privacy Act; implementation, 18192–18193 Administration Veterans Affairs Department Securities and Exchange Commission RULES NOTICES Adjudication; pensions, compensation, dependency, etc.: Agency information collection activities: Claims based on tobacco product effects, 18195–18198 Proposed collection; comment request, 18322 Signature by mark, 18194–18195 Investment Company Act of 1940: Deregistration applications— Pacific Innovations Trust et al., 18323–18324 Separate Parts In This Issue Exemption applications— Barr Rosenberg Series Trust et al., 18324–18326 Part II Shares substitution applications— Department of Education, 18359–18363 American General Life Insurance Co. et al., 18326– 18329 Part III Self-regulatory organizations; proposed rule changes: Department of Education, 18365–18369 American Stock Exchange LLC, 18330–18331 National Association of Securities Dealers, Inc., 18331– Part IV 18333 Department of Health and Human Services, Administration New York Stock Exchange, Inc., 18334–18346 for Children and Families 18371–18393 Substance Abuse and Mental Health Services Administration NOTICES Reader Aids Grants and cooperative agreements; availability, etc.: Consult the Reader Aids section at the end of this issue for American Indian/Alaskan Native Community Planning phone numbers, online resources, finding aids, reminders, Program, 18259–18260 and notice of recently enacted public laws.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
9 CFR 94...... 18357 12 CFR 201...... 18185 14 CFR 23...... 18186 71...... 18187 Proposed Rules: 25...... 18214 26 CFR 1 (4 documents) ...... 18187, 18190, 18357 29 CFR 1910...... 18191 30 CFR Proposed Rules: 904...... 18216 31 CFR 1...... 18192 33 CFR 100...... 18193 117...... 18193 Proposed Rules: 100...... 18219 117...... 18221 38 CFR 3 (2 documents) ...... 18194, 18195 40 CFR 52...... 18198 180...... 18201 Proposed Rules: 52...... 18223 49 CFR 571...... 18208 50 CFR 80...... 18210 Proposed Rules: 17...... 18223
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Rules and Regulations Federal Register Vol. 66, No. 67
Friday, April 6, 2001
This section of the FEDERAL REGISTER 4.5 percent, the Board acted on requests amendment because the Board for good contains regulatory documents having general submitted by the Boards of Directors of cause finds that delaying the change in applicability and legal effect, most of which the twelve Federal Reserve Banks. The the basic discount rate in order to allow are keyed to and codified in the Code of new rates were effective on the dates notice and public comment on the Federal Regulations, which is published under specified below. The 50-basis-point change is impracticable, unnecessary, 50 titles pursuant to 44 U.S.C. 1510. decrease in the discount rate was and contrary to the public interest in The Code of Federal Regulations is sold by associated with a similar decrease in the fostering price stability and sustainable the Superintendent of Documents. Prices of federal funds rate approved by the economic growth. new books are listed in the first FEDERAL Federal Open Market Committee The provisions of 5 U.S.C. 553(d) that REGISTER issue of each week. (FOMC) and announced at the same prescribe 30 days prior notice of the time. effective date of a rule have not been In a joint press release announcing followed because section 553(d) FEDERAL RESERVE SYSTEM these actions, the FOMC and the Board provides that such prior notice is not of Governors noted that persistent necessary whenever there is good cause 12 CFR Part 201 pressures on profit margins are for finding that such notice is contrary restraining investment spending and, [Regulation A] to the public interest. As previously through declines in equity wealth, stated, the Board determined that Extensions of Credit by Federal consumption. The associated backup in delaying the changes in the basic Reserve Banks; Change in Discount inventories has induced a rapid discount rate is contrary to the public Rate response in manufacturing output and, with spending having firmed a bit since interest. AGENCY: Board of Governors of the last year, inventory adjustment appears List of Subjects in 12 CFR Part 201 Federal Reserve System. to be well underway. ACTION: Final rule. Although current developments do Banks, banking, Credit, Federal not appear to have materially Reserve System. SUMMARY: The Board of Governors has diminished the prospects for long-term For the reasons set out in the amended its Regulation A on Extensions growth in productivity, excess preamble, 12 CFR part 201 is amended of Credit by Federal Reserve Banks to productive capacity has emerged as set forth below: reflect its approval of a decrease in the recently. The possibility that this excess basic discount rate at each Federal could continue for some time and the PART 201—EXTENSIONS OF CREDIT Reserve Bank. The Board acted on potential for weakness in global BY FEDERAL RESERVE BANKS requests submitted by the Boards of economic conditions suggest substantial (REGULATION A) Directors of the twelve Federal Reserve risks that demand and production could Banks. remain soft. In these circumstances, 1. The authority citation for 12 CFR DATES: The amendments to part 201 when the economic situation could be part 201 continues to read as follows: (Regulation A) were effective March 20, evolving rapidly, the Federal Reserve 2001. The rate changes for adjustment will need to monitor developments Authority: 12 U.S.C. 343 et seq., 347a, credit were effective on the dates closely. 347b, 347c, 347d, 348 et seq., 357, 374, 374a and 461. specified in 12 CFR 201.51. The Committee continues to believe FOR FURTHER INFORMATION CONTACT: that against the background of its long- 2. Section 201.51 is revised to read as Jennifer J. Johnson, Secretary of the run goals of price stability and follows: Board, at (202) 452–3259, Board of sustainable economic growth and of the information currently available, the § 201.51 Adjustment credit for depository Governors of the Federal Reserve institutions. System, 20th and C Streets NW., risks are weighted mainly toward Washington, DC 20551. conditions that may generate economic The rates for adjustment credit weakness in the foreseeable future. SUPPLEMENTARY INFORMATION: Pursuant provided to depository institutions to the authority of sections 10(b), 13, 14, Regulatory Flexibility Act Certification under § 201.3(a) are: 19, et al., of the Federal Reserve Act, the Pursuant to section 605(b) of the Federal Re- Board has amended its Regulation A (12 Regulatory Flexibility Act (5 U.S.C. serve Bank Rate Effective CFR part 201) to incorporate changes in 605(b)), the Board certifies that the discount rates on Federal Reserve Bank change in the basic discount rate will Boston ...... 4.5 March 20, 2001. extensions of credit. The discount rates not have a significant adverse economic New York ...... 4.5 March 20, 2001. are the interest rates charged to impact on a substantial number of small Philadelphia ..... 4.5 March 20, 2001. depository institutions when they entities. The rule does not impose any Cleveland ...... 4.5 March 20, 2001. borrow from their district Reserve additional requirements on entities Richmond ...... 4.5 March 20, 2001. Banks. affected by the regulation. Atlanta ...... 4.5 March 20, 2001. The ‘‘basic discount rate’’ is a fixed Chicago ...... 4.5 March 20, 2001. rate charged by Reserve Banks for Administrative Procedure Act St. Louis ...... 4.5 March 21, 2001. adjustment credit and, at the Reserve The provisions of 5 U.S.C. 553(b) Minneapolis ..... 4.5 March 20, 2001. Kansas City ..... 4.5 March 20, 2001. Banks’ discretion, for extended credit relating to notice and public Dallas ...... 4.5 March 20, 2001. for up to 30 days. In decreasing the participation were not followed in San Francisco 4.5 March 20, 2001. basic discount rate from 5.0 percent to connection with the adoption of the
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By order of the Board of Governors of the provide adequate or appropriate safety Applicability Federal Reserve System, April 2, 2001. standards for cargo and baggage As discussed above, these special Jennifer J. Johnson, compartment fire protection in these conditions are applicable to the Model Secretary of the Board. versions of the LM 200. In order to LM 200 airplane. Should Ayres [FR Doc. 01–8449 Filed 4–5–01; 8:45 am] provide a level of safety that is Corporation apply at a later date for a BILLING CODE 6210–01–P equivalent to that afforded to occupants change to the type certificate to include of the passenger version, additional another model incorporating the same airworthiness standards, in the form of novel or unusual design feature, the DEPARTMENT OF TRANSPORTATION additional special conditions, are special conditions would apply to that necessary. model as well under the provisions of Federal Aviation Administration Type Certification Basis § 21.101(a)(1). 14 CFR Part 23 Under the provisions of 14 CFR part Conclusion 21, § 21.17, Ayres Corporation must This action affects only certain novel [Docket No. CE164; Special Conditions No. show that the Model LM 200 meets the or unusual design features on one model 23–106–SC] applicable provisions of 14 CFR part 23 of airplane. It is not a rule of general as amended by Amendments 23–1 Special Conditions: Ayres Corporation, applicability, and it affects only the through 23–53, effective April 30, 1998, Model LM 200, ‘‘Loadmaster’’ Cargo applicant who applied to the FAA for and any exemptions, equivalent level of and Baggage Compartment Fire approval of these features on the Protection safety findings and special conditions. If the Administrator finds that the airplane. AGENCY: Federal Aviation applicable airworthiness regulations List of Subjects in 14 CFR Part 23 (i.e., part 23) do not contain adequate or Administration (FAA), DOT. Aircraft, Aviation safety, Signs and appropriate safety standards for the ACTION: Final special conditions. symbols. Model LM 200 because of a novel or SUMMARY: These special conditions are unusual design feature, special Citation issued for the Ayres Corporation Model conditions are prescribed under the The authority citation for these LM 200 ‘‘Loadmaster’’ airplane. This provisions of § 21.16. special conditions is as follows: airplane will have a novel or unusual In addition to the applicable design feature(s) associated with all- airworthiness regulations and special Authority: 49 U.S.C. 106(g), 40113 and cargo and combination cargo/passenger conditions, the Model LM 200 must 44701; 14 CFR 21.16 and 21.17; and 14 CFR 11.28 and 11 49. (COMBI) interior configurations. The comply with the part 23 fuel vent and applicable airworthiness regulations do exhaust emission requirements of 14 The Special Conditions CFR part 34, and the part 23 noise not contain adequate or appropriate Accordingly, pursuant to the certification requirements of 14 CFR safety standards for this design feature. authority delegated to me by the part 36; and the FAA must issue a These special conditions contain the Administrator, the following special finding of regulatory adequacy pursuant additional safety standards that the conditions are issued as part of the type to § 611 of Public Law 92–574, the Administrator considers necessary to certification basis for the Ayres ‘‘Noise Control Act of 1972.’’ establish a level of safety equivalent to Corporation Model LM 200 airplane Special conditions, as appropriate, as that established by the existing applicable to the all-cargo and COMBI defined in § 11.19, are issued in airworthiness standards. interior configurations. EFFECTIVE DATE: May 7, 2001. accordance with § 11.38, and become part of the type certification basis in In addition to the part 23 regulations FOR FURTHER INFORMATION CONTACT: Les accordance with § 21.17(a)(2). required by the certification basis of the Taylor, Federal Aviation Special conditions are initially airplane, the following are also required Administration, Aircraft Certification applicable to the model for which they for cargo or baggage compartments: Service, Small Airplane Directorate, are issued. Should the type certificate (a) Flight tests must demonstrate ACE–111, 901 Locust, Room 301, for that model be amended later to means to exclude hazardous quantities Kansas City, Missouri 64106; 816–329– include any other model that of smoke, flames, or extinguishing agent 4134, fax 816–329–4090. incorporates the same novel or unusual from any compartment occupied by SUPPLEMENTARY INFORMATION: design feature, the special conditions crew or passengers. (b) Cargo compartments shall have Background would also apply to the other model under the provisions of § 21.101(a)(1). either fire or smoke detection On April 16, 1996, Ayres Corporation, provisions, or both, unless the Post Office Box 3090, Albany, Georgia Novel or Unusual Design Features compartment location is such that a fire 31708, applied for a commuter category, The Model LM 200 will incorporate can be easily detected by the pilots all-cargo type certificate for their new the following novel or unusual design while seated at their duty stations. The Model LM 200 airplane. In May 1997, features: an all-cargo and a COMBI cargo and baggage fire protection must they reapplied for passenger and COMBI interior configuration. be in accordance with § 23.855 as well interior configurations. The Model LM as the following: 200 airplane is a nine-passenger, twin- Discussion of Comments 1. The detection system must provide engine airplane. The LM 200 will have Notice of proposed special conditions a visual indication to the flight crew all-cargo and COMBI versions. No. 23–01–01–SC for the Ayres within one minute after the start of a The Model LM 200 all-cargo and Corporation Model LM 200 fire. COMBI airplanes are considered a novel ‘‘Loadmaster’’ airplanes was published 2. The system must be capable of design and were not considered when on January 22, 2001 (66 FR 6492). No detecting a fire at a temperature those airworthiness standards were comments were received, and the significantly below that at which the promulgated. The FAA has determined special conditions are adopted as structural integrity of the airplane is that the existing regulations do not proposed. substantially decreased.
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3. There must be means to allow the pressure altitude of 8,000 feet with a Register on January 31, 2001, (66 FR crew to check the functioning of each respiratory minute volume of 30 liters 8364). The FAA uses the direct final fire detector circuit while in flight. per minute BTPD (BTPD refers to body rulemaking procedure for a 4. The detection system effectiveness temperature conditions (that is 37 °C at noncontroversial rule where the FAA must be shown for all approved ambient pressure, dry)). If a demand believes that there will be no adverse operating configurations and conditions. oxygen system is used, a supply of 300 public comment. This direct final rule (c) The flight crew must have means liters of free oxygen at 70 °F. and 760 advised the public that no adverse to shut off the ventilating airflow to or mm. Hg. pressure is considered to be comments were anticipated, and that within the compartment, from the adequate to meet the 15-minute- unless a written adverse comment, or a pilot’s station, on an all-cargo duration requirement at the prescribed written notice of intent to submit such configuration. altitude and minute volume. If a an adverse comment, were received (d) Passenger and COMBI continuous flow protective breathing within the comment period, the configurations where the cargo or system is used (including a mask with regulation would become effective on baggage compartment are not accessible a standard rebreather bag), a flow rate of May 17, 2001. No adverse comments to the flightcrew, must have an 60 liters per minute at 8,000 feet (45 were received, and, thus, this action approved, built-in fire extinguishing liters per minute at sea level) and a confirms that this direct final rule will system. The built-in fire extinguishing supply of 600 liters of free oxygen at 70 be effective on that date. system shall be controllable from the °F and 760 mm. Hg. pressure is Issued in Fort Worth, TX, on March 28, pilot’s station. There must be means to considered to be adequate to meet the 2001. control ventilation and drafts within an 15-minute-duration requirement at the Robert N. Stevens, inaccessible cargo or baggage prescribed altitude and minute volume. Acting Manager, Air Traffic Division, compartment so the extinguishing agent 6. Be free from hazards in itself, in its Southwest Region. can control any fire that may start in the method of operation, and in its effect [FR Doc. 01–8440 Filed 4–5–01; 8:45 am] compartment. The built-in fire upon other components. BILLING CODE 4910–13–M extinguishing system must be installed 7. Have a means to allow the crew to so that no extinguishing agent likely to readily determine, during flight, the enter the personnel compartments will quantity of oxygen available in each DEPARTMENT OF THE TREASURY be hazardous to the occupants. The source of supply. discharge of the fire extinguishing Issued in Kansas City, Missouri on March Internal Revenue Service system must not cause structural 28, 2001. damage. The capacity of the Michael Gallagher, 26 CFR Part 1 extinguishing system must be adequate Manager, Small Airplane Directorate, Aircraft [TD 8881] for any fire likely to occur in the Certification Service. compartment where used. Consideration [FR Doc. 01–8513 Filed 4–5–01; 8:45 am] RIN 1545–AX53; 1545–AV27; 1545–AV41 must be given to the volume of the compartment and the ventilation rate. BILLING CODE 4910–13–P Revisions to Regulations Relating to (e) In addition to the fire Withholding of Tax on Certain U.S. extinguishers required by § 23.851, a Source Income Paid to Foreign DEPARTMENT OF TRANSPORTATION hand fire extinguisher must be readily Persons and Revisions of Information accessible for use in each cargo and Federal Aviation Administration Reporting Regulations; Correction baggage compartment that is accessible AGENCY: Internal Revenue Service (IRS), to crewmembers in flight. Hazardous 14 CFR Part 71 Treasury. quantities of smoke, flames or extinguishing agent must not enter any [Airspace Docket No. 2000–ASW–21] ACTION: Correction to final regulations. compartment occupied by crew or Revocation of Class E Airspace, Gage, SUMMARY: This document contains passengers, when the access to that OK corrections to final regulations (TD compartment is used. 8881) which were published in the (f) Protective breathing equipment AGENCY: Federal Aviation Federal Register on Monday, May 22, must be installed for crewmembers in Administration (FAA), DOT. 2000 (65 FR 32152). The final each crewmember compartment. ACTION: Direct final rule; confirmation of regulations relate to withholding of tax Protective breathing equipment must: effective date. on certain U.S. source income paid to 1. Be designed to protect the foreign persons and related flightcrew from smoke, carbon dioxide SUMMARY: This document confirms the requirements governing the collection, and other harmful gases at the pilot’s effective date of a direct final rule which deposit, refunds, and credits of station and while combating fires in revokes the Class E Airspace at Gage, withheld amounts under sections 1461 cargo or baggage compartments. OK. through 1463. 2. Have masks that cover the eyes, EFFECTIVE DATE: The direct final rule DATES: This correction is effective nose and mouth; or masks that cover the published at 66 FR 8364 is effective January 1, 2001. nose and mouth plus accessory 0901 UTC, May 17, 2001. equipment to cover the eyes. FOR FURTHER INFORMATION CONTACT: Carl 3. Allow the flightcrew to use the FOR FURTHER INFORMATION CONTACT: Cooper, Laurie Hatten-Boyd, or Kate radio equipment and to communicate Donald J. Day, Airspace Branch, Air Hwa (202) 622–3840 (not a toll-free with each other while at their assigned Traffic Division, Southwest Region, number). stations. Federal Aviation Administration, Fort SUPPLEMENTARY INFORMATION: 4. Not cause any appreciable adverse Worth, TX 76193–0520, telephone: 817– effect on vision and must allow 222–5593. Background corrective glasses to be worn. SUPPLEMENTARY INFORMATION: The FAA The final regulations that are subject 5. Supply protective oxygen of 15 published this direct final rule with a to these corrections are under section minutes duration per crewmember at a request for comments in the Federal 1441 of the Internal Revenue Code.
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Need for Correction sign the statement, that is attached to § 1.1441–1 Requirement for the deduction the documentary evidence stating it is and withholding of tax on payments to As published, final regulations (TD foreign persons. 8881) contain errors that may prove to the beneficial owner of the income. be misleading and are in need of * * * * * * * * * * (e) * * * clarification. 2. On page 32175, column 2, (5) * * * § 1.1441–1(b)(3)(vi), line 5, the language Correction of Publication (v) * * * ‘‘this section that has not agreed to be’’ (C) * * * Accordingly, the publication of final is corrected to read ‘‘this section that (2) Alternative procedure for U.S. regulations (TD 8881), which were the has provided a withholding certificate non-exempt recipients. If permitted subject of FR Doc. 00–11937, is as described in paragraph (e)(3)(v) of under its agreement with the IRS, a corrected as follows: this section on which it has not agreed qualified intermediary may, by mutual to be’’. § 1.1441–1 [Corrected] agreement with a withholding agent, 3. On page 32175, column 2, establish a single zero withholding rate 1. On page 32174, columns 1 and 2, § 1.1441–1(b)(3)(vii)(B), line 9, the pool that includes U.S. non-exempt § 1.1441(b)(3)(ii)(C) is corrected to read language ‘‘defined in § 1.6059–5(e)) to recipient account holders for whom the as follows: an offshore’’ is corrected to read qualified intermediary has provided § 1.1441–1 Requirement for the deduction ‘‘defined in § 1.6049–5(e)) to an Forms W–9 prior to the withholding and withholding of tax on payments to offshore’’. agent paying any reportable payments, foreign persons. 4. On page 32176, column 3, as defined in the qualified intermediary * * * * * § 1.1441–1(c)(14), line 3, the language agreement, and a separate withholding (b) * * * ‘‘intermediary that is not a qualified’’ is rate pool (subject to 31-percent (3) * * * corrected to read ‘‘intermediary that is withholding) that includes only U.S. (ii) * * * not a U.S. person and not a qualified’’. non-exempt recipient account holders (C) Documentary evidence furnished 5. On page 32179, column 1, for whom a qualified intermediary has for offshore account. If the withholding § 1.1441–1(e)(3)(iii)(D), line 7, the not provided Forms W–9 prior to the agent receives valid documentary language ‘‘(e)(3)(iii) or paragraph withholding agent paying any reportable evidence, as described in § 1.6049– (e)(3)(iv) of this’’ is corrected to read payments. If a qualified intermediary 5(c)(1) or (4), with respect to an offshore ‘‘(e)(3)(iii) or paragraph (e)(5)(iv) of chooses the alternative procedure of this account from an entity but the this’’. paragraph (e)(5)(v)(C)(2), the qualified documentary evidence does not 6. On page 32180, column 1, intermediary must provide the establish the entity’s classification as a § 1.1441–1(e)(3)(iv)(C)(1), line 8, the information required by its qualified corporation, trust, estate, or partnership, language ‘‘intermediary to the intermediary agreement to the the withholding agent may presume (in withholding agent’’ is corrected to read withholding agent no later than January the absence of actual knowledge ‘‘intermediary and provided to the 15 of the year following the year in otherwise) that the entity is the type of withholding agent’’. which the payments are paid. Failure to person enumerated under § 1.6049–4 7. On page 32180, column 2, provide such information will result in (c)(1)(ii)(B) through (Q) if it can be so § 1.1441–1(e)(3)(iv)(C)(2), line 5 from the application of penalties to the treated under any one of those the top of the column, the language qualified intermediary under sections paragraphs without the need to furnish ‘‘person), the withholding certificate’’ is 6721 and 6722, as well as any other applicable penalties, and may result in documentation. If the withholding agent corrected to read ‘‘person), the the termination of the qualified cannot treat a payee as a person withholding statement’’. described in § 1.6049–4(c)(1)(ii)(B) intermediary’s withholding agreement 8. On page 32180, column 3, through (Q), then the payee shall be with the IRS. A withholding agent shall § 1.1441–1(e)(3)(iv)(D)(2), line 3, the presumed to be a corporation unless the not be liable for tax, interest, or language ‘‘(e)(3)(iv)(B)(2) of this section withholding agent knows, or has reason penalties for failure to backup withhold allocating’’ is corrected to read to know, that the entity is not classified or report information under chapter 61 ‘‘(e)(3)(iv)(C)(2) of this section as a corporation for U.S. tax purposes. of the Internal Revenue Code due solely allocating’’. If a payee is, or is presumed to be, a to the errors or omissions of the corporation under this paragraph 9. On page 32180, column 3, qualified intermediary. If a qualified (b)(3)(ii)(C) and a foreign person under § 1.1441–1(e)(3)(iv)(D)(2), line 11, the intermediary fails to provide the paragraph (b)(3)(iii) of this section, a language ‘‘(e)(3)(iv)(B) of this section. allocation information required by this withholding agent shall not treat the Further, each’’ is corrected to read paragraph (e)(5)(v)(C)(2), with respect to payee as the beneficial owner of income ‘‘(e)(3)(iv)(C) of this section. Further, U.S. non-exempt recipients, the if the withholding agent knows, or has each’’. withholding agent shall report the reason to know, that the payee is not the 10. On page 32180, column 3, unallocated amount paid from the beneficial owner of the income. For this § 1.1441–1(e)(3)(iv)(D)(2), line 25, the withholding rate pool to an unknown purpose, a withholding agent shall have language ‘‘(e)(3)(iv)(B) of this section recipient, or otherwise in accordance reason to know that the payee is not a (other than’’ is corrected to read with the appropriate Form 1099 and the beneficial owner if the documentary ‘‘(e)(3)(iv)(C) of this section (other instructions accompanying the form. evidence indicates that the payee is a than’’. * * * * * bank, broker, intermediary, custodian, 11. On page 32181, column1, § 1.1441–5 [Corrected] or other agent, or is treated under § 1.1441–1(e)(3)(iv)(D)(3), line 6, the § 1.6049–4(c)(1)(ii)(B) through (Q) as language ‘‘payee (including U.S. non- 12a. On page 32193, column 2, such a person. A withholding agent exempt’’ is corrected to read ‘‘payee § 1.1441–5(e)(5), paragraph (e)(5)(ii) is may, however, treat such a person as a (including U.S. exempt’’. correctly designated as paragraph beneficial owner if the foreign person 12. On page 32186, columns 1 and 2, (e)(5)(ii). provides a statement, in writing and § 1.1441–1(e)(5)(v)(C)(2), is corrected to 13. On page 32193, column 3, signed by a person with authority to read as follows: § 1.1441–5(e)(5)(ii), the last 2 lines of
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the paragraph, the language ‘‘having to withhold’’ is corrected to read ‘‘Payment § 1.1441–1(b)(3)(i) through (ix) and identify any partner’s distributive share and returns of tax withheld’’. § 1.1441–5(d) and (e)(6) shall apply (by of the payment.’’ is corrected to read 18. On page 32202, column 1, applying the term payor instead of the ‘‘having to identify any beneficiary’s or § 1.1461–1(c)(1)(ii)(A)(1), line 2, the term withholding agent) to determine grantor’s distributive share of the language ‘‘paragraph (c)(6) of this the classification (e.g., individual, payment.’’. section,’’ is corrected to read ‘‘§ 1.1441– corporation, partnership, trust), status (i.e., a U.S. or a foreign person), and § 1.1441–7 [Corrected] 1(c)(6),’’. 19. On page 32202, column 3, other relevant characteristics (e.g., 14. On page 32198, columns 1 and 2, beneficial owner or intermediary) of a § 1.1461–1(c)(2)(i) is corrected by § 1.1441–7(b)(4)(i) is corrected to read as payee if a payment cannot be reliably adding the language ‘‘and’’ at the end of follows: associated with valid documentation the last line of paragraph (c)(2)(i)(L), under § 1.1441–1(b)(2)(vii) irrespective § 1.1441–7 General provisions relating to removing paragraph (c)(2)(i)(M), and of whether the payments are subject to withholding agents. correctly designating paragraph withholding under chapter 3 of the (c)(2)(i)(N) as paragraph (c)(2)(i)(M). * * * * * Internal Revenue Code. The provisions (b) * * * 20. On page 32203, column 1, (4) * * * (i) In general. A of § 1.1441–1(b)(3)(iii)(D) and (vii)(B) § 1.1461–1(c)(2)(ii)(H) is corrected to shall not apply, however, to payments withholding agent has reason to know read as follows: that a beneficial owner withholding to amounts that are not subject to certificate provided by a direct account § 1.1461–1 Payment and returns of tax withholding. The rules of § 1.1441– holder in connection with a payment of withheld. 1(b)(2)(vii) shall apply for purposes of an amount described in § 1.1441–6(c)(2) * * * * * determining when a payment can is unreliable or incorrect if the (c) * * * reliably be associated with withholding certificate is incomplete (2) * * * documentation, by applying the term with respect to any item on the (ii) * * * payor instead of the term withholding certificate that is relevant to the claims (H) Interest (including original issue agent. For this purpose, the made by the direct account holder, the discount) paid with respect to foreign- documentary evidence or statement withholding certificate contains any targeted registered obligations described described in paragraph (c)(4) of this information that is inconsistent with the in § 1.871–14(e)(2) to the extent the section can be treated as documentation direct account holder’s claim, the documentation requirements described with which a payment can be withholding agent has other account in § 1.871–14(e)(3) and (4) are required associated. information that is inconsistent with the to be satisfied (taking into account the * * * * * direct account holder’s claim, or the provisions of § 1.871–14(e)(4)(ii), if 24. On page 32208, column 3, withholding certificate lacks applicable; § 1.6049–5(d)(2)(ii), line 11, the information necessary to establish * * * * * language ‘‘described in § 1.1441–6(c)(2) entitlement to a reduced rate of that are’’ is corrected to read ‘‘described withholding. For purposes of § 1.6045–1 [Corrected] in § 1.1441–6(c)(2) (or credits an establishing a direct account holder’s 21. On page 32206, column 2, account with broker proceeds from status as a foreign person or resident of § 1.6045–1(g)(3)(iv), lines 6 and 7, the securities described in § 1.1441–6(c)(2)), a treaty country a withholding language ‘‘broker has actual knowledge that are’’. certificate shall be considered unreliable or reason to know (within the meaning 25. On page 32209, column 2, or inconsistent with an account holder’s of’’ is corrected to read ‘‘broker has § 1.6049–5(d)(3)(i), line 11 from the top claims only if it is not reliable under the actual knowledge (within the meaning of the column, the language ‘‘determine rules of paragraphs (b)(5) and (6) of this of’’. the payees status for’’ is corrected to section. A withholding agent that relies read ‘‘determine the payee’s status for’’. § 1.6049–5 [Corrected] on an agent to review and maintain a 26. On page 32209, column 2, withholding certificate is considered to 22. On page 32207, column 3, § 1.6049–5(d)(3)(ii), the last line in the know or have reason to know the facts § 1.6049–5(c)(4) introductory text, lines paragraph, the language ‘‘an exempt within the knowledge of the agent. 2 and 3, the language ‘‘modifies the recipient.’’ is corrected to read ‘‘an * * * * * provisions of this paragraph (c) for exempt recipient and has actual 15. On page 32198, column 3, payments to offshore’’ is corrected to knowledge of the amount allocable to § 1.1441–7(b)(5)(i)(A)(1), lines 4 and 5, read ‘‘modifies the provisions of such a person.’’. the language ‘‘address) that is no more paragraph (c)(1) of this section for 27. On page 32209, column 2, than three years old, the documentary payments to offshore’’. § 1.6049–5(d)(3)(iii)(A), line 13, the evidence supports’’ is corrected to read 23. On page 32208, columns 2 and 3, language ‘‘§ 1.1441–1(b)(3)(ii)(C) or ‘‘address) that has been provided within § 1.6049–5(d)(2)(i), is corrected to read (v)(A) shall be’’ is corrected to read the past three years, was valid at the as follows: ‘‘§ 1.1441–1(b)(3)(ii)(C), (v)(A), § 1.1441– time it was provided, the documentary 5(d) or (e), shall be’’. evidence supports’’. § 1.6049–5 Interest and original issue 28. On page 32209, column 3, 16. On page 32201, column 1, discount subject to reporting after December 31, 1982. § 1.6049–5(d)(3)(iii)(B), line 4 from the § 1.1441–7(b)(10)(ii), line 21, the top of the column, the language ‘‘under * * * * * language ‘‘withholding certificate § 1.1441–3(b)(ii)(C) or (v)(A) for’’ is (d) * * * relates. A’’ is corrected to read corrected to read ‘‘as an intermediary (2) * * * (i) In general. Except as ‘‘withholding certificate. A’’. for’’. otherwise provided in this paragraph § 1.1461–1 [Corrected] (d)(2)(i), for purposes of this section PART 1—[CORRECTED] 17. On page 32201, column 3, (and other sections of regulations under § 1.1461–1, in the section heading, the this chapter to which this paragraph 29. On page 32212, the table in language ‘‘Payment and returns of tax (d)(2) applies), the provisions of amendatory instruction Par. 18 is
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corrected by adding two entries in numerical order to read as follows:
Section Remove Add
******* 1.6045–1(g)(1)(i), first sentence ...... or presumed to be made to a foreign payee or presumed to be made to a foreign payee under § 1.6049–5(d)(2), (3), (4), or (5). under § 1.6049–5(d)(2) or (3).
******* 1.6049–5(b)(12), first sentence ...... or presumed to be made to a foreign payee or presumed to be made to a foreign payee under paragraph (d)(2), (3), (4), or (5) of this under paragraph (d)(2) or (3) of this section section.
*******
LaNita VanDyke, employee taxable year and that, for this DEPARTMENT OF THE TREASURY Acting Chief, Regulations Unit, Office of purpose, an employer may assume that Special Counsel (Modernization & Strategic the employee taxable year is the Internal Revenue Service Planning). calendar year. [FR Doc. 01–8136 Filed 4–5–01; 8:45 am] 26 CFR Part 1 Correction of Publication BILLING CODE 4830–01–P [TD 8929] Accordingly, the publication of the RIN 1545–AQ30 DEPARTMENT OF THE TREASURY final regulations (TD 8933), which were the subject of FR Doc. 01–294, is Accounting for Long-Term Contracts; Internal Revenue Service corrected as follows: Correction AGENCY: Internal Revenue Service (IRS), 26 CFR Part 1 § 1.132–9 [Corrected] Treasury. [TD 8933] 1. On page 2251, column 3, § 1.132– ACTION: Correction to final regulations. 9(b), paragraph (a) of A–25, last two RIN 1545–AX33 lines of the paragraph, the language SUMMARY: This document contains Qualified Transportation Fringe ‘‘section is applicable for taxable years corrections to final regulations (TD Benefits; Correction beginning after December 31, 2001.’’ is 8929) which were published in the corrected to read ‘‘section is applicable Federal Register on Thursday, January AGENCY: Internal Revenue Service (IRS), for employee taxable years beginning 11, 2001 (66 FR 2219). The final Treasury. after December 31, 2001. For this regulations provide guidance on ACTION: Correction to final regulations. purpose, an employer may assume that methods of accounting for long-term the employee taxable year is the contracts. SUMMARY: This document contains calendar year.’’. DATES: This correction is effective corrections to final regulations that were January 11, 2001. published in the Federal Register on 2. On page 2251, column 3, § 1.132– FOR FURTHER INFORMATION CONTACT: Thursday, January 11, 2001 (66 FR 9(b), paragraph (b) of A–25, last three Leo 2241), that ensure that transportation lines of the paragraph, the language F. Nolan II (202) 622–4960 (not a toll- benefits provided to employees are ‘‘transit passes are readily available) is free number). excludable from gross income. effective for taxable years beginning SUPPLEMENTARY INFORMATION: DATES: This correction is effective after December 31, 2003.’’ is corrected to Background read ‘‘transit passes are readily January 11, 2001. The final regulations that are subject available) is applicable for employee FOR FURTHER INFORMATION CONTACT: John to these corrections are under section Richards at (202) 622–6040 (not a toll- taxable years beginning after December 460 of the Internal Revenue Code. free number). 31, 2003. For this purpose, an employer Need for Correction SUPPLEMENTARY INFORMATION: may assume that the employee taxable year is the calendar year.’’. As published, final regulations (TD Background LaNita Van Dyke, 8929) contain errors that may prove to The final regulations that are the be misleading and are in need of Acting Chief, Regulations Unit, Office of clarification. subject of these corrections are under Special Counsel (Modernization & Strategic section 132(f) of the Internal Revenue Planning). Correction of Publication Code. [FR Doc. 01–8137 Filed 4–5–01; 8:45 am] Accordingly, the publication of final Need for Correction BILLING CODE 4830–01–U regulations (TD 8929), which were the As published, the final regulations subject of FR Doc. 01–6, is corrected as (TD 8933), do not address what taxable follows: year is used for purposes of the 1. On page 2222, column 1, in the applicability dates in the regulations. preamble under the paragraph heading These final regulations are being ‘‘Unique Items’’, first paragraph, last 3 corrected to clarify that the applicability lines of the paragraph, the language dates in the regulations are based on the ‘‘taxpayer must allocate all
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customization costs to the first unit Dust (29 CFR 1910.1043) to add cotton cotton dust standard. Other methods of manufactured under the contract.’’ is washed in a batch kier system to the achieving partial exemption had been corrected to read ‘‘taxpayer must other types of washed cotton that are added to the standard in 1985. allocate all customization costs partially exempt from the cotton dust Washing raw cotton following certain necessary to manufacture the first unit standard (65 FR 76563). That rule specific protocols substantially reduces manufactured under the contract to that followed the recommendation of the or eliminates the ability of that cotton to first unit.’’. Task Force for Byssinosis Prevention, cause byssinosis in textile workers which studied the health effects when the cotton is opened, spun or § 1.460–2 [Corrected] associated with the processing and use woven. See the December 7, 2000 2. On page 2230, column 2, § 1.460– of washed cotton. OSHA has concluded Federal Register document for the 2(b)(2)(ii), second line from the bottom that this amendment is not regulatory text of the amendment and a of the paragraph, the language ‘‘the item controversial. It created no new complete discussion. must be allocated to the first’’ is requirements for industry but did OSHA finds that this amendment is corrected to read ‘‘the first unit of the provide an additional protective option not controversial. The amendment is item must be allocated to that first’’. for employers to achieve partial supported by extensive scientific 3. On page 2230, column 2, § 1.460– exemption from the cotton dust research and is recommended by the 2(c)(1), fourth line from the bottom of standard. Task Force for Byssinosis Prevention, the column, the language ‘‘time required OSHA stated in the December 7, 2000 formerly known as the Industry/ to design and’’ is corrected to read ‘‘time Federal Register Notice that it would Government/Union Task Force for normally required to design and’’. withdraw the amendment if negative Washed Cotton Evaluation. It is also comments were received within 60 days supported by the National Cotton § 1.460–4 [Corrected] of publication of the notice. No Council, the American Textile 4. On page 2232, column 2, § 1.460– comments were received. Accordingly, Manufacturers Institute, the National 4(b)(3), line 9, the language ‘‘the OSHA is confirming the effective date of Institute for Occupational Safety and treatment of post-completion costs,’’ is the amendment, which will Health, the U.S. Department of corrected to read ‘‘the treatment of post- permanently amend the Cotton Dust Agriculture and the Union of completion-year costs,’’. Standard (29 CFR 1910.1043). Needletrades, Industrial and Textile 5. On page 2235, column 2, § 1.460– DATES: The amendment is effective Employees. The washed cotton issue was raised 4(g), lines 2 through 5, the language April 6, 2001. when OSHA reviewed the Cotton Dust ‘‘that uses the PCM, EPCM, CCM, ADDRESSES: In compliance with 28 Standard pursuant to the ‘‘Lookback PCCM, or elects the 10-percent method U.S.C. 2112(a), petitions for review of Review’’ requirements of Section 610 of or special AMTI method (or changes to this amendment should be sent to the the Regulatory Flexibility Act. OSHA another method of accounting with the Associate Solicitor for Occupational conducted this review in 1998 and 1999 Commissioner’s consent) must apply Safety and Health; Office of the Solicitor, U.S. Department of Labor, and issued a report in 2000. That review the’’ is corrected to read ‘‘that uses the involved requesting comments on the PCM, EPCM, CCM, or PCCM, or elects Room S–4004; 200 Constitution Avenue, NW., Washington, DC 20210. Cotton Dust Standard in the Federal the 10-percent method or special AMTI Register and holding public meetings. method (or changes to another method For additional copies of the amendment or this publication contact All comments received in the of accounting with the Commissioner’s ‘‘Lookback Review’’ on extending the consent) must apply the’’. OSHA, Office of Publications, Room N– 3101; 200 Constitution Avenue, NW., washed cotton exemption were LaNita VanDyke, Washington, DC 20210; telephone (202) supportive. OSHA finds that it is appropriate to Acting Chief, Regulations Unit, Office of 693–1883, Fax (202) 693–2448. issue this amendment by direct final Special Counsel (Modernization & Strategic FOR FURTHER INFORMATION CONTACT: Planning). rule. The amendment provides an Direct press inquiries to: Bonnie additional method for the textile [FR Doc. 01–8135 Filed 4–5–01; 8:45 am] Friedman, Director, Office of BILLING CODE 4830–01–P industry to achieve a partial exemption Information and Consumer Affairs, from the cotton dust standard but does OSHA, U.S. Department of Labor, Rm. so without in any way diminishing the N3637, 200 Constitution Avenue, NW., protections provided to workers. Textile DEPARTMENT OF LABOR Washington, DC 20210, telephone (202) employers may continue to comply with 693–1999, Fax (202) 693–1634. Direct the standard’s existing requirements if Occupational Safety and Health technical inquiries to: Dr. Steven Administration they do not find the batch kier method Bayard, Director of the Office of Risk of washing cotton more cost-effective Assessment, Occupational Safety and 29 CFR Part 1910 than compliance with the full standard Health Administration, U.S. Department or utilizing other permitted washing [Docket No. H–052G] of Labor, Room N3718, 200 Constitution methods. Avenue, NW., Washington, DC 20210, OSHA provided the public 60 days to RIN 1218–AB90 telephone (202) 693–2275. comment on the amendment and stated SUPPLEMENTARY INFORMATION: Occupational Exposure to Cotton Dust On that it would withdraw the rule if December 7, 2000, at 65 FR 76563, negative comments were received. No AGENCY: Occupational Safety and Health OSHA issued a direct final rule such comments were received. Administration (OSHA), Labor. amending paragraph (n) of 29 CFR OSHA also stated it would publish a ACTION: Direct final rule; confirmation of 1910.1043, the cotton dust standard. Federal Register document to either effective date. The amendment added one additional confirm the effective date or withdraw method of washing raw cotton, the the amendment. Because no comments SUMMARY: On December 7, 2000, OSHA batch kier method, to the washing have been received, OSHA is publishing issued a direct final rule amending its methods covered employers may use to this document to confirm April 6, 2001 occupational health standard for Cotton achieve partial exemption from the as the effective date of this amendment.
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This document has been reviewed and Disclosure Services received a of the Regulatory Flexibility Act (5 approved by the Department of Labor comment about the final rule which U.S.C. 601 et seq.) do not apply. pursuant to the Regulatory Review Plan contended that paragraph (h) of the final In accordance with the provisions of of January 20, 2001. rule did not effectively reflect that the the Paperwork Reduction Act of 1995 Authority: This document was prepared (k)(2) exemption attaches to civil as well (44 U.S.C. 3501 et seq.), the Department under the direction of R. Davis Layne, Acting as criminal investigatory materials and of the Treasury has determined that this Assistant Secretary of Labor for Occupational therefore, did not fully communicate the final rule will not impose new record- Safety and Health, 200 Constitution Avenue, reasons for which the (k)(2) exemption keeping, application, reporting, or other NW., Washington, DC 20210. has been claimed since 1975. The types of information collection This action is taken pursuant to sections 4, comments suggested that paragraph (h) requirements. 5, and 8 of the Occupational Safety and could be read to limit the availability of List of Subjects in 31 CFR Part 1 Health Act of 1970 (29 U.S.C. 653, 655, 657), the (k)(2) exemption to only those Section 4 of the Administrative Procedure records which pertain to a criminal Privacy. Act (5 U.S.C. 553), Secretary of Labor’s Order investigation, an arrest for criminal Part 1 Subpart C of title 31 of the Code No. 3–2000 (65 FR 50017, August 16, 2000) and 29 CFR part 1911. conduct, or law enforcement activities of Federal Regulations is amended as of a criminal investigator. We agree with follows: Signed at Washington, DC this 4th day of that assessment, and language is being April, 2001. added to paragraph (h) which will more PART 1—[AMENDED] R. Davis Layne, fully reflect the protection afforded Acting Assistant Secretary of Labor. 1. The authority citation for part 1 records relating to the enforcement of continues to read as follows: [FR Doc. 01–8648 Filed 4–5–01; 8:45 am] civil and administrative laws as BILLING CODE 4510–26–M permitted by the Act. The amendments Authority: 5 U.S.C. 301 and 31 U.S.C. 321. Subpart A also issued under 5 U.S.C. 552 as underscore the difference between the amended. Subpart C also issued under 5 protection of Privacy Act records U.S.C. 552a. DEPARTMENT OF THE TREASURY collected for the enforcement of 2. Section 1.36 is amended as follows: criminal laws by such Treasury bureaus a. Paragraphs (h)(1)(i) and (ii) are 31 CFR Part 1 as ATF and Secret Service pursuant to revised, Departmental Offices; Privacy Act of 5 U.S.C. 552a(j)(2), and the protection of b. Paragraph (h)(2) introductory text is 1974; Implementation Privacy Act records collected for non- amended by revising the second criminal law enforcement purposes by sentence; AGENCY: Department of the Treasury. the Comptroller of the Currency, Office c. Paragraphs (h)(2)(i)(A), (B), (C) and ACTION: Final rule. of Foreign Assets Control, or other (ii) are revised; Treasury offices as permitted by 5 d. Paragraph (h)(2)(iii) is amended by SUMMARY: The Department of the U.S.C. 552a(k)(2). revising the second sentence; Treasury is amending its Privacy Act These regulations are being published e. Paragraph (h)(2)(iv) is revised; exemption rules which were published as a final rule because the amendment f. Paragraph (h)(4) introductory text is on November 21, 2000, which does not impose any requirements on amended by revising the third sentence; consolidated the regulations issued any member of the public. This g. Paragraph (h)(6) introductory text is pursuant to 5 U.S.C. 552a(j) and (k) amendment is the most efficient means amended by revising the second exempting one or more systems of for the Treasury Department to sentence; and records established on behalf of each implement its internal requirements for h. Paragraph (h)(6)(iii) is revised. bureau by the Department. complying with the Privacy Act. The revisions to § 1.36 read as EFFECTIVE DATE: April 6, 2001. Accordingly, pursuant to the follows: ADDRESSES: Inquiries may be addressed administrative procedure provisions in § 1.36 Systems exempt in whole or in part to Department of the Treasury, 5 U.S.C. 553, the Department of the from provisions of 5 U.S.C. 522a and this Disclosure Services, Washington, DC Treasury finds good cause that prior part. 20220. notice and other public procedure with * * * * * FOR FURTHER INFORMATION CONTACT: Dale respect to this rule are impracticable (h) * * * Underwood, Deputy Assistant Director, and unnecessary and finds good cause (1) * * * Disclosure Services, (202) 622–0930. for making this rule effective on the date (i) The application of this provision SUPPLEMENTARY INFORMATION: On of publication in the Federal Register. would impair the ability of the November 21, 2000, the Department of In accordance with Executive Order Department and of law enforcement the Treasury published a final rule, at 12866, it has been determined that this agencies outside the Department of the 65 FR 69865, amending its regulations final rule is not a ‘‘significant regulatory Treasury to make effective use of issued pursuant to 5 U.S.C. 552a (j) and action’’ and, therefore, does not require information maintained by the (k). a Regulatory Impact Analysis. Department. Making accountings of As noted in the rule, the Privacy Act The regulation will not have a disclosures available to the subjects of of 1974 at subsection (k), authorizes the substantial direct effect on the States, on an investigation would alert them to the head of an agency to promulgate rules the relationship between the national fact that an agency is conducting an in accordance with the Administrative Government and the States, or on the investigation into their illegal activities Procedure Act to exempt any system of distribution of power and and could reveal the geographic location records within the agency from responsibilities among the various of the investigation, the nature and subsections (c)(3), (d), (e)(1), (e)(4)(G), levels of government. Therefore, it is purpose of that investigation, and the (H), and (I) and (f) of this section if the determined that this final rule does not dates on which that investigation was system of records is investigatory have federalism implications under active. Violators possessing such material compiled for law enforcement Executive Order 13132. knowledge would be able to take purposes, other than material within the Because no notice of proposed measures to avoid detection or scope of subsection (j)(2) of this section. rulemaking is required, the provisions apprehension by altering their
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operations, by transferring their illegal could compromise the Department’s of this section and will announce that activities to other geographical areas, or ability to complete or continue fact via Broadcast Notice to Mariners. by destroying or concealing evidence investigations or to provide useful FOR FURTHER INFORMATION CONTACT: that would form the basis for detection information to law enforcement Petty Officer Nicole Lavorgna, U.S. or apprehension. In the case of a agencies, since revealing sources for the Coast Guard MSO San Diego, San Diego, delinquent account, such release might information could: California; Telephone: (619) 683–6495. enable the subject of the investigation to * * * * * SUPPLEMENTARY INFORMATION: These dissipate assets before levy. (iii) Cause informers to refuse to give Special Local Regulations permit Coast (ii) Providing accountings to the full information to investigators for fear Guard control of vessel traffic in order subjects of investigations would alert of having their identities as sources to ensure the safety of spectator and them to the fact that the Department has disclosed. participant vessels. In accordance with information regarding their illegal * * * * * the regulations in 33 CFR 100.1101, no activities and could inform them of the persons or vessels shall block, anchor, general nature of that information. Dated: March 30, 2001. W. Earl Wright, Jr., or loiter in the regulated area; nor shall * * * * * any person or vessel transit through the (2) * * * The application of these Chief Management and Administrative Programs Officer. regulated area, or otherwise impeded provisions to the systems of records the transit of participant or official [FR Doc. 01–8511 Filed 4–5–01; 8:45 am] would compromise the Department’s patrol vessels in the regulated area, ability to utilize and provide useful BILLING CODE 4810–25–P unless cleared for such entry by or tactical and strategic information to law through an official patrol vessel acting enforcement agencies. on behalf of the Patrol Commander. (i) * * * DEPARTMENT OF TRANSPORTATION (A) discovering the facts that would Dated: March 29, 2001. form the basis for their detection or Coast Guard E.R. Riutta, apprehension; Vice Admiral, U.S. Coast Guard, Commander, (B) enabling them to destroy or alter 33 CFR Part 100 Eleventh Coast Guard District. evidence of illegal conduct that would [FR Doc. 01–8448 Filed 4–5–01; 8:45 am] form the basis for their detection or [CGD11–01–004] BILLING CODE 4910–15–M apprehension, and RIN 2115–AE46 (C) using knowledge that investigators had reason to believe that a violation of Special Local Regulations: San Diego DEPARTMENT OF TRANSPORTATION law was about to be committed, to delay Crew Classic Coast Guard the commission of the violation or commit it at a location that might not be AGENCY: Coast Guard, DOT. 33 CFR Part 117 under surveillance. ACTION: Notice of Implementation. (ii) Permitting access to either on- [CGD01–01–046] going or closed investigative files would SUMMARY: This document implements also reveal investigative techniques and 33 CFR 100.1101, Southern California Drawbridge Operation Regulations: procedures, the knowledge of which annual marine events, for the San Diego Shaw Cove, CT could enable individuals planning non- Crew Classic which will be held on AGENCY: Coast Guard, DOT. criminal acts to structure their April 7, 2001 and April 8, 2001. The operations so as to avoid detection or race will consist of eight oared shells, 60 ACTION: Notice of temporary deviation apprehension. feet long for club and intercollegiate from regulations. rowing competitions, with (iii) * * * Confidential sources and SUMMARY: The Commander, First Coast informers might refuse to provide approximately 3,000 participants. These regulations will be effective on Mission Guard District, has issued a temporary investigators with valuable information deviation from the drawbridge operating unless they believed that their identities Bay, that portion bounded by Enchanted Cove, Fiesta Island, Pacific Passage and regulations governing the operation of would not be revealed through the Amtrak Bridge, at mile 0.0, across disclosure of their names or the nature DeAnza Point. These Special Local Regulations are necessary to control the Shaw Cove at New London, of the information they supplied. * * * Connecticut. Under this deviation the (iv) Furthermore, providing access to vessel traffic in the regulated areas during the event to ensure the safety of bridge owner need not open the bridge records contained in the systems of for vessel traffic from 10 p.m. on April records could reveal the identities of participants and spectators. Pursuant to 33 CFR 100.1101(b)(3), 4, 2001 through 10 p.m. on April 6, undercover law enforcement officers or 2001. This action is necessary to other persons who compiled Commanding Officer, Coast Guard Activities San Diego, is designated facilitate necessary maintenance at the information regarding the individual’s bridge. illegal activities and thereby endanger Patrol Commander for this event; he has the physical safety of those undercover the authority to delegate this DATES: This deviation is effective April officers, persons, or their families by responsibility to any commissioned, 4, 2001, through April 6, 2001. exposing them to possible reprisals. warrant, or petty officer of the Coast FOR FURTHER INFORMATION CONTACT: (4) * * * The application of this Guard. Joseph Schmied, Project Officer, First provision to the system of records could EFFECTIVE DATES: 33 CFR 100.1101 is Coast Guard District, at (212) 668–7165. impair the Department’s ability to effective from 6 a.m. (PST) until 6 p.m. SUPPLEMENTARY INFORMATION: collect, utilize and disseminate valuable (PST) on April 7, 2001, and from 6 a.m. The Amtrak Bridge, at mile 0.0, across law enforcement information. (PDT) until 6 p.m. (PDT) on April 8, the Shaw Cove has a vertical clearance * * * * * 2001. If the event concludes prior to the of 3 feet at mean high water, and 6 feet (6) * * * The application of this scheduled termination date and/or time, at mean low water in the closed provision to the systems of records the Coast Guard will cease enforcement position. The existing drawbridge
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operating regulations are listed at 33 thumbprint in place of a signature. This § 3.2100 on the scope of applicability of CFR 117.223. amendment is necessary to present the subpart D. The bridge owner, the National existing regulation in plain language VA appreciates the comment Railroad Passenger Corporation and to remove an obsolete manual submitted in response to the proposed (Amtrak), requested a temporary provision from VA’s Adjudication rule which, based on the rationale set deviation from the drawbridge operating Procedural Manual, M21–1. This forth in the proposal and this document, regulations to facilitate necessary document also adds a new subpart D to is now adopted with the change maintenance at the bridge. This part 3 along with a section setting forth explained above. deviation from the operating regulations the scope of applicability of subpart D. Executive Order 12866 allows the bridge owner to need not DATES: Effective Date: April 6, 2001. open the Amtrak Bridge for vessel traffic This final rule has been reviewed by FOR FURTHER INFORMATION CONTACT: from 10 p.m. on April 4, 2001 through the Office of Management and Budget Candice Weaver, Consultant, Plain 10 p.m. on April 6, 2001. Vessels that under Executive Order 12866. Language Regulations Project, or Bob can pass under the bridge without an White, Team Leader, Plain Language Paperwork Reduction Act opening may do so at all times during Regulations Project, Veterans Benefits the closed period. This document contains no provisions Administration, 810 Vermont Avenue, The bridge owner provided less than constituting a collection of information NW., Washington, DC, 20420, telephone 30 days notice to the Coast Guard of its under the Paperwork Reduction Act (44 202–273–7235 and 202–273–7228 request to deviate from the drawbridge U.S.C. 3501–3520). respectively. regulations on the specified dates. Regulatory Flexibility Act However, a deviation was previously SUPPLEMENTARY INFORMATION: VA approved to perform this work March 5, published a proposal in the Federal The Secretary hereby certifies that 2001 through March 8, 2001; that work Register on July 26, 2000 (65 FR 45952– these final rules will not have a was cancelled due to severe weather 53) to rewrite 38 CFR 3.113 in plain significant economic impact on a conditions during that period. Delaying language. We proposed to create new substantial number of small entities as the commencement of this maintenance § 3.2130 to restate the current regulation they are defined in the Regulatory to require an additional 30 days notice and to remove the obsolete requirement Flexibility Act, 5 U.S.C. 601–612. The would be unnecessary and contrary to in the Adjudication Procedure Manual reason for this certification is that these the public interest since this work that eligibility verification reports final rules do not directly affect any involves vital maintenance that must be signed by mark or thumbprint be small entities. Only VA beneficiaries are performed without undue delay. Known accompanied by a separate sheet of directly affected. Therefore, pursuant to waterway users were contacted paper certifying that the information 5 U.S.C. 605(b), these final rules are regarding the proposed closure period; contained on the form is true and exempt from the initial and final none had any objection. Furthermore, correct. Interested persons were invited regulatory flexibility analysis performing the repairs before the to submit written comments on or requirement of sections 603 and 604. recreational boating season begins will before September 25, 2000. We received The Catalog of Federal Domestic lessen the impact and inconvenience to one comment from the National Service Assistance program numbers are 64.100, other mariners that use this waterway. Director of the Disabled American 64.101, 64.104, 64.105, 64.109, 64.110, and In accordance with 33 CFR 117.35(c) Veterans. 64.127. this work will be performed with all due The comment suggested improving List of Subjects in 38 CFR Part 3 speed in order to return the bridge to the proposed rule by permitting the Administrative practice and normal operation as soon as possible. acceptance of signatures on documents procedures, Claims, Disability benefits, This deviation from the operating by mark or thumbprint when witnessed Health care, Pensions, Veterans, regulations is authorized under 33 CFR by accredited agents, attorneys, or Vietnam. 117.35. service organization representatives. Approved: February 15, 2001. Dated: March 29, 2001. The commenter referred to VA’s Anthony J. Principi, G.N. Naccara, recently proposed amendment to 38 Acting Secretary of Veterans Affairs. Rear Admiral, U.S. Coast Guard, Commander, CFR 3.203 to authorize the acceptance First Coast Guard District. of copies of military records certified as For the reasons set forth in the [FR Doc. 01–8447 Filed 4–5–01; 8:45 am] true and exact copies by claimants’ preamble, 38 CFR part 3 is amended as representatives (65 FR 39580). This BILLING CODE 4910–15–P follows: proposal was consistent with the partnership being developed between PART 3—ADJUDICATION accredited representatives and VA for DEPARTMENT OF VETERANS the purpose of improving claims Subpart A—Pension, Compensation, AFFAIRS processing. VA concurs with the and Dependency and Indemnity Compensation 38 CFR Part 3 commenter and has modified the proposed rule to reflect the comment. RIN 2900–AK07 1. The authority citation for part 3, Proposed § 3.2130 has been amended by subpart A continues to read as follows: redesignating proposed paragraphs (b) Signature by Mark and (c) as paragraphs (c) and (d) Authority: 38 U.S.C. 501(a), unless otherwise noted. AGENCY: Department of Veterans Affairs. respectively, and by adding a new ACTION: Final rule. paragraph (b) to read ‘‘They are § 3.113 [Removed] witnessed by an accredited agent, 2. Section 3.113 is removed. SUMMARY: This document amends the attorney, or service organization Department of Veterans Affairs (VA) representative, or’’. Subpart C—[Reserved] adjudication regulation that explains No comments were received with how a claimant can use a mark or a regard to the addition of subpart D or 3. Subpart C is added and reserved.
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4. A new subpart D is added to read adjudication regulations governing change statutory provisions by as follows: determinations of whether disability or regulation. death is service-connected. These Another commenter requested that Subpart D—Universal Adjudication changes are necessary to implement a the effective date of the proposed Rules That Apply to Benefit Claims statutory amendment providing that a regulations be the date of publication of Governed by Part 3 of This Title disability or death will not be service- the final rule rather than June 9, 1998, as set forth in the proposed rule. We General connected on the basis that it resulted from injury or disease attributable to a have retained the effective date of June Sec. veteran’s use of tobacco products during 9, 1998, because this is the effective date 3.2100 Scope of Applicability. service. imposed by statute (section 8202(c) of 3.2130 Will VA accept a signature by mark DATES: Effective Dates: June 10, 1998. Pub. L. No. 105–178, as amended by or thumbprint? section 9014(b) of Pub. L. No. 105–206). FOR FURTHER INFORMATION CONTACT: Bill Subpart D—Universal Adjudication Russo, Regulations Staff, Compensation Again, we have no authority to change statutory provisions by regulation. Rules That Apply to Benefit Claims and Pension Service, Veterans Benefits Governed by Part 3 of This Title Administration, 810 Vermont Avenue, Definition of Tobacco Products NW., Washington, DC 20420, telephone We proposed to define ‘‘tobacco Authority: 38 U.S.C. 501(a), unless (202) 273–7210. products’’ to mean ‘‘cigars, cigarettes, otherwise noted. SUPPLEMENTARY INFORMATION: In a smokeless tobacco, pipe tobacco, and General document published in the Federal roll-your-own tobacco.’’ The term Register on February 16, 2000 (65 FR ‘‘tobacco products’’ is not defined in 38 5. Section 3.2100 is added to read as 7807–7809), we proposed to amend the U.S.C. 1103. We based our proposed follows: adjudication regulations to provide that definition on provisions in the Internal § 3.2100 Scope of Applicability. a disability or death will not be service- Revenue Code (26 U.S.C. 5702(c)) that connected on the basis that it resulted Unless otherwise specified, the define tobacco products for purposes of from injury or disease attributable to a levying excise taxes. The proposal provisions of this subpart apply only to veteran’s use of tobacco products during stated that it was appropriate to rely on claims governed by part 3 of this title. service. The comment period ended the definition in 26 U.S.C. 5702(c) (Authority: 38 U.S.C. 501(a)). April 17, 2000. We received written because a rule of statutory construction 6. Section 3.2130 is added to read as comments from the Disabled American provides that statutes that are in pari follows: Veterans, the Paralyzed Veterans of materia (relating to the same matter) America, the Veterans of Foreign Wars should be construed together. Under § 3.2130 Will VA accept a signature by (Department of Maine), and four this rule, the meaning of words in one mark or thumbprint? individuals. Based on the rationale set statute may be determined by referring VA will accept signatures by mark or forth in the proposed rule and this to another statute on the same subject thumbprint if: document, we are adopting the matter in which the same words are (a) They are witnessed by two people provisions of the proposed rule as a used. Black’s Law Dictionary 794 (7th who sign their names and give their final rule with changes discussed below. ed. 1999). addresses, or One commenter stated that the (b) They are witnessed by an Statutory Requirements definition of ‘‘tobacco products’’ in accredited agent, attorney, or service Four commenters asserted that it section 3.300(a) is too broad because organization representative, or would be wrong to preclude service from the inception of the legislative (c) They are certified by a notary members from service connection for proposal for 38 U.S.C. 1103, the concern public or any other person having the disability or death based upon tobacco was about the effects of smoking authority to administer oaths for general use during service because the military tobacco. In this regard, the commenter purposes, or encouraged them to use tobacco disagreed with VA’s reliance on the (d) They are certified by a VA products. One commenter asserted that definition of ‘‘tobacco products’’ in 26 employee who has been delegated the proposed regulations are unfair U.S.C. 5702(c), stating that the rule of authority by the Secretary under 38 CFR because the federal government has statutory construction regarding statutes 2.3. filed a lawsuit against the tobacco in pari materia does not apply because (Authority: 38 U.S.C. 5101). companies to recover the cost of 26 U.S.C. 5702(c) is unrelated to 38 smoking-related illnesses and VA U.S.C. 1103. In further support of his [FR Doc. 01–8491 Filed 4–5–01; 8:45 am] should therefore provide compensation argument, the commenter noted that a BILLING CODE 8320–01–U for smoking-related illnesses. We have heading on two VA budget proposals made no changes based on these including this proposed legislation comments. The final rule merely reflects referred to ‘‘Smoking-Related DEPARTMENT OF VETERANS the statutory provision stating that a Disabilities,’’ that the cost savings AFFAIRS disability or death will not be service- estimate in the FY 1999 budget was 38 CFR Part 3 connected on the basis that it resulted derived from a study regarding smoking- from injury or disease attributable to a related diseases, and that a letter from RIN 2900–AJ59 veteran’s use of tobacco products during the Office of Management and Budget service. (Section 9014(a) of the ‘‘Internal (OMB) referred to the legislation as Claims Based on the Effects of Revenue Service Restructuring and relating to ‘‘smoking-related Tobacco Products Reform Act of 1998,’’ Public Law 105– disabilities.’’ AGENCY: Department of Veterans Affairs. 206, amended section 8202 of the We agree, upon further consideration, ACTION: Final rule. ‘‘Transportation Equity Act for the 21st that although 26 U.S.C. 5702(c) and 38 Century,’’ Public Law 105–178, by U.S.C. 1103 deal with the same class of SUMMARY: This document amends the adding section 1103 to title 38, United things, i.e., tobacco products, the Department of Veterans Affairs (VA) States Code). We have no authority to statutes do not relate to the same subject
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matter, i.e., excise taxes and veterans’ related to service only by nicotine after June 9, 1998, a disability or death benefits. Even so, for reasons stated dependence that began in service, the which resulted from a disease or injury below, we have retained our proposed inclusion of smokeless tobacco is in attributable to a veteran’s use of tobacco definition in the final rule. keeping with this purpose because products during service may not be We believe that our definition reflects nicotine dependence results from use of considered service connected. See Congress’ intent. The title of the smokeless tobacco. VAOPGCPREC 11–96; VAOPGCPREC 7– statutory provision actually enacted by 99. Section 9014(a) does not refer to Dependency and Indemnity Congress, which proposed section 3.300 facts found or adjudications made after Compensation (DIC) Claims implements, is ‘‘Special provisions that date, but specifies applicability to relating to claims based upon effects of Proposed section 3.300(a) provides claims filed after that date. As noted tobacco products,’’ not ‘‘smoking related that, for claims received by VA after above, section 1310(a) requires the disabilities.’’ In addition, the plain June 9, 1998, a disability or death will death of a veteran from a ‘‘service- language of section 1103 rules out not be considered service-connected on connected’’ disability as a prerequisite compensation for disability or death the basis that it resulted from injury or to a survivor’s entitlement to DIC. resulting from injury or disease disease attributable to the veteran’s use Section 1318(b) requires that a veteran attributable to ‘‘use of tobacco of tobacco products during service. have been in receipt of or entitled to products,’’ not smoking. While the One commenter stated that the receive compensation for a ‘‘service- legislative history refers to smoking, the proposed regulation does not make clear connected’’ disability at the time of language of section 1103 does not limit whether a claim for dependency and death in order for a survivor to qualify its applicability to claims for service indemnity compensation (DIC) filed on for DIC under that provision. Thus, connection based upon smoking tobacco or after June 9, 1998, based on a regardless of whether, for compensation but rather rules out service connection veteran’s disability which was purposes, service connection was for injury or disease attributable to use determined, prior to June 9, 1998, to be legally established in a claim filed on or of tobacco products. We do not believe service-connected based upon the before June 9, 1998, for a disability that the title of the budgetary proposals veteran’s use of tobacco products during resulting from the use of tobacco which preceded enactment of section service is barred by 38 U.S.C. 1103(a). products during service, the effect of 1103 provides any guidance in this case The commenter pointed out that 38 section 9014(a) is that such disability with regard to Congress’ intent. We note U.S.C. 1103(a) refers to injury or disease may not be considered service as well that the August 5, 1998, OMB which is ‘‘attributable,’’ rather than connected with respect to a DIC claim letter to which the commenter referred ‘‘attributed’’ to use of tobacco products. filed after that date. states that awarding compensation for The commenter contends that, if a With regard to the commenter’s ‘‘tobacco-related’’ illnesses that begin veteran’s service connection claim was reliance on use of the word after service based solely on a veteran’s granted prior to June 9, 1998, the ‘‘attributable’’ rather than ‘‘attributed’’ ‘‘tobacco use’’ during service goes veteran’s disability was ‘‘attributed’’ to in 38 U.S.C. 1103(a) and proposed 38 beyond the important purposes of the use of tobacco products. The commenter CFR 3.300(a), the word ‘‘attributable’’ is veterans’’ disability compensation stated that, if the veteran dies from the defined by Webster’s Third New program. disability which was service connected International Dictionary of the English In addition, the effects of smoking prior to June 9, 1998, a post-June 9, Language 141 (1981), to mean ‘‘capable tobacco about which the commenter 1998, DIC claim would not be based on of being attributed.’’ Thus, under contends the legislation was concerned a disease or disability not yet section 1103(a), if a veteran’s service- are often the same as the effects of ‘‘attributed to’’ tobacco use but connected disability or death is capable smokeless tobacco. There are two types ‘‘attributable to’’ tobacco use. Rather, of being attributed to the use of tobacco of smokeless tobacco—snuff and according to the commenter, such a DIC products, service connection is chewing tobacco, and according to the claim would be based on a service- precluded. A veteran’s disability which National Cancer Institute, snuff and connected disability. This commenter was ‘‘attributed’’ to use of tobacco chewing tobacco contain 28 carcinogens recommended that if VA considers there products during service prior to June 9, and nicotine. NCI Fact Sheet: Questions to be any ambiguity in 38 U.S.C. 1103 1998, would necessarily be ‘‘capable of and Answers About Smokeless Tobacco on this point, VA should resolve this being attributed’’ to use of tobacco and Cancer—Updated 11/1997. Users of ambiguity in the veteran’s favor. products. Therefore, use of the word smokeless tobacco face an increased risk DIC is payable to certain survivors of ‘‘attributable’’ does not support the of many of the same cancers as those ‘‘any veteran [who] dies after December commenter’s conclusion that a DIC associated with smoking tobacco such 31, 1956, from a service-connected or claim filed after June 9, 1998, based as cancers of the oral cavity, larynx, and compensable disability.’’ 38 U.S.C. upon a veteran’s disability which was esophagus. NCI Fact Sheet; U.S. Dep’t of 1310(a). DIC is also payable, in the same attributed to tobacco use during his or Health and Human Servs., Reducing the manner as if the veteran’s death were her lifetime is not precluded by section Health Consequences of Smoking, A service connected, to certain survivors 1103(a). Report of the Surgeon General 38, 56 of a veteran ‘‘who was in receipt of or (1989). Further, a 1986 Surgeon General entitled to receive * * * compensation Secondary Service Connection report concluded that, ‘‘use of at the time of death for a service- Section 3.300(c) of the proposed smokeless tobacco products can lead to connected disability’’ continuously regulations provides that, for claims nicotine dependence or addiction.’’ U.S. rated totally disabling for an extended received by VA after June 9, 1998, a Dep’t of Health and Human Servs., The period immediately preceding the disability that is proximately due to or Health Consequences of Using veteran’s death. 38 U.S.C. 1318(a) and the result of an injury or disease Smokeless Tobacco, A Report of the (b). Section 9014(a) of Pub. L. No. 105– previously service-connected on the Advisory Committee to the Surgeon 206 provided that section 1103 ‘‘shall basis of the veteran’s use of tobacco General 182 (1986). If the purpose of 38 apply with respect to claims received by products during service will not be U.S.C. 1103 is, as this commenter also [VA]’’ after June 9, 1998. (Emphasis service-connected. We also proposed to contends, to prohibit service connection added). The unambiguous effect of this amend section 3.310(a) concerning for postservice disabilities which can be language is that, for a claim received secondary service connection to provide
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that it is subject to the provisions of part’’ to tobacco use, would have only proximately due to or the result of the section 3.300(c). precluded service connection on the original service-connected disability. One commenter stated that section basis that disability resulted from Based on the above analysis, we make 3.300(c) of the proposed regulation tobacco use and ‘‘would not preclude no change based on these comments. violates the intent of 38 U.S.C. 1103 that establishing service connection on any Disability Becoming Manifest During claims for secondary service connection other basis.’’ The Acting General Active Duty based on a disability which was service- Counsel’s letter does not provide connected due to tobacco use in service support for the commenter’s contention Section 1103(b) title 38, United States before June 10, 1998, are not barred by that VA’s contemporaneous Code, provides in pertinent part that 38 U.S.C. 1103. The commenter stated construction of its own language service connection is not prohibited ‘‘for that service connection on a secondary indicates that service connection of disability or death from a disease or basis relies only on its link to the tobacco-related disabilities on the basis injury which is otherwise shown to primary condition, already lawfully of 38 CFR 3.310(a) was not meant to be have been incurred or aggravated in service-connected, without regard to the barred by 38 U.S.C. 1103(a). Apart from active military, naval, or air service.’’ cause of the primary disability. the fact that the letter reflects the Acting Proposed section 3.300(b)(1) similarly Therefore, the commenter contends a General Counsel’s understanding of states that service connection is not claim for service connection for a proposed legislative language which prohibited if ‘‘[t]he disability or death disability which is proximately due to a was not adopted by Congress, the resulted from a disease or injury that is disability which was service connected statement is consistent with the otherwise shown to have been incurred based on the veteran’s tobacco use interpretation reflected in section or aggravated during service.’’ One would not be precluded by section 1103 3.300(b) that 38 U.S.C. 1103 was not commenter stated that Congress because the cause of the service- intended to prohibit service connection intended that the term ‘‘otherwise connected disability would not be on a basis independent of tobacco use shown’’ in section 1103(b) include any relevant. This commenter also asserted in service. A proximate connection to a disability or death from a disease or that proposed section 3.300(b)(3), which disability attributable to tobacco use in injury which became manifest or was provides that section 3.300(a) does not service would not provide such a basis. aggravated during service, or manifest apply where secondary service The commenter also contends that 38 during a presumptive period, even if it connection is established for ischemic U.S.C. 1103(a) was intended to preclude resulted from tobacco use. The heart disease or other cardiovascular claims for service connection for commenter recommended that VA’s disease under section 3.310(b) is postservice disabilities related to service regulation be amended to specify this. superfluous based upon the contention only as a result of nicotine dependence The commenter suggested that, unless that 38 U.S.C. 1103(a) only bars claims which began in service. We find no the term ‘‘otherwise shown’’ is clearly for direct service connection, not claims evidence of such a limitation in the defined by the regulation, VA regional for secondary service connection. legislative history of section 1103. As office adjudicators may misinterpret and We disagree with the commenter’s the Acting Secretary of Veterans Affairs misapply it. contention that a claim for secondary explained in his February 4, 1998, Regarding the definition of ‘‘otherwise service connection is not based upon testimony before the House Veterans’ shown,’’ we believe it was intended to the cause of the disability which was Affairs Committee and March 31, 1998, convey that 38 U.S.C. 1103 generally originally service connected. As testimony before the Senate Veterans’ precludes establishment of service explained in the notice of proposed Affairs Committee, section 1103 was connection for a disability or death on rulemaking, 65 FR 7807–7808 (Feb. 16, intended to preclude service connection the basis that it resulted from injury or 2000), 38 CFR 3.310(a) provides for for disabilities arising postservice and disease attributable to the veteran’s use service connection of a disability not after any applicable presumptive period of tobacco products. However, a review itself incurred or aggravated in service if the only connection between the of the legislative history reveals an but nevertheless resulting from a disease disease and military service is the additional purpose behind 38 U.S.C. or injury incurred or aggravated in veteran’s own use of tobacco products 1103(b): To permit claims where the service. Secondarily service-connected during service. None of the legislative disability manifests while on active disabilities are the result of service- history cited by the commenter refers to duty, even if they are based on tobacco incurred or service-aggravated injury or precluding service connection for use. In our view, 38 U.S.C. 1103 was not disease. When a disability is postservice disabilities only when these intended to affect a veteran’s ability to proximately due to or the result of an disabilities are due to nicotine establish service connection on the basis injury or disease previously service dependence. of any legal presumption, including connected on the basis of a veteran’s use Finally, the commenter asserted that both statutory and regulatory of tobacco products during service, the it would be unfair to compensate presumptions. Therefore, section secondary condition results from a veterans who were service-connected 3.300(b) in the proposed regulations disease or injury attributable to the use for a tobacco-related disability before provided that section 3.300(a) does not of tobacco products. June 10, 1998, when that disability prohibit service connection for a The commenter cites a March 24, worsens over time, while at the same disability or death if it resulted from a 1998, letter from the Acting VA General time denying secondary service disease or injury otherwise shown to Counsel to House Veterans Affairs connection for a disability proximately have been incurred or aggravated during Committee Staff, to support the view due to the original service-connected service, or that became manifest to the that claims for secondary service one. The commenter states that both are required degree of disability within a connection are not barred by 38 U.S.C. ‘‘a natural extension’’ of the service- period that establishes eligibility for a 1103(a). The Acting General Counsel’s connected disability. We disagree. A presumption of service connection letter stated that an Administration- claim for an increased rating is under 38 CFR 3.307, 3.309, 3.313, or proposed version of section 1103(a), predicated on the particular disability 3.316, or that may be service-connected which was not enacted, would have which was service connected. A claim under § 3.310(b). barred service connection for for secondary service connection is We agree, however, that clarification disabilities ‘‘attributable in whole or in based upon a new disability which is would be helpful and have therefore
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amended proposed section 3.300(b)(1) Approved: February 5, 2001. 3. In § 3.310, paragraph (a) is to state that, ‘‘[f]or purposes of this Anthony J. Principi, amended by removing ‘‘Disability’’ and section, ‘otherwise shown’ means that Secretary of Veterans Affairs. adding, in its place, ‘‘Except as provided the disability or death can be service- For the reasons set forth in the in § 3.300(c), disability’’. connected on some basis other than the preamble, 38 CFR part 3 is amended as [FR Doc. 01–8490 Filed 4–5–01; 8:45 am] veteran’s use of tobacco products during follows: BILLING CODE 8320–01–P service, or that the disability became manifest or death occurred during PART 3—ADJUDICATION service.’’ Subpart A—Pension, Compensation, ENVIRONMENTAL PROTECTION Injuries From Tobacco Use and Dependency and Indemnity AGENCY One commenter recommended that Compensation the proposed section 3.300 be amended 40 CFR Part 52 1. The authority citation for part 3, to include a definition of the term [MO 114–1114a; FRL–6964–1] ‘‘injury,’’ so that the regulation would subpart A continues to read as follows: not bar service connection claims based Authority: 38 U.S.C. 501(a), unless Approval and Promulgation of on an incidental or accidental injury otherwise noted. Implementation Plans; State of arising out of tobacco use, such as a 2. Section 3.300 is added immediately Missouri burn. The commenter noted that the under the undesignated center heading AGENCY: Environmental Protection ‘‘otherwise shown’’ exception in ‘‘Ratings and Evaluations; Basic Agency (EPA). proposed section 3.300(b) permits Entitlement Considerations’’ to read as service connection for injuries follows: ACTION: Direct final rule. attributable to tobacco use which occur § 3.300 Claims based on the effects of SUMMARY: EPA is approving as an during service but nonetheless stated tobacco products. amendment to the Missouri State that the regulation invites (a) For claims received by VA after Implementation Plan (SIP) a revision to misinterpretation without this June 9, 1998, a disability or death will the Missouri construction permit rule. clarification. This revision will strengthen the SIP We believe that the clarification to not be considered service-connected on with respect to attainment and section 3.300(b)(1) described above the basis that it resulted from injury or maintenance of established air quality regarding the term ‘‘otherwise shown’’ disease attributable to the veteran’s use standards, ensure consistency between is sufficient to address the commenter’s of tobacco products during service. For the state and Federally approved rules, point. We therefore make no other the purpose of this section, the term and ensure Federal enforceability of the change based on this comment. ‘‘tobacco products’’ means cigars, cigarettes, smokeless tobacco, pipe state’s air program rule revisions Paperwork Reduction Act tobacco, and roll-your-own tobacco. pursuant to section 110 of the Clean Air This document contains no provisions (b) The provisions of paragraph (a) of Act. constituting a collection of information this section do not prohibit service DATES: This direct final rule will be under the Paperwork Reduction Act (44 connection if: effective June 5, 2001 unless EPA U.S.C. 3501–3520). (1) The disability or death resulted receives adverse comments by May 7, from a disease or injury that is 2001. If adverse comments are received, Executive Order 12866 otherwise shown to have been incurred EPA will publish a timely withdrawal of This final rule has been reviewed by or aggravated during service. For the direct final rule in the Federal the Office of Management and Budget purposes of this section, ‘‘otherwise Register informing the public that the under Executive Order 12866. shown’’ means that the disability or rule will not take effect. death can be service-connected on some ADDRESSES: Regulatory Flexibility Act basis other than the veteran’s use of Comments may be mailed to tobacco products during service, or that Wayne Kaiser, Environmental The Secretary hereby certifies that the Protection Agency, Air Planning and adoption of this final rule will not have the disability became manifest or death occurred during service; or Development Branch, 901 North 5th a significant economic impact on a Street, Kansas City, Kansas 66101. substantial number of small entities as (2) The disability or death resulted from a disease or injury that appeared Copies of documents relative to this they are defined in the Regulatory action are available for public Flexibility Act, 5 U.S.C. 601–612. The to the required degree of disability within any applicable presumptive inspection during normal business reason for this certification is that this hours at the above listed Region 7 final rule will not directly affect any period under §§ 3.307, 3.309, 3.313, or 3.316; or location. The interested persons small entities. Only individuals could wanting to examine these documents be directly affected. Therefore, pursuant (3) Secondary service connection is established for ischemic heart disease or should make an appointment with the to 5 U.S.C. 605(b), this final rule is office at least 24 hours in advance. exempt from the initial and final other cardiovascular disease under regulatory flexibility analyses § 3.310(b). FOR FURTHER INFORMATION CONTACT: requirements of sections 603 and 604. (c) For claims for secondary service Wayne Kaiser, at (913) 551–7603. connection received by VA after June 9, I. SUPPLEMENTARY INFORMATION: The Catalog of Federal Domestic 1998, a disability that is proximately Throughout this document whenever Assistance program numbers are 64.109 and due to or the result of an injury or 64.110. ‘‘we, us, or our’’ is used, we mean EPA. disease previously service-connected on This section provides additional List of Subjects in 38 CFR Part 3 the basis that it is attributable to the information by addressing the following Administrative practice and veteran’s use of tobacco products during questions: service will not be service-connected procedure, Claims, Disability benefits, What is a SIP? Health care, Pensions, Veterans, under § 3.310(a). What is the Federal approval process for a Vietnam. (Authority: 38 U.S.C. 501(a), 1103, 1103 note) SIP?
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What does Federal approval of a state approved a given state regulation with rule. The state rule revisions were regulation mean to me? a specific effective date. effective on November 30, 1999. What is being addressed in this action? Further discussion and background Have the requirements for approval of a SIP What Does Federal Approval of a State information is contained in the revision been met? Regulation Mean To Me? technical support document (TSD) What action is EPA taking? Enforcement of the state regulation prepared for this action, which is What Is a SIP? before and after it is incorporated into available from the EPA contact listed Section 110 of the Clean Air Act the Federally approved SIP is primarily above. (CAA) requires states to develop air a state responsibility. However, after the Have the Requirements for Approval of pollution regulations and control regulation is Federally approved, we are a SIP Revision Been Met? authorized to take enforcement action strategies to ensure that state air quality The state submittal has met the public meets the national ambient air quality against violators. Citizens are also offered legal recourse to address notice requirements for SIP submissions standards established by EPA. These in accordance with 40 CFR 51.102. The ambient standards are established under violations as described in section 304 of the CAA. submittal also satisfied the section 109 of the CAA, and they completeness criteria of 40 CFR part 51, currently address six criteria pollutants. What Is Being Addressed in This appendix V. In addition, as explained These pollutants are: carbon monoxide, Document? above and in more detail in the TSD nitrogen dioxide, ozone, lead, which is part of this document, the particulate matter, and sulfur dioxide. The state of Missouri has requested that we approve an amendment to the revision meets the substantive SIP Each state must submit these requirements of the CAA, including regulations and control strategies to EPA Missouri SIP which consist of a revision to Missouri’s construction permit rule, section 110 and implementing for approval and incorporation into the regulations. Federally enforceable SIP. 10 CSR 10–6.060. Each Federally approved SIP protects The rule amendment is intended to What Action Is EPA Taking? air quality primarily by addressing air help streamline the construction permit We are processing this action as a pollution at its point of origin. These review process in the following ways: final action because the revisions make SIPs can be extensive, containing state 1. The rule establishes a fixed fee for routine changes to the existing rules regulations or other enforceable portable plant relocations. which are noncontroversial. Therefore, documents and supporting information 2. The rule establishes a negligible we do not anticipate any adverse such as emission inventories, emission level to exempt very small comments. monitoring networks, and modeling projects from permit review. In general, demonstrations. for new construction or modification at II. Administrative Requirements previously permitted facilities, the rule Under Executive Order 12866 (58 FR What Is the Federal Approval Process provides that emission increases not 51735, October 4, 1993), this action is for a SIP? exceeding certain levels (e.g., 0.5 not a ‘‘significant regulatory action’’ and In order for state regulations to be pounds per hour or 876 pounds per year therefore is not subject to review by the incorporated into the Federally of a regulated pollutant) are exempt Office of Management and Budget. This enforceable SIP, states must formally unless the construction or modification action merely approves state law as adopt the regulations and control would ‘‘appreciably’’ impact air quality meeting Federal requirements and strategies consistent with state and standards, or there are citizen imposes no additional requirements Federal requirements. This process complaints regarding the source. beyond those imposed by state law. generally includes a public notice, Although the term ‘‘appreciably’’ is not Accordingly, the Administrator certifies public hearing, public comment period, defined, EPA expects the state to review that this rule will not have a significant and a formal adoption by a state- sources below these de minimis levels economic impact on a substantial authorized rulemaking body. if the available information indicates number of small entities under the Once a state rule, regulation, or that the construction or modification Regulatory Flexibility Act (5 U.S.C. 601 control strategy is adopted, the state could result in a quantifiable impact on et seq.). Because this rule approves submits it to us for inclusion into the air quality standards, or quantifiable preexisting requirements under state SIP. We must provide public notice and exceedance of a standard. law and does not impose any additional seek additional public comment 3. Finally, the revision clarifies when enforceable duty beyond that required regarding the proposed Federal action particular reviews require analysis of air by state law, it does not contain any on the state submission. If adverse quality impacts, establishing cutoffs for unfunded mandate or significantly or comments are received, they must be nonmajor sources at the EPA uniquely affect small governments, as addressed prior to any final Federal significance levels (e.g., 40 tons per year described in the Unfunded Mandates action by us. for sulfur dioxide), below which sources Reform Act of 1995 (Public Law 104–4). All state regulations and supporting are not required to perform modeling, For the same reason, this rule also does information approved by EPA under unless they are expected to have not significantly or uniquely affect the section 110 of the CAA are incorporated significant air quality impacts. The communities of tribal governments, as into the Federally approved SIP. exemption from the air quality analysis specified by Executive Order 13084 (63 Records of such SIP actions are applies only to sources which are not FR 27655, May 10, 1998). This rule will maintained in the Code of Federal major under the state’s prevention of not have substantial direct effects on the Regulations (CFR) at Title 40, Part 52, significant deterioration and states, on the relationship between the entitled ‘‘Approval and Promulgation of nonattainment area major new source national government and the states, or Implementation Plans.’’ The actual state review (‘‘Part D’’) program. on the distribution of power and regulations which are approved are not The revised rule changes subsections responsibilities among the various reproduced in their entirety in the CFR (1)(D), (1)(E), (5)(D), (6)(B), (9)(D), levels of government, as specified in outright but are ‘‘incorporated by (10)(A), (12)(A), (12)(D), (12)(J), and Executive Order 13132 (64 FR 43255, reference,’’ which means that we have removes the application forms from the August 10, 1999), because it merely
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approves a state rule implementing a the Evaluation of Risk and Avoidance of review may be filed, and shall not Federal standard, and does not alter the Unanticipated Takings’’ issued under postpone the effectiveness of such rule relationship or the distribution of power the Executive Order. This rule does not or action. This action may not be and responsibilities established in the impose an information collection challenged later in proceedings to CAA. This rule also is not subject to burden under the provisions of the enforce its requirements. (See section Executive Order 13045 (62 FR 19885, Paperwork Reduction Act of 1995 (44 307(b)(2).) April 23, 1997), because it is not U.S.C. 3501 et seq.). economically significant. The Congressional Review Act, 5 List of Subjects 40 CFR Part 52 In reviewing SIP submissions, our U.S.C. 801 et seq., as added by the Small Environmental protection, Air role is to approve state choices, Business Regulatory Enforcement pollution control, Intergovernmental provided that they meet the criteria of Fairness Act of 1996, generally provides relations, Ozone, Particulate matter, the CAA. In this context, in the absence that before a rule may take effect, the Reporting and recordkeeping of a prior existing requirement for the agency promulgating the rule must requirements. state to use voluntary consensus submit a rule report, which includes a standards (VCS), we have no authority copy of the rule, to each House of the Authority: 42 U.S.C. 7401 et seq. to disapprove a SIP submission for Congress and to the Comptroller General Dated: March 7, 2001. failure to use VCS. It would thus be of the United States. We will submit a William Rice, inconsistent with applicable law for report containing this rule and other Acting Regional Administrator, Region 7. EPA, when it reviews a SIP submission, required information to the United to use VCS in place of a SIP submission States Senate, the United States House Chapter I, title 40 of the Code of that otherwise satisfies the provisions of of Representatives, and the Comptroller Federal Regulations is amended as the CAA. Thus, the requirements of General of the United States prior to follows: section 12(d) of the National publication of the rule in the Federal Technology Transfer and Advancement Register. A major rule cannot take effect PART 52—[AMENDED] Act of 1995 (15 U.S.C. 272 note) do not until 60 days after it is published in the apply. As required by section 3 of Federal Register. This action is not a 1. The authority citation for part 52 Executive Order 12988 (61 FR 4729, ‘‘major rule’’ as defined by 5 U.S.C. continues to read as follows: February 7, 1996), in issuing this rule, 804(2). Authority: 42 U.S.C. 7401 et seq. we have taken the necessary steps to Under section 307(b)(1) of the CAA, eliminate drafting errors and ambiguity, petitions for judicial review of this Subpart AA—Missouri minimize potential litigation, and action must be filed in the United States provide a clear legal standard for Court of Appeals for the appropriate 2. In § 52.1320(c) the table is amended affected conduct. EPA has complied circuit by June 5, 2001. Filing a petition under Chapter 6 by revising the entry with Executive Order 12630 (53 FR for reconsideration by the Administrator for ‘‘10–6.060’’ to read as follows: 8859, March 15, 1988) by examining the of this final rule does not affect the § 52.1320 Identification of plan. takings implications of the rule in finality of this rule for the purposes of accordance with the ‘‘Attorney judicial review nor does it extend the * * * * * General’s Supplemental Guidelines for time within which a petition for judicial (c) * * *
EPA-APPROVED MISSOURI REGULATIONS
State Missouri citation Title effective EPA Explanation date approval date
Missouri Department of Natural Resources
******* Chapter 6—Air Quality Standards, Definitions, Sampling and Reference Methods, and Air Pollution Control Regulations for the State of Missouri
10–6.060 ...... Construction Permits Required ...... 11/30/99 4/6/01 ...... Section 9, pertaining to hazardous air pollut- ants, is not part of the SIP.
*******
* * * * * [FR Doc. 01–8479 Filed 4–5–01; 8:45 am] BILLING CODE 6560–50–P
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ENVIRONMENTAL PROTECTION applicable comment period is available NAICS Examples of poten- AGENCY Categories codes tially affected for inspection in the Public Information entities and Records Integrity Branch (PIRIB), 40 CFR Part 180 Rm. 119, Crystal Mall #2, 1921 Jefferson 32532 Pesticide manufac- turing Davis Hwy., Arlington, VA, from 8:30 [OPP–301111; FRL–6773–7] a.m. to 4 p.m., Monday through Friday, excluding legal holidays. The PIRIB RIN 2070–AB78 This listing is not intended to be exhaustive, but rather provides a guide telephone number is (703) 305–5805. Ethametsulfuron Methyl; Pesticide for readers regarding entities likely to be II. Background and Statutory Findings Tolerance affected by this action. Other types of In the Federal Register of December entities not listed in the table could also 17, 1997 (62 FR 66083) (FRL–5759–1), AGENCY: Environmental Protection be affected. The North American Agency (EPA). EPA issued a notice pursuant to section Industrial Classification System 408 of the Federal Food, Drug, and ACTION: Final rule. (NAICS) codes have been provided to Cosmetic Act (FFDCA), 21 U.S.C. 346a assist you and others in determining SUMMARY: This regulation establishes a as amended by the Food Quality whether or not this action might apply Protection Act of 1996 (FQPA) (Public tolerance for residues of to certain entities. If you have questions ethametsulfuron methyl (methyl 2- ((((4- Law 104–170) announcing the filing of regarding the applicability of this action a pesticide petition (PP 1F4032) for ethoxy-6- (methylamino)-1,3,5- triazin- to a particular entity, consult the person 2-yl) amino) carbonyl) amino) sulfonyl) tolerance by E.I. du Pont de Nemours listed under FOR FURTHER INFORMATION and Company, Barley Mill Plaza, benzoate) in or on canola, crambe, and CONTACT. rapeseed. E.I. DuPont de Nemours and Walker’s Mill Bldg. 37, Wilmington, DE Company requested this tolerance under B. How Can I Get Additional 19880–0038. This notice included a the Federal Food, Drug, and Cosmetic Information, Including Copies of this summary of the petition prepared by E.I. Act, as amended by the Food Quality Document and Other Related du Pont de Nemours and Company, the Protection Act of 1996. Documents? registrant. There were no comments received in response to the notice of DATES: This regulation is effective April 1. Electronically.You may obtain filing. 6, 2001. Objections and requests for electronic copies of this document, and The petition requested that 40 CFR hearings, identified by docket control certain other related documents that part 180 be amended by establishing a number OPP–301111, must be received might be available electronically, from tolerance for residues of the herbicide by EPA on or before June 5, 2001. the EPA Internet Home Page at http:// ethametsulfuron methyl (methyl 2- ((((4- ADDRESSES: Written objections and www.epa.gov/. To access this ethoxy-6- (methylamino)-1,3,5- triazin- hearing requests may be submitted by document, on the Home Page select 2-yl) amino) carbonyl) amino) sulfonyl) mail, in person, or by courier. Please ‘‘Laws and Regulations,’’ ‘‘Regulations benzoate) in or on canola seed at 0.1 follow the detailed instructions for each and Proposed Rules,’’ and then look up part per million (ppm). During the method as provided in Unit VI. of the the entry for this document under the course of the review, EPA determined SUPPLEMENTARY INFORMATION. To ensure ‘‘Federal Register—Environmental that the available residue data proper receipt by EPA, your objections Documents.’’ You can also go directly to supported tolerances of 0.02 ppm in or and hearing requests must identify the Federal Register listings at http:// on the raw agricultural commodities docket control number OPP–301111 in www.epa.gov/fedrgstr/. To access the canola, crambe, and rapeseed at 0.02 the subject line on the first page of your OPPTS Harmonized Guidelines ppm. response. referenced in this document, go directly Section 408(b)(2)(A)(i) of the FFDCA FOR FURTHER INFORMATION CONTACT: By to the guidelines at http://www.epa.gov/ allows EPA to establish a tolerance (the mail: Jim Tompkins, Registration opptsfrs/home/guidelin.htm. A legal limit for a pesticide chemical Division (7505C), Office of Pesticide frequently updated electronic version of residue in or on a food) only if EPA Programs, Environmental Protection 40 CFR part 180 is available at http:// determines that the tolerance is ‘‘safe.’’ www.access.gpo.gov/nara/cfr/ Section 408(b)(2)(A)(ii) defines ‘‘safe’’ to Agency, 1200 Pennsylvania Ave., NW., _ _ _ Washington, DC 20460; telephone cfrhtml 00/Title 40/40cfr180. 00.html, mean that ‘‘there is a reasonable number: (703) 305–5697; and e-mail a beta site currently under development. certainty that no harm will result from address: [email protected]. 2. In person. The Agency has aggregate exposure to the pesticide established an official record for this chemical residue, including all SUPPLEMENTARY INFORMATION: action under docket control number anticipated dietary exposures and all I. General Information OPP–301111. The official record other exposures for which there is consists of the documents specifically reliable information.’’ This includes A. Does this Action Apply to Me? referenced in this action, and other exposure through drinking water and in You may be affected by this action if information related to this action, residential settings, but does not include you are an agricultural producer, food including any information claimed as occupational exposure. Section manufacturer, or pesticide Confidential Business Information (CBI). 408(b)(2)(C) requires EPA to give special manufacturer. Potentially affected This official record includes the consideration to exposure of infants and categories and entities may include, but documents that are physically located in children to the pesticide chemical are not limited to: the docket, as well as the documents residue in establishing a tolerance and that are referenced in those documents. to ‘‘ensure that there is a reasonable Examples of poten- The public version of the official record certainty that no harm will result to Categories NAICS tially affected codes entities does not include any information infants and children from aggregate claimed as CBI. The public version of exposure to the pesticide chemical Industry 111 Crop production the official record, which includes residue....’’ 112 Animal production printed, paper versions of any electronic EPA performs a number of analyses to 311 Food manufacturing comments submitted during an determine the risks from aggregate
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exposure to pesticide residues. For EPA has sufficient data to assess the studies to human risk. EPA has also further discussion of the regulatory hazards of and to make a determination considered available information requirements of section 408 and a on aggregate exposure, consistent with concerning the variability of the complete description of the risk section 408(b)(2), for a tolerance for sensitivities of major identifiable assessment process, see the final rule on residues of ethametsulfuron methyl on subgroups of consumers, including Bifenthrin Pesticide Tolerances (62 FR canola, crambe, and rapeseed at 0.02 infants and children. The nature of the 62961, November 26, 1997) (FRL–5754– ppm. EPA’s assessment of exposures toxic effects caused by ethametsulfuron 7). and risks associated with establishing methyl are discussed in the following the tolerance follows. III. Aggregate Risk Assessment and Table 1 as well as the no observed Determination of Safety A. Toxicological Profile adverse effect level (NOAEL) and the Consistent with section 408(b)(2)(D), EPA has evaluated the available lowest observed adverse effect level EPA has reviewed the available toxicity data and considered its validity, (LOAEL) from the toxicity studies scientific data and other relevant completeness, and reliability as well as reviewed. information in support of this action. the relationship of the results of the
TABLE 1.—SUBCHRONIC, CHRONIC, AND OTHER TOXICITY
Guideline No. Study Type Results
870.3100 90-Day oral toxicity rodents - rats NOAEL = 365/453 mg/kg/day (m/f) highest dose tested (HDT) LOAEL = not determined, supplementary due to lack of toxic re- sponse (inadequate dose levels)
mice NOAEL = >686/916 mg/kg/day (m/f) HDT LOAEL = not deter- mined
870.3150 90-Day oral toxicity in nonrodents - dogs NOAEL = >390/383 mg/kg/day (m/f) LOAEL = not determined; lack of a toxic response (inadequate dose levels)
870.3700a Prenatal developmental in rodents - rats Maternal NOAEL = 1,000 mg/kg/day LOAEL = 4,000 mg/kg/day based on decreased body weight and decreased food con- sumption. Developmental NOAEL = 1,000 mg/kg/day LOAEL = 4,000 mg/kg/day based on reduced fetal body weight gain, in- creased skeletal variations
870.3700b Prenatal developmental in nonrodents - rabbits Maternal NOAEL = 250 mg/kg/day LOAEL = 1,000 mg/kg/day based on increased relative liver weight. Developmental NOAEL = 1,000 mg/kg/day LOAEL = 4,000 mg/kg/day based on in- creased resorptions (early fetal death), decreased litter size
870.3800 Reproduction and fertility effects Parental/systemic NOAEL = 395/449 (m/f) mg/kg/day LOAEL = 1,582/1,817 (m/f) mg/kg/day based on reduced body weight and body weight gain in parent and Fla males and females
Reproductive NOAEL = 1582/817 (m/f) mg/kg/day LOAEL = not determined
870.4100a Chronic toxicity rodents NOAEL = 210/267 mg/kg/day LOAEL = not determined
870.4100b Chronic toxicity dogs NOAEL = 87.3/386.9 (m/f) mg/kg/day LOAEL = 478/483 (m/f) mg/ kg/day based on reduced body weight gain, and food efficiency, decrease in mean serum values
870.4200 Carcinogenicity rats NOAEL = 210/267 mg/kg/day LOAEL = not determined. (no) evi- dence of carcinogenicity
870.4300 Carcinogenicity mice NOAEL = 705/930 mg/kg/day LOAEL = not determined. (no) evi- dence of carcinogenicity
870.5300 Gene mutation In vitro gene mutation in CHO cells. Negative for mutagenicity
870.5395 Gene mutation In vivo micronucleus assay in mice did not induce bone marrow toxicity
870.5300 Gene mutation In vivo rat bone marrow assay did not induce bone marrow did not induce a clastogenic response
870.5550 Gene mutation In vitro UDS assay did not induce a genotoxic effect
870.5100 Gene mutation S. typhimurium/mammalian microsome assay did not induce a genotoxic effect
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TABLE 1.—SUBCHRONIC, CHRONIC, AND OTHER TOXICITY—Continued
Guideline No. Study Type Results
870.7485 Metabolism and pharmacokinetics Submitted study unacceptable by current guidelines. New study required as a condition of registration
870.7600 Dermal penetration No studies available. Not required since a dermal risk assessment is not required
B. Toxicological Endpoints the RfD is equal to the NOAEL divided assumes that any amount of exposure The dose at which no adverse effects by the appropriate UF (RfD = NOAEL/ will lead to some degree of cancer risk. are observed (the NOAEL) from the UF). Where an additional safety factor is A Q* is calculated and used to estimate toxicology study identified as retained due to concerns unique to the risk which represents a probability of appropriate for use in risk assessment is FQPA, this additional factor is applied occurrence of additional cancer cases used to estimate the toxicological level to the RfD by dividing the RfD by such (e.g., risk is expressed as 1 x 10-6 or one of concern (LOC). However, the lowest additional factor. The acute or chronic in a million). Under certain specific dose at which adverse effects of concern Population Adjusted Dose (aPAD or circumstances, MOE calculations will are identified (the LOAEL) is sometimes cPAD) is a modification of the RfD to be used for the carcinogenic risk used for risk assessment if no NOAEL accommodate this type of FQPA safety assessment. In this non-linear approach, was achieved in the toxicology study factor. a ‘‘point of departure’’ is identified selected. An uncertainty factor (UF) is For non-dietary risk assessments below which carcinogenic effects are applied to reflect uncertainties inherent (other than cancer) the UF is used to not expected. The point of departure is in the extrapolation from laboratory determine the LOC. For example, when typically a NOAEL based on an animal data to humans and in the 100 is the appropriate UF (10x to endpoint related to cancer effects variations in sensitivity among members account for interspecies differences and though it may be a different value of the human population as well as 10x for intraspecies differences) the derived from the dose response curve. other unknowns. An UF of 100 is LOC is 100. To estimate risk, a ratio of To estimate risk, a ratio of the point of routinely used, 10x to account for the NOAEL to exposures (margin of departure to exposure (MOE cancer = interspecies differences and 10x for exposure (MOE) = NOAEL/exposure) is point of departure/exposures) is intraspecies differences. calculated and compared to the LOC. calculated. A summary of the For dietary risk assessment (other The linear default risk methodology toxicological endpoints for than cancer) the Agency uses the UF to (Q*) is the primary method currently ethametsulfuron methyl used for human calculate an acute or chronic reference used by the Agency to quantify risk assessment is shown in the dose (acute RfD or chronic RfD) where carcinogenic risk. The Q* approach following Table 2:
TABLE 2.—SUMMARY OF TOXICOLOGICAL DOSE AND ENDPOINTS FOR ETHAMETSULFURON METHYL FOR USE IN HUMAN RISK ASSESSMENT
Dose Used in Risk Assess- FQPA SF* and Endpoint Exposure Scenario ment, UF for Risk Assessment Study and Toxicological Effects
Acute dietary A dose and endpoint were not selected because there were no effects observed in oral toxicology studies including maternal toxicity in the developmental toxicity studies in rats and rabbits that are attributable to a single exposure (dose).
Chronic dietary NOAEL = 449 mg/kg/day FQPA SF = 1x cPAD = 4.5 2-Generation reproduction study in rats. UF = 100x mg/kg/day
Chronic RfD = 4.5 mg/kg/ LOAEL = 1817 mg/kg/day based on decreased day body wt. and body wt. gain in parental ani- mals and F1a and F1b generations.
Short-, intermediate and long- No endpoints were selected for exposure scenarios by the dermal route, since the dermal toxicity study in term dermal rats was waived based on lack of systemic toxicity in oral toxicity studies, thereby making the potential for risk negligible.
Inhalation (any time period) No endpoint was selected, based on the low toxicity, use pattern and method of application, there is no concern for potential exposure/risk via this route.
Cancer (oral, dermal, inhalation) The carcinogenic potential of ethametsulfuron could not be evaluated since the highest dose tested in mice and rats did not elicit systemic toxicity. However, EPA noted that ethametsulfuron, is structurally-related to other sulfonylurea herbicides and does not show evidence of carcinogenicity or mutagenicity. Therefore, a quantitative risk assessment is not warranted. *The reference to the FQPA Safety Factor refers to any additional safety factor retained due to concerns unique to the FQPA.
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C. Exposure Assessment for use in the dietary exposure and risk Based on the PRZM/EXAMS and SCI- 1. Dietary exposure from food and assessment are not available. Because GROW models, the EECs of feed uses. A time-limited tolerance has the Agency does not have ethametsulfuron methyl for acute been established for the residues of comprehensive monitoring data, exposures are estimated to be 0.48 parts (methyl 2- ((((4-ethoxy-6- drinking water concentration estimates per billion (ppb) for surface water and (methylamino)-1,3,5- triazin-2-yl) are made by reliance on modeling taking 0.11 ppb for ground water. The EECs for amino) carbonyl) amino) sulfonyl) into account data on the physical chronic exposures are estimated to be benzoate), in or on canola in connection characteristics of ethametsulfuron 0.32 ppb for surface water and 0.11 ppb with FIFRA section 18 emergency methyl. for ground water. 3. From non-dietary exposure. The programs authorized in the 2000 The Agency uses the Generic term ‘‘residential exposure’’ is used in growing season. Risk assessments were Estimated Environmental Concentration (GENEEC) or the Pesticide Root Zone/ this document to refer to non- conducted by EPA to assess dietary occupational, non-dietary exposure exposures from ethametsulfuron methyl Exposure Analysis Modeling System (PRZM/EXAMS) to estimate pesticide (e.g., for lawn and garden pest control, in food as follows: indoor pest control, termiticides, and i. Acute exposure. Acute dietary risk concentrations in surface water and flea and tick control on pets). assessments are performed for a food- Screening Concentration in Ground Water (SCI-GROW), which predicts Ethametsulfuron methyl is not use pesticide if a toxicological study has registered for use on any sites that indicated the possibility of an effect of pesticide concentrations in ground water. In general, EPA will use GENEEC would result in residential exposure. concern occurring as a result of a 1-day 4. Cumulative exposure to substances (a tier 1 model) before using PRZM/ or single exposure. A Dietary Exposure with a common mechanism of toxicity. EXAMS (a tier 2 model) for a screening- Evaluation Model (DEEM) acute Section 408(b)(2)(D)(v) requires that, level assessment for surface water. The exposure analysis was not performed when considering whether to establish, GENEEC model is a subset of the PRZM/ since an appropriate endpoint modify, or revoke a tolerance, the EXAMS model that uses a specific high- attributable to a single exposure was not Agency consider ‘‘available end runoff scenario for pesticides. selected. information’’ concerning the cumulative GENEEC incorporates a farm pond ii. Chronic exposure. In conducting effects of a particular pesticide’s this chronic dietary risk assessment the scenario, while PRZM/EXAMS residues and ‘‘other substances that DEEM analysis evaluated the individual incorporate an index reservoir have a common mechanism of toxicity.’’ food consumption as reported by environment in place of the previous EPA does not have, at this time, respondents in the USDA 1989–1992 pond scenario. The PRZM/EXAMS available data to determine whether –nationwide Continuing Surveys of model includes a percent crop area ethametsulfuron methyl has a common Food Intake by Individuals (CSFII) and factor as an adjustment to account for mechanism of toxicity with other accumulated exposure to the chemical the maximum percent crop coverage substances or how to include this for each commodity. The following within a watershed or drainage basin. pesticide in a cumulative risk assumptions were made for the chronic None of these models include assessment. Unlike other pesticides for exposure assessments: For chronic risk consideration of the impact processing which EPA has followed a cumulative assessments, residue estimates for foods (mixing, dilution, or treatment) of raw risk approach based on a common or food-forms of interest are multiplied water for distribution as drinking water mechanism of toxicity, ethametsulfuron by the average consumption estimate of would likely have on the removal of methyl does not appear to produce a each food/food-form of each population pesticides from the source water. The toxic metabolite produced by other subgroup. Chronic exposure estimates primary use of these models by the substances. For the purposes of this are expressed in milligram/kilogram Agency at this stage is to provide a tolerance action, therefore, EPA has not body weight/day (mg/kg bw/day) and as coarse screen for sorting out pesticides assumed that ethametsulfuron has a a percent of the cPAD. A DEEM chronic for which it is highly unlikely that common mechanism of toxicity with exposure analysis was performed using drinking water concentrations would other substances. For information the proposed tolerance level residues ever exceed human health levels of regarding EPA’s efforts to determine (0.02 ppm) and 100% crop treated to concern. which chemicals have a common estimate the exposure for the general Since the models used are considered mechanism of toxicity and to evaluate population and subgroups of interest. to be screening tools in the risk the cumulative effects of such The percent cPAD that would be above assessment process, the Agency does chemicals, see the final rule for EPA’s level of concern would be 100%. not use estimated environmental Bifenthrin Pesticide Tolerances (62 FR Percent crop treated (PCT) and/or concentrations (EECs) from these 62961, November 26, 1997). anticipated residues were not used. models to quantify drinking water Based on the results of this analysis, exposure and risk as a %RfD or %PAD. D. Safety Factor for Infants and exposure to ethametsulfuron methyl Instead drinking water levels of Children from food will utilize <1% of the cPAD comparison (DWLOCs) are calculated 1. Safety factor for infants and for all population groups. and used as a point of comparison children—i. In general. FFDCA section iii. Cancer. A DEEM cancer risk against the model estimates of a 408 provides that EPA shall apply an assessment is not performed because pesticide’s concentration in water. additional tenfold margin of safety for ethametsulfuron methyl is not expected DWLOCs are theoretical upper limits on infants and children in the case of to pose a cancer concern. a pesticide’s concentration in drinking threshold effects to account for prenatal 2. Dietary exposure from drinking water in light of total aggregate exposure and postnatal toxicity and the water. The Agency will use monitoring to a pesticide in food and from completeness of the data base on data to assess exposures for a residential uses. Since DWLOCs address toxicity and exposure unless EPA comprehensive dietary exposure and total aggregate exposure to determines that a different margin of risk assessment when available. Because ethametsulfuron methyl, they are safety will be safe for infants and ethametsulfuron methyl is not registered further discussed in the aggregate risk children. Margins of safety are for use, drinking water monitoring data sections below. incorporated into EPA risk assessments
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either directly through use of a margin bound concentrations; and (5) there are When EECs for surface water and of exposure (MOE) analysis or through currently no registered residential uses ground water are less than the using uncertainty (safety) factors in for ethametsulfuron and therefore, non- calculated DWLOCs, EPA concludes calculating a dose level that poses no dietary exposure to infants and children with reasonable certainty that exposures appreciable risk to humans. is not expected. to the pesticide in drinking water (when ii. Prenatal and postnatal sensitivity. E. Aggregate Risks and Determination of considered along with other sources of EPA determined that the available Safety exposure for which EPA has reliable Agency Guideline studies indicated no data) would not result in unacceptable increased susceptibility of rats or rabbits To estimate total aggregate exposure levels of aggregate human health risk at to in utero and/or postnatal exposure to to a pesticide from food, drinking water, this time. Because EPA considers the and residential uses, the Agency ethametsulfuron. In the prenatal aggregate risk resulting from multiple calculates DWLOCs which are used as a developmental toxicity studies in rats exposure pathways associated with a point of comparison against the model and rabbits as well as the 2-generation pesticide’s uses, levels of comparison in estimates of a pesticide’s concentration reproduction study in rats, toxicity to in water (EECs). DWLOC values are not drinking water may vary as those uses the fetuses/offspring, when observed, regulatory standards for drinking water. change. If new uses are added in the occurred at equivalent or higher doses DWLOCs are theoretical upper limits on future, EPA will reassess the potential than in the maternal/parental animals. a pesticide’s concentration in drinking impacts of residues of the pesticide in iii. Conclusion. The toxicity data base water in light of total aggregate exposure drinking water as a part of the aggregate for ethametsulfuron methyl is complete to a pesticide in food and residential risk assessment process. except for a general metabolism study. uses. In calculating a DWLOC, the 1. Acute risk. An acute RfD (aRfD) was The current metabolism study is not Agency determines how much of the not established because a dose and acceptable by current guidelines. A acceptable exposure (i.e., the PAD) is endpoint attributable to a single guideline study is required as a available for exposure through drinking exposure were not identified from the condition of the registration. The water e.g., allowable chronic water available oral toxicity studies, including exposure data are complete or estimated exposure (mg/kg/day) = cPAD - (average maternal toxicity in the developmental based on data that reasonably accounts food + residential exposure). This toxicity studies. for potential exposures. The FQPA allowable exposure through drinking Safety Factor Committee recommended water is used to calculate a DWLOC. 2. Chronic risk. Using the exposure that the 10x factor for protection of A DWLOC will vary depending on the assumptions described in this unit for infants and children (as required by toxic endpoint, drinking water chronic exposure, EPA has concluded FQPA) be removed since: (1) The consumption, and body weights. Default that exposure to ethametsulfuron < toxicology data base is complete except body weights and consumption values methyl from food will utilize 1% of the for the rat metabolism study. as used by the USEPA Office of Water cPAD for the U.S. population, <1% of Requirements for developmental are used to calculate DWLOCs: 2L/70 kg the cPAD for all infants (<1 year old) toxicity studies and reprodction studies (adult male), 2L/60 kg (adult female), and <1% of the cPAD for children (1-6 are satisfied; (2) there is no indication and 1L/10 kg (child). Default body years old). There are no residential uses of increased susceptibility of rats or weights and drinking water for ethametsulfuron methyl that result rabbit fetuses to in utero and/or consumption values vary on an in chronic residential exposure to postnatal exposure in the individual basis. This variation will be ethametsulfuron methyl. In addition, developmental and reproductive taken into account in more refined there is potential for chronic dietary toxicity data; (3) unrefined dietary screening-level and quantitative exposure to ethametsulfuron methyl in exposure estimates are protective since drinking water exposure assessments. drinking water. After calculating they will exaggerate dietary exposure Different populations will have different DWLOCs and comparing them to the estimates; (4) EFED will model ground DWLOCs. Generally, a DWLOC is EECs for surface and ground water, EPA and surface source drinking water calculated for each type of risk does not expect the aggregate exposure exposure assessments, resulting in assessment used: acute, short-term, to exceed 100% of the cPAD, as shown estimates that are conservative upper- intermediate-term, chronic, and cancer. in the following Table 3:
TABLE 3.—AGGREGATE RISK ASSESSMENT FOR CHRONIC (NON-CANCER) EXPOSURE TO ETHAMETSULFURON METHYL
Surface Ground Chronic Population Subgroup cPAD mg/ % cPAD Water EEC Water EEC DWLOC kg/day (Food) (ppb) (ppb) (ppb)
U.S. population 4.5 <1 0.32 0.11 160,000
Females 13+ 4.5 <1 0.32 0.11 140,000
Infants all (<1 year old) 4.5 <1 0.32 0.11 45,000
Children (1-6 years old) 4.5 <1 0.32 0.11 45,000
3. Short-term risk. Short-term Ethametsulfuron methyl is not do not exceed the Agency’s level of aggregate exposure takes into account registered for use on any sites that concern. residential exposure plus chronic would result in residential exposure. 4. Intermediate-term risk. exposure to food and water (considered Therefore, the aggregate risk is the sum Intermediate-term aggregate exposure to be a background exposure level). of the risk from food and water, which takes into account residential exposure plus chronic exposure to food and water
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(considered to be a background V. Conclusion public record. Information not marked exposure level). Therefore, the tolerances are confidential may be disclosed publicly Ethametsulfuron methyl is not established for residues of by EPA without prior notice. Mail your written request to: Office of registered for use on any sites that ethametsulfuron methyl (methyl 2- ((((4- the Hearing Clerk (1900), Environmental would result in residential exposure. ethoxy-6- (methylamino)-1,3,5- triazin- Protection Agency, 1200 Pennsylvania Therefore, the aggregate risk is the sum 2-yl) amino) carbonyl) amino) sulfonyl) Ave., NW., Washington, DC 20460. You of the risk from food and water, which benzoate), in or on canola, crambe, and may also deliver your request to the do not exceed the Agency’s level of rapeseed at 0.02 ppm. concern. Office of the Hearing Clerk in Rm. C400, 5. Aggregate cancer risk for U.S. VI. Objections and Hearing Requests Waterside Mall, 401 M St., SW., Washington, DC 20460. The Office of population. A cancer aggregate risk Under section 408(g) of the FFDCA, as the Hearing Clerk is open from 8 a.m. assessment was not performed because amended by the FQPA, any person may to 4 p.m., Monday through Friday, ethametsulfuron methyl is not expected file an objection to any aspect of this excluding legal holidays. The telephone to pose a cancer concern. regulation and may also request a number for the Office of the Hearing 6. Determination of safety. Based on hearing on those objections. The EPA Clerk is (202) 260–4865. these risk assessments, EPA concludes procedural regulations which govern the that there is a reasonable certainty that 2. Tolerance fee payment. If you file submission of objections and requests an objection or request a hearing, you no harm will result to the general for hearings appear in 40 CFR part 178. population, and to infants and children must also pay the fee prescribed by 40 Although the procedures in those CFR 180.33(i) or request a waiver of that from aggregate exposure to regulations require some modification to ethametsulfuron methy residues. fee pursuant to 40 CFR 180.33(m). You reflect the amendments made to the must mail the fee to: EPA Headquarters IV. Other Considerations FFDCA by the FQPA of 1996, EPA will Accounting Operations Branch, Office continue to use those procedures, with A. Analytical Enforcement Methodology of Pesticide Programs, P.O. Box appropriate adjustments, until the 360277M, Pittsburgh, PA 15251. Please There is an analytical method necessary modifications can be made. identify the fee submission by labeling available using high performance liquid The new section 408(g) provides it ‘‘Tolerance Petition Fees.’’ chromatography (HPLC) with a essentially the same process for persons EPA is authorized to waive any fee photoconductivity detector that has to ‘‘object’’ to a regulation for an requirement ‘‘when in the judgement of been validated by the petitioner to exemption from the requirement of a the Administrator such a waiver or gather residue data at the 0.02 ppm tolerance issued by EPA under new refund is equitable and not contrary to tolerance. EPA recommends this section 408(d), as was provided in the the purpose of this subsection.’’ For method be used by analysts having old FFDCA sections 408 and 409. additional information regarding the access to a working photoconductivity However, the period for filing objections waiver of these fees, you may contact conductor. An improved analytical is now 60 days, rather than 30 days. James Tompkins by phone at (703) 305– method is being validated by EPA‘s A. What Do I Need to Do to File an 5697, by e-mail at Analytical Chemistry Branch. Prior to Objection or Request a Hearing? [email protected], or by mailing a publication in PAM II, and upon request for information to Mr. Tompkins request, the existing HPLC analytical You must file your objection or at Registration Division (7505C), Office method for canola commodities will be request a hearing on this regulation in of Pesticide Programs, Environmental available from the Analytical Chemistry accordance with the instructions Protection Agency, 1200 Pennsylvania Branch (ACB), Biological Economic provided in this unit and in 40 CFR part Ave., NW., Washington, DC 20460. Analysis Division (BEAD) (7503C), 178. To ensure proper receipt by EPA, If you would like to request a waiver Environmental Science Center, 701 you must identify docket control of the tolerance objection fees, you must Mapes Road, Fort George G. Meade, MD number OPP–301111 in the subject line mail your request for such a waiver to: 20755–5350; contact Francis D. Griffith, on the first page of your submission. All James Hollins, Information Resources Jr., telephone (403) 305–2905, e-mail requests must be in writing, and must be and Services Division (7502C), Office of [email protected]. The analytical mailed or delivered to the Hearing Clerk Pesticide Programs, Environmental standards for this method are also on or before June 5, 2001. Protection Agency, 1200 Pennsylvania available from EPA’s National Pesticide 1. Filing the request. Your objection Ave., NW., Washington, DC 20460. Standard Repository at the same must specify the specific provisions in 3. Copies for the Docket. In addition location. the regulation that you object to, and the to filing an objection or hearing request grounds for the objections (40 CFR with the Hearing Clerk as described in B. International Residue Limits 178.25). If a hearing is requested, the Unit VI.A., you should also send a copy There are no Codex, Canadian, and objections must include a statement of of your request to the PIRIB for its Mexican maximum residue levels the factual issues(s) on which a hearing inclusion in the official record that is (MRLs). However, ethametsulfuron is requested, the requestor’s contentions described in Unit I.B.2. Mail your methyl is registered in Canada on on such issues, and a summary of any copies, identified by docket control canola/rape and mustard with a default evidence relied upon by the objector (40 number OPP–301111, to: Public value of 0.1 ppm, with no published CFR 178.27). Information submitted in Information and Records Integrity MRL. The use pattern and residue data connection with an objection or hearing Branch, Information Resources and support a U.S. tolerances of 0.02 on request may be claimed confidential by Services Division (7502C), Office of canola, crambe, and rapeseed. marking any part or all of that Pesticide Programs, Environmental information as CBI. Information so Protection Agency, 1200 Pennsylvania C. Conditions marked will not be disclosed except in Ave., NW., Washington, DC 20460. In A general metabolism study accordance with procedures set forth in person or by courier, bring a copy to the performed by current guidelines 40 CFR part 2. A copy of the location of the PIRIB described in Unit (870.7485) is being required as a information that does not contain CBI I.B.2. You may also send an electronic condition of the registration. must be submitted for inclusion in the copy of your request via e-mail to: opp-
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[email protected]. Please use an ASCII under FFDCA section 408(d), such as Thus, Executive Order 13175 does not file format and avoid the use of special the tolerance in this final rule, do not apply to this rule. characters and any form of encryption. require the issuance of a proposed rule, VIII. Submission to Congress and the Copies of electronic objections and the requirements of the Regulatory Comptroller General hearing requests will also be accepted Flexibility Act (RFA) (5 U.S.C. 601 et on disks in WordPerfect 6.1/8.0 or seq.) do not apply. In addition, the The Congressional Review Act, 5 ASCII file format. Do not include any Agency has determined that this action U.S.C. 801 et seq., as added by the Small CBI in your electronic copy. You may will not have a substantial direct effect Business Regulatory Enforcement also submit an electronic copy of your on States, on the relationship between Fairness Act of 1996, generally provides request at many Federal Depository the national government and the States, that before a rule may take effect, the Libraries. or on the distribution of power and agency promulgating the rule must B. When Will the Agency Grant a responsibilities among the various submit a rule report, which includes a Request for a Hearing? levels of government, as specified in copy of the rule, to each House of the Congress and to the Comptroller General A request for a hearing will be granted Executive Order 13132, entitled of the United States. EPA will submit a if the Administrator determines that the Federalism (64 FR 43255, August 10, material submitted shows the following: 1999). Executive Order 13132 requires report containing this rule and other There is a genuine and substantial issue EPA to develop an accountable process required information to the U.S. Senate, of fact; there is a reasonable possibility to ensure ‘‘meaningful and timely input the U.S. House of Representatives, and that available evidence identified by the by State and local officials in the the Comptroller General of the United requestor would, if established resolve development of regulatory policies that States prior to publication of this final one or more of such issues in favor of have federalism implications.’’ ‘‘Policies rule in the Federal Register. This final the requestor, taking into account that have federalism implications’’ is rule is not a ‘‘major rule’’ as defined by uncontested claims or facts to the defined in the Executive Order to 5 U.S.C. 804(2). contrary; and resolution of the factual include regulations that have List of Subjects in 40 CFR Part 180 issues(s) in the manner sought by the ‘‘substantial direct effects on the States, requestor would be adequate to justify on the relationship between the national Environmental protection, the action requested (40 CFR 178.32). government and the States, or on the Administrative practice and procedure, distribution of power and Agricultural commodities, Pesticides VII. Regulatory Assessment responsibilities among the various and pests, Reporting and recordkeeping Requirements levels of government.’’ This final rule requirements. This final rule establishes a tolerance directly regulates growers, food under FFDCA section 408(d) in processors, food handlers and food Dated: March 21, 2001. response to a petition submitted to the retailers, not States. This action does not Anne E. Lindsay, Agency. The Office of Management and alter the relationships or distribution of Budget (OMB) has exempted these types power and responsibilities established Acting Director, Office of Pesticide Programs. of actions from review under Executive by Congress in the preemption Therefore, 40 CFR chapter I is Order 12866, entitled Regulatory provisions of FFDCA section 408(n)(4). Planning and Review (58 FR 51735, amended as follows: For these same reasons, the Agency has October 4, 1993). This final rule does determined that this rule does not have PART 180—[AMENDED] not contain any information collections any ‘‘tribal implications’’ as described subject to OMB approval under the 1. The authority citation for part 180 Paperwork Reduction Act (PRA), 44 in Executive Order 13175, entitled continues to read as follows: U.S.C. 3501 et seq., or impose any Consultation and Coordination with enforceable duty or contain any Indian Tribal Governments (65 FR Authority: 21 U.S.C. 321(q), 346(a) and unfunded mandate as described under 67249, November 6, 2000). Executive 371. Title II of the Unfunded Mandates Order 13175, requires EPA to develop an accountable process to ensure 2. Section 180.563 is amended by Reform Act of 1995 (UMRA) (Public adding paragraph (a) to read as follows: Law 104–4). Nor does it require any ‘‘meaningful and timely input by tribal special considerations under Executive officials in the development of § 180.563 Ethametsulfuron methyl; Order 12898, entitled Federal Actions to regulatory policies that have tribal tolerances for residues. implications.’’ ‘‘Policies that have tribal Address Environmental Justice in (a) General. A tolerance is established implications’’ is defined in the Minority Populations and Low-Income for residues of ethametsulfuron methyl Executive Order to include regulations Populations (59 FR 7629, February 16, (methyl 2- ((((4-ethoxy-6- 1994); or OMB review or any Agency that have ‘‘substantial direct effects on (methylamino)-1,3,5- triazin-2-yl) action under Executive Order 13045, one or more Indian tribes, on the amino) carbonyl) amino) sulfonyl) entitled Protection of Children from relationship between the Federal benzoate) in or on the following raw Environmental Health Risks and Safety government and the Indian tribes, or on agricultural commodities. Risks (62 FR 19885, April 23, 1997). the distribution of power and This action does not involve any responsibilities between the Federal Commodity Parts per technical standards that would require government and Indian tribes.’’ This million Agency consideration of voluntary rule will not have substantial direct consensus standards pursuant to section effects on tribal governments, on the Canola seed 0.02 12(d) of the National Technology relationship between the Federal Crambe 0.02 Rapeseed 0.02 Transfer and Advancement Act of 1995 government and Indian tribes, or on the (NTTAA), Public Law 104–113, section distribution of power and * * * * * 12(d) (15 U.S.C. 272 note). Since responsibilities between the Federal tolerances and exemptions that are government and Indian tribes, as [FR Doc. 01–8484 Filed 4–5–01; 8:45 am] established on the basis of a petition specified in Executive Order 13175. BILLING CODE 6560–50–S
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DEPARTMENT OF TRANSPORTATION A seat belt assembly shall provide pelvic Automotive Occupant Restraint Council restraint whether or not upper torso restraint (AORC), the Association of International National Highway Traffic Safety is provided, and the pelvic restraint shall be Automobile Manufacturers (AIAM), Administration designed to remain on the pelvis under all Chrysler Corporation (Chrysler), Ford conditions, including collision or roll-over of the motor vehicle. Pelvic restraint of a Type Motor Company (Ford), and Volkswagen 49 CFR Part 571 2 seat belt assembly that can be used without of America, Inc. (VW) all favored the [Docket No. 99–5682] upper torso restraint shall comply with agency’s proposal to delete S4.1(b) from requirement for Type 1 seat belt assembly in Standard No. 209. Advocates for RIN 2127–AG48 S4.1 to S4.4. Highway Safety (Advocates) and the Although the brief preamble of the National Transportation Safety Board Federal Motor Vehicle Safety (NTSB) opposed it. Standards; Seat Belt Assemblies notice establishing the standard and paragraph S4.1(b) in 1967 did not In a final rule published in the AGENCY: National Highway Traffic discuss the purpose of that paragraph, Federal Register on May 19, 1999 (64 Safety Administration (NHTSA), DOT. NHTSA subsequently indicated that it FR 27203, DOT docket #99–5682–1), NHTSA deleted S4.1(b) from Standard ACTION: Denial of petitions for regarded the purpose of S4.1(b) to be the No. 209. As the agency explained at that reconsideration. reduction of the likelihood of restrained occupants sliding forward and under a time, NHTSA concluded that S4.1(b) is SUMMARY: This notice announces the fastened safety belt during a crash unnecessary because subsequently denial of petitions for reconsideration of (referred to as submarining). It is adopted provisions in Standard No. 208 the agency’s final rule deleting the important that the lap belt remains on and Standard No. 210, and other provision in Standard No. 209, Seat belt the pelvis so that the crash forces provisions in Standard No. 209, assemblies, requiring that the lap belt transferred by a lap belt are imposed on contained more specific requirements portion of a safety belt system ‘‘shall be the strong, bony pelvis, instead of the that collectively achieved the same designed to remain on the pelvis under more vulnerable abdominal region. objective for a broad category of vehicle all conditions.’’ In a notice of proposed rulemaking occupants. These provisions regulating belt angle, adjustment, fit, and the FOR FURTHER INFORMATION CONTACT: For (NPRM) published on July 7, 1997 (62 non-legal issues: Mr. John Lee, Office of FR 36251),2 NHTSA proposed to delete amount of slack in the belt were viewed by NHTSA as adequately addressing the Crashworthiness Standards, NPS–11, S4.1(b). NHTSA tentatively concluded likelihood of occupant submarining. In National Highway Traffic Safety that S4.1(b) was unclear and should particular, the agency determined that Administration, 400 Seventh Street, either be clarified or deleted. The Standards No. 208 and 209 address seat SW., Washington, DC 20590, telephone agency explained that it was unclear belt fit and adjustment by requiring seat (202) 366–2264, facsimile (202) 366– how it would objectively determine that belts to fit a wide range of vehicle 4329, electronic mail a lap belt complied with the Standard occupants, thereby assuring that belts [email protected]. and was in fact ‘‘designed’’ to remain on are likely to be correctly located on an For legal issues: Mr. Otto G. Matheke, the pelvis. NHTSA raised the issue of occupant. Further, NHTSA also III, NCC–20, Rulemaking Division, whether a lap belt’s failure to remain on observed that it amended S4.3.1 of Office of Chief Counsel, National the pelvis during a crash could be Standard No. 210 in 1990 to increase the Highway Traffic Safety Administration, sufficient to establish that the belt was minimum lap belt angle from 20 degrees 400 Seventh Street, SW., Washington, not ‘‘designed’’ to remain on the pelvis to 30 degrees. (55 FR 17970, April 30, DC 20590, telephone (202) 366–2992, under all conditions. In addition, 1990), thereby reducing the potential for facsimile (202) 366–3820, electronic NHTSA noted that the meaning of the occupant submarining. The agency also mail [email protected]. words, ‘‘remain on the pelvis,’’ was unclear. The agency also stated its belief noted that the potential for occupant SUPPLEMENTARY INFORMATION: that Standard No. 208, other provisions submarining is also affected by the I. Background in Standard No. 209, and Standard No. amount of slack in a lap belt and that 210 contained more specific S4.3(j) of Standard No. 209, Federal Motor Vehicle Safety promulgated after S4.1(b), lowered the Standard No. 209, Seat belt assemblies, requirements that collectively have the effect of requiring effective pelvic risk of occupant submarining by specifies requirements for seat belt controlling the amount of slack that may assemblies, including the pelvic restraint and thereby reducing the likelihood of occupants submarining be introduced into the belt. restraint (i.e., lap belt) and the upper The agency also concluded that torso restraint (i.e., shoulder belt). Other during a crash. NHTSA tentatively concluded that the requirement S4.1(b) was essentially unenforceable. requirements address the release The agency did not have a test mechanism, attachment hardware, appeared to be unnecessary and unenforceable and was an appropriate procedure for evaluating compliance adjustment, webbing, strap, marking candidate for deletion. with S4.1(b), and did not believe that a and other informational instructions. NHTSA received nine comments in repeatable, practicable test could be NHTSA adopted Standard No. 209 in response to the NPRM. General Motors devised to determine compliance with 1967 as one of the initial Federal motor Corporation (GM), Mercedes Benz, the the provision. NHTSA determined that vehicle safety standards (32 FR 2408, no single test could be devised to 1 February 3, 1967). 2 The NPRM was issued in response to a May 24, determine if a belt was designed to stay From the time the Standard was 1996 petition for rulemaking from the Association on the pelvis under all conditions. issued until the issuance of the final of International Automobile Manufacturers, Inc. rule deleting the provision, S4.1(b) (AIAM). AIAM petitioned NHTSA to delete S4.1(b) II. Petitions for Reconsideration of Standard No. 209. AIAM stated that the phrase contained the following requirement: ‘‘designed to remain on the pelvis under all The agency received one petition for conditions’’ was redundant of other, more specific reconsideration and two comments 1 Standard No. 209 was adopted from a and more stringent requirements in Standard No. regarding the May 19,1999 final rule. Department of Commerce standard (32 FR 2408, 208, Occupant Crash Protection, Standard No. 209, February 3, 1967), which was adopted from a and Standard No. 210, Seat Belt Assembly Syson-Hille & Associates (Syson), a Society of Automotive Engineers (SAE) standard. Anchorages, which already provide specific consulting group, filed its petition on (29 FR 16973, December 11, 1964). requirements that affect pelvic restraint. June 22, 1999. Ms. Kimberly Abood
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submitted comments opposing the final minor crash, but had sustained requirement to a general command that rule on July 7, 1999 and Mr. Chad Cloud extremely severe injuries when she the belt remain on the pelvis. Unless filed similar comments on November 8, submarined under her lap belt. Ms. limited to some type of crash, this 1999.3 All were concerned that the Abood stated her belief that automakers command would be the equivalent of deletion of S4.1(b) would increase will not test for submarining if S4.1(b) ‘‘under all conditions.’’ As the risk of submarining injuries. In addition, Syson is eliminated and the same submarining is greatest in a frontal believed that the deletion of S4.1(b) manufacturers will be able to cut costs impact, the logical choice would be to would also have an impact on the without being held accountable for their specify that the belt remain on the performance of belt latches in rollovers, designs. pelvis in a frontal crash. However, as as the requirement that a belt remain Mr. Chad Cloud submitted comments the agency noted when it issued the over the pelvis implicitly demands that similar to those submitted by Ms. final rule, NHTSA has concluded that a belt remain fastened at all times. Abood. Mr. Cloud indicated that his son existing provisions in other standards, Syson disagreed with NHTSA’s suffered severe spinal injuries and particularly Standard No. 210, Standard determination that other provisions in resulting paralysis after submarining No. 209 and Standard No. 208, Standards No. 208, No. 209 and No. 210 under a rear seat lap belt in a 1988 adequately protect against this risk. would provide adequate assurance that Plymouth Horizon involved in a crash. The agency concedes that, in theory, submarining would not occur in a crash. Mr. Cloud argued that his son’s injuries S4.1(b) could have been modified to Syson argued that the parameters were caused by the fact that the 1988 include a practicable test procedure affected by the foregoing provisions (i.e., Horizon did not comply with S4.1(b) of applicable to some crash conditions. lap belt angles, shoulder belt anchorages Standard No. 209. Because of this However, as noted above and in the and junction to centerline distance) experience, Mr. Cloud urged NHTSA preamble to the May 19, 1999 final rule, addressed only three of 20 conditions not to modify the Standard. NHTSA believes that any safety need that Syson considers to be important in III. Response To Petitions for that might have been addressed by such submarining. Syson further claimed that Reconsideration a test has been met by other provisions the current agency standards applicable in existing safety standards. In to lap belt angles, shoulder belt In response to the petitions for particular, the agency notes that the anchorage locations, and junction to reconsideration the agency has reviewed minimum lap belt angle requirements its decision to delete S4.1(b) from centerline distance addressed these now found in Standard No. 210, reduce Standard No. 209. For the reasons stated factors in the most general sense the risk of submarining.4 without adequate assurances of below, the agency is affirming its earlier Mr. Chad Cloud and Ms. Kimberly performance. Syson urged that NHTSA decision. Abood both urged NHTSA to reconsider Standard No. 209 was among the make a submarining test specification its decision to delete S4.1(b) on the initial set of safety standards issued by part of the FMVSS No. 208 crash test basis that the provision operated to the agency. The section at issue here, procedures and cautioned the agency, prevent manufacturers from employing S4.1(b), dates from the original issuance stating that the elimination of S4.1(b) belt systems which might allow of Standard No. 209 in 1967. The agency imposes a safety cost and offers no occupants to ‘‘submarine’’ under a lap notes that both automobile safety and benefits. Syson also stated its belief that belt in a crash and suffer abdominal NHTSA’s own safety standards have the elimination of S4.1(b) increased injuries as a result of the lap belt evolved considerably since that time. As risks to occupants in all collisions, not moving off the pelvis and onto the the agency noted in the preamble just frontal impacts. In Syson’s view, abdomen. As Ms. Abood and Mr. Cloud accompanying the final rule deleting S4.1(b)’s command that the belt be pointed out, a lap belt may inflict S4.1(b), upgrades to a number of designed to remain on the pelvis under serious or fatal injuries if such standards that have occurred since the all conditions required that the belt submarining occurs. NHTSA is aware of adoption of Standard No. 209 now remain on an occupant’s pelvis in any this risk, and has concluded that provide adequate, if not superior, safety and all impacts and events. Because of deletion of S4.1(b) does not increase it. benefits beyond those that may have this, Syson believes that S4.1(b) not Submarining occurs when an been realized through the adoption of only served to ensure that belts remain occupant moves forward and properly located, but also required that S4.1(b). The agency also notes that, for a underneath a lap belt in a frontal crash. belts always remain fastened as an A number of measures instituted by the unfastened belt will not remain on the number of reasons, compliance with S4.1(b) could neither be measured nor agency since the adoption of S4.1(b) pelvis. In particular, Syson alleged that require manufacturers to use seat belts certain buckle designs are likely to enforced. S4.1(b) contained the general command that a seat belt ‘‘shall be minimize the risk of submarining in unlatch in side impacts or rollovers. frontal crashes. For example, Standard Ms. Kimberly Abood submitted designed to remain on the pelvis under No. 208 was modified in 1985 through comments indicating her concern about all conditions * * *.’’ The particular the issuance of a final rule requiring the deletion of S4.1(b) from Standard language of S4.1(b), which would have improvements in seat belt comfort and No. 209. In Ms. Abood’s view, the required examination of whether a original requirement that the lap belt be configuration was ‘‘designed to’’ achieve fit (50 FR 46056, November 6, 1985). designed to remain on the pelvis was a result rather than measuring actual Later amendments to that standard inserted in the Standard for good reason performance, made the development of required dynamic testing of seat belts in and should not be deleted for the a practical compliance test unlikely. passenger cars (51 FR 9800, March 21, convenience of the auto industry. Ms. Assessing the performance of a device 1986) and in light trucks (52 FR 44898, Abood related how she had been in a under ‘‘all conditions,’’ is not November 23, 1987). In November 1989, practicable. the risk of injuries from submarining 3 The comments filed by Mr. Cloud and Ms. Elimination of the subjective was significantly reduced by the Abood did not meet the formal requirements for requirement that a belt must have a petitions for reconsideration and were filed after the 4 NHTSA test data have shown that the deadline for such petitions had passed. specific design goal and the requirement occurrence of submarining is diminished as lap belt Nonetheless, the agency is treating these comments that it meet this goal under all angles increase (‘‘Rear Seat Submarining as if they were proper petitions. conditions would reduce the Investigation,’’ DOT HS 807–347, May 1988).
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issuance of a requirement that lap and occupant’s clothing are variables unique education and outreach and shoulder belts be provided at all front to an individual crash. communications. Because their facing outboard seating positions in Syson also urged the agency to adopt circumstances are different, we will also passenger cars, light trucks and additional tests and modify the Hybrid let the Commonwealth of Puerto Rico, multipurpose vehicles (54 FR 46257, III dummy to address submarining. the District of Columbia, the November 2, 1989). An amendment to Again, in light of the amendments to Commonwealth of the Northern Mariana Standard No. 210 increasing the Standards No. 208 and 210, NHTSA Islands, Guam, the Virgin Islands, and minimum lap belt angle was issued by does not believe these steps are American Samoa spend in excess of 15 NHTSA in April 1990 (55 FR 17970, necessary. Lastly, Syson argues that percent for these purposes, with the April 30, 1990). S4.1(b)’s requirement that the belt approval of the appropriate Fish and Neither Mr. Cloud or Ms. Abood remain on the pelvis provides an Wildlife Service Regional Director. We submitted any data with their comments additional safeguard against seat belt are also defining existing requirements other than to provide an account of the buckle failure and unlatching. The for the collection of information seat-belt related injuries suffered by agency notes that Standard No. 209 required by the Paperwork Reduction themselves or a family member in already contains a number of Act and the Office of Management and individual crashes. In both instances, requirements that require that seat belt Budget’s implementing regulation. the injuries appear to have occurred in latches perform as they should. In DATES: This rule is effective on May 7, older vehicles designed and built before regard to Syson’s claim that certain 2001. the effective dates of the amendments buckle designs may release in side ADDRESSES: The administrative record discussed above. NHTSA believes that, impacts and rollovers, the agency notes for this rule is available for viewing in both cases, the presence of shoulder that its Office of Defects Investigation Monday through Friday, 8 a.m. to 4 belts in addition to lap belts, the (ODI) completed an extensive p.m., in the Division of Federal Aid, modifications to the minimum lap belt investigation involving the alleged 4401 North Fairfax Drive, Suite 140, angle, and the other changes to Standard problem of inadvertent unlatching of the Arlington, Virginia 22203. No. 208 might very well have been buckle of certain designs of safety belts. FOR FURTHER INFORMATION CONTACT: Kris sufficient to prevent or reduce the (The investigation is documented in a E. LaMontagne, Chief, Division of severity of the injuries described in the 1992 Vehicle Research and Test Center Federal Aid, U.S. Fish and Wildlife comments. test report titled, ‘‘Tests Regarding Service. Telephone: (703) 358–2156. Alleged Inertial Unlatching of Safety As is the case with Mr. Cloud and Ms. SUPPLEMENTARY INFORMATION: Abood, Syson did not submit any data Belt Buckles.’’ This document may be supporting its contention that the obtained from NHTSA’s Technical Background agency should reconsider its decision to Information Services office.) Through the Federal Aid in Sport Fish delete S4.1(b). Syson’s principal IV. Conclusion Restoration Program, the Service argument is that the amendments to disburses funds to States (including the Standards No. 208 and 210 that were For the reasons provided above, the District of Columbia and the U.S. cited by the agency as providing, in the petitions are denied. insular territories and Commonwealths) aggregate, superior protection than that Issued on: March 30, 2001. to restore and manage the Nation’s offered by S4.1(b), were too general and Stephen R. Kratzke, fishery resources. The States use the do not sufficiently address submarining. Associate Administrator for Safety funds to fund fisheries research, Syson further stated that it had Performance Standards. surveys, and management; purchase and identified 20 variables that it viewed as [FR Doc. 01–8443 Filed 4–5–01; 8:45 am] restore habitat; operate hatcheries; build affecting submarining and that, at best, BILLING CODE 4910–59–P boat access; and provide aquatic the measures adopted by NHTSA education and outreach and subsequent to the promulgation of communications programs. S4.1.(b) addressed only three of those DEPARTMENT OF THE INTERIOR The Federal Aid in Sport Fish variables. Restoration Act (Act), 16 U.S.C. 777 et NHTSA does not agree. The Fish and Wildlife Service seq., authorizes the program. It was amendments cited by the agency, enacted in 1950, and carried out by particularly those relating to lap belt 50 CFR Part 80 regulations in 50 CFR part 80, angles and requiring shoulder belts, ‘‘Administrative Requirements, Federal reduce the risks of submarining to a far RIN 1018–AD83 Aid in Fish and Federal Aid in Wildlife greater extent than the requirements of Federal Aid in Sport Fish Restoration Restoration Acts.’’ The Service derives S4.1(b). Furthermore, an examination of Program; Participation by the District funds for the Program from excise and the 20 factors submitted by Syson of Columbia and U.S. Insular import taxes on fishing tackle and indicates that these factors are either Territories and Commonwealths motorboat fuel. The manufacturer or addressed by existing standards, are importer collects the tax and pays it to variables that could not reasonably be AGENCY: Fish and Wildlife Service, the U.S. Department of the Treasury, controlled by regulation, or are variables Interior. who transfers the money to the Service particular to a specific user or crash. At ACTION: Final rule. for distribution to the States. least four of the factors noted by Syson Congress has amended the Act several (belt angles, belt elongation, anchorage SUMMARY: We, the U.S. Fish and times. The Transportation Equity Act for location and retractor locking) are Wildlife Service (Service), will conform the 21st Century (Public Law 105–178), subject to existing regulations. Others, our regulations for the Federal Aid in passed in 1998, commonly called TEA– such as vehicle pitch, vehicle Sport Fish Restoration Program to a 21, increased from 10 percent to 15 deceleration pulse, seat back position, recently enacted law by letting the percent the maximum allowable the occupant’s seated position, friction States spend up to 15 percent (not just expenditure of Sport Fish Restoration between occupant and belt, friction 10 percent as previously allowed) of apportioned dollars for aquatic between occupant and seat, and the their Federal Aid funds on aquatic education, which now also applies to
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outreach and communications projects. The Office of Management and Budget Islands, Guam, the Virgin Islands, and Section 777g(c) of the Act states, ‘‘(E)ach determined this document is not a American Samoa. State may use not to exceed 15 percent significant regulatory action under The Department of the Interior of the funds apportioned to it under Executive Order 12866, Regulatory certifies that this rule will not have a Section 777c of this title to pay up to 75 Planning and Review. significant economic effect on a percent of the costs of an aquatic This rule will not have an annual substantial number of small entities resource education and outreach and economic effect of $100 million or under the Regulatory Flexibility Act of communications program for the adversely affect an economic sector, 1980 (5 U.S.C. 601 et seq.). This action purpose of increasing public productivity, jobs, the environment, or affects, by giving them more flexibility, understanding of the Nation’s water other units of government. Neither a the Commonwealth of Puerto Rico, the resources and associated aquatic life cost or benefit economic analysis is District of Columbia, the forms.’’ In addition, section 777k of the required because of the low dollar Commonwealth of the Northern Mariana Act states in part that ‘‘(T)he Secretary amount of this proposed rule change. Islands, Guam, the Virgin Islands, and of the Interior (Secretary) is authorized This change will simply redistribute American Samoa. These entities govern to cooperate with the Secretary of existing money. The District of populations of more than 50,000, and, Agriculture of Puerto Rico, the Mayor of Columbia, the Commonwealth of the therefore, they are not small entities as the District of Columbia, the Governor Northern Mariana Islands, Guam, the defined in 5 U.S.C. 601. The change of Guam, the Governor of American Virgin Islands, and American Samoa simply allows for the redistribution of Samoa, the Governor of the (but not Puerto Rico) each receives an existing funds. Commonwealth of the Northern Mariana annual apportionment of one-third of Additional funding for aquatic Islands, and the Governor of the one percent of the Sport Fish education and outreach and American Virgin Islands, in the conduct Restoration account. Over the last 10 communications will benefit local of fish restoration and management years, this amount has ranged from residents without appreciable losses in projects, as defined in section 777a of about $580,000 to $910,000, with an management capability. No discernible this title, upon such terms and average of approximately $720,000 per effects on product prices or other conditions as he shall deem fair, just, year. In 2000, the apportionment was economic effects are associated with and equitable * * *’’ $803,128, which permitted them to each this rule. On June 9, 2000, the Service spend $120,469 (15 percent) for aquatic We have determined and now certify published a proposed rule in the education and outreach and pursuant to the Unfunded Mandates Federal Register (65 FR 36653) to communications. Puerto Rico, which Reform Act (2 U.S.C. 1502 et seq.) that amend 50 CFR part 80 to carry out TEA– receives 1 percent, has a 10-year average this rulemaking will not impose a cost 21. Specifically we proposed to amend of $2,164,533, with a 2000 of $100 million or more in any given § 80.15 to raise the amount that States apportionment of $2,409,383, and year on local, State, or territorial may expend for aquatic education and currently has an aquatic education and governments or private entities. outreach and communications to 15 outreach and communications spending This rule is not a major rule under 5 percent. We also proposed to allow the limit of $361,407. The dollar amounts of U.S.C. 804(2), the Small Business Commonwealth of Puerto Rico, the this rule will not have a major effect on Regulatory Enforcement Fairness Act. District of Columbia, the the affected economies, since the money This rule does not have an annual effect Commonwealth of the Northern Mariana would have been obligated under on the economy of $100 million or Islands, Guam, the Virgin Islands, and programs other than aquatic education more, will not cause a major increase in American Samoa to spend a higher and outreach and communications costs or prices for consumers, percentage of their funds for this without this change. individual industries, Federal, State, purpose, as determined by the This rule will not create territorial, or local government agencies, appropriate Regional Director. We also inconsistencies with other agencies’ or geographic regions; and does not proposed to rewrite 50 CFR 80.15 in actions or materially affect entitlements, have significant adverse effects on plain language and to add a new 50 CFR grants, user fees, loan programs, or the competition, employment, investment, 80.27 concerning information collection rights and obligations of their recipients. productivity, innovation, or the ability requirements. We received no This rule increases the allowable of U.S.-based enterprises to compete comments during the 60-day comment spending levels of Sport Fish with foreign-based enterprises. This rule period, which ended August 8, 2000. Restoration dollars for aquatic education change allows redirection of certain and outreach and communications, not monies within a total apportionment. Required Determinations the total apportionment for the No added or reduced total funding is We have examined this action under recipients. involved in this change. the Paperwork Reduction Act (PRA) of This rule will not raise novel legal or We have determined that these 1995 and found it to contain no new or policy issues. The 15-percent limit regulations meet the applicable revised information collection applying to States was done through standards provided in sections 3(a) and requirements. We currently have congressional action. The raised 3(b)(2) of Executive Order 12988, Civil approval for Grant Agreements and spending authority for the District of Justice Reform. Amendments (1018–0049), Part 1 Columbia and the U.S. Insular In accordance with Executive Order Certification and Part 2 Summary of Territories and Commonwealths simply 13132, the rule does not have significant Hunting and Fishing Licenses (1018– recognizes the different situations that Federalism effects. A Federalism 0007), and The Federal Aid Grant these recipients have concerning assessment is not required. This rule Application Booklet (1018–0109). opportunities for aquatic education and gives the recipients (the District of However, a new section, 50 CFR 80.27, outreach and communications projects. Columbia, the Commonwealth of Puerto is added to fulfill the public notice The Act authorizes cooperation with the Rico, the Commonwealth of the requirements of the PRA for existing Commonwealth of Puerto Rico, the Northern Mariana Islands, Guam, the approved information collection District of Columbia, the Virgin Islands, and American Samoa) requirements contained in part 80. Commonwealth of the Northern Mariana more self-determination by allowing
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them more flexibility in their spending effective date of the grant agreement are number. Our requests for information decisions. allowable only when specifically will be used to apportion funds and to We have analyzed this rule in provided for in the grant agreement. review and make decisions on grant accordance with the criteria of the (d) How are costs allocated in applications and reimbursement National Environmental Policy Act and multipurpose projects or facilities? payment requests submitted to the 516 DM 2, Appendix 1. This rule does Projects or facilities designed to include Federal Aid Program. not constitute a major Federal action purposes other than those eligible under (b) OMB Circular A–102 requires the significantly affecting the quality of the either the Sport Fish Restoration or use of several Standard Forms: SF–424, human environment. An environmental Wildlife Restoration Acts must provide SF–424A and SF–424B, SF–424C, SF– impact statement/assessment is not for the allocation of costs among the 424D, SF–269A and SF–269B, SF–270, required due to the categorical various purposes. The method used to SF–271 and SF–272 (For availability, exclusion (1.10) for administrative allocate costs must produce an equitable see 5 CFR 1310.3.). Combined, as many changes. distribution of costs based on the as 12,000 of these forms are used In accordance with Executive Order relative uses or benefits provided. annually by grant applicants. The 12630, the rule does not have significant (e) What is the limit on administrative individual burden is approximately 1 takings implications. A takings costs for State central services? hour to compile information and implication assessment is not required. Administrative costs in the form of complete each form; the total burden is This rule has no taking of personal overhead or indirect costs for State approximately 12,000 hours property implications; it is restricted to central services outside of the State fish (approximately 3,500 grants are grants administration for government and wildlife agency must be in accord awarded/renewed each year, but not all entities. with an approved cost allocation plan forms are used for all grants). These In accordance with the President’s and cannot exceed in any one fiscal year forms are needed to document grant memorandum of April 29, 1994, three per centum of the annual applications and requests for ‘‘Government-to-Government Relations apportionment to that State. Each State reimbursement. with Native American Tribal has a State Wide Cost Allocation Plan (c) Part 1 Certification (Service Form Governments’’ (59 FR 22951), Executive that describes approved allocations of 3–154A, OMB Control No. 1018–0007) Order 13175, and 512 DM 2, although indirect costs to agencies and programs and Part 2 Summary of Hunting and generally not applicable, we are within the State. Sport Fishing Licenses Issued (Service coordinating with federally recognized (f) How much money may be Form 3–154B, OMB Control No. 1018– tribes on a Government-to-Government obligated for aquatic education and 0007) require approximately one-half basis when needed. outreach and communications? (1) Each hour from each of 56 respondent States of the 50 States may spend no more than and territories for a total burden of 28 List of Subjects in 50 CFR Part 80 15 percent of the annual amount hours. The information is routinely Fish, Grant programs—natural apportioned to it under provisions of collected by the States and territories resources, Reporting and recordkeeping the Federal Aid in Sport Fish and easily transferred to these forms and requirements, Signs and symbols, Restoration Act for an aquatic education certified. This information is used in a Wildlife. and outreach and communications statutory formula to apportion funds Accordingly, we amend part 80, program for the purpose of increasing among the grant recipients. Subchapter F of chapter I, title 50 of the public understanding of the Nation’s (d) The Grant Agreement, (Service Form 3–1552, OMB Control No. 1018– Code of Federal Regulations as follows: water resources and associated aquatic life forms. 0049) and Amendment to Grant PART 80—[AMENDED] (2) The Commonwealth of Puerto Agreement, (Service Form 3–1591, OMB Rico, the District of Columbia, the Control No. 1018–0049) require 1. The authority citation for part 80 Commonwealth of the Northern Mariana approximately 1 hour to gather relevant continues to read as follows: Islands, Guam, the Virgin Islands, and information, review, type, and sign. Authority: 16 U.S.C. 777i; 16 U.S.C. 669i; American Samoa are not limited to the This information is compiled in the 18 U.S.C. 701. 15-percent cap imposed on the 50 normal agency planning processes and 2. Revise § 80.15 to read as follows: States. Each of these entities may spend transferred to these forms. Recipients more for these purposes with the nationwide complete approximately § 80.15 Allowable costs. approval of the appropriate Regional 3,500 Grant Agreement forms and 1,750 (a) What are allowable costs? Director. Amendment to Grant Agreement forms Allowable costs are costs that are 3. Add § 80.27 to read as follows: during any fiscal year for a total burden necessary and reasonable for of 5,250 hours. This information is used accomplishment of approved project § 80.27 Information collection to document financial awards made to purposes and are in accordance with the requirements. grant recipients and amendments to cost principles of OMB Circular A–87 (a) Information gathering these awards. (For availability, see 5 CFR 1310.3.). requirements include filling out forms (e) The Federal Aid Grant Application (b) What is required to determine the to apply for certain benefits offered by Booklet (OMB Control No. 1018–0109) allowability of costs? Source documents the Federal Government. Information contains narrative instruction for or other records as necessary must gathered under this part is authorized applying for grants. It requires support all costs to substantiate the under the Federal Aid in Sport Fish approximately 80 hours to collect application of funds. Such Restoration Act (16 U.S.C. 777–7771) information and prepare a grant documentation and records are subject and the Federal Aid in Wildlife application package. Applicants prepare to review by the Service and, if Restoration Act (16 U.S.C. 669–669i). and submit about 5,250 of these grant necessary, the Secretary to determine The Service may not conduct or application packages annually for a total the allowability of costs. sponsor, and applicants or grantees are burden of 283,500 hours. This (c) Are costs allowable if they are not required to respond to, a collection information is used to determine if the incurred prior to the date of the grant of information unless the request work, cost, and future benefits of a grant agreement? Costs incurred prior to the displays a currently valid OMB control application meet the needs of the
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Federal Aid in Sport Fish and Wildlife Agreement, Amendment to Grant Fairfax Drive, Suite 222, Arlington, VA Restoration programs. Agreement, or The Federal Aid Grant 22203. (f) The public is invited to submit Application Booklet and to suggest ways Dated: March 20, 2001. comments on the accuracy of the in which the burden may be reduced. Joseph E. Doddridge, estimated average burden hours needed Comments may be submitted to: U.S. Acting Assistant Secretary for Fish and for completing Part I—Certification, Part Fish and Wildlife Service, Information Wildlife and Parks. II—Summary of Hunting and Sport Collection Clearance Officer, 4401 North [FR Doc. 01–8418 Filed 4–5–01; 8:45 am] Fishing Licenses Issued, Grant BILLING CODE 4310–55–P
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Proposed Rules Federal Register Vol. 66, No. 67
Friday, April 6, 2001
This section of the FEDERAL REGISTER weekdays, except Federal holidays, possibility of fire into the passenger contains notices to the public of the proposed between 7:30 a.m. and 4:00 p.m. cabin environment. These potential issuance of rules and regulations. The FOR FURTHER INFORMATION CONTACT: hazards to the airplane and its purpose of these notices is to give interested Alan Sinclair, FAA, Transport occupants must be satisfactorily persons an opportunity to participate in the addressed. Since existing airworthiness rule making prior to the adoption of the final Standards Staff, ANM–115, Transport rules. Airplane Directorate, Aircraft regulations do not contain safety Certification Service, 1601 Lind Avenue standards addressing cooktops, special SW., Renton, Washington 98055–4056; conditions are therefore proposed. DEPARTMENT OF TRANSPORTATION telephone (425) 227–2195; facsimile Type Certification Basis (425) 227–1149. Federal Aviation Administration Under the provisions of 14 CFR SUPPLEMENTARY INFORMATION: 21.101, Gulfstream Aerospace 14 CFR Part 25 Comments Invited Corporation must show that the Model G–V airplane, as changed, continues to Interested persons are invited to meet the applicable provisions of the [Docket No. NM189; Notice No. 25–01–03– participate in the making of these regulations incorporated by reference in SC] proposed special conditions by Type Certificate Data Sheet No. A12EA, submitting such written data, views, or or the applicable regulations in effect on Special Conditions: Gulfstream Model arguments as they may desire. the date of application for the change. GV Airplanes; Certification of Communications should identify the Cooktops The regulations incorporated by rules docket or notice number and be reference in the type certificate are submitted in duplicate to the address AGENCY: Federal Aviation commonly referred to as the ‘‘original Administration (FAA), DOT. specified above. The Administrator will type certification basis.’’ The regulations consider all communications received incorporated by reference in Type ACTION: Notice of proposed special on or before the closing date for conditions; request for comments. Certificate Data Sheet No. A12EA are comments. The proposal described in part 25, as amended by Amendments SUMMARY: These special conditions are this document may be changed in light 25–1 through 25–81, with reversions to issued for Gulfstream GV airplanes of the comments received. All earlier Amendments, voluntary modified by Gulfstream Aerospace comments received will be available in compliance to later Amendments, Corporation. These modified airplanes the Rules Docket for examination by special conditions, equivalent safety will have a novel or unusual design interested persons, both before and after findings, and exemptions listed in the feature when compared to the state of the closing date for comments. A report Type Certificate Data Sheet. technology envisioned in the summarizing each substantive public If the Administrator finds that the airworthiness standards for transport contact with FAA personnel concerning applicable airworthiness regulations category airplanes. The modification this rulemaking will be filed in the (that is, part 25 as amended) do not incorporates the installation of an docket. Commenters wishing the FAA to contain adequate or appropriate safety electrically heated surface, called a acknowledge receipt of their comments standards for the Gulfstream G–V cooktop. The applicable airworthiness submitted in response to these proposed airplanes modified by Gulfstream regulations do not contain adequate or special conditions must include with Aerospace Corporation because of a appropriate safety standards for those comments a self-addressed, novel or unusual design feature, special addressing the potential hazards that stamped postcard on which the conditions are prescribed under the may be introduced by cooktops. These following statement is made: provisions of § 21.16. special conditions contain the ‘‘Comments to Docket No. NM189.’’ The In addition to the applicable additional safety standards that the postcard will be date stamped and airworthiness regulations and special Administrator considers necessary to returned to the commenter. conditions, these Gulfstream G–V establish a level of safety equivalent to Background Information airplanes must comply with the fuel that established by the existing vent and exhaust emission requirements On July 28, 2000, Gulfstream airworthiness standards. of part 34 and the noise certification Aerospace Corporation, 4150 Donald requirements of part 36. DATES: Comments must be received on Douglas Drive, Long Beach, CA, 90808, Special conditions, as defined in or before May 7, 2001. applied for a Supplemental Type § 11.19, are issued in accordance with ADDRESSES: Comments on these special Certificate (STC) to modify Gulfstream § 11.38, and become part of the type conditions may be mailed in duplicate Model G–V airplanes. The Model G–V is certification basis in accordance with to: Federal Aviation Administration, a small transport category airplane § 21.101(b)(2). Transport Airplane Directorate, powered by two 2 BMW–Rolls Royce Special conditions are initially Attention: Rules Docket (ANM–114), Mark BR700–710A1–10 engines, with a applicable to the model for which they Docket No. NM189, 1601 Lind Avenue maximum takeoff weight of 90,500 are issued. Should Gulfstream SW., Renton, Washington 98055–4056; pounds. The G–V operates with a 2-pilot Aerospace Corporation apply at a later or delivered in duplicate to the crew and can hold up to 19 passengers. date for a supplemental type certificate Transport Airplane Directorate at the The modification incorporates the to modify any other model included on above address. All comments must be installation of an electrically heated the same type certificate to incorporate marked: Docket No. NM189. Comments surface, called a cooktop. Cooktops the same novel or unusual design may be inspected in the Rules Docket introduce high heat, smoke, and the feature, these special conditions would
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also apply to the other model under the conditions would apply to that model as caused by materials or grease provisions of § 21.101(a)(1). well under the provisions of inadvertently coming in contact with § 21.101(a)(1). the burners. Novel or Unusual Design Features Conclusion Note: Two acceptable means of complying As noted earlier, the modification of with this requirement are as follows: the Gulfstream GV airplanes will This action affects only certain novel • include installation of a cooktop in the or unusual design features on the Placarding must be installed that passenger cabin. Cooktops introduce Gulfstream GV airplanes modified by prohibits any burner from being high heat, smoke, and the possibility of Gulfstream Aerospace Corporation. It is powered when the cooktop is fire into the passenger cabin not a rule of general applicability and unattended (this would prohibit a single environment. The current airworthiness affects only the applicant who applied person from cooking on the cooktop and standards of part 25 do not contain to the FAA for approval of these features intermittently serving food to adequate or appropriate safety standards on the airplane. passengers while any burner is to protect the airplane and its occupants powered). In addition, a fire detector from these potential hazards. List of Subjects in 14 CFR Part 25 must be installed in the vicinity of the Accordingly, this system is considered Aircraft, Aviation safety, Reporting cooktop, which provides an audible to be a novel or unusual design feature. and recordkeeping requirements. warning in the passenger cabin; and a fire extinguisher of appropriate size and Discussion The authority citation for these special conditions is as follows: extinguishing agent must be installed in Currently, ovens are the prevailing the immediate vicinity of the cooktop. A means of heating food on airplanes. Authority: 49 U.S.C. 106(g), 40113, 44701, fire on or around the cooktop must not 44702, 44704. Ovens are characterized by an enclosure block access to the extinguisher. One of that contains both the heat source and The Proposed Special Conditions the fire extinguishers required by § 25.851 may be used to satisfy this the food being heated. The hazards Accordingly, the Federal Aviation requirement if the total complement of represented by ovens are thus Administration (FAA) proposes the extinguishers can be evenly distributed inherently limited, and are well following special conditions as part of throughout the cabin. If this is not understood through years of service the supplemental type certification basis possible, then the extinguisher in the experience. Cooktops, on the other for Gulfstream Model G–V airplanes galley area would be additional. hand, are characterized by exposed heat modified by Gulfstream Aerospace sources and the presence of relatively Corporation: or unrestrained hot cookware and heated • An automatic, thermally-activated food, which may represent Cooktop Installations With Electrically- fire suppression system must be unprecedented hazards to both Powered Burners installed to extinguish a fire at the occupants and the airplane. 1. Means, such as conspicuous cooktop and immediately adjacent Cooktops could have serious burner-on indicators, physical barriers, surfaces. The agent used in the system passenger and airplane safety or handholds, must be installed to must be an approved total flooding implications if appropriate requirements minimize the potential for inadvertent agent suitable for use in an occupied are not established for their installation personnel contact with hot surfaces of area. The fire suppression system must and use. The proposed special condition both the cooktop and cookware. have a manual override. The automatic applies to cooktops with electrically Conditions of turbulence must be activation of the fire suppression system powered burners. The use of an open considered. must also automatically shut off power flame cooktop (for example natural gas) 2. Sufficient design means must be to the cooktop. is beyond the scope of this proposed included to restrain cookware while in 5. The surfaces of the galley special condition and would require place on the cooktop, as well as surrounding the cooktop, which would separate rulemaking action. The representative contents (soups or be exposed to a fire on the cooktop requirements identified in this proposed sauces, for example) from the effects of surface or in cookware on the cooktop, special condition are in addition to flight loads and turbulence. must be constructed of materials that those considerations identified in (a) Restraints must be provided to comply with the flammability Advisory Circular (AC) 25–10, Guidance preclude hazardous movement of requirements of part III of appendix F of for Installation of Miscellaneous Non- cookware and contents. These restraints part 25. This requirement is in addition required Electrical Equipment, and must accommodate any cookware that is to the flammability requirements those in AC 25–17, Transport Airplane identified for use with the cooktop. typically required of the materials in Cabin Interiors Crashworthiness (b) Restraints must be designed to be these galley surfaces. During the Handbook. The intent of this proposed easily utilized and effective in service. selection of these materials, special condition is to provide a level of The cookware restraint system should consideration must also be given to safety that is consistent with that on also be designed so that it will not be ensure that the flammability similar airplanes without cooktops. easily disabled, thus rendering it characteristics of the materials will not unusable. be adversely affected by the use of Applicability (c) Placarding must be installed which cleaning agents and utensils used to As discussed above, these special prohibits the use of cookware that remove cooking stains. conditions are applicable to Gulfstream cannot be accommodated by the 6. The cooktop must be ventilated GV airplanes modified by Gulfstream restraint system. with a system independent of the Aerospace Corporation. Should 3. Placarding must be installed which airplane cabin and cargo ventilation Gulfstream Aerospace Corporation prohibits the use of cooktops (that is, system. Procedures and time intervals apply at a later date for a supplemental power on any burner) during taxi, must be established to inspect and clean type certificate to modify any other takeoff, and landing (TTL). or replace the ventilation system to model included on the same type 4. Means must be provided to address prevent a fire hazard from the certificate to incorporate the same novel the possibility of a fire occurring on or accumulation of flammable oils. These or unusual design feature, these special in the immediate vicinity of the cooktop procedures and time intervals must be
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included in the Instructions for closing public roads or waiving Michael C. Wolfrom, Director, Tulsa Continued Airworthiness (ICA). The prohibitions on surface coal mining Field Office, Office of Surface Mining, ventilation system ducting must be operations within the buffer zone of 5100 East Skelly Drive, Suite 470, protected by a flame arrestor. public roads; procedures for waiving Tulsa, Oklahoma 74135–6547, Note: The applicant may find additional prohibitions on surface coal mining Telephone: (918) 581–6430. useful information in Society of Automotive operations within the buffer zone of Arkansas Department of Pollution Engineers, Aerospace Recommended Practice occupied dwellings; submission and Control and Ecology, Surface Mining 85, Rev. E, entitled ‘‘Air Conditioning processing of requests for valid existing and Reclamation Division, 8001 Systems for Subsonic Airplanes,’’ dated rights determinations; director’s National Drive, Little Rock, Arkansas August 1, 1991. obligations at time of permit application 72219–8913, Telephone (501) 682– 7. Means must be provided to contain review; interpretative rule related to 0744. subsidence due to underground coal spilled foods or fluids in a manner that FOR FURTHER INFORMATION CONTACT: mining in areas designated by act of will prevent the creation of a slipping Michael C. Wolfrom, Director, Tulsa Congress; applicability to lands hazard to occupants and will not lead to Field Office. Telephone: (918) 581– designated as unsuitable by Congress; the loss of structural strength due to 6430. Internet: exploration on land designated as airplane corrosion. [email protected]. 8. Cooktop installations must provide unsuitable for surface coal mining adequate space for the user to operations; procedures: initial SUPPLEMENTARY INFORMATION: immediately escape a hazardous processing, recordkeeping, and I. Background on the Arkansas cooktop condition. notification requirements; permit Program 9. A means to shut off power to the requirements for exploration that will cooktop must be provided at the galley remove more than 250 tons of coal or On November 21, 1980, the Secretary containing the cooktop and in the that will occur on lands designated as of the Interior conditionally approved cockpit. If additional switches are unsuitable for surface coal mining the Arkansas program. You can find introduced in the cockpit, revisions to operations; relationship to areas background information on the smoke or fire emergency procedures of designated unsuitable for mining; Arkansas program, including the the AFM will be required. protection of publicly owned parks and Secretary’s findings, the disposition of comments, and the conditions of Issued in Renton, Washington, on March historic places; relocation or use of public roads; road systems; public approval in the November 21, 1980, 29, 2001. Federal Register (45 FR 77003). You can Donald L. Riggin, notices of filing of permit applications; legislative public hearing; and criteria find later actions on the Arkansas Acting Manager, Transport Airplane program at 30 CFR 904.10, 904.12, Directorate, Aircraft Certification Service. for permit approval or denial. Arkansas intends to revise its program to be 904.15, and 904.16. [FR Doc. 01–8514 Filed 4–5–01; 8:45 am] consistent with the corresponding II. Description of the Proposed BILLING CODE 4910–13–P Federal regulations and at its own Amendment initiative to enhance enforcement of the By letter dated March 1, 2001 State program. DEPARTMENT OF THE INTERIOR This document gives the times and (Administrative Record No. AR–567.04), locations that the Arkansas program and Arkansas sent us an amendment to its Office of Surface Mining Reclamation the proposed amendment to that program under SMCRA and the Federal and Enforcement program are available for public regulations at 30 CFR 732.17(b). inspection, the comment period during Arkansas sent the amendment in 30 CFR Part 904 which you may submit written response to our letter dated August 23, 2000 (Administrative Record No. AR– [SPATS No. AR–038–FOR] comments on the amendment, and the procedures we will follow for the public 567), that we sent to Arkansas under 30 Arkansas Regulatory Program hearing, if one is requested. CFR 732.17(c). The amendment also includes changes made at Arkansas’ AGENCY: Office of Surface Mining DATES: We will accept written own initiative. Arkansas proposes to Reclamation and Enforcement, Interior. comments until 4 p.m., c.s.t., May 7, amend the Arkansas Surface Coal ACTION: Proposed rule; public comment 2001. If requested, we will hold a public Mining and Reclamation Code period and opportunity for public hearing on the amendment on May 1, (ASCMRC). Below is a summary of the hearing. 2001. We will accept requests to speak changes proposed by Arkansas. The full at the hearing until 4 p.m., c.s.t. on text of the program amendment is SUMMARY: The Office of Surface Mining April 23, 2001. available for your inspection at the Reclamation and Enforcement (OSM) is ADDRESSES: You should mail or hand locations listed above under ADDRESSES. announcing receipt of a proposed deliver written comments and requests amendment to the Arkansas regulatory to speak at the hearing to Michael C. A. Section 761.5 Definitions program (Arkansas program) under the Wolfrom, Director, Tulsa Field Office, at Arkansas proposes to revise the Surface Mining Control and the address listed below. definitions of ‘‘public buildings,’’ and Reclamation Act of 1977 (SMCRA). You may review copies of the ‘‘valid existing rights,’’ and to add the Arkansas proposes revisions and Arkansas program, the amendment, a definition of ‘‘publicly owned park.’’ additions of regulations concerning listing of any scheduled public hearings, definitions; areas where surface coal and all written comments received in B. Section 761.11 Areas Where Surface mining operations are prohibited or response to this document at the Coal Mining Operations Are Prohibited limited; exception for existing addresses listed below during normal or Limited operations; procedures for compatibility business hours, Monday through Friday, Arkansas proposes to replace the findings for surface coal mining excluding holidays. You may receive existing language in this section with operations on federal lands in national one free copy of the amendment by counterpart language to 30 CFR 761.11 forests; procedures for relocating or contacting OSM’s Tulsa Field Office. that describes the lands where surface
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coal mining operations may not be H. Section 761.17 Director’s exploration outside a permit area during conducted, except as provided under 30 Obligations at Time of Permit which more than 250 tons of coal will CFR 761.12 and 761.16. Application Review be removed; or (2) for a permit which will take place on lands designated as C. Section 761.12 Exception for Arkansas proposes to add a new unsuitable for surface mining under Existing Operations section that explains what the Director Subchapter F. Arkansas proposes to replace the of the Arkansas Department of existing language in this section with Environmental Quality or his authorized M. Section 778.16 Relationship to the following language: representative must do when an Areas Designated Unsuitable for Mining applicant submits an administratively Arkansas proposes to revise this The prohibitions and limitations of Section complete application for: (1) a permit 761.11 do not apply to surface coal mining section to include requirements for for a surface coal mining operation; or operations for which a valid permit, issued surface coal mining operations within (2) a revision of the boundaries of a under Subchapter G of this chapter, exists 100 feet of a public road, and by surface coal mining operation permit. when the land comes under the protection of replacing the term ‘‘surface coal mining Section 761.11. This exception applies only I. Section 761.200 Interpretative Rule to lands within the permit area as it exists and reclamation operations’’ with the when the lands comes under the protection Related to Subsidence due to term ‘‘surface coal mining operations.’’ Underground Coal Mining in Areas of Section 761.11. N. Section 780.31 Protection of Designated by Act of Congress D. Section 761.13 Procedures for Publicly Owned Parks and Historic Compatibility Findings for Surface Coal Arkansas proposes to add a new Places section that reads as follows: Mining Operations on Federal Lands in Arkansas proposes to change the National Forests (a) Interpretation of Section 761.11 B section heading from ‘‘Protection of Arkansas proposes to add a new AREAS WHERE MINING IS PROHIBITED OR public parks and historic places’’ to section that explains what an applicant LIMITED. Subsidence due to underground ‘‘Protection of publicly owned parks coal mining is not included in the definition must do to conduct surface coal mining of surface coal mining operations under and historic places.’’ Arkansas also operations on Federal lands within a Section 4(16) of the Act and Section 700.5 of proposes to revise section 780.31(a)(2) national forest. this chapter and therefore is not prohibited by including a cross reference to the proposed valid existing rights E. Section 761.14 Procedures for in areas protected under Section 26(a)(1) of the Act. regulations at section 761.17(d). Relocating or Closing a Public Road or Waiving the Prohibition on Surface Coal J. Section 762.14 Applicability to O. Section 780.33 Relocation or Use of Mining Operations Within the Buffer Lands Designated as Unsuitable by Public Roads Zone of a Public Road Congress and Section 762.15 Arkansas proposes to revise the Arkansas proposes to add a new Exploration on Land Designated as introductory paragraph to read as section that explains the procedures an Unsuitable for Surface Coal Mining follows: Operations applicant must follow for relocating or Each plan shall describe, with appropriate closing a public road or waiving the Arkansas proposes to redesignate maps and cross section drawings, the prohibition on surface coal mining existing section 762.14 as new section measures to be used to ensure that the operations within the buffer zone of a 762.15 and to add a new section 762.14 interests of the public and landowners public road. to read as follows: affected are protected if, under Section 761.14, the applicant seeks to have the Pursuant to appropriate petitions, lands F. Section 761.15 Procedures Waiving Department’s approval of the Prohibition on Surface Coal Mining listed in Section 761.11 of this chapter are Operations Within the Buffer Zone of an subject to designation as unsuitable for all or P. Section 780.37 Road Systems Occupied Dwelling certain types of surface coal mining operations under this part and Part 764 of Arkansas proposes to change the Arkansas proposes to add a new this chapter. section heading from ‘‘Transportation section that explains the procedures an facilities’’ to ‘‘Road Systems.’’ Arkansas K. Section 764.15 Procedures: Initial applicant must follow for waiving the also proposes to replace the existing Processing, Recordkeeping, and prohibition on surface coal mining language in this section with Notification Requirements operations within the buffer zone of an counterpart language to 30 CFR 780.37. occupied dwelling. Arkansas proposes to revise this The proposed language requires section by replacing the reference to an applicants to submit plans and drawings G. Section 761.16 Submission and ‘‘informal conference’’ with a reference for each proposed road on a surface coal Processing of Requests for Valid Existing to a ‘‘legislative public hearing.’’ mining operation permit area. It also Rights Determinations describes who is required to prepare L. Section 776.12 Permit Requirements Arkansas proposes to add a new and certify the plans and drawings. section that explains the applicable for Exploration That Will Remove More definition of valid existing rights and Than 250 Tons of Coal or That Will Q. Section 786.11 Public Notices of which agency is responsible for making Occur on Lands Designated as Filing of Permit Applications valid existing rights determinations on: Unsuitable for Surface Coal Mining At section 786.11(a)(4), Arkansas (1) Federal lands within the areas listed Operations proposes to replace the reference to an at 30 CFR 761.11(a) and (b); and (2) all Arkansas proposes to replace the ‘‘informal conference’’ with a reference non-Federal lands within the areas existing language in this section. The to a ‘‘legislative public hearing.’’ Also, listed at 30 CFR 761.11(a) and any lands proposed replacement language Arkansas proposes to revise section listed at 30 CFR 761.11(c) through (g). explains the procedures applicants and 786.11(a)(5) to read as follows: This new section also explains the the Director of the Arkansas Department (5) If an applicant seeks a permit to mine procedures applicants and agencies of Environmental Quality or his within 100 feet of the outside right-of-way of follow for valid existing rights authorized representative must follow: a public road or to relocate or close a public determinations. (1) for a permit for conducting coal road, except where public notice and hearing
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have previously been provided for this will honor to the extent allowable by Executive Order 12630—Takings particular part of the road in accordance with law. There also may be circumstances in Section 761.14 of this Chapter, a concise which we would withhold from the This rule does not have takings statement describing the public road, the administrative record a respondent’s implications. This determination is particular part to be relocated or closed, and based on the analysis performed for the the duration of the relocation or closing. identity, as allowable by law. If you wish us to withhold your name and/or counterpart Federal regulations. R. Section 786.14 Legislative Public address, you must state this Executive Order 13132—Federalism Hearing prominently at the beginning of your Arkansas proposes to revise section comment. However, we will not This rule does not have federalism 786.14(c) by deleting the reference to consider anonymous comments. We implications. SMCRA delineates the section 761.12(d) and replacing it with will make all submissions from roles of the Federal and State a reference to section 761.14(c). organizations or businesses, and from governments with regard to the individuals identifying themselves as regulation of surface coal mining and S. Section 786.19 Criteria for Permit representatives or officials of reclamation operations. One of the Approval or Denial organizations or businesses, available purposes of SMCRA is to ‘‘establish a Arkansas proposes to revise section for public inspection in their entirety. nationwide program to protect society 786.19(d)(1) to read as follows: Public Hearing: If you wish to speak and the environment from the adverse at the public hearing, contact the person effects of surface coal mining (1) Not within an area designated operations.’’ Section 503(a)(1) of unsuitable for surface coal mining operations listed under FOR FURTHER INFORMATION under Parts 762 and 764 of this Chapter or CONTACT by 4 p.m., c.s.t. on April 23, SMCRA requires that State laws within an area subject to the prohibitions of 2001. We will arrange the location and regulating surface coal mining and Section 761.11 of this Chapter; or, time of the hearing with those persons reclamation operations be ‘‘in accordance with’’ the requirements of Arkansas also proposes to delete requesting the hearing. If no one requests an opportunity to speak at the SMCRA, and section 503(a)(7) requires sections 786.19(d)(4) and (d)(5) and that State programs contain rules and redesignate sections 786.19(d)(6) public hearing, the hearing will not be held. regulations ‘‘consistent with’’ through (d)(8) as sections 786.19(d)(4) regulations issued by the Secretary To assist the transcriber and ensure an through (d)(6). under SMCRA. accurate record, we request, if possible, III. Public Comment Procedures that each person who speaks at the Executive Order 12988—Civil Justice Under the provisions of 30 CFR public hearing provide us with a written Reform 732.17(h), we are seeking comments on copy of his or her testimony. The public whether the proposed amendment hearing will continue on the specified The Department of the Interior has satisfies the applicable program date until all persons scheduled to conducted the reviews required by approval criteria of 30 CFR 732.15. If we speak have been heard. If you are in the section 3 of Executive Order 12988 and approve the amendment, it will become audience and have not been scheduled has determined that, to the extent part of the Arkansas program. to speak and wish to do so, you will be allowed by law, this rule meets the Written Comments: If you submit allowed to speak after those who have applicable standards of subsections (a) written or electronic comments on the been scheduled. We will end the and (b) of that section. However, these proposed rule during the 30-day hearing after all persons scheduled to standards are not applicable to the comment period, they should be speak and persons present in the actual language of State regulatory specific, should be confined to issues audience who wish to speak have been programs and program amendments pertinent to the notice, and should heard. since each program is drafted and explain the reason for your If you are disabled and need a special promulgated by a specific State, not by recommendation(s). We may not be able accommodation to attend a public OSM. Under sections 503 and 505 of to consider or include in the hearing, contact the person listed under SMCRA (30 U.S.C. 1253 and 1255) and 30 CFR 730.11, 732.15, and Administrative Record comments FOR FURTHER INFORMATION CONTACT. 732.17(h)(10), decisions on proposed delivered to an address other than the Public Meeting: If only one person one listed above (see ADDRESSES). State regulatory programs and program requests an opportunity to speak at a amendments submitted by the States Electronic Comments: Please submit hearing, a public meeting, rather than a Internet comments as an ASCII, must be based solely on a determination public hearing, may be held. If you wish of whether the submittal is consistent WordPerfect, or Word file avoiding the to meet with us to discuss the proposed use of special characters and any form with SMCRA and its implementing amendment, you may request a meeting Federal regulations and whether the of encryption. Please also include ‘‘Attn: by contacting the person listed under SPATS NO. AR–038–FOR’’ and your other requirements of 30 CFR Parts 730, FOR FURTHER INFORMATION CONTACT. All 731, and 732 have been met. name and return address in your such meetings are open to the public Internet message. If you do not receive and, if possible, we will post notices of National Environmental Policy Act a confirmation that we have received meetings at the locations listed under your Internet message, contact the Tulsa Section 702(d) of SMCRA (30 U.S.C. ADDRESSES. We will also make a written Field Office at (918) 581–6430. summary of each meeting a part of the 1292(d)) provides that a decision on a Availability of Comments: Our Administrative Record. proposed State regulatory program practice is to make comments, including provision does not constitute a major names and home addresses of IV. Procedural Determinations Federal action within the meaning of respondents, available for public review Executive Order 12866—Regulatory section 102(2)(C) of the National during regular business hours at OSM’s Planning and Review Environmental Policy Act (NEPA) (42 Tulsa Field Office (see ADDRESSES). U.S.C. 4332(2)(C)). A determination has Individual respondents may request that This rule is exempted from review by been made that such decisions are we withhold their home address from the Office of Management and Budget categorically excluded from the NEPA the administrative record, which we under Executive Order 12866. process (516 DM 8.4.A).
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Paperwork Reduction Act Dated: March 15, 2001. document to which each comment This rule does not contain Richard J. Seibel, applies, and give the reason for each comment. Please submit all comments information collection requirements that Acting Regional Director, Mid-Continent and related material in an unbound require approval by the Office of Regional Coordinating Center. format, no larger than 81⁄2 by 11 inches, Management and Budget under the [FR Doc. 01–8498 Filed 4–5–01; 8:45 am] suitable for copying. If you would like Paperwork Reduction Act (44 U.S.C. BILLING CODE 4310–05–P to know they reached us, please enclose 3507 et seq.). a stamped, self-addressed postcard or Regulatory Flexibility Act DEPARTMENT OF TRANSPORTATION envelope. We will consider all comments and material received during The Department of the Interior has Coast Guard determined that this rule will not have the comment period. We may change this proposed rule in view of them. a significant economic impact on a 33 CFR Part 100 substantial number of small entities Public Meeting [CGD 13–01–004] under the Regulatory Flexibility Act (5 We do not plan to hold a public U.S.C. 601 et seq.). The State submittal RIN 2115–AE46 meeting. However, you may submit a which is the subject of this rule is based request for a meeting by writing to the upon counterpart Federal regulations for Modification to Special Local person identified in the FOR FURTHER which an economic analysis was Regulation (SLR) for Seattle Seafair INFORMATION CONTACT section, or to the prepared and certification made that Unlimited Hydroplane Race address under ADDRESSES explaining such regulations would not have a AGENCY: Coast Guard, DOT. why a public meeting would be significant economic effect upon a beneficial. If we determine that one ACTION: Notice of proposed rulemaking. substantial number of small entities. would aid this rulemaking, we will hold Accordingly, this rule will ensure that SUMMARY: The Coast Guard proposes to one at a time and place announced by existing requirements previously update the Seafair Special Local a later notice in the Federal Register. promulgated by OSM will be Regulation (SLR) to enhance the safe implemented by the State. In making the Background and Purpose execution of Seafair’s hydroplane and determination as to whether this rule air show event. The proposed rule adds For more than 50 years the Seafair would have a significant economic one week to the time period within hydroplane races and air show on and impact, the Department relied upon the which the regulations of the SLR can over Lake Washington have been a data and assumptions for the become effective each year and adds Pacific Northwest tradition, entertaining counterpart Federal regulations. restrictions on swimming and rafting millions of people over that period. Small Business Regulatory Enforcement within the regulated areas. However, these entertaining events Fairness Act DATES: Comments and related material involve risks to both spectators and participants. During the hydroplane This rule is not a major rule under 5 must reach the Coast Guard on or before June 5, 2001. races and air show, the marine U.S.C. 804(2), the Small Business congestion associated with the number ADDRESSES: You may mail comments Regulatory Enforcement Fairness Act. of boats, swimmers, and spectators on and related material to Commander, This rule: shore challenges even the most Thirteenth Coast Guard District (m), a. Does not have an annual effect on experienced seaman. There is an Jackson Federal Building, 915 Second the economy of $100 million. inherent risk of a participating boat or Avenue, Room 3506, Seattle, WA, b. Will not cause a major increase in plane losing control or crashing. This 98174–1067. The Thirteenth Coast costs or prices for consumers, potentially violent and deadly scenario Guard District maintains the public individual industries, federal, state, or necessitates the maintenance of a docket for this rulemaking. Comments local government agencies, or regulated area to protect spectators and material received from the public, geographic regions. while providing unobstructed vessel as well as documents, indicated in this c. Does not have significant adverse traffic lanes to ensure timely arrival of preamble as being available in the effects on competition, employment, emergency response craft. investment, productivity, innovation, or docket, will become part of this docket The current Seafair SLR contained in the ability of U.S. based enterprises to and will be available for inspection or 33 CFR 100.1301 has been in effect compete with foreign-based enterprises. copying at the Marine Safety Division, since 1986 and allows the regulations to This determination is based upon the 35th floor, Thirteenth Coast Guard be effective within a two-week time fact that the State submittal which is the District, Seattle, Washington between 8 period. subject of this rule is based upon a.m. and 4 p.m., Monday through counterpart Federal regulations for Friday, except Federal holidays. Discussion of Proposed Rule which an analysis was prepared and a FOR FURTHER INFORMATION CONTACT: The proposed rule makes several determination made that the Federal Lieutenant Commander Jane Wong, editorial changes to clarify the Seafair regulation was not considered a major either at the above address, or by phone SLR and increase the readability of the rule. at (206) 220–7224. rule with the activities regulated in each SUPPLEMENTARY INFORMATION: zone being more clearly identified. Unfunded Mandates There are also several modifications This rule will not impose a cost of Request for Comments to the existing rule that the Coast Guard $100 million or more in any given year We encourage you to participate in believes will increase the safety and on any governmental entity or the this rulemaking by submitting efficiency of the event. The current SLR private sector. comments and related material. If you is only in effect during the last week of do so, please include your name and July and the first week of August. The List of Subjects in 30 CFR Part 904 address, identify the docket number for dates for Seafair change slightly on an Intergovernmental relations, Surface this rulemaking (CGD 13–01–004), annual basis and could fall outside the mining, Underground mining. indicate the specific section of this effective dates of the current SLR. The
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proposed rule expands the time when a significant economic impact on a Unfunded Mandates Reform Act regulations can be in effect by one week substantial number of small entities. The Unfunded Mandates Reform Act to ensure that the regulation is in effect The term ‘‘small entities’’ comprises of 1995 (2 U.S.C. 1531–1538) governs during Seafair. The expanded time small businesses, not-for-profit the issuance of Federal regulations that period will allow for flexibility to organizations that are independently require unfunded mandates. An change the date of Seafair. The dates owned and operated and are not unfunded mandate is a regulation that and times when the regulations are dominant in their fields, and requires a State, local, or tribal implemented during the three-week governmental jurisdictions with government or the private sector to timeframe of the rule will be published populations of less than 50,000. incur direct costs without the Federal as a notice of implementation in the The Coast Guard certifies under 5 Government’s having first provided the Local Notice to Mariners. U.S.C. 605(b) that this proposed rule funds to pay those costs. This proposed The current SLR does not sufficiently would not have a significant economic rule would not impose an unfunded address swimmers and rafting of impact on a substantial number of small mandate. vessels. Over the years, some of the entities. most severe injuries that have occurred Taking of Private Property on the water have been caused by boats (1) Small entities this rule may affect include owners and operators of vessels, This proposed rule would not effect a running over swimmers. The proposed taking of private property or otherwise rule contains new constraints for including small passenger vessels, intending to transit or anchor in a have taking implications under swimmers to ensure persons either stay Executive Order 12630, Governmental out of the water or within 10 feet of any portion of Lake Washington during the event. Actions and Interference with vessel during heavy vessel traffic Constitutionally Protected Property periods when the risk of injury is (2) This regulation will not have a Rights. greatest. The proposed rule also significant economic impact on these includes guidelines for rafted vessels. small entities because there will be no Civil Justice Reform Large numbers of vessels rafting can substantial change from the way vessel This proposed rule meets applicable increase emergency response time and operations have been running in years standards in sections 3(a) and 3(b)(2) of result in hazardous waterway past. Because these regulations are Executive Order 12988, Civil Justice congestion. In addition, rafting aimed at recreational vessels, Reform, to minimize litigation, significantly exacerbates an emergency commercial vessels will not impacted. eliminate ambiguity, and reduce condition such as a vessel on fire or If you think that your business, burden. taking on water. Rafting to a log boom organization, or governmental Protection of Children will be limited to groups of three (3) jurisdiction qualifies as a small entity vessels, while drifting and anchored and that this rule would have a We have analyzed this proposed rule vessels away from the log boom will be significant economic impact on it, under Executive Order 13045, limited to groups of six (6) vessels. please submit a comment (see Protection of Children from These rules will allow emergency ADDRESSES) explaining why you think it Environmental Health Risks and Safety response vessels to move more qualifies and how and to what degree Risks. This rule is not an economically effectively within the congested this rule would economically affect it. significant rule and does not concern an regulated area and reduce the exposure environmental risk to health or risk to of vessels to dangerous situations. Assistance for Small Entities safety that may disproportionately affect children. Regulatory Evaluation Under section 213(a) of the Small Business Regulatory Enforcement This proposed rule is not a Environment Fairness Act of 1996 (Public Law 104– ‘‘significant regulatory action’’ under We considered the environmental 121), we want to assist small entities in section 3(f) of Executive Order 12866 impact of this proposed rule and understanding this proposed rule so that and does not require an assessment of concluded that, under figure 2–1, they can better evaluate its effects on potential costs and benefits under paragraph (34)(h), of Commandant them and participate in the rulemaking. section 6(a)(3) of that Order. The Office Instruction M16475.lC, this proposed If the rule would affect your small of Management and Budget has not rule is categorically excluded from business, organization, or governmental reviewed it under that Order. It is not further environmental documentation. jurisdiction and you have questions significant under the regulatory policies This rule makes minor changes to the concerning its provisions or options for and procedures of the Department of existing rule. compliance, please contact LT P.M. Transportation (DOT) (44 FR 11040, Stocklin, Jr. at Marine Safety Office List of Subjects in 33 CFR Part 100 February 26, 1979). We expect any economic impact as a Puget Sound, Waterways Management Marine safety, Navigation (water), result of this proposed regulation to be Branch, (206) 217–6237. Reporting and record keeping so minimal that a full Regulatory Collection of Information requirements, Waterways. Evaluation under paragraph 10(e) of the For the reasons discussed in the regulatory policies and procedures of This proposed rule would call for no preamble, the Coast Guard proposes to DOT is unnecessary. This change new collection of information under the amend 33 CFR part 100 as follows: slightly modifies existing safety Paperwork Reduction Act of 1995 (44 regulations, and should not effect the U.S.C. 3501–3520.). PART 100—MARINE EVENTS economic activities of any Seafair Federalism 1. The authority citation for part 100 participant or spectator. continues to read as follows: We have analyzed this proposed rule Small Entities under Executive Order 13132 and have Authority: 33 U.S.C. 1233 through 1236; 49 Under the Regulatory Flexibility Act determined that this rule does not have CFR 1.46; 33 CFR 100.35. (5 U.S.C. 601–612), we considered implications for federalism under that 2. Revise § 100.1301 to read as whether this proposed rule would have Order. follows:
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§ 100.1301 Seattle Seafair Unlimited water in Zone II shall remain within ten operation of the Beach Channel Railroad Hydroplane Race. (10) feet of a vessel. Bridge, at mile 6.7, across Jamaica Bay (a) This regulation will be in effect (h) During the times this regulation is in New York. This proposed temporary annually during the last week in July in effect, rafting to a log boom will be change to the drawbridge operation and the first two weeks of August from limited to groups of three vessels. regulations would allow the bridge 8 a.m until 8 p.m. Pacific Daylight Time, (i) During the times this regulation is owner to require a twenty-four hours as published in the Local Notice of in effect, up to six (6) vessels may raft advance notice for bridge openings for Mariners. The event will be one week or together in Zone II if none of the vessels thirty-one weeks, 6 a.m. to 7 p.m., on less in duration. The specific dates are secured to a log boom. each Monday, Wednesday and Friday, during this time frame will be published (j) During the times this regulation is from April 30, 2001 through November in the Local Notice to Mariners. in effect, only vessels authorized by the 30, 2001, and for six weekend days, 6 (b) The area where the Coast Guard Patrol Commander, other law a.m. to 9 p.m., from Saturday, April 28, will restrict general navigation by this enforcement agencies or event sponsors 2001 through Sunday, May 13, 2001. regulation during the hours it is in effect shall be permitted to tow other This action is necessary to facilitate is: The waters of Lake Washington watercraft or inflatable devices. necessary maintenance at the bridge. bounded by the Interstate 90 (Mercer (k) Vessels proceeding in either Zone DATES: Comments must reach the Coast Island/Lacey V. Murrow) Bridge, the I or Zone II during the hours this Guard on or before April 23, 2001. western shore of Lake Washington, and regulation is in effect shall do so only ADDRESSES: the east/west line drawn tangent to You may mail comments to at speeds which will create minimum Commander (obr), First Coast Guard Bailey Peninsula and along the wake, seven (07) miles per hour or less. shoreline of Mercer Island. District, Bridge Branch, at 408 Atlantic This maximum speed may be reduced at Avenue, Boston, MA. 02110–3350, or (c) The area described in paragraph the discretion of the Patrol Commander. (b) of this section has been divided into deliver them to the same address (l) Upon completion of the daily between 7 a.m. and 3 p.m., Monday two zones. The zones are separated by racing activities, all vessels leaving a line perpendicular from the I–90 through Friday, except Federal holidays. either Zone I or Zone II shall proceed at The telephone number is (617) 223– Bridge to the northwest corner of the speeds of seven (07) miles per hour or East log boom and a line extending from 8364. The First Coast Guard District, less. The maximum speed may be Bridge Branch, maintains the public the southeast corner of the East log reduced at the discretion of the Patrol boom to the southeast corner of the docket for this rulemaking. Comments Commander. and material received from the public, hydroplane race course and then to the (m) A succession of sharp, short northerly tip of Ohlers Island in as well as documents indicated in this signals by whistle or horn from vessels preamble as being available in the Andrews Bay. The western zone is patrolling the areas under the direction designated Zone I, the eastern zone, docket, will become part of this docket of the Patrol Commander shall serve as and will be available for inspection or Zone II. (Refer to NOAA Chart 18447). signal to stop. Vessels signaled shall (d) The Coast Guard will maintain a copying at the First Coast Guard stop and shall comply with the orders District, Bridge Branch, 7 a.m. to 3 p.m., patrol consisting of Coast Guard vessels, of the patrol vessel; failure to do so may assisted by Auxiliary Coast Guard Monday through Friday, except Federal result in expulsion from the area, holidays. vessels, in Zone II. The Coast Guard citation for failure to comply, or both. FOR FURTHER INFORMATION CONTACT: patrol of this area is under the direction The Coast Guard may be assisted by Mr. of the Coast Guard Patrol Commander other federal, state and local law Joseph Schmied, Project Officer, First (the ‘‘Patrol Commander’’). The Patrol enforcement agencies, as well as official Coast Guard District, (212) 668–7195. Commander is empowered to control Seafair event craft. SUPPLEMENTARY INFORMATION: the movement of vessels on the racecourse and in the adjoining waters Dated March 1, 2001. Request for Comments during the periods this regulation is in E.M. Brown, We encourage you to participate in effect. The Patrol Commander may be Rear Admiral, U.S. Coast Guard, Commander, this rulemaking by submitting assisted by other federal, state and local Thirteenth District. comments or related material. If you do law enforcement agencies. [FR Doc. 01–8446 Filed 4–5–01; 8:45 am] so, please include your name and (e) Only authorized vessels may be BILLING CODE 4910–15–P address, identify the docket number for allowed to enter Zone I during the hours this rulemaking (CGD01–01–041), this regulation is in effect. Vessels in the indicate the specific section of this vicinity of Zone I shall maneuver and DEPARTMENT OF TRANSPORTATION document to which each comment anchor as directed by Coast Guard applies, and give the reason for each Officers or Petty Officers. Coast Guard comment. Please submit all comments (f) During the times in which the and related material in an unbound 33 CFR Part 117 regulation is in effect, swimming, format, no larger than 81⁄2 by 11 inches, wading, or otherwise entering the water [CGD01–01–041] suitable for copying. If you would like in Zone I by any person is prohibited to know if they reached us, please while hydroplane boats are on the RIN 2115–AE47 enclose a stamped, self-addressed racecourse. At other times in Zone I, any Drawbridge Operation Regulations; postcard or envelope. We will consider person entering the water from the Jamaica Bay and Connecting all comments and material received shoreline shall remain west of the swim Waterways, New York during the comment period. We may line, denoted by buoys, and any person change this proposed rule in view of entering the water from the log boom AGENCY: Coast Guard, DOT. them. shall remain within ten (10) feet of the ACTION: Notice of proposed rulemaking. log boom. Public Meeting (g) During the times in which the SUMMARY: The Coast Guard proposes to We do not now plan to hold a public regulation is in effect, any person temporarily change the drawbridge meeting. But you may submit a request swimming or otherwise entering the operating regulations governing the for a meeting by writing to the First
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Coast Guard District, Bridge Branch, at Guard to temporarily change the substantial number of small entities. the address under ADDRESSES explaining drawbridge operation regulations to This conclusion is based upon the fact why one would be beneficial. If we require at least a twenty-four hours that the bridge will still continue to determine that one would aid this advance notice be given to open the open for navigation daily. rulemaking, we will hold one at a time Beach Channel Railroad Bridge for If you think that your business, and place announced by a later notice thirty-one weeks on each Monday, organization, or governmental in the Federal Register. Wednesday and Friday and for six jurisdiction qualifies as a small entity weekend days in order to facilitate Regulatory Information and that this rule would have a structural repairs and painting at the significant economic impact on it, Pursuant to 5 U.S.C. 553, a notice of bridge. The Coast Guard contacted all please submit a comment (see proposed rulemaking (NPRM) is being known waterway users to advise them ADDRESSES) explaining why you think it published with a shortened comment of the proposed closures. No objections qualifies and how and to what degree period of fourteen days instead of the or negative comments were received in this rule would economically affect it. normal sixty day comment period response this proposal. because the Coast Guard did not receive Collection of Information Discussion of Proposal conclusive information concerning the This proposed rule would call for no start date for this project from the bridge This proposed temporary change to new collection of information under the owner until March 15, 2001. This delay the drawbridge operation regulations Paperwork Reduction Act of 1995 (44 in scheduling was unavoidable because would require mariners to provide at U.S.C. 3501–3520.). the cleaning and painting phase is the least a twenty-four hours advance notice last phase of a major rehabilitation for bridge openings for thirty-one weeks Federalism project for this bridge and the from 6 a.m. to 7 p.m., on each Monday, We have analyzed this proposed rule completion of other aspects were Wednesday, and Friday, from April 30, under Executive Order 13132 and have required before the painting could be 2001 through November 30, 2001, and determined that this rule does not have definitively scheduled. from 6 a.m. to 9 p.m., on Saturday and implications for federalism under that The cancellation of weekend Sunday, from April 28, 2001 through Order. commuter rail service has been May 13, 2001. Advance notice may be coordinated through New York City given by calling the number posted at Unfunded Mandates Reform Act Transit Authority to commence on April the bridge. The Unfunded Mandates Reform Act 28, 2001. Advance notification to the Regulatory Evaluation of 1995 (2 U.S.C. 1531–1538) governs public of rail service suspension on the the issuance of Federal regulations that six weekend days was required well in This proposed rule is not a require unfunded mandates. An advance of the anticipated start date so ‘‘significant regulatory action’’ under unfunded mandate is a regulation that that rail commuters may plan section 3(f) of Executive Order 12866 requires a State, local, or tribal accordingly. and does not require an assessment of government or the private sector to The Coast Guard project officer potential costs and benefits under incur direct costs without the Federal attended a meeting on March 1, 2001, 6(a)(3) of that Order. The Office of Government’s having first provided the with the major stakeholders that transit Management and Budget has not funds to pay those costs. This proposed this waterway to discuss the proposed reviewed it under that Order. It is not rule would not impose an unfunded closures. No objections were received significant under the regulatory policies mandate. from the stakeholders regarding the and procedures of the Department of proposed closures. Transportation (DOT) (44 FR 11040, Taking of Private Property The Coast Guard anticipates that any Feb. 26, 1979). temporary final rule enacted following We expect the economic impact of This proposed rule would not effect a public notice and comment will be this proposed rule to be so minimal that taking of private property or otherwise effective in less than 30 days after a full Regulatory Evaluation, under have taking implications under publication. paragraph 10e of the regulatory policies Executive Order 12630, Governmental Any delay encountered in this and procedures of DOT, is unnecessary. Actions and Interference with regulation’s effective date would be This conclusion is based on the fact that Constitutionally Protected Property unnecessary and contrary to the public the bridge will still continue to open Rights. interest because the notification of daily for navigation. Civil Justice Reform weekend commuter rail service has been Small Entities given and immediate action is needed to This proposed rule meets applicable in order perform this work at the bridge Under the Regulatory Flexibility Act standards in sections 3(a) and 3(b)(2) of during the spring, summer, and fall (5 U.S.C. 601–612), we considered Executive Order 12988, Civil Justice months of the year when ambient air whether this proposed rule would have Reform, to minimize litigation, temperatures and environmental a significant economic impact on a eliminate ambiguity, and reduce conditions permit effective sand substantial number of small entities. burden. blasting and painting. The term ‘‘small entities’’ comprises Protection of Children small businesses, not-for-profit Background organizations that are independently We have analyzed this proposed rule The Beach Channel railroad Bridge, at owned and operated and are not under Executive Order 13045, mile 6.7, across Jamaica Bay has a dominant in their fields, and Protection of Children from vertical clearance of 26 feet at mean governmental jurisdictions with Environmental Health Risks and Safety high water and 31 feet at mean low populations of less than 50,000. Risks. This rule is not an economically water. The existing regulations require The Coast Guard certifies under significant rule and does not concern an the draw to open on signal at all times. section 5 U.S.C. 605(b), that this environmental risk to health or risk to The bridge owner, the New York City proposed rule would not have a safety that may disproportionately affect Transit Authority, asked the Coast significant economic impact on a children.
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Environment ENVIRONMENTAL PROTECTION DEPARTMENT OF THE INTERIOR AGENCY We considered the environmental Fish and Wildlife Service impact of this proposed rule and 40 CFR Part 52 concluded that, under figure 2–1, 50 CFR Part 17 paragraph (32)(e), of Commandant [MO 114–1114; FRL–6963–9] Instruction M16475.1C, this proposed RIN 1018–AH10 rule is categorically excluded from Approval and Promulgation of Endangered and Threatened Wildlife further environmental documentation Implementation Plans; State of and Plants: Prudency Determinations because promulgation of drawbridge Missouri for Eight Plant Species From the regulations have been found not to have Hawaiian Islands, and Proposed a significant effect on the environment. AGENCY: Environmental Protection Critical Habitat Designations for A written ‘‘Categorical Exclusion Agency (EPA). Eighteen Plant Species From the Determination’’ is not required for this Island of Lanai, Hawaii; Correction ACTION: Proposed rule. rule. AGENCY: Fish and Wildlife Service, List of Subjects in 33 CFR Part 117 SUMMARY: EPA proposes to approve the Interior. State Implementation Plan (SIP) ACTION: Proposed rule; Correction. Bridges. revision submitted by the state of Regulations Missouri for the purpose of amending SUMMARY: The proposed rule to the state’s construction permit rule. In determine prudency for eight plant For the reasons set out in the the final rules section of the Federal species from the Hawaiian Islands and preamble, the Coast Guard proposes to Register, EPA is approving the state’s to propose critical habitat designations amend 33 CFR part 117 as follows: SIP revision as a direct final rule for eighteen plant species from the without prior proposal because the island of Lanai was published in the PART 117—DRAWBRIDGE Agency views this as a noncontroversial Federal Register on December 27, 2000 OPERATION REGULATIONS revision amendment and anticipates no (65 FR 82086). This document contains corrections to the proposed designations relevant adverse comments to this 1. The authority citation for part 117 of critical habitat for eighteen plant action. A detailed rationale for the continues to read as follows: species from Lanai. These corrections approval is set forth in the direct final are necessary to provide the correct map Authority: 33 U.S.C. 499; 49 CFR 1.46; 33 rule. If no relevant adverse comments CFR 1.05–1(g); section 117.255 also issued of general locations of units for eighteen are received in response to this action, plant species from Lanai and to provide under the authority of Pub. L. 102–587, 106 no further activity is contemplated in Stat. 5039. the correct maps and UTM coordinates relation to this action. If EPA receives for critical habitat units Lanai B, I, and 2. From April 28, 2001 through relevant adverse comments, the direct J. As noted in the proposed rule, the GIS November 30, 2001, § 117.795 is final rule will be withdrawn and all maps are provided to assist the public temporarily amended by adding a new public comments received will be in identifying areas that may fall within paragraph (e) to read as follows: addressed in a subsequent final rule the proposed designations. The based on this proposed action. EPA will corrected critical habitat units are § 117.795 Jamaica Bay and connecting not institute a second comment period described below. waterways. on this action. Any parties interested in FOR FURTHER INFORMATION CONTACT: Paul * * * * * commenting on this action should do so Henson, Field Supervisor, U.S. Fish and (e) The Beach Channel Railroad at this time. Wildlife Service, Pacific Islands Office, Bridge, at mile 6.7, shall open on signal DATES: Comments on this proposed 300 Ala Moana Blvd., P.O. Box 50088, after at least a twenty-four hours action must be received in writing by Honolulu, Hawaii 96850–0001 (telephone 808/541–3441; facsimile advance notice is given from 6 a.m. to May 7, 2001. 7 p.m., on each Monday, Wednesday, 808/541–3470). and Friday, from April 30, 2001 through ADDRESSES: Comments may be mailed to SUPPLEMENTARY INFORMATION: On November 30, 2001, and from 6 a.m. to Wayne Kaiser, Environmental December 27, 2000, the U.S. Fish and 9 p.m., on Saturday and Sunday, from Protection Agency, Air Planning and Wildlife Service (Service) published a April 28, 2001 through May 13, 2001. Development Branch, 901 North 5th proposal to designate critical habitat for Advance notice may be given by calling Street, Kansas City, Kansas 66101. 18 plant species from the island of Lanai, Hawaii. In that proposal, a total the number posted at the bridge. FOR FURTHER INFORMATION CONTACT: of approximately 1,953 hectares (ha) Wayne Kaiser at (913) 551–7603. Dated: April 2, 2001. (4,826 acres (ac)) on the island of Lanai Gerald M. Davis, SUPPLEMENTARY INFORMATION: See the were proposed as critical habitat. Captain, U.S. Coast Guard, Acting information provided in the direct final As published, the proposal contained Commander, First Coast Guard District. rule which is located in the rules errors in Table 5 (‘‘Approximate [FR Doc. 01–8640 Filed 4–4–01; 1:42 pm] section of the Federal Register. Proposed Critical Habitat Area by Unit, BILLING CODE 4910–15–P Lanai, Maui County, Hawaii’’) and in Dated: March 7, 2001. the ‘‘Descriptions of Critical Habitat William Rice, Units’’ for units Lanai B and I. The Acting Regional Administrator, Region 7. corrected total area for Lanai B is 137 ha [FR Doc. 01–8480 Filed 4–5–01; 8:45 am] (339 ac) and for Lanai I 176 ha (436 ac). BILLING CODE 6560–50–P As a result, the corrected total area proposed as critical habitat is now 2,034 ha (5,027 ac) on Lanai. In addition, the
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proposal contained errors in the legal points as found on standard topographic ‘‘General Locations of Units for 18 descriptions and maps depicting critical maps of the areas. Species of Plants, Island of Lanai’’ to habitat for units Lanai B, I, and J. We are Accordingly, make the following read as follows: providing corrected legal descriptions corrections to FR Doc. 00–31080 and GIS maps of critical habitat units published at 65 FR 82086 on December § 17.96 Critical habitat—plants. Lanai B, I, and J. The legal descriptions 27, 2000: (a) * * * of the critical habitat designations PART 17—[CORRECTED] (1) * * * required by regulation (50 CFR 424.12(c)) are the UTM coordinates that § 17.96 [Corrected] (i) * * * provide specific limits using reference 1. On page 82111, in (E) * * * § 17.96(a)(1)(i)(E), correct the map for BILLING CODE 4310–55–P
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* * * * * coordinates and legal description, and (a) * * * 2. On page 82112, in column 2, in map for Lanai I to read as follows: (1) * * * § 17.96(a)(1)(i)(E), correct the * * * * * (i) * * * coordinates and legal description, and (a) * * * (E) * * * map for Lanai B to read as follows: (1) * * * Critical Habitat Unit Lanai J: Area * * * * * (i) * * * (a) * * * (E) * * * consists of the following eight points (1) * * * Critical Habitat Unit Lanai I: Area and the intermediate coastline: 702559, (i) * * * consists of the following seven 2313776; 702658, 2313650; 702688, (E) * * * boundary points: 723999, 2305825; 2313348; 702566, 2313030; 702299, Critical Habitat Unit Lanai B: Area 723340, 2305440; 722686, 2305597; 2312864; 702063, 2312826; 701890, consists of the following seven 722499, 2306432; 723217, 2306957; 2312877; 701888, 2312878. boundary points: 723152, 2299428; 723807, 2306835; 724116, 2306461. Note: Map follows: 723686, 2299254; 723871, 2298540; Note: Map follows: 723158, 2298040; 722708, 2298220; 722422, 2298574; 722551, 2299102. NOTE: Map follows:
* * * * * * * * * * Dated: March 28, 2001. 4. On page 82115, in columns 1 and Rowan W. Gould, 2, in § 17.96(a)(1)(i)(E), correct the Acting Regional Director, Region 1, Fish and * * * * * coordinates and legal description, and Wildlife Service. 3. On page 82114, in column 3, in map for Lanai J to read as follows: [FR Doc. 01–8473 Filed 4–5–01; 8:45 am] § 17.96(a)(1)(i)(E), correct the * * * * * BILLING CODE 4310–55–C
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Notices Federal Register Vol. 66, No. 67
Friday, April 6, 2001
This section of the FEDERAL REGISTER and availability for service on national COMMISSION ON CIVIL RIGHTS contains documents other than rules or research and promotion boards, proposed rules that are applicable to the councils, and committees. The Agenda and Notice of Public Meeting public. Notices of hearings and investigations, information will be used to determine of the Alabama Advisory Committee committee meetings, agency decisions and rulings, delegations of authority, filing of whether persons nominated are eligible Notice is hereby given, pursuant to petitions and applications and agency to serve on these entities and to conduct the provisions of the rules and statements of organization and functions are background clearances. regulations of the U.S. Commission on examples of documents appearing in this Estimate of Burden: Public reporting Civil Rights, that a meeting of the section. burden for this collection of information Alabama Advisory Committee to the is estimated to average 0.5 hour per Commission will convene at 5:30 p.m. response. and adjourn at 8 p.m. on April 26, 2001, DEPARTMENT OF AGRICULTURE at the Radisson Suite Hotel-Huntsville, Respondents: Producers, handlers, Agricultural Marketing Service 6000 South Memorial Parkway, processors, importers, exporters, and Huntsville, Alabama 35824. The [Docket No. AMS–01–01] public representatives (nominees for purpose of the meeting is to plan future research and promotion boards, activities. Request for New Information councils, and committees). Persons desiring additional Collection Estimated Number of Respondents: information, or planning a presentation AGENCY: Agricultural Marketing Service, 565. to the Committee, should contact Melvin L. Jenkins, Director of the USDA. Estimated Number of Responses per Central Regional Office, 913–551–1400 ACTION: Notice and request for Respondent: 1. comments. (TDD 913–551–1414). Hearing-impaired Estimated Total Annual Burden on persons who will attend the meeting SUMMARY: In accordance with the Respondents: 283 hours. and require the services of a sign Paperwork Reduction Act of 1995 (44 Comments are invited on: (1) Whether language interpreter should contact the U.S.C. Chapter 35), this notice the proposed collection of information Regional Office at least ten (10) working announces the Agricultural Marketing is necessary for the proper performance days before the scheduled date of the Service’s intention to request an of the functions of the agency, including meeting. The meeting will be conducted approval for the Research and whether the information will have pursuant to the provisions of the rules Promotion Board, Council, and practical utility; (2) the accuracy of the and regulations of the Commission. Committee Membership Background agency’s estimate of the burden of the Information Collection. proposed collection of information Dated at Washington, DC, March 30, 2001. DATES: Comments on this notice must be including the validity of the Edward A. Hailes, Jr., received by June 5, 2001 to be assured methodology and assumptions used; (3) General Counsel. of consideration. ways to enhance the quality, utility, and [FR Doc. 01–8515 Filed 4–5–01; 8:45 am] ADDRESSES: Submit comments to: clarity of the information to be BILLING CODE 6335–01–P Docket Clerk, Research and Promotion collected; and (4) ways to minimize the Branch, Fruit and Vegetable Programs burden of the collection of information (FV), Agricultural Marketing Service COMMISSION ON CIVIL RIGHTS on those who are to respond, including (AMS), USDA, 1400 Independence Ave., the use of appropriate automated, SW., Stop 0244, Washington, DC 20250– Agenda and Notice of Public Meeting 0244; telephone (202) 720–9915; Fax electronic, mechanical, or other of the Wyoming Advisory Committee technological collection techniques or (202) 205–2800; or Notice is hereby given, pursuant to [email protected]. other forms of information technology. Comments may be sent to Martha the provisions of the rules and FOR FURTHER INFORMATION CONTACT: Ransom at the above address. All regulations of the U.S. Commission on Martha Ransom at the same address and comments received will be available for Civil Rights, that a meeting of the telephone number above or to public inspection during regular Wyoming Advisory Committee to the [email protected]. Commission will convene at 6 p.m. and business hours at the same address. SUPPLEMENTARY INFORMATION: recess at 8 p.m. on Wednesday, April Title: Research and Promotion Board, All responses to this notice will be 18, 2001, at the Holiday Inn Riverton Council, and Committee Background summarized and included in the request Convention Center, 900 E. Sunset, Information. for OMB approval. All comments will Riverton, Wyoming 82501. The purpose OMB Number: 0581–NEW. become a matter of public record. of the meeting is to: (1) Discuss civil Expiration Date of Approval: New Dated: April 2, 2001. rights issues in the State, (2) plan future activities, and (3) brief the Committee information collection—3 years from Kenneth C. Clayton, date of approval. on the community forum format. The Type of Request: Approval of new Acting Administrator, Agricultural Marketing Committee will reconvene at 9 a.m. and information collection. Service. adjourn at 6 p.m. on Thursday, April 19, Abstract: The primary objective for [FR Doc. 01–8466 Filed 4–5–01; 8:45 am] 2001, at the same location. The purpose the use of the AMS–755 form is to BILLING CODE 3410–02–P of the meeting is to hold a community determine qualifications, suitability, forum on: ‘‘Education Issues Affecting
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Minority and At-Risk Students in DEPARTMENT OF COMMERCE Period of Investigation Wyoming Public Secondary Schools.’’ The anticipated period of International Trade Administration Persons desiring additional investigation (POI) is April 1, 2000 information, or planning a presentation [A–122–836] through March 31, 2001. to the Committee, should contact John Dulles, Director of the Rocky Mountain Notice of Initiation of Antidumping Scope of Investigation Regional Office, 303–866–1040 (TDD Investigation: Live Processed Blue Imports covered by the investigation 303–866–1049). Hearing-impaired Mussels From Canada are shipments of live processed blue persons who will attend the meeting mussels from Canada. Included in the AGENCY: Import Administration, and require the services of a sign International Trade Administration, scope are fresh, live processed blue language interpreter should contact the Department of Commerce. mussels (mytilus edulis). Processing Regional Office at least ten (10) working includes, but is not limited to, purging, days before the scheduled date of the ACTION: Initiation of Antidumping grading, debearding, picking, inspecting meeting. Investigation. and packing. The live processed blue mussels subject to this investigation are The meeting will be conducted EFFECTIVE DATE: April 6, 2001. currently classifiable under subheadings pursuant to the provisions of the rules FOR FURTHER INFORMATION CONTACT: Ron and regulations of the Commission. 0307.31.00 of the Harmonized Tariff Trentham, Zev Primor and Paige Rivas Schedule of the United States (HTSUS). Dated at Washington, DC, March 30, 2001. at (202) 482–6320, (202) 482–4114 and Although the HTSUS subheadings are Edward A. Hailes, Jr., (202) 482–0651, respectively; AD/CVD provided for convenience and Customs General Counsel. Enforcement Office 4, Group II, Import purposes, the Department’s written Administration, International Trade [FR Doc. 01–8516 Filed 4–5–01; 8:45 am] description of the scope of this Administration, U.S. Department of BILLING CODE 6335–01–P investigation remains dispositive. See Commerce, 14th Street and Constitution Initiation Checklist, Re: product Avenue, NW., Washington, DC 20230. description. CIVIL RIGHTS COMMISSION Initiation of Investigation During our review of the petition, we discussed the scope with the petitioner The Applicable Statute and Regulations Sunshine Act Meeting to ensure that it accurately reflected the Unless otherwise indicated, all product for which the domestic industry AGENCY: U.S. Commission on Civil citations to the statute are references to is seeking relief. The petitioner agreed Rights. the provisions effective January 1, 1995, that the scope of the petition should be the effective date of the amendments expanded to include both farmed and DATE AND TIME: Friday, April 13, 2001, made to the Tariff Act of 1930 (the Act) non-farmed mussels. See Memorandum 9:30 a.m. by the Uruguay Round Agreements Act to File: Live Blue Processed Mussels PLACE: U.S. Commission on Civil Rights, (URAA). In addition, unless otherwise from Canada—Scope Definition (March 624 Ninth Street, NW., Room 540, indicated, all citations to the 20, 2001). Moreover, as discussed in the Washington, DC 20425. Department’s regulations are references preamble to the Department’s to the provisions codified at 19 CFR Part regulations (62 FR 27323), we are setting STATUS: 351 (2000). aside a period for parties to raise issues regarding product coverage. The Agenda The Petition Department encourages all parties to I. Approved of Agenda On March 12, 2001, the Department of submit such comments within 20 days II. Approval of Minutes of March 9, 2001 Commerce (the Department) received a from publication of this notice. Meeting petition filed in proper form by Great Comments should be addressed to III. Announcements Eastern Mussel Farms Inc. (hereinafter, Import Administration’s Central IV. Staff Director’s Report the petitioner). On March 20, 2001, the Records Unit at Room 1870, U.S. V. Alleged Voting Irregularities in Florida: Department received a letter from the Department of Commerce, 14th Street Discussion of Outline of The Final petitioner amending the petition. The and Constitution Avenue, NW., Document petitioner is a mussel processor in the Washington, DC 20230. The period of VI. State Advisory Committee Report United States market. • Reconciliation at a Crossroads: The scope consultations is intended to In accordance with section 732(b) of Implications of Rice v. Cayetano on provide the Department with ample the Act, the petitioner alleges that Programs for Native Hawaiians (Hawaii) opportunity to consider all comments imports of live processed blue mussels • Civil Rights Issues Facing Arab and consult with parties prior to the Americans in Michigan (Michigan) from Canada are being, or are likely to issuance of the preliminary VII. Future Agenda Items be, sold in the United States at less than determination. fair value within the meaning of section 11 a.m. Briefing on Equal Educational 731 of the Act, and that such imports Determination of Industry Support for Opportunity: Vouchers/Choice, Charters, are materially injuring an industry in the Petition High Stakes Testing and Bilingual the United States. Section 771(4)(A) of the Act defines Education The Department finds that the the ‘‘industry’’ as the producers of a CONTACT PERSON FOR FURTHER petitioner filed this petition on behalf of domestic like product. Thus, to INFORMATION: David Aronson, Press and the domestic industry because it is an determine whether the petition has the Communications (202) 376–8312. interested party as defined in section requisite industry support, the statute 771(9)(C) of the Act and has directs the Department to look to Edward A. Hailes, Jr., demonstrated sufficient industry producers and workers who produce the General Counsel. support with respect to the antidumping domestic like product. The U.S. [FR Doc. 01–8694 Filed 4–4–01; 2:43 pm] investigation that it is requesting the International Trade Commission (ITC), BILLING CODE 6335–01–M Department to initiate (see below). which is responsible for determining
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whether ‘‘the domestic industry’’ has Canadian mussel producer, filed a The petitioner based export prices (EPs) been injured, must also determine what submission stating that the petitioner on actual prices between the Canadian constitutes a domestic like product in does not constitute 100 percent of the processors and U.S. wholesalers. The order to define the industry. While both U.S. domestic industry. See Letter from prices were obtained from U.S. the Department and the ITC must apply CCMC to the Secretary of Commerce, wholesalers by the petitioner. Where the same statutory definition regarding Re: Mussels from Canada, Comments on appropriate, the petitioner made the domestic like product (section Standing, March 28, 2001. On March 29, adjustments for movement and packing 771(10) of the Act), they do so for 2001, the petitioner submitted rebuttal expenses. The movement expenses different purposes and pursuant to comments to CCMC’s comments. See figures were based on an invoice from separate and distinct authorities. In Letter from the Petitioner to the a Canadian mussels producer to an addition, the Department’s Secretary in Response to CCMC, March unaffiliated U.S. customer and a price determination is subject to limitations of 29, 2001. On March 30, 2001, the quote from an independent freight time and information. Although this Government of Canada submitted company delivering subject may result in different definitions of the comments reiterating some of the same merchandise to both U.S. and Canadian like product, such differences do not arguments made by CCMC. See markets. Further, the petitioner stated render the decision of either agency Diplomatic Note No. 0101 (March 30, that it based packing expenses on its contrary to the law.1 2001). own cost experience because the Section 771(10) of the Act defines the In order to estimate production for the packing materials are virtually identical domestic like product as ‘‘a product domestic industry as defined for in both markets. To support the which is like, or in the absence of like, purposes of this case, the Department accuracy of this information the most similar in characteristics and uses has relied upon not only the petition petitioner provided an affidavit from the with, the article subject to an and amendments thereto, but also upon company official that was responsible investigation under this subtitle.’’ Thus, ‘‘other information’’ it obtained through for collecting the information. the reference point from which the research. See Determination of Industry Additionally, the Department domestic like product analysis begins is Support for the Petition for the conducted its own research in order to ‘‘the article subject to an investigation,’’ Initiation of the Antidumping Duty determine the average entered value of i.e., the class or kind of merchandise to Investigation of Live Processed Blue live blue mussels from Canada. Based be investigated, which normally will be Mussels from Canada (Industry Support on U.S. Customs data, we determined the scope as defined in the petition. Memorandum), April 2, 2001, and that the average entered value of blue In this case, we have adopted the Initiation Checklist Re: Industry mussels from Canada during the POI definition of the domestic like product Support. was 0.73 dollar per pound of mussels defined in the ‘‘Scope of Investigation’’ Based on a review of these sources of (unadjusted for freight and packing). section, above. That definition was information and all submitted This figure was within the range of developed in consultation with the comments, we have determined that the petitioner’s alleged U.S. prices. We also petitioner. petitioner accounts for at least 50 confirmed that figure through a Section 732(b)(1) of the Act requires percent of production by the domestic publication, SeafoodReport, which that a petition be filed on behalf of the industry. Furthermore, no domestic tracks U.S. imports for a variety of domestic industry. Section 732(c)(4)(A) interested party has expressed shellfish. See Memorandum to File: Live of the Act provides that a petition meets opposition to the petition. Thus, Processed Mussels from Canad— this requirement if the domestic pursuant to section 734(c)(4)(A), there is Average Price of Imported Mussels from producers or workers who support the adequate support for the petition. Canada (March 29, 2001). petition account for: (1) At least 25 Accordingly, we determine that the Normal Value percent of the total production of the petition is filed on behalf of the domestic like product; and (2) more domestic industry within the meaning The petitioner based normal value than 50 percent of the production of the of section 732(b)(1) of the Act. (NV) on actual prices from the five domestic like product produced by that major processors named above to portion of the industry expressing Export Price and Normal Value unaffiliated Canadian wholesalers. The support for, or opposition to, the The following are descriptions of the NVs were obtained by the petitioner petition. Finally, section 732(c)(4)(D) of allegations of sales at less than fair value from Canadian wholesalers and adjusted the Act provides that, if the petition upon which the Department based its for domestic freight and packing does not establish support of domestic decision to initiate these investigations. charges. The freight expenses were producers or workers accounting for The sources of data for the deductions based on a price quote provided by an more than 50 percent of the total and adjustments relating to home independent freight company which production of the domestic like product, market price, and U.S. price are detailed provides freight services to both U.S. the administering agency shall: (i) Poll in the Initiation Checklist. Should the and Canadian markets. Packing the industry or rely on other need arise to use any of this information expenses were based on the petitioner’s information in order to determine if as facts available under section 776 of own cost experience. To support the there is support for the petition as the Act in our preliminary or final accuracy of this information, the required by subparagraph (A), or (ii) determinations, we may re-examine the petitioner provided an affidavit from the determine industry support using a information and revise the margin company official that was responsible statistically valid sampling method. calculations, if appropriate. for collecting the information. On March 28, 2001, Confederation Cove Mussel Co. Ltd. (CCMC), a Export Price Fair Value Comparisons The petitioner identified the Based upon the comparison of NV to 1 See Algoma Steel Corp. Ltd., v. United States, following Canadian companies as EP, the petitioner calculated estimated 688 F. Supp. 639, 642–44 (CIT 1988); High processors of blue mussels in its dumping margins ranging from 15 to 67 Information Content Flat Panel Displays and Display Glass from Japan: Final Determination; petition: Atlantic Mussels Growers, percent. Thus, based on the data Rescission of Investigation and Partial Dismissal of Atlantic Shellfish, PEI Mussel King, provided by the petitioner, there is Petition, 56 FR 32376, 32380–81 (July 16, 1991). Prince Edward Aqua Farms, and CCMC. reason to believe that imports of live
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processed blue mussels from Canada are to provide a copy of the public version Postponement of Preliminary Results of being, or are likely to be, sold at less to each exporter named in the petition, Review than fair value. as appropriate. On October 2, 2000, the Department Allegations and Evidence of Material International Trade Commission published a notice of initiation of an Injury and Causation Notification administrative review of the countervailing duty order on industrial The petition alleges that the U.S. We have notified the ITC of our phosphoric acid from Israel, covering industry producing the domestic like initiation, as required by section 732(d) the period January 1, 1999 through product is being materially injured, or is of the Act. December 31, 1999 (65 FR 58733). The threatened with material injury, by preliminary results are currently due no reason of the individual and cumulated Preliminary Determinations by the ITC later than May 3, 2001. imports of the subject merchandise sold The ITC will determine, no later than Section 751(a)(3)(A) of the Tariff Act, at less than NV. The petitioner contends April 26, 2001, whether there is a as amended (the Act), requires the that the industry’s injured condition is reasonable indication that imports of Department to make a preliminary evident in the declining trends in net live processed blue mussels from determination within 245 days after the operating profits, net sales volumes, Canada are causing material injury, or last day of the anniversary month of an profit to sales ratios, and capacity threatening to cause material injury, to order/finding for which a review is utilization. The allegations of injury and a U.S. industry. A negative ITC requested. However, if it is not causation are supported by relevant determination will result in the practicable to complete the preliminary evidence including the U.S. Customs’ investigation being terminated; results within this time period, section import statistics and the SeafoodReport otherwise, this investigation will 751(a)(3)(A) of the Act allows the which indicate that imports of blue proceed according to statutory and Department to extend the time limit for mussels from Canada in 2000 grew by regulatory time limits. a preliminary determination to a at least 30 percent compared to the prior This notice is issued and published maximum of 365 days. year. See Seafood Report, at vol. 5, pursuant to section 777(i) of the Act. We determine that it is not practicable numbers 9 and 12 (attached to the Effective January 20, 2001, Bernard T. to complete the preliminary results of petition). According to the petitioner, Carreau is fulfilling the duties of the this review within the original time the trend of Canadian imports registered Assistant Secretary for Import limit. Therefore, the Department is similar growth rates in the past four Administration. extending the time limit for completion years, while during the same period Dated: April 2, 2001. of the preliminary results to no later petitioner’s sales have been declining. Bernard T. Carreau, than August 31, 2001. See We have assessed the allegations and Memorandum from Barbara E. Tillman supporting evidence regarding material Deputy Assistant Secretary, Import Administration. to Joseph A. Spetrini, dated April 2, injury and causation, and have 2001, which is on file in the Central determined that these allegations are [FR Doc. 01–8524 Filed 4–5–01; 8:45 am] BILLING CODE 3510–DS–P Records Unit, Room B–099 of the main properly supported by accurate and Commerce Building. This extension is adequate evidence and meet the in accordance with section 751(a)(3)(A) statutory requirements for initiation (see DEPARTMENT OF COMMERCE of the Act. Initiation Checklist at Attachment Re: Dated: March 30, 2001. Material Injury). International Trade Administration Joseph A. Spetrini, Initiation of Antidumping Investigation [C–508–605] Deputy Assistant Secretary, AD/CVD Based upon our examination of the Enforcement Group III. petition on live processed blue mussels, Industrial Phosphoric Acid From [FR Doc. 01–8523 Filed 4–5–01; 8:45 am] Israel: Notice of Extension of Time and the petitioner’s response to our BILLING CODE 3510–DS–P supplemental questionnaire clarifying Limit for Countervailing Duty the petition, as well as our Administrative Review conversations with industry experts AGENCY: Import Administration, DEPARTMENT OF COMMERCE who provided information concerning International Trade Administration, National Oceanic and Atmospheric various aspects of the petition, we have Department of Commerce. found that they meet the requirements Administration EFFECTIVE DATE: April 6, 2001. of section 732 of the Act. See Industry Evaluation of Coastal Zone Support Memorandum. Therefore, we SUMMARY: The Department of Commerce Management Programs and National are initiating an antidumping duty (the Department) is extending the time Estuarine Research Reserves investigation to determine whether limit for the preliminary results of the administrative review of the imports of live processed blue mussels AGENCY: Office of Ocean and Coastal from Canada are being, or are likely to countervailing duty order on industrial Resource Management, National Ocean be, sold in the United States at less than phosphoric acid from Israel. The review Service, National Oceanic and fair value. Unless this deadline is covers the period January 1, 1999 Atmospheric Administration (NOAA), extended, we will make our preliminary through December 31, 1999. DOC. FOR FURTHER INFORMATION CONTACT: determination no later than 140 days ACTION: Notice of intent to evaluate. after the date of this initiation. Sean Carey or Samantha Denenberg, AD/CVD Enforcement Office 7, Import SUMMARY: The NOAA Office of Ocean Distribution of Copies of the Petitions Administration, International Trade and Coastal Resource Management In accordance with section Administration, U.S. Department of (OCRM) announces its intent to evaluate 732(b)(3)(A) of the Act, a copy of the Commerce, 14th Street and Constitution the performance of the Georgia Coastal public version of this petition has been Avenue, NW., Washington, DC 20230, Management Program, and the Rookery provided to the representatives of the telephone: (202) 482–3964 or (202) 482– Bay National Estuarine Research Government of Canada. We will attempt 1386, respectively. Reserve in Florida.
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The Coastal Zone Management West Highway, 10th Floor, Silver availability for licensing of U.S. Patent Program evaluation will be conducted Spring, Maryland 20910. When the Application Serial No. 60/235,899 pursuant to section 312 of the Coastal evaluations are completed, OCRM will entitled ‘‘Schlager Blast Utility Zone Management Act of 1972 (CZMA), place a notice in the Federal Register Program’’ and filed September 28, 2000. as amended and regulations at 15 CFR announcing the availability of the Final This patent application has been Part 923. The National Estuarine Evaluation Findings. assigned to the United States Research Reserve evaluation will be FOR FURTHER INFORMATION CONTACT: Government as represented by the conducted pursuant to section 315 of Margo E. Jackson, Deputy Director, Secretary of the Army. the CZMA, as amended and regulations Office of Ocean and Coastal Resource ADDRESSES: Commander, U.S. Army at 15 CFR Part 921, Subpart E and part Management, NOS/NOAA, 1305 East- Medical Research and Materiel 923 Subpart L. West Highway, Silver Spring, Maryland Command, ATTN: Command Judge The CZMA requires continuing 20910, (310) 713–3155, Extension 114. Advocate, MCMR–JA, 504 Scott Street, review of the performance of states with Fort Detrick, Maryland 21702–5012. respect to coastal program and research Federal Domestic Assistance Catalog 11.419, reserve program implementation. Coastal Zone Management Program FOR FURTHER INFORMATION CONTACT: For Administration. Evaluation of Coastal Zone Management patent issues, Ms. Elizabeth Arwine, Programs and National Estuarine Dated: April 2, 2001. Patent Attorney, (301) 619–7808. For Research Reserves requires findings Capt. Ted I. Lillestolen, licensing issues, Dr. Paul Mele, Office of concerning the extent to which a state Deputy Assistant Administrator for Ocean Research & Technology Assessment, has met the national objectives, adhered Services and Coastal Zone Management. (301) 619–6664. Both at telefax (301) to its coastal program document or [FR Doc. 01–8669 Filed 4–5–01; 8:45 am] 619–5034. Reserve final management plan, BILLING CODE 3510–08–M SUPPLEMENTARY INFORMATION: An object- approved by the Secretary of Commerce, oriented program was developed to run and adhered to the terms of financial in Windows environment. The program assistance awards funded under the CORPORATION FOR NATIONAL AND is designed (1) to identify DNA in CZMA. COMMUNITY SERVICE multiple sequence files; (2) to The evaluations will include a site electronically capture search results visit, consideration of public comments, Revised Due Date for New Tribal from the National Center for and consultations with interested Applications for Assistance Under Biotechnology Institute (NCBI) Federal, State, and local agencies and AmeriCorps*State/National databases; and (3) to retrieve stored members of the public. Public meetings results data in a interconnected file will be held as part of the site visits. AGENCY: Corporation for National and structure organized for easy review and Notice is hereby given of the dates of Community Service. further analysis. The program the site visits for the listed evaluations, ACTION: Notice. automatically creates folders for and the date, local time, and location of placement of sequence identification SUMMARY: the public meetings during the site We have extended the data, locates known sequences of DNA visits. deadline for new applications by Indian for removal, interacts with the BLAST The Georgia Coastal Management tribes for assistance under program on the NCBI website to identify Program evaluation site visit will be AmeriCorps*State/National. The new unknown DNA data by sequence from May 21–25, 2001. One public deadline is June 1, 2001. comparison, stores and parses the meeting will be held during the week. FOR FURTHER INFORMATION CONTACT: HTML formatted match results into The public meeting will be held on Shelly Ryan, (202) 606–5000, ext. 549 or Excel files and compiles the best match Wednesday, May 23, 2001, at 7 p.m., at [email protected]. T.D.D. (202) 565–2799. from each file into a DNA library file. the Georgia Coastal Resources Division For individuals with disabilities, we The program automates each of these Offices, One Conservation Way, will make this information available in steps involved in the identification of Brunswick, Georgia. alternative formats upon request. the DNA nucleotide sequences The Rookery Bay National Estuarine Dated: April 3, 2001. capturing all pertinent NCBI data in a Research Reserve site visit will be from Peter Heinaru, spreadsheet format. May 12–18 2001. One public meeting will be held during the week. The Director, AmeriCorps*State/National. Luz D. Ortiz, public meeting will be held on [FR Doc. 01–8542 Filed 4–5–01; 8:45 am] Army Federal Register Liaison Officer. Thursday, May 17, 2001, at 6 p.m., at BILLING CODE 6050–$$–P [FR Doc. 01–8555 Filed 4–5–01; 8:45 am] the Rookery Bay National Estuarine BILLING CODE 3710–08–M Research Reserve Headquarters Building, Florida Department of DEPARTMENT OF DEFENSE Environmental Protection, 300 tower DEPARTMENT OF DEFENSE Road, Naples, Florida. Department of the Army Copies of states’ most recent Department of the Army, Corps of Availability for Non-Exclusive, performance reports, as well as OCRM’s Engineers Exclusive, or Partially Exclusive notifications and supplemental request Licensing of U.S. Patent Application letters to the states, are available upon Intent To Prepare a Revised Draft Concerning Schlager Blast Utility request from OCRM. Written comments Supplemental Environmental Impact Program from interested parties regarding these Statement (DSEIS) for the St. Johns Bayou and New Madrid Floodway Programs are encouraged and will be AGENCY: U.S. Army Medical Research Project, Missouri, First Phase accepted until 15 days after the public and Materiel Command, DoD. meeting. Please direct written comments ACTION: Notice. AGENCY: U.S. Army Corps of Engineers, to Margo E. Jackson, Deputy Director, DoD. Office of Ocean and Coastal Resource SUMMARY: In accordance with 37 CFR ACTION: Notice of intent. Management, NOS/NOAA, 1305 East- 404.6, announcement is made of the
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SUMMARY: Development of of July 24, 1946, and subsequently environmental and project sponsor environmentally sustainable flood constructed. An EIS for the MR&T and meetings since the September 2000 protection alternatives for the St. Johns Channel Improvement was filed with FSEIS was produced. Interagency Bayou and New Madrid Floodway the Council on Environmental Quality environmental meetings will continue basins is the purpose of the proposed on July 2, 1976, which addressed the to be held as needed. Significant issues reevaluation. A Notice of Availability New Madrid Floodway levee closure. to be addressed in the revised DSEIS for the Final Supplemental The St. Johns Bayou/New Madrid will include alternative levee closure Environmental Impact Statement Floodway Project Final Supplemental locations for the New Madrid Floodway, (FSEIS) on the St. Johns Bayou and New Environmental Impact Statement (SEIS) related impacts, and fish and wildlife Madrid Floodway, Missouri, First was filed with the EPA on July 23, 1982. mitigation alternatives. This NOI will Phase, Supplement to the 1982 St. Johns The current project was authorized for serve as a request for scoping input. Bayou-New Madrid Floodway Final construction by the Water Resources Interested parties are invited to provide Supplemental Environmental Impact Development Act of 1986 (Pub. L. 99– comments or concerns to the above Statement and the Mississippi River and 662), section 401(a). The authorized address. It is anticipated that the revised Tributaries Project, Mississippi River project is based on the Report of the DSEIS will be available for public Levees and Channel Improvement 1976 Chief of Engineers, dated January 4, review in the Fall of 2001. 1983, which is part of the Phase I Final Environmental Impact Statement Luz D. Ortiz, was published in the Federal Register General Design Memorandum (GDM) Army Federal Register Liaison Officer. on September 8, 2000. The FSEIS was documents prepared in response to distributed to Federal and State agencies section 101(a) of the Water Resources [FR Doc. 01–8554 Filed 4–5–01; 8:45 am] and the public. The FSEIS evaluated Development Act of 1976 (Pub. L. 94– BILLING CODE 3710–KS–M plans that provide flood protection in 587). This revised DSEIS is being prepared to supplement the 1976 MR&T the St. Johns Bayou and New Madrid DEPARTMENT OF DEFENSE Floodway Basins in southeast Missouri. EIS and the 1982 St. Johns Bayou/New Substantive comments promulgated by Madrid Floodway Project Final SEIS. Department of the Army, Corps of the Department of the Interior, U.S. 1. Proposed Action Engineers Environmental Protection Agency (EPA), and the State of Missouri The recommended plan of Intent To Prepare a Draft concerning the FSEIS array of improvement for the First Phase work, Environmental Impact Statement alternatives resulted in the Corps of as evaluated in the September 2000 (DEIS) Pertaining to the Santa Cruz Engineers decision to prepare a revised FSEIS, includes about 23 miles of River Where Its Course From the South DSEIS to evaluate alternative levee channel modification, a 1,000 cfs Enters the City of Tucson, Pima closure alignments and relevant pumping station for the St. Johns Bayou County, AZ mitigation options. Basin area, a 1,500 cfs pumping station for the New Madrid Floodway area, and AGENCY: U.S. Army Corps of Engineers, FOR FURTHER INFORMATION CONTACT: Mr. a 1,500 foot closure levee and gravity DoD. Larry Sharpe, telephone (901) 544–3476, outlet structure at the southern end of ACTION: Notice of intent. CEMVM–PM–P, 167 North Main street, the New Madrid Floodway. The revised B–202, Memphis, TN 38103–1894. SUMMARY: DSEIS will address and evaluate the Analyses of foreseeable Questions or comments regarding the environmental and economic impacts of environmental impacts from potential revised DSEIS (including scoping input) actions along the Santa Cruz River in alternative levee closure locations, may be directed to Mr. David L. Reece, the City of Tucson, Pima County, develop and discuss the locations of Chief, Environmental and Economic Arizona, will commence. No explicit potential compensatory mitigation sites, Analysis Branch, telephone (901) 544– plans have been advanced as yet, so and further address concerns from 3970, CEMVM–PM–E, or Mr. John contents of the Draft EIS remain to be Federal and State resource agencies. Rumancik, telephone (901) 544–3975, determined during the public scoping CEMVM–PM–E. 2. Alternatives process. The portion of the river to be SUPPLEMENTARY INFORMATION: The St. Several flood reduction alternatives, studied extends from about Valencia Johns Bayou Basin and New Madrid including mitigation, were evaluated in Road (upstream) to about Congress Road Floodway are located in the Bootheel the previous EIS(s). In addition to the (downstream), a distance of about 6.9 region of southeast Missouri, and recommended plan, the September 2000 river miles. Pima County has identified include all or portions of New Madrid, FSEIS included a reevaluation of the within this length of the river needs Scott, and Mississippi counties. The 1986 authorized plan for flood associated with loss of riparian habitat basins are adjacent to the Mississippi protection and NO Action alternative. and the presence of cultural resources. River, and subject to both backwater and The revised DSEIS will analyze other Those needs will guide the formulation interior headwater flooding. Congress alternative levee closure alignments and of plans for this region, the Paseo de las authorized the Mississippi River and options inside the New Madrid Iglesis (way, or walk of the churches) Tributaries (MR&T) Project in the Flood Floodway. Each alternative levee segment of the Santa Cruz River. Control Act of 1928, to construct the closure alignment would result in The U.S. Army Corps of Engineers mainline Mississippi River levees. The different amounts of cropland and and Pima County, Arizona, will Birds Point—New Madrid Floodway wooded land available for periodic cooperate in conducting this feasibility was a portion of the 1928 Flood Control Mississippi River backwater flooding to study. Act. A levee closure and outlet structure provide fishery spawning and rearing ADDRESSES: District Engineer, U.S. at New Madrid, Missouri, were habitats. Army Corps of Engineers, Los Angeles authorized in the Flood Control Act of District, ATTN: CESPL–PD–RP, P.O. 1954 (Pub. L. 780–83), but not 3. Scoping Process Box 532711, Los Angeles, California constructed. The St. Johns Bayou Basin An intensive public involvement 90053–2325. levee closure, with drainage structure, program has been ongoing. There have FOR FURTHER INFORMATION CONTACT: Mr. was authorized in the Flood Control Act been additional interagency John E. Moeur, Environmental
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Coordinator, telephone (213) 452–3874, Cruz near downtown Tucson, and banks, hazardous wastes, physical or Mr. John E. Drake, Study Manager, elements of the riparian community on environment, hydrology, groundwater, telephone (602) 640–2033. The its banks; (3) modifications of upland biological, archaeological, geological, air cooperating entity, Pima County, surfaces adjacent to the incised banks to quality, noise, transportation, requests inquiries be made to Ms. Mary promote growth of appropriate native socioeconomic, and safety. Lou Johnson, telephone (520) 740–6444, upland vegetation; (4) designs for Luz D. Ortiz, for any additional information. recreational facilities which would Army Federal Register Liaison Officer. SUPPLEMENTARY INFORMATION: feature prehistoric elements, historic properties, and biological traits of this [FR Doc. 01–8553 Filed 4–5–01; 8:45 am] 1. Authorization portion of the Santa Cruz; (5) integrate BILLING CODE 3710–KF–M Feasibility studies for Paseo de las these recreational considerations into Iglesias were authorized by Section 6 of the Juan Bautista de Anza National the Flood Control Act of 1938. The 75th Trail; and (6) the efficacy of recharging DEPARTMENT OF EDUCATION Congress of the United States passed subsurface aquifers by means of water [CFDA No.: 84.299B] what became Public Law 761. This released into the river bottom legislation states, in part: ‘‘*** the downstream of Valencia Road. Indian Education Discretionary Grant Secretary of War [Secretary of the Army Prehistoric and historic cultural Programs—Professional Development since 1947] is hereby authorized and resources are abundant along this directed to cause preliminary stretch of the Santa Cruz. Neither AGENCY: Department of Education. examinations and surveys * * * at the Federally protected species nor critical ACTION: Notice inviting applications for following locations * * * Gila River habitat for listed species have been new awards for fiscal year (FY) 2001. and tributaries, Arizona, * * *.’’ The identified here. Santa Cruz River once flowed into the Purpose of Program: The purposes of Gila when a wetter climate prevailed in 3. Proposed Action this program are to (1) increase the the southwest, and its watershed still No plan of action has yet been number of qualified Indian individuals joins that of the Gila near Laveen, identified. in professions that serve Indian people; Arizona. (2) provide training to qualified Indian 4. Alternatives individuals to become teachers, 2. Background a. No Action: No improvement or administrators, teacher aides, social The Santa Cruz River arises in reinforcement of existing banks or workers, and ancillary educational southeastern Arizona, passes uplands. personnel; and (3) improve the skills of southwesterly into Sonora, Mexico, then b. Proposed Alternative Plans: None qualified Indian individuals who serve turns northward again and re-enters the have been formulated to date. in the capacities described in (2). United States at Nogales, Arizona. Since Activities may include, but are not before the late 16th century when the 5. Scoping Process limited to, continuing programs, Spanish explored the southwest, the Participation of all interested Federal, symposia, workshops, conferences, and Santa Cruz River never ran continuously State, and County resource agencies, as direct financial support. all the way to the Gila. Where well as Native American peoples, Grants for training educational underlying bedrock along its course groups with environmental interests, personnel may be for preservice or forced water to the surface, the Santa and all interested individuals is inservice training. For individuals who Cruz was perennial. Historically, encouraged. Public involvement will be are being trained to enter any field other reliable surface flows along the Santa most beneficial and worthwhile in than education, the training received Cruz could be found intermittently identifying pertinent environmental must be in a program resulting in a between Nogales and Martinez Hill, to issues, offering useful information such graduate degree. the east Mission San Xavier in the as published or unpublished data, direct For FY 2001, the competition for new southerly parts of what is now personal experience or knowledge awards is restricted to projects designed metropolitan Tucson. Subsurface flow which inform decision making, to meet the absolute priority described farther north sustained a riparian assistance in defining the scope of plans in the PRIORITY section of this community. Downstream of the which ought to be considered, and application notice. confluence with the so called West recommending suitable mitigation Eligible Applicants: Eligible Branch of the Santa Cruz the water table measures warranted by such plans. applicants for this program are again rose above the surface around Those wishing to contribute institutions of higher education, Sentinel Hill. Year-round water information, ideas, alternatives for including Indian institutions of higher supplied the needs of Mission San actions, and so forth can furnish these education; State or local educational Agustı´n, built on the west side of the contributions in writing to the points of agencies, in consortium with river at the foot of the hill where contacts indicated above, or by institutions of higher education; and Tohono O’Odham people kept a village attending public scoping opportunities. Indian tribes or organizations, in (called stjukshon by them), and the The scoping period will conclude 30 consortium with institutions of higher presidio on the east side of the Santa days after publication of this NOI and education. An application from a Cruz. These two historic locations simultaneous publication in newspapers consortium of eligible entities must became the origin modern day Tucson. circulated in the greater Tucson area. meet the requirements of 34 CFR 75.127 The Feasibility Studies to be When plans have been devised and through 75.129. The written consortium evaluated by this Draft EIS will alternatives formulated to embody those agreement must be submitted with the evaluate: (1) Alternative means of plans, potential impacts will be application. The agreement must be structural stabilization to the river’s evaluated in the DEIS. These signed or the applicant must submit banks between Valencia Road assessments will emphasize at least other evidence that all the members of (upstream) and the site of Mission San fourteen categories of resources: Land the consortium agree to the contents of Agustı´n (downstream); (2) opportunities use, impromptu historic landfills the agreement. Letters of support do not to reclaim lotic properties of the Santa created by dumping trash over the meet the consortium requirements. The
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Secretary rejects and does not consider The Secretary reserves up to $1,000,000 or nonproportional font or a typewriter, do an application that does not meet these approximately 20 percent of the funds not use more than 12 characters to the requirements. available for new awards for projects that inch. Institutions of higher education, meet Priority 1, and up to $4,000,000 or The page limit does not apply to the including Indian institutions of higher approximately 80 percent of the funds cover sheet; the budget section available for new awards for projects that education, that cannot directly offer the meet Priority 2. (including the narrative budget accredited master’s level program justification); the assurances and Available Funds: $5,000,000. required to meet the requirements for certifications; or the one-page abstract, Estimated Range of Awards: $300,000 Absolute Priority #2 must submit a appendices, resumes, bibliography, and to $500,000. consortium application with an Estimated Average Size of Awards: letters of support. However, all of the accredited institution of higher $385,000. application narrative addressing the education that can offer a master’s level Estimated Number of Awards: 13. selection criteria must be included in degree and program coursework in order the narrative section. If, in order to meet to be considered an eligible applicant. Note: The Department is not bound by any the page limit, you use print size, The written consortium agreement must estimates in this notice. spacing, or margins smaller than the be submitted with the application. The Project Period for Absolute Priority #1 standards specified in this notice, your agreement must be signed or the Projects: Up to 24 months. It is the application will not be reviewed or applicant must submit other evidence expectation of the Department that all considered for funding. that all the members of the consortium project periods will begin August 1, Applicable Regulations: (a) The agree to the contents of the agreement. 2001 with program services beginning Education Department General Letters of support do not meet the with the Fall 2001 academic term. Administrative Regulations (EDGAR) in consortium requirements. The Secretary Project Period for Absolute Priority #2 34 CFR parts 74, 75, 77, 79, 80, 81, 82, rejects and does not consider an Projects: Up to 36 months. It is the 85, 86, 97, 98, and 99; and (b) for the application that does not meet these expectation of the Department that all Professional Development Program, the requirements. project periods will begin August 1, payback provisions of 34 CFR 263.1(b), Deadline for Transmittal of 2001 with program services beginning 263.3, and 263.35 through 263.37. In Applications: June 1, 2001. with the Fall 2001 academic term. addition, this program is governed by Deadline for Intergovernmental Budget Requirement: Projects funded the notice of final priorities for fiscal Review: July 31, 2001. under this competition must budget for year 2000 and subsequent fiscal years as Applications Available: April 11, a two-day Project Directors’ meeting in published by the Department of 2001. Washington, DC during each year of the Education in the Federal Register on Absolute Priority: The Secretary project. April 28, 2000 (65 FR 25147–25152). reserves all or a portion of the funds Maximum Annual Award Amount: In Selection Criteria: The selection available for new awards under the no case does the Secretary make an criteria are included in full in the Professional Development program to award greater than $500,000 for a single application package for this fund only those applications that meet budget period of 12 months for the first competition. These selection criteria one of these absolute priorities: 24 months of the award period. For were established based on the projects addressing Absolute Priority #2, (1) In-Service Administrator Training — regulations for evaluating discretionary the last 12 months of a 36-month award grants found in 34 CFR 75.200 through Provide professional development will be limited to induction services 75.210. activities to existing administrators that only at a cost not to exceed $60,000 for Fiscal Information: Stipends may be enhance their skills and knowledge in the third 12-month budget period. The paid only to full-time students. For the more than one of the following areas— Secretary rejects and does not consider payment of stipends to project (a) Standards and assessments; an application that proposes a budget participants being trained, the Secretary (b) Integrating reliable, research-based exceeding these maximum amounts or expects to set the stipend maximum at teaching methods and technology into does not budget or plan for induction $1000 per month for full-time students the curriculum; services. and $125 allowance per month per (c) Mentoring, coaching, and evaluating Page Limit: The application narrative dependent during the academic year. the performance of teachers; is where an applicant addresses the The terms ‘‘stipend,’’ ‘‘full-time (d) Site-based management; or selection criteria that are used by student,’’ and ‘‘dependent allowance’’ (e) Reform efforts to improve teacher reviewers in evaluating the application. are defined in 34 CFR 263.3. quality. An applicant must limit the narrative to Competitive Preference: (1) The the equivalent of no more than 75 (2) Pre-Service Administrator Training Secretary will award five (5) additional double-spaced pages, using the points to applications for programs that (a) Provide support and training to following standards: include only Indian individuals as 1 ″ ″ Indian individuals to complete a master (1) A ‘‘page’’ is 8 ⁄2 x 11 (one side training participants. degree, within a two-year period, in only) with one-inch margins (top, education administration that allows bottom and sides). Authority: Section 9122(e)(2); 20 U.S.C. participants to meet the requirements (2) All text in the application 7832(e)(2). for state certification or licensure as an narrative, including titles, headings, (2) The Secretary will award five (5) education administrator, and footnotes, quotations, references, and additional points to applications (b) Provide graduates of the program captions, as well as all text in charts, submitted by Indian tribes, with one year of induction services tables, figures, and graphs, must be organizations, and institutions of higher while they are working in schools with double-spaced (no more than three lines education. A consortium application of significant Indian student populations. per vertical inch). eligible entities that meets the Note: Funding of a particular project If using a proportional computer font, requirements of 34 CFR 75.127 through depends on the availability of funds, the use no smaller than a 12-point font, and 75.129 and includes an Indian tribe, requirements of the final priorities selected, an average character density no greater organization or institution of higher and the quality of the applications received. than 18 characters per inch. If using a education shall be considered eligible to
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receive the five (5) additional priority Register, in text or Adobe Portable Register, in text or Adobe Portable points. Document Format (PDF) on the Internet Document Format (PDF) on the Internet Authority: 20 U.S.C. 7873. at the following site: www.ed.gov/ at the following site: www.ed.gov/ legislation/FedRegister. legislation/FedRegister. (3) The Secretary will award a total of To use PDF you must have the Adobe To use PDF you must have Adobe five (5) additional points to applications Acrobat Reader Program with Search, Acrobat Reader, which is available free submitted by a consortium of eligible which is available free at the previous at the previous site. If you have applicants that include a tribal college site. If you have questions about using questions about using PDF, call the U.S. or university and which designate that PDF, call the U.S. Government Printing Government Printing Office (GPO), toll tribal college or university as the fiscal Office toll free at 1–888–293–6498; or in free, at 1–888–293–6498; or in the agent for the application. The the Washington, DC, area at (202) 512– Washington, DC, area at (202) 512–1530. consortium application of eligible 1530. entities must meet the requirements of Note: The official version of this document Note: The official version of this document is the document published in the Federal 34 CFR 75.127 through 75.129 of is the document published in the Federal EDGAR to be considered eligible to Register. Free Internet access to the official Register. Free Internet access to the official edition of the Federal Register and the Code receive the five priority points. These edition of the Federal Register and the Code of Federal Regulations is available on GPO competitive preference points are in of Federal Regulations is available on GPO Access at: http://www.access.gpo.gov/nara/ addition to the five competitive Access at: http://www.access.gpo.gov/nara/ index.html. preference points that may be given index.htm. SUPPLEMENTARY INFORMATION: Pursuant under the Competitive Priority 2— Program Authority: 20 U.S.C. 7832. Preference for Indian Applicants. to the Randolph-Sheppard Act (20 For Applications Contact: Education Dated: April 3, 2001. U.S.C. 107d–2(c)) (the Act), the Publications Center (ED Pubs), P.O. Box Thomas M. Corwin, Secretary publishes in the Federal 1398, Jessup, MD 20794–1398. Acting Deputy Assistant Secretary for Register a synopsis of each arbitration Telephone (toll free): 1–877–433–7827. Elementary and Secondary Education. panel decision affecting the FAX: (301) 470–1244. If you use a [FR Doc. 01–8558 Filed 4–5–01; 8:45 am] administration of vending facilities on telecommunications device for the deaf BILLING CODE 4000–01–U Federal and other property. (TDD), you may call (toll free): 1–877– Background 576–7734. You may also contact ED Pubs via its Web site (http:// DEPARTMENT OF EDUCATION This dispute concerns the alleged www.ed.gov/pubs/edpubs.html) or its E- improper termination of Mr. Ken Haney, Arbitration Panel Decision Under the a licensed blind vendor, from the mail address ([email protected]). If Randolph-Sheppard Act you request an application from ED Business Enterprise Program of the New Pubs, be sure to identify this AGENCY: Department of Education. Mexico Commission for the Blind, the competition as follows: CFDA number ACTION: Notice of arbitration panel State licensing agency (SLA). 84.299B. decision under the Randolph-Sheppard A summary of the facts is as follows: Individuals with disabilities may act. Until November 1995, the complainant obtain this document in an alternative managed and operated a cafeteria at the format by contacting the Grants and SUMMARY: Notice is hereby given that on Levi-Strauss Plant in Roswell, New Contracts Services Team, U.S. March 31, 2000, an arbitration panel Mexico, under the SLA’s Randolph- Department of Education, 400 Maryland rendered a decision in the matter of Ken Sheppard Vending Facility Program. On Avenue, SW, room 3317, Switzer Haney v. New Mexico Commission for November 1, 1995, a representative of Building, Washington, DC 20202–2550. the Blind (Docket No. R–S/99–3). This the SLA met with the complainant to Telephone: (202) 205–8351. Individuals panel was convened by the U.S. discuss with him the lack of who use a telecommunications device Department of Education pursuant to 20 profitability of the cafeteria and other for the deaf (TDD), may call the Federal U.S.C. 107d–1(b) upon receipt of a issues regarding performance. Shortly Information Relay Service (FIRS) at 1– complaint filed by petitioner, Ken thereafter, Mr. Haney requested and was 888–877–8339. However, the Haney. granted by the SLA a 6-month leave of Department is not able to reproduce in FOR FURTHER INFORMATION: A copy of the absence due to stress and health issues. an alternate format the standard forms full text of the arbitration panel decision During this time, complainant’s vending included in the application package. may be obtained from George F. license was terminated on November 7, FOR FURTHER INFORMATION CONTACT: Arsnow, U.S. Department of Education, 1995. Cathie Martin, Office of Indian 400 Maryland Avenue, SW., room 3230, On August 16, 1996, complainant Education, U.S. Department of Mary E. Switzer Building, Washington, requested a full evidentiary hearing on Education, 400 Maryland Avenue, SW, DC 20202–2738. Telephone: (202) 205– his license termination. Mr. Haney Room 3W115, Washington, DC 20202– 9317. If you use a telecommunications alleges that his delay in requesting a 6335. Telephone: (202) 260–3774. device for the deaf (TDD), you may call hearing was due to his continuing Internet address: [email protected]. the TDD number at (202) 205–8298. health problems. Individuals with disabilities may Individuals with disabilities may Complainant’s request for a hearing obtain this document in an alternative obtain this document in an alternative concerning his termination from format (e.g., Braille, large print, format (e.g., Braille, large print, management at the Levi-Strauss audiotape, or computer diskette) on audiotape, or computer diskette) on cafeteria was denied on September 17, request to the contact person listed in request to the contact person listed in 1996. A request for reconsideration was the preceding paragraph. the preceding paragraph. also denied on November 14, 1996. The SLA alleges that there were no mental Electronic Access to This Document Electronic Access to This Document or physical circumstances that You may view this document, as well You may view this document, as well prohibited Mr. Haney from requesting a as all other Department of Education as all other Department of Education hearing within the 15-day time period documents published in the Federal documents published in the Federal pursuant to the SLA’s rules and
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regulations for filing grievances. It is Alaska Division of Vocational Director of Contracting at Fort this decision that complainant sought to Rehabilitation v. United States Richardson expressing its desire to enter have reviewed by a Federal arbitration Department of Defense, Department of into negotiations for the operation of a panel. An arbitration hearing on this the Army (Docket No. R–S/97–2). This dining facility at the Army Installation. matter was held on February 2 and 3, panel was convened by the U.S. In late November 1996, the SLA 2000. Department of Education pursuant to 20 learned that a food service contract had U.S.C. 107d–1(b) upon receipt of a been awarded to another contract Arbitration Panel Decision complaint filed by petitioner, the Alaska vendor in Anchorage, Alaska. The central issue before the Division of Vocational Rehabilitation. Subsequently, the SLA appealed this arbitration panel was whether the FOR FURTHER INFORMATION: A copy of the decision and immediately contacted the actions taken by the New Mexico full text of the arbitration panel decision Army contracting office. The Army Commission for the Blind in denying may be obtained from George F. contracting office advised the SLA that Mr. Haney a full evidentiary hearing Arsnow, U.S. Department of Education, the Army indeed had awarded the were in violation of the due process 400 Maryland Avenue, SW., room 3230, contract to another vendor. Further, the requirements under the Act (20 U.S.C. Mary E. Switzer Building, Washington Army declined to consider the SLA’s 107d–1(a)), the implementing DC 20202–2738. Telephone: (202) 205– appeal, advising the SLA that the time regulations (34 CFR part 395), and 9317. If you use a telecommunications for appealing awards had passed. applicable State rules and regulations. device for the deaf (TDD), you may call The SLA alleged that the dining The panel ruled that complainant was the TDD number at (202) 205–8298. facility contract at the Fort Richardson essentially terminated for poor Individuals with disabilities may Installation meets the definition of performance in the operation of the obtain this document in an alternative satisfactory site under the Act and cafeteria, but waited for over 8 months format (e.g., Braille, large print, implementing regulations in 34 CFR before requesting an administrative audiotape, or computer diskette) on 395.1(q). Further, the SLA alleged that review or a full evidentiary hearing to request to the contact person listed in the Army contracting office failed to contest the termination before the New the preceding paragraph. negotiate in good faith. Mexico Commission for the Blind. Electronic Access to This Document: By this action, the SLA asserted that The SLA denied complainant’s You may view this document, as well as the Army denied it due process under request for hearing because he failed to all other Department of Education the Act, and as a result the SLA was not ask for a hearing within the 15-day time documents published in the Federal awarded the dining facility contract limit provided under the SLA’s rules Register, in text or Adobe Portable under the terms of the Act. The SLA and regulations. Document Format (PDF) on the Internet filed a request to convene an arbitration Based upon the evidence presented, at the following site: www.ed.gov/ panel to hear this complaint. A Federal the panel determined that, at all times, legislation/FedRegister arbitration hearing on this matter was the complainant was knowledgeable To use PDF you must have Adobe held on February 11 and 12, 1998. about the time limits. Further, according Acrobat Reader, which is available free Following the hearing, post-hearing to the panel, while he experienced some at the previous site. If you have briefs were submitted by the two panel medical problems after his termination, questions about using PDF, call the U.S. members representing the SLA and the there was no evidence that he was Government Printing Office (GPO), toll Army to the Panel Chair. However, after incapable of understanding or free, at 1–888–293–6498; or in the considerable time had elapsed the final complying with the time limits. Washington, DC, area at (202) 512–1530. award was not submitted by the Panel Therefore, the panel affirmed the New Note: The official version of this document Chair to the Department of Education Mexico Commission for the Blind’s is the document published in the Federal (Department). Accordingly, a new Panel denial of the complainant’s request for Register. Free Internet access to the official Chair was selected in August 1999. The hearing. edition of the Federal Register and the Code parties determined that it was not The views and opinions expressed by of Federal Regulations is available on GPO necessary to hold another hearing on the the panel do not necessarily represent Access at: http://www.access.gpo.gov/nara/ matter. It was further agreed that the the views and opinions of the U.S. index.html newly appointed Panel Chair would Department of Education. SUPPLEMENTARY INFORMATION: Pursuant render an opinion based upon the to the Randolph-Sheppard Act (20 proceedings and submissions that had Dated: April 3, 2001. U.S.C. 107d–2(c)) (the Act), the already taken place, and input from the Andrew J. Pepin, Secretary publishes in the Federal two panel members and a final opinion Executive Administrator for Special Register a synopsis of each arbitration and award would be submitted to the Education and Rehabilitative Services. panel decision affecting the Department. [FR Doc. 01–8556 Filed 4–5–01; 8:45 am] administration of vending facilities on Arbitration Panel Decision BILLING CODE 4000–01–P Federal and other property. The central issue before the Background arbitration panel was whether the DEPARTMENT OF EDUCATION This dispute concerns the alleged Army’s alleged failure to negotiate with violation by the United States the SLA in good faith for a dining Arbitration Panel Decision Under the Department of Defense, Department of facility contract at the Fort Richardson Randolph-Sheppard Act the Army (Army), of the priority Installation constituted a violation of AGENCY: Department of Education. provisions of the Act by denying the the satisfactory site provisions provided ACTION: Notice of arbitration panel Alaska Division of Vocational by the Act (20 U.S.C. 107 et seq.) and decision under the Randolph-Sheppard Rehabilitation, the State licensing the implementing regulations (34 CFR act. agency (SLA), the opportunity to part 395). operate a dining facility at the Fort The Army contended that military SUMMARY: Notice is hereby given that on Richardson, Alaska, Army Installation. troop dining facility procurement with January 6, 2000, an arbitration panel A summary of the facts is as follows: appropriated funds is not subject to the rendered a decision in the matter of On July 16, 1996, the SLA wrote to the priority provisions of the Act. The
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majority of the panel found that this DEPARTMENT OF ENERGY • The construction and operation of a contention was not consistent with the 5.9-mile, 20-inch-diameter gas line to tie findings of the Department of Bonneville Power Administration into Pacific Gas & Electric (PG&E) Gas Education, the memorandum issued by Transmission Northwest’s (GTN) Wallula Power Project the General Counsel of the Department pipeline; • The construction and operation of of Defense in November 1998, and the AGENCY: Bonneville Power an interconnection consisting of 4.3 Comptroller General’s opinion of June Administration (BPA), Department of miles of 500-kV line plus a substation; 1993, which stated that generally Energy (DOE). and military dining facilities are cafeterias ACTION: Notice of intent to prepare an • The construction and operation of a and are indeed included within the Environmental Impact Statement (EIS). new 500-kV transmission line from the scope of and subject to the Act. interconnection to the McNary SUMMARY: Therefore, the majority of the panel This notice announces BPA’s switching station, roughly paralleling intention to prepare a joint National ruled that the SLA was correct in the existing 500-kV line from Lower Environmental Policy Act (NEPA)/State asserting that procurements with Monumental Dam to McNary Dam. Environmental Policy Act (SEPA) EIS in appropriated funds are equally subject Later this spring, an open house and cooperation with the State of public information meeting will be to the priority provisions of the Act as Washington Energy Facility Site are procurements with non- conducted by BPA, EFSEC, and Evaluation Council (EFSEC) for an Newport Northwest to discuss the appropriated funds. Similarly, the panel electrical interconnection including a ruled that military dining facilities have project, associated BPA transmission new 29-mile 500-kilovolt (kV) interconnection and upgrades, and been considered to come within the transmission line associated with a topics to be addressed in the EIS. At definition of cafeterias as defined in the proposed power plant. BPA is the lead least two weeks’ notice will be provided Act and by administrative Federal agency under NEPA and EFSEC to interested parties concerning the time interpretation. is the lead Washington State agency and location of this meeting. However, the panel concluded that under SEPA. The Wallula Power Project After July 2001, one or more EIS the Act’s priority is not applicable if the is a 1,300-megawatt (MW) generating scoping meetings will be held, and a 45- contract is for discrete services rather station proposed by Newport Northwest, day comment period will be announced, that the overall ‘‘operation’’ of the LLC (Newport Northwest) that would be during which affected landowners, dining facilities. The facts of the case located near Wallula in Walla Walla concerned citizens, special interest supported the Army’s decision to give County, Washington. Newport groups, local governments, and any the contract to the other vendor and not Northwest has requested an other interested parties are invited to interconnection and upgrade to BPA’s to the SLA. Specifically, the majority of comment on the scope of the proposed transmission system that would allow the panel determined that, although the EIS. A 30-day notice of the meeting(s), firm power delivery to customers in the Army contracted out certain functions, including time and location, will be Pacific Northwest. BPA proposes to it retained overall operation of the provided to interested persons. At the execute an agreement with Newport meeting(s), BPA and EFSEC will answer dining facility and operated it on an in Northwest to provide the questions and accept oral and written house basis. Thus, the panel concluded interconnection and firm power comments. that the factual setting of the Fort transmission. Receiving comments from interested Richardson dining contract did not parties will assure that BPA and EFSEC constitute the operation of a cafeteria, ADDRESSES: To be placed on the project mailing list, including notification of address in the EIS the full range of which would trigger the priority issues and potentially significant provisions of the Act. Moreover, the proposed meetings, call toll-free 1–800– 622–4520, name this project, and leave impacts related to the proposed project. panel majority ruled that no vending your complete name and address. To When completed, the Draft EIS will be occurred and no concessions were comment, call toll-free 1–800–622– circulated for review and comment, and involved in the Fort Richardson dining 4519; send an e-mail to the BPA Internet BPA and EFSEC will hold at least one contract. Consequently, the contract was address [email protected]; or send a public comment meeting on the Draft not an entrepreneurial activity of the letter to Communications, Bonneville EIS. BPA and EFSEC will consider and type contemplated by the Randolph- Power Administration—KC–7, P.O. Box respond in the Final EIS to comments Sheppard Act. 12999, Portland, Oregon 97212. received on the Draft EIS. Proposed Action. The Wallula Power One panel member dissented. FOR FURTHER INFORMATION CONTACT: Project would be a gas-fired combined- The views and opinions expressed by Thomas C. McKinney, Bonneville Power cycle plant with a nominal generating the panel do not necessarily represent Administration—KEC–4, P.O. Box 3621, capacity of 1,300 MW. The plant site the views and opinions of the U.S. Portland, Oregon 97208–3621; toll-free would be located on 175 acres of land Department of Education. telephone 1–800–282–3713; direct that is zoned for industry and which is telephone 503–230–4749; or e-mail Dated: April 3, 2001. located on the east side of U.S. Highway [email protected]. Additional 12, between the J.D. Simplot Feedlot Andrew J. Pepin, information can be found at BPA’s web and the Boise Cascade Wallula Mill. Executive Administrator for Special site: www.bpa.gov. Natural gas would be burned in a gas Education and Rehabilitative Services. SUPPLEMENTARY INFORMATION: The EIS turbine engine, in which the expanding [FR Doc. 01–8557 Filed 4–5–01; 8:45 am] will assess the environmental gases from combustion would turn the BILLING CODE 4000–01–U consequences of the proposed project, turbine’s rotor, driving a generator to including: produce electrical energy. Hot exhaust • The interconnection agreement that from the gas turbine would be used to BPA proposes with Newport Northwest; boil water, using a heat recovery steam • The construction and operation of generator (HRSG). Steam produced by the power plant; the HRSG turns a steam turbine, that
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would connect to another generator, action. Other alternatives may be the investigation to the Commission, producing additional electrical energy. identified through the scoping process. along with any recommended remedies, Water would be required to generate Identification of Environmental within 30 days of the date of issuance steam and cool the steam process, as Issues. EFSEC will prepare an EIS of this order. well as for sanitary uses. The proposed consistent with its responsibilities On April 4, 2000, the Public Utilities power plant would require an average under Chapter 80.50 of the Revised Commission of the State of California water consumption rate of up to 6,000 Code of Washington and Chapter 197– (CPUC) filed a complaint under section gallons per minute, which would be 11 of the Washington Administrative 5 of the Natural Gas Act (NGA) 1 against supplied from various sources including Code. BPA has determined in a System El Paso Natural Gas Company (El Paso an on-site well being developed by the Impact Study requested by Newport Pipeline), El Paso Merchant Energy-Gas, Port of Walla Walla. Northwest that, for firm transmission L.P., and El Paso Merchant Energy Water discharges, primarily consisting service, the construction of 29 miles of Company 2 (jointly, El Paso Merchant). of blowdown from the cooling towers, 500-kV transmission line may be The complaint asserts, inter alia, that would be regulated under a Washington required. Such an action triggers a need three transportation contracts between Department of Ecology permit or for BPA to prepare an EIS. Therefore, El Paso Pipeline and El Paso Merchant through the use of onsite disposal BPA and EFSEC intend to prepare a for approximately 1,220 MMcf/day of methods. joint NEPA/SEPA EIS addressing both firm capacity to California (El Paso The proposed Wallula Power Project the power plant and the associated Contracts) raise issues of possible would deliver electricity to the regional electric power interconnection and affiliate abuse, of anti-competitive power grid through an interconnection transmission facilities. The principal impact on the delivered price of gas and and a new 500-kV transmission line issues identified thus far for the wholesale electric market in paralleling the existing Lower consideration in the Draft EIS are (1) air California. Monumental-McNary transmission line. quality impacts, (2) noise impacts from The procedural background of this BPA would also modify the existing plant operation, (3) aesthetic and visual proceeding is fully described in the McNary Substation. impacts, (4) socio-economic impacts, (5) The power plant and the gas and Commission’s Order Denying Rehearing wetlands and wildlife habitat impacts, power interconnections would be and Affirming Protective Order that was and (6) cultural resource impacts. These located within Walla Walla County, issued January 10, 2001 (January 10, issues, together with any additional 3 Washington. Approximately 7 miles of 2001 order) and will be addressed in significant issues identified through the the new 500-kV transmission line would this order only briefly. On June 28, scoping process, will be addressed in be located in Walla Walla County with 2000, the Commission issued an Order the EIS. the remaining 22 miles in Umatilla on Complaint Requiring Responses to 4 County, Oregon. Issued in Portland, Oregon, on March 26, Data Requests (June 28, 2000 order). Responsibility for construction and 2001. Pursuant to that order and the terms of operation of the new facilities is Steven G. Hickok, a confidentiality agreement, El Paso principally with Newport Northwest Acting Administrator and Chief Executive Pipeline and El Paso Merchant provided who would build and operate the power Officer. to CPUC and filed with this Commission plant. However, the interconnection and [FR Doc. 01–8509 Filed 4–5–01; 8:45 am] under seal certain information in the new 500-kV transmission line would BILLING CODE 6450–01–P response to the data requests approved be constructed under BPA’s by the Commission. El Paso Pipeline management, and BPA would be and El Paso Merchant sought privileged responsible for the operation and DEPARTMENT OF ENERGY treatment of the information pursuant to maintenance of these facilities. GTN section 388.112 of the Commission’s would build and operate the proposed Federal Energy Regulatory regulations (18 CFR 388.112 (2000)). 5.9-mile gas pipeline that would supply Commission On August 31, 2000, CPUC filed a fuel to the power plant. [Docket No. IN01–5–000] motion for a protective order, asserting Process to Date. BPA is the lead that other parties to this proceeding Federal agency for the joint NEPA/SEPA Public Utilities Commission of the should be given access to the EIS, and EFSEC is the lead Washington State of California v. El Paso Natural information provided to CPUC and this State agency. EFSEC has already held Gas Company, El Paso Merchant Commission in compliance with the open houses introducing the Wallula Energy-Gas, L.P., and El Paso June 28, 2000 order. On September 15, Power Project to interested parties in Merchant Energy Company; Order of 2000, the Commission issued the Walla Walla County. Subsequent to Investigation requested protective order (September these meetings, BPA determined that a 15, 2000 Protective Order).5 new 500-kV transmission line was Issued April 2, 2001. In the January 10, 2001 order, the necessary for firm power delivery on the Before Commissioners: Curt He´bert, Jr., Commission, inter alia, required El Paso existing transmission system. Newport Chairman; William L. Massey, and Linda Merchant to provide Protected Northwest will prepare an Application Breathitt. for Site Certification and submit it to Pursuant to the authority of 18 CFR 1 15 U.S.C. § 717d (1994). EFSEC in July 2001. This initial 1.b (2000) and at the recommendation of 2 Effective January 1, 2001, El Paso Merchant application will address the Wallula FERC’s General Counsel, the Energy Company changed its name to El Paso Merchant Energy, L.P. Power Project in detail. BPA and EFSEC Commission is instituting a formal, non- 3 Public Utilities Commission of the State of will conduct joint scoping meetings public investigation into the apparent California v. El Paso Natural Gas Co., 94 FERC after receipt and preliminary review of disclosure of non-public information ¶ 61,021 (2001). the initial submission. and/or documents filed in Docket No. 4 Public Utilities Commission of the State of Alternatives Proposed for RP00–241–000. As discussed below, the California v. El Paso Natural Gas Co., 91 FERC ¶ 61,312 (2001). Consideration. Alternatives thus far Chief Administrative Law Judge (Chief 5 Public Utilities Commission of the State of identified for evaluation in the EIS are ALJ) is designated to conduct the California v. El Paso Natural Gas Co., 92 FERC (1) the proposed actions, and (2) no investigation and to report the results of ¶ 61,225 (2000).
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Materials 6 to parties that executed the DEPARTMENT OF ENERGY There are two ways to become Protective Order and appropriate Non- involved in the Commission’s review of Disclosure Certificates (January 10, 2001 Federal Energy Regulatory this project. First, any person wishing to order).7 After reviewing the Protected Commission obtain legal status by becoming a party Materials, Southern California Edison to the proceedings for this project [Docket No. CP01–115–000] Company, Pacific Gas & Electric should, on or before April 16, 2001, file with the Federal Energy Regulatory Company, and Southern California Gas Transwestern Pipeline Company; Commission, 888 First Street, NE, Company filed comments. Notice of Application Washington, DC 20426, a motion to On March 26, 2001, an article entitled April 2, 2001. intervene in accordance with the ‘‘Deal for Use of Gas Pipeline Stirs requirements of the Commission’s Rules Dispute on Competition’’ was featured Take notice that on March 29, 2001, Transwestern Pipeline Company, P.O. of Practice and Procedure (18 CFR in The New York Times. The article 385.214 or 385.211) and the Regulations makes detailed references to ‘‘sealed Box 3330, Omaha, Nebraska 68103– 0330, in Docket No. CP01–115–000 filed under the NGA (18 CFR 157.10). A documents’’ filed in Docket No. RP00– an application pursuant to Sections 7(b) person obtaining party status will be 241–000 and obtained by The New York and (c) of the Natural Gas Act for placed on the service list maintained by Times. Such references have raised permission and approval for Transco to the Secretary of the Commission and issues of whether improper disclosure replace mainline compression facilities will receive copies of all documents of Protected Materials or otherwise non- at four existing compressor stations in filed by the applicant and by all other public materials has occurred. Arizona, all as more fully set forth in the parties. A party must submit 14 copies The Commission is instituting an application which is on file with the of filings made with the Commission investigation to determine whether Commission and open to public and must mail a copy to the applicant improper disclosure of Protected inspection. This filing may be viewed and to every other party in the Materials or otherwise non-public on the web at http://www.ferc.fed.us/ proceeding. materials has occurred and whether the online/rims.htm (call 202–208–2222 for Only parties to the proceeding can ask September 15, 2000 Protective Order, assistance). for court review of Commission orders any Non-Disclosure Certificates Specifically, Transwestern proposes in the proceeding. executed pursuant to the September 15, to abandon in place twelve existing However, a person does not have to 2000 Protective Order or the drivers and compressors, totaling 49,500 intervene in order to have comments Commission’s regulations at sections horsepower, at Stations 1, 2, 3 and 4; considered. The second way to 388.112 and 3c.2 have been violated (18 and install operate a 41,500 ISO-rated participate is by filing with the CFR 388.112 and 3c.2 (2000)). In horsepower turbine centrifugal Secretary of the Commission, as soon as conducting the investigation, the Chief compressor at each of the four stations. possible, an original and two copies of ALJ has all powers conferred under Transwestern also requests, to ensure a comments in support of or in opposition section 1.b of the Commission’s smooth transition to the new to this project. The Commission will regulations, including the authority compressor units, to maintain the ability consider these comments in conferred under sections 1b.13 and to operate the existing facilities up to six determining the appropriate action to be 1b.14 (18 CFR 1b.13 and 1b.14 (2000)). months after the installation of the new taken, but the filing of a comment alone units. It is stated that the new units will will not serve to make the filer a party The Commission orders: The Chief require less maintenance activity than to the proceeding. The Commission’s ALJ shall conduct a formal, non-public the existing units as well as operate rules require that persons filing investigation pursuant to 18 CFR 1b.5 more efficiently in flowing more gas comments in opposition to the project (2000), with all the authority conferred through its system. provide copies of their protests only to under 18 CFR 1.b (2000), including the Transwestern states that result of the the party or parties directly involved in authority to subpoena witnesses project it will be able to provide the protest. conferred in 18 CFR 1b.13 and 1b.14 incremental capacity of approximately Persons who wish to comment only (2000), as discussed in the body of this 150,000 Mcf per day on its mainline on the environmental review of this order. The Chief ALJ shall report non- from Thoreau, New Mexico to project should submit an original and publicly the results of the investigation California, increasing its total capacity two copies of their comments to the to the Commission, along with any to California to 1,240,000 Mcf per day. Secretary of the Commission. recommended remedies, within 30 days It is indicated that the proposed Environmental commenters will be of the date of issuance of this order. modification will enable it to meet the placed on the Commission’s By the Commission. supply and demand imbalance in the environmental mailing list, will receive Linwood A. Watson, Jr., California area. Transwestern proposes copies of the environmental documents, to place the facilities into service by and will be notified of meetings Acting Secretary. June 1, 2002. Transwestern estimates associated with the Commission’s [FR Doc. 01–8488 Filed 4–5–01; 8:45 am] the cost for the proposed construction to environmental review process. BILLING CODE 6717–01–M be approximately $93,300,000, to be Environmental commenters will not be financed with internally-generated required to serve copies of filed 6 Under paragraph 2 of the September 15, 2000 funds. Transwestern also states that it is documents on all other parties. Protective Order, ‘‘[a] Participant may designate as not at this time requesting rolled-in However, the non-party commenters protected those materials which customarily are treated by that Participant as sensitive or pricing for the new facilities, and will not receive copies of all documents proprietary, which are not available to the public, understands that it will be at risk for the filed by other parties or issued by the and which, if disclosed freely, would subject that recovery of costs associated with the Commission (except for the mailing of Participant or its customers to risk of competitive proposed modifications. environmental documents issued by the disadvantage or other business injury.’’ 7 Public Utilities Commission of the State of Any questions regarding the Commission) and will not have the right California v. El Paso Natural Gas Co., 94 FERC application should be directed to Keith to seek court review of the ¶ 61,021 (2001). L. Petersen, at (402) 398–7421. Commission’s final order.
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The Commission may issue a Applicant intends to lease and operate mounted generating units with a preliminary determination of non- a facility comprised of three (3), combined capacity of less than 200 MW. environmental issues prior to the continuously rated 1.6-megawatt Comment date: April 20, 2001, in completion of its review of the generator sets (non-road engines) fired accordance with Standard Paragraph E environmental aspects of the project. on diesel fuel with a maximum total at the end of this notice. The This preliminary determination output of 6-megawatts (the ‘‘Facility’’). Commission will limit its consideration typically considers such issues as the The Facility is located in Plummer, of comments to those that concern the need for the project and its economic Idaho. Electric energy produced by the adequacy or accuracy of the application. effect on existing customers of the Facility will be sold by Applicant to the Standard Paragraph applicant, on other pipelines in the area, wholesale power market in the and on landowners and communities. Northwestern United States. E. Any person desiring to be heard or For example, the Commission considers Comment date: April 20, 2001, in to protest such filing should file a the extent to which the applicant may accordance with Standard Paragraph E motion to intervene or protest with the need to exercise eminent domain to at the end of this notice. The Federal Energy Regulatory Commission, obtain rights-of-way for the proposed Commission will limit its consideration 888 First Street, NE., Washington, DC project and balances that against the of comments to those that concern the 20426, in accordance with Rules 211 non-environmental benefits to be adequacy or accuracy of the application. and 214 of the Commission’s Rules of provided by the project. Therefore, if a Practice and Procedure (18 CFR 385.211 2. Fountain Valley Power, L.L.C. person has comments on community and 385.214). All such motions or and landowner impacts from this [Docket No. EG01–162–000] protests should be filed on or before the proposal, it is important either to file Take notice that on March 26, 2001, comment date. Protests will be comments or to intervene as early in the Fountain Valley Power, L.L.C. considered by the Commission in process as possible. (Applicant), filed with the Federal determining the appropriate action to be Also, comments protests, and Energy Regulatory Commission an taken, but will not serve to make interventions may be filed electronically application for determination of exempt protestants parties to the proceeding. via the internet in lieu of paper. See, 18 wholesale generator status pursuant to Any person wishing to become a party CFT 385.2001(a)(1)(iii) and the Part 365 of the Commission’s must file a motion to intervene. Copies instructions on the Commission’s web regulations. of these filings are on file with the site at http://www.ferc.fed.us/efi/ Applicant is presently a wholly- Commission and are available for public doorbell.htm. owned subsidiary of Enron North inspection. This filing may also be If the Commission decides to set the America Corp., but is expected to viewed on the Internet at http:// application for a formal hearing before become a wholly-owned indirect www.ferc.fed.us/ online/rims.htm (call an Administrative Law Judge, the subsidiary of Black Hills Energy Capital, 202–208–2222 for assistance). Commission will issue another notice Inc. Comments, protests, and interventions describing that process. At the end of Applicant stated that it served its may be filed electronically via the the Commission’s review process, a application on the following: Public internet in lieu of paper. See, 18 CFR final Commission order approving or Service Company of Colorado, the 385.2001(a)(1)(iii) and the instructions denying a certificate will be issued. Colorado Public Utilities Commission, on the Commission’s web site at http:/ /www.ferc.fed.us/efi/doorbell.htm. Linwood A. Watson, Jr., South Dakota Public Utility Acting Secretary. Commission, Wyoming Public Service David P. Boergers, Commission and the Securities and [FR Doc. 01–8489 Filed 4–5–01; 8:45 am] Secretary. Exchange Commission. [FR Doc. 01–8459 Filed 4–5–01; 8:45 am] BILLING CODE 6717–01–M Comment date: April 20, 2001, in BILLING CODE 6717–01–P accordance with Standard Paragraph E DEPARTMENT OF ENERGY at the end of this notice. The Commission will limit its consideration ENVIRONMENTAL PROTECTION of comments to those that concern the Federal Energy Regulatory AGENCY Commission adequacy of accuracy of the application. [FRL–6963–5] [Docket No. EG01–161–000, et al.] 3. Pinnacle West Energy Corporation [Docket No. EG01–163–000] Agency Information Collection Haleywest L.L.C., et al.; Electric Rate Activities: Proposed Collection; and Corporate Regulation Filings Take notice that on March 28, 2001, Pinnacle West Energy Corporation Comment Request; ‘‘Stakeholder March 30, 2001. (PWE) filed with the Federal Energy Preferences Regarding Environmental Take notice that the following filings Regulatory Commission an application Quality, Quality of Life, and Economic have been made with the Commission: for determination of exempt wholesale Development in Survey of Cape May generator status pursuant to Part 365 of County, New Jersey’’ 1. Haleywest L.L.C. the Commission’s regulations. AGENCY: Environmental Protection [Docket No. EG01–161–000] PWE is a wholly owned subsidiary of Agency (EPA). Take notice that on March 28, 2001, Pinnacle West Capital Corporation ACTION: Notice. 2001, Haleywest L.L.C. (Applicant), an (PNW) and an associate company of Idaho limited liability company, whose Arizona Public Service Company. PWE SUMMARY: In compliance with the address is P.O. Box 171, Laclede, Idaho was created to serve as PNW’s Paperwork Reduction Act (44 U.S.C. 83851 filed with the Federal Energy competitive generation affiliate. The 3501 et seq.), this document announces Regulatory Commission an application eligible facilities to be owned by PWE that EPA is planning to submit the for determination of exempt wholesale are a 120 MW natural gas-fired, following proposed Information generator status pursuant to part 365 of combined cycle unit that is presently Collection Request (ICR) to the Office of the Commission’s regulations. under construction and 10 trailer- Management and Budget (OMB):
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Stakeholder Preferences Regarding solicit business managers’ perceptions the questionnaire for implementation by Environmental Quality, Quality of Life, of direct and indirect risks from other communities facing similar issues. and Economic Development in Survey flooding. An agency may not conduct or of Cape May County, New Jersey, EPA This data collection is motivated by sponsor, and a person is not required to ICR No. 2019.01. Before submitting the the Mid-Atlantic Regional Assessment respond to, a collection of information ICR to OMB for review and approval, of the Potential Consequences of unless it displays a currently valid OMB EPA is soliciting comments on specific Climate Variability and Change control number. The OMB control aspects of the proposed information (MARA), that showed that many numbers for EPA’s regulations are listed collection as described below. potential impacts from climate change in 40 CFR part 9 and 48 CFR Chapter DATES: Comments must be submitted on will exacerbate existing environmental 15. or before June 5, 2001. stresses, particularly those from The EPA would like to solicit ADDRESSES: The surveys as they will be economic development and sea level comments to: received by respondents may be rise. Yet little is known about how (i) Evaluate whether the proposed obtained without charge by mailing or e- individuals and their communities are collection of information is necessary mailing a request to Dr. Ann Fisher, willing to make trade-offs between for the proper performance of the Pennsylvania State University, AERS, protection of nearby ecosystems and functions of the agency, including 107 Armsby Building, University Park, local economic development. This is whether the information will have PA 16802, email: [email protected]; particularly important in coastal practical utility; phone: (814) 865–3143. Be sure to communities where a major component (ii) Evaluate the accuracy of the include your name, address, telephone of many livelihoods stems from tourism agency’s estimate of the burden of the number, e-mail if available, and delivery based on ecological features such as proposed collection of information, preference (diskette by mail, or e-mail migratory bird habitat. Paradoxically, including the validity of the delivery). development decisions to accommodate methodology and assumptions used; more tourists could decrease the habitat (iii) Enhance the quality, utility, and FOR FURTHER INFORMATION CONTACT: Dr. for the ecosystems that attract tourists. clarity of the information to be Janet L. Gamble, U.S. Environmental This could be compounded by failing to collected; and Protection Agency, Mail Code 8601D, account for climate change and for the (iv) Minimize the burden of the 1200 Pennsylvania Ave NW., sea-level rise that is occurring as Mid- collection of information on those who Washington, DC 20460; e-mail: Atlantic coastal areas subside; sea-level are to respond, including through the [email protected]; phone: (202) rise and climate change could affect use of appropriate automated electronic, 564–3387; FAX: (202) 565–0075. both ecosystem habitat as well as SUPPLEMENTARY INFORMATION: developed areas. Decisions by mechanical, or other technological Affected Entities: Entities potentially individual citizens, businesses, collection techniques or other forms of affected by this action are individuals developers, local planners, and information technology, e.g., permitting who agree to participate in the survey. environmental protection agencies electronic submission of responses. Participation is voluntary. Recruiting could be improved by having Burden Statement: The (completely will be done by telephone using information about the relative voluntary) survey will have two phases. random-digit dialing to select importance of a range of quality-of-life Phase I will be a 10-minute phone households and businesses in Cape May characteristics, including habitat and survey, with a component tailored to County, NJ in a manner described by the infrastructure protection, when each of two target groups. Identified abstract below. compared with economic development. through random-digit dialing (RDD), Title: Stakeholder Preferences Because Cape May County has many of permanent residents and those who visit Regarding Environmental Quality, these features, it is an appropriate test for a month or more each year (N = Quality of Life, and Economic case for identifying preferences about 1225) will be asked to rate quality-of-life Development in Survey of Cape May such trade-offs. characteristics, make straight-forward County, New Jersey (EPA ICR No. The data is being collected by Penn judgments about future development 2019.01). State University in collaboration with and storm threats, and respond to Abstract: The Pennsylvania State EPA/ORD Global Change Research standard socio-demographic questions. University (PSU) in cooperation with Program, under Cooperative Agreement The other target group is a sample (N = the Global Change Research Program No. R–82840701–0. This survey is not 300) of local businesses that will be (GCRP) in the Office of Research and associated with any rule-making process asked about damages they might Development (ORD) of the U.S. within the Federal government. Instead, experience if a flood occurred, as well Environmental Protection Agency (EPA) Penn State will use this research to as actions they have taken or plan to is proposing to conduct a survey of demonstrate the potential usefulness of take to reduce their vulnerability. Data individual residents and business such an approach for localities that from the business survey will provide managers in Cape May County, New want more information about tradeoffs context for interpreting the citizen Jersey. The survey will solicit Cape May related to development decisions. For survey. Phase II will be a (20-minute) County (NJ) residents’ perceptions about Cape May County, the data will be used mail follow-up to the phone survey, sent their quality of life, how they prioritize to assess the relative importance of to residents who express interest in risks to their quality of life, and their quality-of-life characteristics and providing judgments comparing judgments about trade-offs among citizens’ willingness to make trade-offs combinations of quality-of-life alternative actions that would reduce among actions to improve the levels and characteristics (N = 600). Its data will vulnerability to these risks. The focus resiliency of those characteristics. The provide more depth for the research will be on risks related to changes in results will be useful most directly for analysis and for reporting back to Cape land-use practices such as development (and are expected to be used by) the May County. The total number of of open land, and risks related to the residents of Cape May County. The respondents is 2125. The only cost to potential for storm damages that could development, pretesting and revision, respondents will be their time, for a accompany sea-level rise or climate implementation, and analysis of the total of 454.17 hours. The burden change. The survey approach also will data will demonstrate the usefulness of estimates are based on administration of
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2125 questionnaires. The total individual for each ICR in Section B of the facility for a minimum of two (2) respondent cost estimate is $9,610.24. the Supplementary Information. years and made available for inspection Burden means the total time, effort, or FOR FURTHER INFORMATION CONTACT: by the Administrator of EPA. financial resources expended by persons Carolyn Young, (202) 564–7062, fax An agency may not conduct or to generate, maintain, retain, disclose or (202) 564–0009 or down load off the sponsor, and a person is not required to provide information to or for a Federal internet at http://www.epa.gov/icr/ respond to, a collection of information Agency. This includes the time needed icr.htm and refer to ICR Number unless it displays a currently valid OMB to review instructions; develop, acquire, 0661.05 and OMB Control Number control number. The OMB control install, and utilize technology and 2060–0002–NSPS. numbers for EPA’s regulations are listed systems for the purposes of collecting, SUPPLEMENTARY INFORMATION: in 40 CFR part 9 and 48 CFR Chapter validating, and verifying information, Affected Entities: Entities potentially 15. The EPA would like to solicit processing and maintaining affected by this action are those which comments to: information, and disclosing and are asphalt processing and roofing (i) Evaluate whether the proposed providing information; adjust the manufacturers (SIC Codes 2911, 2951, collection of information is necessary existing ways to comply with any and 2952) which commenced for the proper performance of the previously applicable instructions and construction, modification, or functions of the agency, including requirements; train personnel to be able reconstruction after November 18, 1980, whether the information will have to respond to a collection of or May 26, 1981 as appropriate. practical utility; information; search data sources; Title: NSPS Subpart UU: Asphalt complete and review the collection of (ii) Evaluate the accuracy of the processing and asphalt roofing agency’s estimate of the burden of the information; and transmit or otherwise manufacturers; OMB Control Number disclose the information. proposed collection of information, 2060–0002, expires August 31, 2001. including the validity of the Dated: March 29, 2001. Abstract: This ICR contains methodology and assumptions used; recordkeeping and reporting Arthur F. Payne, (iii) Enhance the quality, utility, and requirements that are mandatory for Acting Director, National Center for clarity of the information to be compliance with 40 CFR part 60, New Environmental Assessment. collected; and [FR Doc. 01–8493 Filed 4–5–01; 8:45 am] Source Performance Standards (NSPS), (iv) Minimize the burden of the BILLING CODE 6560–50–U Subpart UU. The respondents of the recordkeeping and reporting collection of information on those who requirements are asphalt processing and are to respond, including through the ENVIRONMENTAL PROTECTION roofing manufacturers (SIC Codes 2911, use of appropriate automated electronic, AGENCY 2951, and 2952) which commenced mechanical, or other technological construction, modification, or collection techniques or other forms of [FRL–6964–3] reconstruction after November 18, 1980, information technology, e.g., permitting electronic submission of responses. Agency Information Collection or May 26, 1981 as appropriate. Activities: Continuing Collection; The control of emissions of Burden Statement: The annual public Comment Request particulate matter from asphalt reporting and recordkeeping burden for processing and asphalt roof this collection is estimated to average 24 AGENCY: Environmental Protection manufacturing requires not only the hours per response. Burden means the Agency (EPA). installation of properly designed total time, effort, or financial resources ACTION: Notice. equipment, but also the operation and expended by persons to generate, maintenance of that equipment. maintain, retain, or disclose or provide SUMMARY: In compliance with the Particulate matter emissions from information to or for a Federal agency. Paperwork Reduction Act (44 U.S.C. asphalt processing and asphalt roof This includes the time needed to review 3501 et seq.), this document announces manufacturing are the result of materials instructions; develop, acquire, install, that EPA is planning to submit the handling, fuel combusion, and storage. and utilize technology and systems for following continuing Information These standards rely on the reduction of the purposes of collecting, validating, Collection Request (ICR) to the Office of particulate matter emissions by and verifying information, processing Management and Budget (OMB): NSPS pollution control devices such as and maintaining information, and for Asphalt Processing and Asphalt electrostatic precipitators, high velocity disclosing and providing information; Roofing Manufacturers; EPA ICR air filters, or afterburners. adjust the existing ways to comply with Number 0661.06 and OMB Control In order to ensure compliance with any previously applicable instructions Number 2060–0002, expiration date, these standards, adequate recordkeeping and requirements; train personnel to be August 30, 2001. Before submitting the is necessary. In the absence of such able to respond to a collection of ICR to OMB for review and approval, information enforcement personnel information; search data sources; EPA is soliciting comments on specific would be unable to determine whether complete and review the collection of aspects of the proposed information the standards are being met on a information; and transmit or otherwise collection as described below. continuous basis, as required by the disclose the information. DATES: Comments must be submitted on Clean Air Act. Respondents/Affected Entities: 86. or before June 5, 2001. The standards require initial Estimated Number of Respondents: ADDRESSES: United States notification reports with respect to 86. Environmental Protection Agency; construction, modification, Compliance Assistance and Sector reconstruction, startups, shutdowns, Frequency of Response: Initial start- Programs Division, 2224A; 1200 and malfunctions. The standards also up. Pennsylvania Ave., NW.; Washington, require reports on initial performance Estimated Total Annual Hour Burden: DC, 20460. A hard copy of an ICR may tests. 15,629 hours. be obtained without charge by calling Under the standard, the data collected Estimated Total Annualized Cost the identified information contact by the affected industry is retained at Burden: $3,210,000.
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Dated: March 22, 2001. Budget (OMB), Attention: Desk Officer Permitting agencies, either State, local James Edward, for EPA, 725 17th Street, NW., or Federal, review the permit Director, Compliance Assistance Sector Washington, DC 20503. application to affirm the proposed Programs Division,, Office of Compliance. FOR FURTHER INFORMATION CONTACT: For source or modification will comply with [FR Doc. 01–8497 Filed 4–5–01; 8:45 am] a copy of the ICR contact Sandy Farmer the Act and applicable regulations. The BILLING CODE 6560–50–U at EPA by phone at (202) 260–2740, by permitting Agency then provides for E-Mail at public review of the proposed project [email protected] or and issues the permit based on its ENVIRONMENTAL PROTECTION download off the Internet at http:// consideration of all technical factors AGENCY www.epa.gov/icr and refer to EPA ICR and public input. The EPA, more [FRL–6963–6] No. 1230.10. For technical questions broadly, reviews a fraction of the total about the ICR contact Mark Sendzik at applications and audits the State and Agency Information Collection (919) 541–5534. local programs for their effectiveness. Activities: Submission for OMB SUPPLEMENTARY INFORMATION: Consequently, information prepared and Review; Comment Request, Prevention Title: Prevention of Significant submitted by the source is essential for of Significant Deterioration (PSD) and Deterioration and Non-attainment New the source to receive a permit, and for Non-attainment New Source Review Source Review, OMB Control Number Federal, State and local environmental (NSR) Programs 2060–0003, EPA ICR Number 1230.10, agencies to adequately review the AGENCY: Environmental Protection expiration date March 31, 2001. This is permit application and thereby properly Agency (EPA). a request for extension of a currently administer and manage the NSR programs. ACTION: Notice. approved collection. Abstract: Part C of the Clean Air Act Information that is collected and SUMMARY: In compliance with the (Act)—‘‘Prevention of Significant handled according to EPA’s policies set Paperwork Reduction Act (44 U.S.C. Deterioration,’’ and Part D—‘‘Plan forth in title 40, chapter 1, part 2, 3501 et seq.), this document announces Requirements for Nonattainment subpart B—Confidentiality of Business that the following continuing Areas,’’ require all States to adopt Information (see 40 CFR part 2). See also Information Collection Request (ICR) preconstruction review programs for section 114(c) of the Act. has been forwarded to the Office of new or modified stationary sources of An agency may not conduct or Management and Budget (OMB) for air pollution. Implementing regulations sponsor, and a person is not required to review and approval: Prevention of for State adoption of these two New respond to, a collection of information Significant Deterioration and Non- Source Review (NSR) programs into a unless it displays a currently valid OMB attainment New Source Review: OMB State Implementation Plan (SIP) are control number. The OMB control Control Number 2060–0003, expiration promulgated at 40 CFR 51.160 through numbers for EPA’s regulations are listed date March 31, 2001. The ICR describes 51.166 and appendix S to part 51. in 40 CFR part 9 and 48 CFR chapter 15. the nature of the information collection Federal permitting regulations are and its expected burden and cost, where promulgated at 40 CFR 52.21 for PSD The Federal Register document appropriate, it includes the actual data areas that are not covered by a SIP required under 5 CFR 1320.8(d), collection instrument. program. soliciting comments on this collection DATES: Comments must be submitted on In order to receive a construction of information was published on or before May 7, 2001. permit for a major new source or major September 5, 2000 (65 FR 53716). One ADDRESSES: Send comments, referencing modification, the applicant must written comment was received. The EPA ICR No. 1230.10 and OMB Control conduct the necessary research, perform comment is summarized in appendix H No. 2060–0003, to the following the appropriate analyses and prepare to the Supporting Statement for the ICR, addresses: Sandy Farmer, U.S. the permit application with and is responded to in the appropriate Environmental Protection Agency, documentation to demonstrate that their sections of the Supporting Statement for Collection Strategies Division (Mail project meets all applicable statutory the ICR. Code 2822), 1200 Pennsylvania Avenue, and regulatory NSR requirements. Burden Statement: The annual public NW., Washington, DC 20460–0001; and Specific activities and requirements are reporting and recordkeeping burden for to Office of Information and Regulatory listed and described in the Supporting this collection of information is broken Affairs, Office of Management and Statement for the ICR. down as follows:
Major Major Type of permit action PSD Part D Minor
Number of sources ...... 320 520 56,500 Burden Hours per Response: Industry ...... 839 577 40 Permitting agency ...... 272 109 30
Burden means the total time, effort, or collecting, validating, and verifying information; search data sources; financial resources expended by persons information, processing and complete and review the collection of to generate, maintain, retain, or disclose maintaining information, and disclosing information; and transmit or otherwise or provide information to or for a and providing information; adjust the disclose the information. Federal agency. This includes the time existing ways to comply with any Respondents/Affected Entities: needed to review instructions; develop, previously applicable instructions and Industrial plants, State and Local acquire, install, and utilize technology requirements; train personnel to be able permitting agencies. and systems for the purposes of to respond to a collection of
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Estimated Number of Respondents: 21, 2001, Contact: Jeff Trejo (406) Hubbard (916) 557–7054. Revision of 114,820. 832–3178. FR Notice Published on 12/08/2000: Frequency of Response: On occasion. EIS No. 010103, DRAFT EIS, AFS, MT, Officially Withdrawn by letter date Estimated Total Annual Hour Burden: Dry Fork Vegetation Restoration 03/20/2001. 4,715,260. Project, To Improve Forest and EIS No. 010041, DRAFT EIS, FHW, MI, Estimated Total Annualized Capital, Watershed Health and Sustainability, I–94/Rehabilitation Project, O&M Cost Burden: 0. King Hill Ranger District, Lewis and Transportation Improvements to a 6.7 Send comments on the Agency’s need Clark National Forest, Cascade and mile portion of I–94 from east I–96 for this information, the accuracy of the Judith Basin Counties, MT, Due: May west end to Conner Avenue on the provided burden estimates, and any 21, 2001, Contact: Jennifer Johnsten east end, Funding and NPDES Permit, suggested methods for minimizing (406) 791–7700. City of Detroit, Wayne County, MI, respondent burden, including through EIS No. 010104, FINAL EIS, NOA, HI, Due: May 11, 2001, Contact: James the use of automated collection GU, AS, Pelagic Fisheries of the Kirschensteiner (517) 377–1880. techniques to the following addresses. Western Pacific Region, Fishery Revision of FR Notice Published on Please refer to EPA ICR No.1230.10 Management Plan, To Analyze 02/16/2001: CEQ Review Period and OMB Control No. 2060–0003 in any Longline Fisheries, Commercial Troll Ending on 04/02/2001 has been correspondence. and Recreational Troll Fisheries, Extended to 05/11/2001. Dated: March 23, 2001. Commercial Pelagic Handliner and Dated: April 03, 2001 Commercial Pole and Line Skipjack Oscar Morales, Joseph C. Montgomery, Fishery, Hawaii, American Samoa, Director, Collection Strategies Division. Guam and Commonwealth of the Director, NEPA Compliance Division, Office of Federal Activities. [FR Doc. 01–8494 Filed 4–5–01; 8:45 am] Northern Mariana Island, Due: May BILLING CODE 6560–50–U 07, 2001, Contact: Charles Karnella [FR Doc. 01–8559 Filed 4–5–01; 8:45 am] (803) 973–2941. BILLING CODE 6560–50–P ENVIRONMENTAL PROTECTION Amended Notices AGENCY EIS No. 010098, DRAFT EIS, BIA, NV, ENVIRONMENTAL PROTECTION AGENCY (ER–FRL–6616–8) Moapa Paiute Energy Center/ Associated Facilities Construction, (ER–FRL–6616–9) Environmental Impact Statements; Operation and Maintenance of a 760– Notice of Availability Megawatt (MW) Baseload Natural Environmental Impact Statements and Gas-Fired Combined Cycle Power Regulations; Availability of EPA Responsible Agency: Office of Federal Plant, Land Lease and Water Use Comments Activities, General Information (202) Approval, R–O–W Grants, Temporary Availability of EPA comments 564–7167 or www.epa.gov/oeca/ofa Use, COE Section 10/404 and EPA Weekly receipt of Environmental Impact prepared pursuant to the Environmental NPDES Permits, Moapa River Indian Review Process (ERP), under Section Statements Reservation and BLM Lands, Clark Filed March 26, 2001 Through March 309 of the Clean Air Act and Section County, NY, Due: May 29, 2001, 102(2)(c) of the National Environmental 30, 2001 Contact: Amy L. Heuslein (602) 379– Pursuant to 40 CFR 1506.9. Policy Act as amended. Requests for 6750. The US Department of the copies of EPA comments can be directed EIS No. 010099, DRAFT EIS, AFS, ID, Interior’s Bureau of Land Management to the Office of Federal Activities at Little Weiser Landscape Vegetation and Bureau of Indian Affairs are Joint (202) 564–7167. An explanation of the Management Project, Implementation, Lead Agencies for the above Project. ratings assigned to draft environmental Council Ranger District, Payette The above BIA EIS should have impact statements (EISs) was published National Forest, Adams County, ID , appeared in the 03–30–2001 Federal in FR dated April 14, 2000 (65 FR Due: May 21, 2001, Contact: Michael Register. The 45–day Comment 20157). Hutchins (208) 253–0100. Period is Calculated from 03–30– EIS No. 010100, DRAFT EIS, BOP, AZ, 2001. Draft EISs Southern Arizona Federal EIS No. 000398, DRAFT EIS, AFS, ID, ERP No. DA–COE–F28000–IL Rating Correctional Facility, Construction UT, OR, Boise National Forest, EO2, Sugar Creek Municipal Water and Operation, Pima and Yuma Payette National Forest and Sawtooth Supply, Updated Information, Proposed Counties, AZ, Due: May 21, 2001, National Forest, Forest Plan Revision, New 1172 Acre Water Supply Reservoir, Contact: David J. Dorworth (202) 514– Implementation, Southwest Idaho Construction, COE Section 404 Permit 6470. Ecogroup, several counties, ID, Issuance, City of Marion, Williamson EIS No. 010101, FINAL EIS, NOA, Malhaur County, OR and Box Elder and Johnson Counties, IL. Tilefish Fishery Management Plan County, UT , Due: June 15, 2001, Summary: EPA expressed (FMP), (Lopholatilus Contact: David Rittenhouse (208) 373– environmental objections based on the chamaeleonticeps), To Prevent 4100. Revision of FR Notice Published issues that were raised regarding Overfishing and to Rebuild the on 11/24/2000: CEQ Review Period cumulative impact analysis, cost Resource of Tilefish, Located along Ending 03/16/2001 has been Extended analysis, recreational use, and legal the Atlantic Ocean, Due: May 07, to 06/15/2001. limitations. 2001, Contact: Catherine B. Belli (301) EIS No. 000421, DRAFT EIS, COE, CA, 713–2341. Guadalupe Creek Restoration Project, Final EISs EIS No. 010102, DRAFT EIS, AFS, MT, Restore Riparian Vegetation and ERP No. F–AFS–L65332–OR Ashland Keystone-Quartz Ecosystem Native Anadromous Fish Habitat, Creek Watershed Protection Project, Management, Implementation, From Almaden Expressway to Masson Proposal to Manage Vegetation, Rogue Beaverhead-Deerlodge National Dam, Implementation, Guadalupe River National Forest, Ashland Ranger Forest, Wise River Ranger District, River, Santa Clara County, CA, Due: District, City of Ashland, Jackson Beaverhead County, MT, Due: May January 22, 2001, Contact: Brad County, OR.
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Summary: No formal comment letter ENVIRONMENTAL PROTECTION dredging projects have not been was sent to the preparing agency. AGENCY accomplished due to the unavailability of disposal sites for dredged material. In ERP No. F–AFS–L65351–ID East Slate [ER–FRL–6962–5] Project, Harvesting Timber, other cases, sites on land have been Implementation, Idaho Panhandle Designation of Dredged Material used and the agency or permit applicant had no alternative but to transport the National Forests, St. Joe Ranger District, Disposal Sites in Rhode Island Sound dredged material outside of the project Shoshone County, ID. and Adjacent Waters, Rhode Island and Massachusetts. Intent To Prepare area, which can often increase the cost Summary: No formal comment letter an Environmental Impact Statement of the project substantially. Prior studies was sent to the preparing agency. directed at resolving the dredged ERP No. F–AFS–L65357–ID East AGENCIES: U.S. Environmental material disposal management problem Beaver and Miner’s Creek Timber Sales Protection Agency (EPA)—Region I, in this area were limited in scope, New England in cooperation with the and Prescribed Burning Project, addressing only the immediate disposal U.S. Army Corps of Engineers (Corps), Implementation, Caribou-Targhee needs of a project pending at the time. New England District. National Forest, Dubois Ranger District, EPA issued a Notice of Intent on a ACTION: Notice of Intent to prepare an Clark County, ID. similar action in July 1984. Although Environmental Impact Statement (EIS) that study identified the need for a Summary: No formal comment letter to consider the potential designation of dredged material site in the Rhode sent to the preparing agency. one or more long term dredged material Island/southeast Massachusetts area, ERP No. F–GSA–L81013–OR Eugene/ disposal sites in the region of Rhode local opposition at the time halted the Springfield New Federal Courthouse, Island Sound under section 102(c) of the project early in its planning stage. Construction, Lane County, OR. Marine Protection, Research and Historically, only one site in Rhode Sanctuaries Act. The EIS will provide Island Sound has been extensively used. Summary: No comment letter sent on an evaluation of the proposed disposal the Final EIS. Dredged material was disposed at a site sites in Rhode Island Sound, known as near Brenton Reef pursuant to an EIS ERP No. F–SFW–L36100–WA Tacoma Site 69B, 69A, Site 18, as well as released by the Corps in 1971 for the Water Green River Water Supply additional alternatives including other Providence River Dredging project. Operations and Watershed Protection possible open water disposal sites in Another site in the Sound near Brown’s Habitat Conservation Plan, this and adjacent waters, other types of Ledge was proposed and evaluated for Implementation, Issuance of a Multiple dredged material disposal and the Fall River Improvement Dredging Species Permit for Incidental Take, King management, and the no action project in 1980, but never used. In 1998, County, WA. alternative. the Corps issued a Draft EIS for the Providence River Maintenance Dredging Summary: No formal comment letter PURPOSE: In accordance with EPA’s was sent to the preparing agency. project that evaluated three sites in Notice of Policy and Procedures for Rhode Island Sound: Site 69A, 69 B and ERP No. F–USN–A10072–00 Voluntary Preparation of National Site 18. A final EIS is due in June 2001. Surveillance Towed Array Sensor Environmental Policy Act documents If the Providence EIS results in the System (SURTASS) Low Frequency (FR 63(209): 38045–38047), EPA issues selection of an ocean site by the Corps, Active (LFA), To Improved Capability to this Notice of Intent to prepare an EIS the site may be used only for a 5–10 Detect Quiter and Harder-to-Find for the evaluation of Designation of year period after the site has been Foreign Submarines, Implementation. Long Term Dredged Material Disposal selected for the Providence River Sites in the Rhode Island Sound region, Summary: EPA continues to express Maintenance Dredging Project. offshore of Rhode Island and Designation of a site for long term use environmental concerns related to Massachusetts. impact on marine mammals. must be performed under a separate FOR FURTHER INFORMATION CONTACT: Mr. designation process administered by ERP No. F–USN–E11047–00 USS Larry Rosenberg, Public Affairs Office, EPA. The State of Rhode Island is Winston S. Churchill (DDG 81), U.S. Army Corps of Engineers, 696 currently in the process of identifying Conducting a Shock Trial, Offshore of Virginia Road, Concord, MA 01742– potential sites in Narragansett Bay for Naval Stations, Mayport, FL; Norfolk, 2751, (978) 318–8657 email: use by private marinas in the Bay area. VA and/or Pascagoula, MS. [email protected] or Ms. Even if the state effort is successful, it Summary: Some environmental Ann Rodney, U.S. EPA—New England is anticipated that there is need for a impact(s) on resident fishery Region, One Congress Street, Suite 1100, larger regional disposal site for bigger populations are unavoidable; however, CWQ Boston, MA 02114–2023, (617) projects. Over the last two decades, a avian/marine mammals in the vicinity 918–1538, [email protected]. Please number of studies have confirmed the of testing should be adequately contact Ann Rodney should you have need for a regional site including two protected through planned mitigation special needs (sign language needs studies performed for each state measures. interpreters, access needs) at the above in the late 1980’s and a Rhode Island address or our TDY# (617) 918–1189. Governor directed task force (1993) and Dated: April 03, 2001. SUMMARY: There are many harbors, Rhode Island commission (1996). In Joseph C. Montgomery, channels and navigation dependant response to recent requests of Governor Director, NEPA Compliance Division, Office facilities in Rhode Island and Almond and Senator Reed, EPA and the of Federal Activities. southeastern Massachusetts that must Corps will consider designation of a [FR Doc. 01–8560 Filed 4–5–01; 8:45 am] undergo periodic maintenance dredging long term disposal site in Rhode Island BILLING CODE 6560–50–P to ensure safe navigation. Some harbors Sound and adjacent waters under occasionally must be deepened beyond section 102(c) of the MPRSA in a historical depths to meet changing forthcoming EIS. The EIS will evaluate economic and safety needs. Many of other possible alternatives including these necessary public and private other open water disposal sites, other
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disposal and management options, and using an EA or EIS to comprehensively Responsible Official: Ira Leighton, the no action alternative. It must be address large-scale ecological impacts, Acting Regional Administrator EPA— emphasized here that designation of a particularly cumulative effects; (c) the New England. site does not by itself authorize or result potential for using an EA or an EIS to Dated: April 3, 2001. in disposal of any particular material. It facilitate analysis of environmental Anne Norton Miller, only serves to make the designated site justice issues; (d) the potential for using a disposal option available for an EA or EIS to expand public Acting Director, Office of Federal Activities. consideration in the alternatives involvement and to address [FR Doc. 01–8561 Filed 4–5–01; 8:45 am] analysis for each individual dredging controversial issues; and (e) the BILLING CODE 6560–50–P project in the area. Each future project potential of using an EA or EIS to must assess whether it meets the ocean address impacts on special resources or disposal criteria for discharge at such a public health. Having considered these ENVIRONMENTAL PROTECTION site and demonstrate the need for ocean criteria EPA has determined that an EIS AGENCY disposal. for designation of dredged material The EPA and the Corps will enter an disposal sites in Rhode Island Sound [FRL–6964–2] agreement to undertake evaluation of and adjacent waters would be one or more long term dredged material beneficial. State Activities To Quantify and disposal sites in Rhode Island Sound Alternatives: In evaluating the Reduce Greenhouse Gas Emissions: and adjacent waters under Section alternatives, the EIS will identify and Assistance Competition 102(c) of the MPRSA. The EPA has the evaluate locations within the Rhode AGENCY: Environmental Protection responsibility of designating sites under Island Sound study area that are best Agency (EPA). Section 102(c) of the Act and 40 CFR suited to receive dredged material 228.4 of its regulation. Because of its suitable for open water marine disposal. ACTION: Notice; solicitation of experience with the Providence project, At a minimum, the EIS will consider applications. the Corps, which has been funded for various alternatives including: this effort, will administer the technical • No-action (i.e., no designation of SUMMARY: Today’s document announces studies and public participation process any sites); the availability of funds and solicits of the EIS with EPA oversight. • Designation of one or more ocean proposals from state agencies involved An EIS will evaluate a range of sites; with climate change and air quality potential sites in Rhode Island Sound • Designation of alternative open issues, for greenhouse gas (GHG) and adjacent waters, and the disposal water sites identified within the study emissions inventories and GHG and management of dredged material, area that may offer environmental mitigation plans. To this purpose, EPA including the no action alternative. The advantages to the existing sites; and will make available grants of up to EIS will support the EPA’s final • Identification of other disposal and/ $25,000 (for inventories) and up to decision on whether one or more or management options, either in or out $75,000 (for mitigation plans) to each dredged material disposal sites will be of the water, including the potential for recipient in the form of cooperative designated under the MPRSA. The EIS beneficial use opportunities for dredged agreements. will include analysis applying the five material. DATES: Deadline for Intents to Apply: general and 11 specific site selection Scoping: Full public participation by April 30, 2001. interested federal, state, and local criteria for designating ocean disposal Proposal Submissions Deadline: May agencies as well as other interested sites presented in 40 CFR Parts 228.5 31, 2001. and 228.6, respectively. The Draft and organizations and the general public is forthcoming Final EIS for the invited. All interested parties are FOR FURTHER INFORMATION CONTACT: Providence River Dredging Project will encouraged to submit their names and Denise Mulholland, (202) 564–3471. serve as a starting point for further addresses to one of the addresses below, SUPPLEMENTARY INFORMATION: This evaluation of sites in the EPA EIS. EPA to be placed on the mailing list for solicitation notice falls under the will incorporate by reference to the reviewing any fact sheets, newsletters authority of section 103 of the Clean Air extent possible all data and analyses and related public notices. The Act. The Catalog of Federal Domestic developed by the Corps in the Environmental Protection Agency—New Assistance number for this notice is Providence River EIS, as well as England Region and the Corps of 66.606. supplement this with further studies. Engineers, New England District, will Contents by Section Need for EIS: On October 29, 1998, hold two public scoping meetings in (63 FR 38045–38047) the EPA published May of 2001. The Massachusetts I. Eligible Entities repeal of its May 7, 1994 Policy for meeting will be held on May 17, 2001 II. Background Voluntary Preparation of Environmental III. Overview and Deadlines at White’s of Westport, 66 State Road, IV. Funding Issues Impact Statements (39 FR 16186–16187) Westport, MA. The Rhode Island V. Selection Criteria and notice of a new policy and meeting will be on May 22, 2001 at the VI. Evaluation and Selection procedures. The new policy states that Lighthouse Inn, 307 Great Island Rd, VII. Proposals EPA will prepare an Environmental Galillee, Narragansett, RI. Both meetings VIII. Other Items of Interest Assessment or, if appropriate, an will begin at 7 p.m. with registration IX. How to Apply Environmental Impact Statement in starting at 6 p.m. Details of the history I. Eligible Entities connection with Agency decisions of the project and the alternatives to be where the Agency determines that such considered will be presented. The Organizations being targeted for an analysis would be beneficial. Among public is invited to attend and identify cooperative agreements include but are the criteria that may be considered in issues that should be addressed in the not limited to state environmental making such a determination are: (a) EIS. agencies, energy offices, economic The potential for improved coordination development agencies, and public with other federal agencies taking Estimated Date of the Draft EIS Release utility commissions. 501(c)(4) entities related actions; (b) the potential for Summer 2003 and profit-makers are not eligible.
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II. Background Through this Notice, EPA seeks and address the links between clean air State governments will be affected by proposals for greenhouse gas inventories and climate change. the environmental impacts of climate and mitigation plans to complement Interested persons can obtain copies change. This Request for Proposals existing inventories and plans. Thirty- of this solicitation at no charge by 1 (RFP) will enable state authorities : (1) five states and Puerto Rico have accessing EPA’s Global Warming To understand the magnitude and prepared or are in the process of website at: http://www.epa.gov/ sources of their GHG emissions preparing baseline GHG emission globalwarming/visitorcenter/ (inventories—Phase I); and (2) to inventories by gas and source; EPA decisionmakers/index.html provides guidance for preparing evaluate, and ultimately implement, B. Deadlines policies, technologies and programs that inventories (available online at http:// reduce GHG emissions while providing www.epa.gov/ttnchie1/eiip/techreport/ In order to efficiently manage the _ economic and environmental (e.g. clean volume08/index.html ). Samples of selection process, the Office of air) benefits (mitigation plans—Phase these inventories are online at http:// Atmospheric Programs requests that an II). yosemite.epa.gov/globalwarming/ informal ‘‘Intent to Apply’’ be submitted For state agencies, changes in climate ghg.nsf/emissions/ by April 30, 2001. (Please provide are likely to make protection of the StateAuthoredInventories. Inventories project title or subject and email address public’s health, environment and are the foundation for analyzing and indicate if you plan to take part in economy more difficult. Increased mitigation options and developing a either of the informational conference temperatures during the summer are state action plan. Twenty-six states 2 calls). An ‘‘Intent to Apply’’ simply expected to increase the number of and Puerto Rico have completed or are states in the form of e-mail, phone, or ozone exceedances, increase wetland preparing state action plans; EPA fax that your organization intends to losses through sea level rise, affect provides a guidance book for preparing submit a proposal to be received by the ecosystems and impact water resources action plans (available online at http:// deadline. Submitting an ‘‘Intent to through changes in precipitation www.epa.gov/globalwarming/ Apply’’ does not commit an amounts and seasonality. Changes in publications/reference/stateguidance/ organization to submit a proposal. The climate are expected to contribute to index.html). Samples of these action ‘‘Intent to Apply’’ is an optional increases in heat-related deaths brought plans are available online at: http:// submission; those not submitting an on by hotter summers and more or yosemite.epa.gov/globalwarming/ ‘‘Intent to Apply’’ may still apply by the longer heat waves, encourage the ghg.nsf/actions/StateActionPlans. In deadline. proliferation and migration of disease- order to broaden the base of information The deadline for submitting carrying mosquitoes and increase the available about state greenhouse gas completed proposals (original and one incidence of infectious diseases such as emissions and potential mitigation copy) is May 31, 2001. (Instructions for encephalitis, malaria, and dengue. From options, OAP will give priority to submitting Intents to Apply and an economic perspective, changes in proposals for inventories and action Proposals are found in section IX climate are expected to have their plans that do not duplicate existing below.) The Office of Atmospheric greatest impact on economies based on work and that do incorporate clean air Programs expects to complete the natural resources, such as agriculture and other co-benefits. Evaluation/Selection process and make and forestry, as well as recreation and III. Overview and Deadlines recommendations to the grants office in tourism. Changes in climate, because of July 2001. Applicants will be notified if the likelihood of more extreme weather A. Overview they have been recommended for events, threaten state and regional funding by July 31, 2001. Agreements In today’s Notice, OAP is soliciting business sectors and infrastructure, such will be issued in August/September, proposals for state greenhouse gas as roadways, bridges, storm sewers, 2001. inventories and mitigation plans. These flood control levees and water supplies. To ensure that every agency interested Current state policies directly affect will enable states to understand the magnitude and sources of their GHG in participation has an opportunity to many sources of GHG emissions, for gain any needed additional information example, through control of emissions and to evaluate, and eventually implement, voluntary useful to the application process, OAP transportation, land use, solid waste has scheduled two sets of conference disposal, building codes and programs to reduce those emissions while achieving economic and calls. The first pair of calls is primarily procurement practices. This control is intended to help agencies decide exercised, for example, by promulgating environmental co-benefits. OAP is particularly interested in proposals that whether this competition is appropriate and enforcing regulations, collecting for them prior to the deadline for revenues and establishing utility result in new partnerships, involve an array of state agencies and stakeholders, submitting an Intent to Apply. The guidelines. States therefore have the second pair of calls is intended to assist opportunity to reduce GHG emissions agencies with questions about the 1 Current Phase I states: Alabama, California, while capitalizing on the co-benefits of proper completion and submission of GHG mitigation actions. Among the co- Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Kansas, Kentucky, their proposals. The content of the calls benefits are creating jobs, developing Maine, Maryland, Massachusetts, Minnesota, is entirely dependent upon the new markets for environmental Mississippi, Missouri, Montana, Nevada, New questions asked. The dates and times of Hampshire, New Jersey, New Mexico, New York, technologies, improving air quality, these calls, with the call-in phone protecting public health, reducing North Carolina , Oregon, Pennsylvania, Rhode Island, Tennessee, Utah, Vermont, Virginia, numbers and access codes, are: energy costs, reducing landfill costs, etc. Washington and Wisconsin. Therefore, EPA’s State and Local 2 Current Phase II states: Alabama, California, Wednesday, April 18, from 4:00–5 p.m., Capacity Building Branch seeks to Colorado, Delaware, Hawaii, Illinois, Iowa, EST (phone number: (202) 260–7280; support up to 10 state governments with Kentucky, Maine, Maryland, Massachusetts, access code: 8901#) Minnesota, Missouri, Montana, New Jersey, New the voluntary development of programs Hampshire, New Mexico, New York, North Thursday, April 19, from 4:00–5 p.m., to identify and/or analyze GHG Carolina, Oregon, Pennsylvania, Tennessee, Utah, EST (phone number: (202) 260–7280; emissions and mitigation options. Vermont, Washington and Wisconsin. access code: 8901#)
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Wednesday, May 9, from 3:00–5 p.m., proposal formats), EPA will not provide EPA: up to $75,000 per cooperative EST (phone number: (202) 260–8330; other assistance prior to final agreement; 1 to 3 cooperative access code: 0765#) submission of applications. agreements expected to be awarded. Thursday, May 10, from 2:30–4:30 p.m., IV. Funding Issues Matching funds are not required. EST (phone number: (202) 260–1015; access code 3661#) For FY01, approximately $250,000 in V. Selection Criteria Questions and answers from the funding will be available for Each eligible proposal will be conference calls will be summarized approximately 4 to 10 cooperative evaluated according to the criteria set and posted as soon as possible on the agreements to develop climate activities forth below. Proposals which are best EPA Global Warming website; the at the state levels. The two focuses of able to directly and explicitly address precise web location of the summaries cooperative agreements for FY01 are: the primary criteria will have a greater will be announced at http:// • Greenhouse Gas Emission likelihood of being selected as a www.epa.gov/globalwarming/ Inventories for the year 1990 and the recipient for the assistance competition visitorcenter/decisionmakers/ most current year for which data are discussed in today’s notice. Each index.html. available. Funds available from EPA: up proposal will be rated under a points In order to ensure that all applicants to $25,000 per cooperative agreement; 1 system, with 65 points possible for have access to the same information, the to 10 cooperative agreements expected inventories and 130 points possible for only forums for posing substantive to be awarded. action plans. questions on the competition are these • Action Plans: analysis of The proposals will be ranked conference calls. Except for responses to greenhouse gas mitigation options and according to the following criteria and procedural questions (e.g. due dates, their co-benefits. Funds available from maximum point allocation:
EVALUATION CRITERIA
Maximum points per Criterion criterion for phase III
Workplan, including evaluation plan and time frame, that is detailed and reasonable. This should include a clearly- stated and appropriate budget ...... 20 20 Project is to be performed by state environmental agencies, energy offices, economic development agencies, and public utility commissions or combinations of agencies. Projects by organizations that support the efforts of such agencies will also be considered provided that there will be significant involvement of state agencies ...... 10 10 Evidence of multi-stakeholder involvement, such as the creation of a work group that will meet regularly to facilitate project success ...... 20 20 A complete and reasonable outreach plan to make the report available to the public. Coordination with other enti- ties (non-profits, private sector, state agencies, local agencies) on an outreach plan is encouraged ...... 10 10 Geographic representation. Preference will be given to areas of the country that are performing fewer activities to reduce GHG emissions. Projects should also demonstrate sustainability after cooperative agreement funds have been expended ...... 5 5 Consideration of clean air benefits (SO2, NOX, particulate matter, volatile organics, CO, O3, etc) resulting from greenhouse gas mitigation options. Inclusion of co-benefits information in education and outreach efforts ...... N/A 10 Calculation of potential GHG emission reductions and other co-benefits such as jobs created or energy savings. Calculations should include annual benefits by completion date of project, by the year 2010 and by the year 2020. Support documentation must be submitted and should define and justify assumptions (e.g., market pene- tration rates) ...... N/A 20 Mechanism to monitor and report annual recommendations/results (tons, economic benefits, outreach results, etc) after the project ends ...... N/A 15 Completion of Phase I for 1990 and most current year GHG data is available ...... N/A 20
Total points possible ...... 65 130
VI. Evaluation and Selection Intent to Apply: April 30, 2001. downloaded from: http://www.epa.gov/ Each proposal will be evaluated by a Proposals deadline: May 31, 2001. region4/grantpgs/grants.htm. The team chosen to address a full range of Review: June 2001. proposal should conform to the climate change and air quality concerns Recommendations: July 2001. following outline: Notification letters mailed: by July 31, 1. Title and EPA program expertise. The team 2. Applicant (Organization) and contact will base its evaluation solely on the 2001. name, phone number, fax and e-mail criteria identified in this Notice. Agreements issued: August– address Completed evaluations will be referred September 2001. 3. Summary of funds requested from EPA to a Selection Committee of OAP 4. Project period: beginning and ending dates VII. Proposals managers who are responsible for final (for planning purposes, applicants should selection. Applicants will be notified The proposal must be submitted with assume funds will be available in August promptly after this process regarding the completed federal grant application or September 2001). Projects must be forms and be a maximum of fifteen (15) completed within two years of award date. their proposal’s status. 5. Project purpose: goals and objectives Proposals will be reviewed and pages (no less than 1.5 line spacing, no 6. Supporting and/or coordinating agencies agreements will be issued according to less than 12 pt font, 1 inch margins), and private sector parties and their roles the following schedule: excluding federal forms. The complete 7. Previous or current climate change RFP issued: April 4, 2001. grants application package can be activities and their status.
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8. Outreach and education plan and and project title and indicate if you plan a meeting of the National Advisory participants to take part in one of the conference Committee (NAC) and Governmental 9. Description of results and products calls. Advisory Committee (GAC) to the U.S. 10. Methods for calculating GHG emission Please submit informal intents to Representative to the North American reductions and economic and environmental co-benefits, including clean apply by April 30, 2001. (Remember, the Commission for Environmental air benefits (Phase II only) Intent to Apply is not required and will Cooperation (CEC). have no bearing on the judging process, 11. Project evaluation plan—including The National and Governmental we encourage it for the benefit of our mechanism for monitoring and reporting Advisory Committees advise the future results (Phase II only) on an annual planning process only. Submission of Administrator of the EPA in her basis the Intent to Apply does not commit the 12. Workplan—The narrative workplan applicant to submit a proposal.) capacity as the U.S. Representative to should not exceed 5 pages and should Submission of an Intent to Apply or a the Council of the North American include: proposal does not guarantee funding. Commission on Environmental (a) detailed description of all tasks; EPA reserves the right to reject all Cooperation. The Committees are (b) dates of initiation and completion; applications and make no awards. authorized under Articles 17 and 18 of (c) products and deliverables; and Completed Application Packages the North American Agreement on (d) proposed budget for each task Environmental Cooperation (NAAEC), 13. Report Schedule: Acknowledgement of must be postmarked or received by quarterly report requirement (schedule regular or express mail on or before North American Free Trade Agreement established by EPA) and planned final midnight May 31, 2001. Please provide Implementation Act, Public Law 103– report submission date an original and one copy. The 182 and as directed by Executive Order 14. Budget: provide a budget for the application package should be 12915, entitled ‘‘Federal following categories: submitted to Denise Mulholland at the Implementation of the North American —Personnel following address: Mailing Address: Agreement on Environmental —Fringe Benefits OAR Office of Atmospheric Programs, Cooperation.’’ The Committees are —Contractual Costs State and Local Capacity Building responsible for providing advice to the —Travel —Equipment Branch, U.S. Environmental Protection U.S. Representative on a wide range of —Supplies Agency, 1200 Pennsylvania Avenue, strategic, scientific, technological, —Other NW (Mailcode 6205J), Washington, DC regulatory and economic issues related —Total Direct Costs 20460. to implementation and further —Total Indirect Costs: must include Shipping Address: OAR Office of elaboration of the NAAEC. The National documentation of accepted indirect rate Atmospheric Programs, State and Local Advisory Committee consists of 12 —Total Cost Capacity Building Branch, U.S. representatives of environmental groups VIII. Other Questions Environmental Protection Agency, 501 and non-profit entities, business and 3rd St., NW., room 276, Washington, DC industry, and educational institutions. 1. Does this funding expire at the end 20460. The Governmental Advisory Committee of Fiscal Year 2001? Will two year Deadline for Completed Final consists of 12 representatives from state, projects be considered? Proposals must be received or local and tribal governments. Funding does not expire at the end of postmarked no later than midnight on The Committees are meeting to fiscal year 2001. The budget and cost May 31, 2001. discuss issues that the U.S. Government estimates for two year projects should Authority: 42 U.S.C. 1875(b). should consider as it prepares for the indicate what will be accomplished in Dated: March 30, 2001. each of the first and second years. The annual North American Commission for total amount of the grant does not Paul Stolpman, Environmental Cooperation Council of change if the project period extends Director, Office of Atmospheric Programs, Ministers Session. beyond two years. Office of Air and Radiation, Environmental Protection Agency. DATES: The Committee will meet on Thursday, May 3, 2001 from 9 a.m. to 2. May an eligible organization submit [FR Doc. 01–8496 Filed 4–5–01; 8:45 am] 5 p.m., and on Friday, May 4, 2001 from more than one proposal? BILLING CODE 6560–01–P 8:30 a.m. to 3 p.m. No. Organizations may receive funding for the development of either an ADDRESSES: The meeting will be held at inventory or an action plan, but not ENVIRONMENTAL PROTECTION the DoubleTree Hotel, 1515 Rhode both. AGENCY Island Avenue NW., Washington, DC. The meeting is open to the public, with 3. May an eligible organization resubmit [FRL–6963–7] limited seating on a first-come, first- a proposal which was previously National and Governmental Advisory served basis. submitted to another competition for Committees to the U.S. Representative funding, but was not selected? to the Commission for Environmental FOR FURTHER INFORMATION CONTACT: Mr. Yes. Cooperation Mark Joyce, Designated Federal Officer, U.S. EPA, Office of Cooperative IX. How To Apply AGENCY: Environmental Protection Environmental Management, at (202) Intents to Apply may take the form of Agency (EPA). 564–9802. email, fax, or phone call to the program ACTION: Notice of meeting. Dated: March 27, 2001. contact, Denise Mulholland, (address Mark N. Joyce, listed below; phone: (202) 564–3471; SUMMARY: Pursuant to the Federal fax: (202) 565–2095; email: Advisory Committee Act (Public Law Designated Federal Officer. [email protected].) Please 92–463), the U.S. Environmental [FR Doc. 01–8482 Filed 4–5–01; 8:45 am] include organization, contact, phone Protection Agency (EPA) gives notice of BILLING CODE 6560–50–P
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ENVIRONMENTAL PROTECTION to a particular entity, consult the person and Records Integrity Branch (PIRIB), AGENCY listed under FOR FURTHER INFORMATION Information Resources and Services CONTACT. Division (7502C), Office of Pesticide [OPP–50884; FRL–6776–6] Programs (OPP), Environmental B. How Can I Get Additional Protection Agency, Rm. 119, Crystal Experimental Use Permit; Receipt of Information, Including Copies of this Application for Extension/Expansion of Document and Other Related Mall #2, 1921 Jefferson Davis Hwy., an EUP for Bollgard II Cotton Documents? Arlington, VA. The PIRIB is open from 8:30 a.m. to 4 p.m., Monday through AGENCY: Environmental Protection 1. Electronically. You may obtain Friday, excluding legal holidays. The Agency (EPA). electronic copies of this document, and PIRIB telephone number is (703) 305– ACTION: Notice. certain other related documents that 5805. might be available electronically, from 3. Electronically. You may submit SUMMARY: This notice announces receipt the EPA Internet Home Page at http:// your comments electronically by e-mail of an application 524–EUP–89, Bollgard www.epa.gov/. To access this to: [email protected], or you can II Cotton from Monsanto Company document, on the Home Page select submit a computer disk as described requesting an experimental use permit ‘‘Laws and Regulations,’’ ‘‘Regulations above. Do not submit any information (EUP) extension/expansion for the and Proposed Rules,’’ and then look up electronically that you consider to be plant-pesticide Bacillis thuringiensis the entry for this document under the CBI. Avoid the use of special characters Cry2Ab protein and the genetic material ‘‘Federal Register—Environmental and any form of encryption. Electronic necessary for its production in cottton Documents.’’ You can also go directly to submissions will be accepted in (Vector GHBK11). The Agency has the Federal Register listings at http:// WordPerfect 6.1/8.0 or ASCII file determined that the application may be www.epa.gov/fedrgstr/. format. All comments in electronic form 2. In person. The Agency has of regional and national significance. must be identified by docket control established an official record for this Therefore, in accordance with 40 CFR number OPP–50884. Electronic action under docket control number 172.11(a), the Agency is soliciting comments may also be filed online at OPP–50884. The official record consists comments on this application. many Federal Depository Libraries. of the documents specifically referenced DATES: Comments, identified by docket in this action, and other information D. How Should I Handle CBI That I control number OPP–50884, must be related to this action, including any Want to Submit to the Agency? received on or before May 7, 2001. information claimed as Confidential Do not submit any information ADDRESSES: Comments and data may be Business Information (CBI). This official electronically that you consider to be submitted by mail, electronically, or in record includes the documents that are CBI. You may claim information that person. Please follow the detailed physically located in the docket, as well you submit to EPA in response to this instructions for each method as as the documents that are referenced in document as CBI by marking any part or provided in Unit I. of the those documents. The public version of all of that information as CBI. SUPPLEMENTARY INFORMATION. To ensure the official record does not include any Information so marked will not be proper receipt by EPA, it is imperative information claimed as CBI. The public disclosed except in accordance with that you identify docket control number version of the official record, which procedures set forth in 40 CFR part 2. OPP–50884 in the subject line on the includes printed, paper versions of any In addition to one complete version of first page of your response. electronic comments submitted during the comment that includes any FOR FURTHER INFORMATION CONTACT: By an applicable comment period is information claimed as CBI, a copy of mail: Willie H. Nelson, Biopesticides available for inspection in the Public the comment that does not contain the and Pollution Prevention Division Information and Records Integrity information claimed as CBI must be (7511C), Office of Pesticide Programs, Branch (PIRIB), Rm. 119, Crystal Mall submitted for inclusion in the public Environmental Protection Agency, 1200 #2, 1921 Jefferson Davis Hwy., version of the official record. Pennsylvania Ave., NW., Washington, Arlington, VA, from 8:30 a.m. to 4 p.m., Information not marked confidential DC 20460; telephone number: (703) Monday through Friday, excluding legal will be included in the public version 308–8682; e-mail address: holidays. The PIRIB telephone number of the official record without prior [email protected]. is (703) 305–5805. notice. If you have any questions about SUPPLEMENTARY INFORMATION: C. How and to Whom Do I Submit CBI or the procedures for claiming CBI, I. General Information Comments? please consult the person listed under FOR FURTHER INFORMATION CONTACT. A. Does this Action Apply to Me? You may submit comments through the mail, in person, or electronically. To E. What Should I Consider as I Prepare This action is directed to the public ensure proper receipt by EPA, it is My Comments for EPA? in general. This action may, however, be imperative that you identify docket of interest to those persons interested in control number OPP–50884 in the You may find the following plant-pesticides or those persons who subject line on the first page of your suggestions helpful for preparing your are or may be required to conduct response. comments: testing of chemical substances under the 1. By mail. Submit your comments to: 1. Explain your views as clearly as Federal Food, Drug, and Cosmetic Act Public Information and Records possible. (FFDCA), or the Federal Insecticide, Integrity Branch (PIRIB), Information 2. Describe any assumptions that you Fungicide, and Rodenticide Act Resources and Services Division used. (FIFRA). Since other entities may also (7502C), Office of Pesticide Programs 3. Provide copies of any technical be interested, the Agency has not (OPP), Environmental Protection information and/or data you used that attempted to describe all the specific Agency, 1200 Pennsylvania Ave., NW., support your views. entities that may be affected by this Washington, DC 20460. 4. If you estimate potential burden or action. If you have any questions 2. In person or by courier. Deliver costs, explain how you arrived at the regarding the applicability of this action your comments to: Public Information estimate that you provide.
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5. Provide specific examples to Dated: March 26, 2001. Kansas City, Kansas 66101, telephone illustrate your concerns. Phil Hutton, (913) 551–7010. 6. Offer alternative ways to improve Acting Director, Biopesticides and Pollution Dated: March 26, 2001. the notice. Prevention Division, Office of Pesticide Michael J. Sanderson, Programs. 7. Make sure to submit your Director, Superfund Division, U.S. EPA, comments by the deadline in this [FR Doc. 01–8485 Filed 4–5–01; 8:45 am] Region VII. document. BILLING CODE 6560–50–S [FR Doc. 01–8481 Filed 4–5–01; 8:45 am] BILLING CODE 6560–50–P 8. To ensure proper receipt by EPA, be sure to identify the docket control ENVIRONMENTAL PROTECTION number assigned to this action in the AGENCY ENVIRONMENTAL PROTECTION subject line on the first page of your AGENCY response. You may also provide the [FRL–6962–7] name, date, and Federal Register [OPPTS–59374; FRL–6768–8] citation. Proposed Settlement Under Section 122(h) of the Comprehensive Approval of Test Marketing Exemption II. Background Environmental Response, for a Certain New Chemical Compensation and Liability Act of 1980 Monsanto Company, 700 Chesterfield (CERCLA), as Amended, Southern AGENCY: Environmental Protection Parkway, Saint Louis, Missouri 63198 Cross Superfund Site, Hazelwood, Agency (EPA). has requested an extension/expansion of Missouri ACTION: Notice. an existing EUP for the plant-pesticide Bacillus thuringiensis Cry2Ab insect AGENCY: Environmental Protection SUMMARY: This notice announces EPA’s control protein and the genetic material Agency. approval of an application for test necessary for its production in cotton ACTION: Notice, request for public marketing exemption (TME) under (Vector GHBK11). comment. section 5(h)(1) of the Toxic Substances Control Act (TSCA) and 40 CFR 720.38. Monsanto Company has requested an SUMMARY: The Environmental EPA has designated this application as extension/expansion of the existing EUP Protiection Agency (EPA) is proposing TME 01–02. The test marketing (524–EUP–89, Bollgard II Cotton) to test to enter into an administrative conditions are described in the TME 6,200 acres for Alabama, Arizona, settlement to resolve claims under the application and in this notice. Arkansas, California, Florida, Georgia, Comprehensive Environmental DATES: Approval of this TME is effective Louisiana, Mississippi, Missouri, New Response, Compensation and Liability January 31, 2001. Mexico, North Carolina, Oklahoma, Act of 1980 (CERCLA), as amended 42 FOR FURTHER INFORMATION CONTACT: For Puerto Rico, South Carolina, Tennessee, U.S.C. 9622(h). This settlement is general information contact: Barbara Texas, and Virginia for May 2001 to intended to resolve the liability of the Cunningham, Director, Office of May 2002. Chromalloy American Corporation for Program Management and Evaluation, response costs incurred at the Southern Cotton seed grown during the EUP is Office of Pollution Prevention and Cross Superfund Site, 143 McDonnell not to be used for food or feed. Toxics (7401), Environmental Protection Boulevard in Hazelwood, St. Louis However, Monsanto Company has Agency, 1200 Pennsylvania Ave., NW., County, Missouri. indicated that they intend to apply for Washington, DC 20460; telephone a tolerance exemption for the Cry2Ab DATES: Written comments must be number: (202) 554–1404; e-mail address: protein in cotton. Currently, the EUP provided on or before May 7, 2001. [email protected]. approval is a crop destruct for Cry2Ab ADDRESSES: Comments should be For technical information contact: Bt cotton (524–EUP–89). addressed to Steven L. Sanders, David Schutz, New Chemicals Prenotice Assistant Regional Counsel, Office of Branch, Chemical Control Division III. What Action is the Agency Taking? Regional Counsel, United States (7405), Office of Pollution Prevention Environmental Protection Agency, Following the review of the Monsanto and Toxics, Environmental Protection Region VII, 901 North 5th Street, Kansas Agency, 1200 Pennsylvania Ave., NW., application and any comments and data City, Kansas 66101 and should refer to: Washington, DC 20460; telephone received in response to this notice, EPA In the Matter of Southern Cross Lumber number: (202) 260–8994; e-mail address: will decide whether to issue or deny the Company Superfund Site, EPA Docket [email protected]. EUP request for this EUP program, and No. CERCLA–07–2001–0009. SUPPLEMENTARY INFORMATION: if issued, the conditions under which it The proposed administrative cost is to be conducted. Any issuance of an recovery settlement may be examined in I. Does this Action Apply to Me? EUP will be announced in the Federal person at the United States This action is directed in particular to Register. Environmental Protection Agency, the chemical manufacturer and/or IV. What is the Agency’s Authority for Region VII, 901 North 5th Street, Kansas importer who submitted the TME to City, Kansas 66101. A copy of the Taking this Action? EPA. This action may, however, be of proposed settlement may be obtained interest to the public in general. Since The Agency’s authority for taking this from Kathy Robinson, Regional Hearing other entities may also be interested, the action is under FIFRA section 5. Clerk, EPA Region VII, 901 North 5th Agency has not attempted to describe all Street, Kansas City, Kansas 66101, the specific entities that may be affected List of Subjects telephone (913) 551–7567. by this action. If you have any questions Environmental protection, FOR FURTHER INFORMATION CONTACT: regarding the applicability of this action Experimental use permits. Steven L. Sanders, Assistant Regional to a particular entity, consult the Counsel, Office of Regional Counsel, technical person listed under FOR EPA Region VII, 901 North 5th Street, FURTHER INFORMATION CONTACT.
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II. How Can I Get Additional marketing activity will not present an agreement that any activity involving Information, Including Copies of this unreasonable risk of injury. potential exposure to dry powdered Document or Other Related Documents? material would be minimized by use of IV. What Action is the Agency Taking? a NIOSH-approved, full face, positive 1. Electronically. You may obtain EPA approves the above-referenced pressure, air-supply respirator. electronic copies of this document, and TME. EPA has determined that test Therefore, the test market activities will certain other related documents that marketing the new chemical substance, not present any unreasonable risk of might be available electronically, from under the conditions set out in the TME injury to human health or the the EPA Internet Home Page at http:// application and in this notice, will not environment. www.epa.gov/. To access this present any unreasonable risk of injury document, on the Home Page select to health or the environment. VII. Can EPA Change Its Decision on ‘‘Laws and Regulations,’’ ‘‘Regulations this TME in the Future? V. What Restrictions Apply to this and Proposed Rules,’’ and then look up Yes. The Agency reserves the right to TME? the entry for this document under the rescind approval or modify the ‘‘Federal Register—Environmental The test market time period, conditions and restrictions of an Documents.’’ You can also go directly to production volume, number of exemption should any new information the Federal Register listings at http:// customers, and use must not exceed that comes to its attention cast www.epa.gov/fedrgstr/. specifications in the application and significant doubt on its finding that the 2. In person. The Agency has this notice. All other conditions and test marketing activities will not present established an official record for this restrictions described in the application any unreasonable risk of injury to action under docket control number and in this notice must also be met. In human health or the environment. particular, the submitter agreed that any OPPTS–59374. The official record List of Subjects consists of the documents specifically activity involving potential exposure to referenced in this action, any public dry powdered material would be Environmental protection, Test comments received during an applicable minimized by use of a NIOSH-approved, marketing exemptions. full face, positive pressure, air-supply comment period, and other information Dated: January 31, 2001. related to this action, including any respirator. information claimed as Confidential TME–01–02. Rebecca S. Cool, Business Information (CBI). This official Date of Receipt: November 3, 2000. Chief, New Chemicals Prenotice Branch, record includes the documents that are Notice of Receipt: December 12, 2000 Office of Pollution Prevention and Toxics. 65FR239 p 77627. physically located in the docket, as well [FR Doc. 01–8486 Filed 4–5–01; 8:45 am] as the documents that are referenced in Applicant: Ilford Imaging USA. BILLING CODE 6560–50–S those documents. The public version of Chemical: (G) copper complex with the official record does not include any sulfonated azo dye, sodium salt. information claimed as CBI. The public Use: Dye for inkjet printer ink. Production Volume: 75 kg/yr. ENVIRONMENTAL PROTECTION version of the official record, which AGENCY includes printed, paper versions of any Number of Customers: 5. Test Marketing Period: 365 days, electronic comments submitted during [OPPTS–59375; FRL–6777–2] commencing on first day of commercial an applicable comment period, is manufacture. Approval of Test Marketing Exemption available for inspection in the TSCA The following additional restrictions for a Certain New Chemical Nonconfidential Information Center, apply to this TME. A bill of lading North East Mall Rm. B–607, Waterside AGENCY: accompanying each shipment must state Environmental Protection Mall, 401 M St., SW., Washington, DC. that the use of the substance is restricted Agency (EPA). The Center is open from noon to 4 p.m., to that approved in the TME. In ACTION: Notice. Monday through Friday, excluding legal addition, the applicant shall maintain holidays. The telephone number of the SUMMARY: This notice announces EPA’s the following records until 5 years after Center is (202) 260–7099. approval of an application for test the date they are created, and shall marketing exemption (TME) under III. What is the Agency’s Authority for make them available for inspection or section 5(h)(1) of the Toxic Substances Taking this Action? copying in accordance with section 11 Control Act (TSCA) and 40 CFR 720.38. of TSCA: EPA has designated this application as Section 5(h)(1) of TSCA and 40 CFR 1. Records of the quantity of the TME TME–01–08. The test marketing 720.38 authorizes EPA to exempt substance produced and the date of conditions are described in the TME persons from premanufacture manufacture. application and in this notice. notification (PMN) requirements and 2. Records of dates of the shipments permit them to manufacture or import to each customer and the quantities DATES: Approval of this TME is effective new chemical substances for test supplied in each shipment. March 14, 2001. marketing purposes, if the Agency finds 3. Copies of the bill of lading that FOR FURTHER INFORMATION CONTACT: For that the manufacture, processing, accompanies each shipment of the TME general information contact: Barbara distribution in commerce, use, and substance. Cunningham, Director, Office of disposal of the substances for test Program Management and Evaluation, marketing purposes will not present an VI. What was EPA’s Risk Assessment Office of Pollution Prevention and unreasonable risk of injury to health or for this TME? Toxics (7401), Environmental Protection the environment. EPA may impose EPA identified no significant Agency, 1200 Pennsylvania Ave., NW., restrictions on test marketing activities environmental concerns for the test Washington, DC 20460; telephone and may modify or revoke a test market substance. EPA did identify a number: (202) 554–1404; e-mail address: marketing exemption upon receipt of possibility of toxicity to workers from [email protected]. new information which casts significant inhalation of powdered substance, but For technical information contact: doubt on its finding that the test they were mitigated by the submitter’s David Schutz, New Chemicals Notice
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Management Branch, Chemical Control holidays. The telephone number of the 1. Records of the quantity of the TME Division (7405), Office of Pollution Center is (202) 260–7099. substance produced and the date of Prevention and Toxics, Environmental manufacture. III. What is the Agency’s Authority for Protection Agency, 1200 Pennsylvania 2. Records of dates of the shipments Taking this Action? Ave., NW., Washington, DC 20460; to each customer and the quantities telephone number: (202) 260–8994; e- Section 5(h)(1) of TSCA and 40 CFR supplied in each shipment. mail address: [email protected]. 720.38 authorize EPA to exempt persons 3. Copies of the bill of lading that SUPPLEMENTARY INFORMATION: from premanufacture notification (PMN) accompanies each shipment of the TME requirements and permit them to substance. I. Does this Action Apply to Me? manufacture or import new chemical VI. What was EPA’s Risk Assessment This action is directed in particular to substances for test marketing purposes, for this TME? the chemical manufacturer and/or if the Agency finds that the EPA identified no significant health importer who submitted the TME to manufacture, processing, distribution in or environmental concerns for the test EPA. This action may, however, be of commerce, use, and disposal of the market substance under the conditions interest to the public in general. Since substances for test marketing purposes of negligible release identified by the other entities may also be interested, the will not present an unreasonable risk of submitter. Therefore, the test market Agency has not attempted to describe all injury to health or the environment. activities will not present any the specific entities that may be affected EPA may impose restrictions on test unreasonable risk of injury to human by this action. If you have any questions marketing activities and may modify or health or the environment. regarding the applicability of this action revoke a test marketing exemption upon to a particular entity, consult the receipt of new information which casts VII. Can EPA Change Its Decision on technical person listed under FOR significant doubt on its finding that the this TME in the Future? FURTHER INFORMATION CONTACT. test marketing activity will not present an unreasonable risk of injury. Yes. The Agency reserves the right to II. How Can I Get Additional rescind approval or modify the Information, Including Copies of this IV. What Action is the Agency Taking? conditions and restrictions of an Document or Other Related Documents? EPA approves the above-referenced exemption should any new information that comes to its attention cast 1. Electronically. You may obtain TME. EPA has determined that test marketing the new chemical substance, significant doubt on its finding that the electronic copies of this document, and test marketing activities will not present certain other related documents that under the conditions set out in the TME application and in this notice, will not any unreasonable risk of injury to might be available electronically, from human health or the environment. the EPA Internet Home Page at http:// present any unreasonable risk of injury www.epa.gov/. To access this to health or the environment. List of Subjects document, on the Home Page select V. What Restrictions Apply to this Environmental protection, Test ‘‘Laws and Regulations’’ ‘‘Regulations TME? marketing exemptions. and Proposed Rules,’’ and then look up the entry for this document under the The test market time period, Dated: March 15, 2001. ‘‘Federal Register—Environmental production volume, number of Flora Chow, Documents.’’ You can also go directly to customers, and use must not exceed Chief, New Chemicals Prenotice Branch, the Federal Register listings at http:// specifications in the application and Office of Pollution Prevention and Toxics. www.epa.gov/fedrgstr/. this notice. All other conditions and [FR Doc. 01–8487 Filed 4–5 –01; 8:45 am] 2. In person. The Agency has restrictions described in the application established an official record for this and in this notice must also be met. BILLING CODE 6560–50–S action under docket control number TME–01–08. OPPTS–59375. The official record Date of Receipt: December 19, 2000. ENVIRONMENTAL PROTECTION consists of the documents specifically Notice of Receipt: February 9, 2001. AGENCY referenced in this action, any public Applicant: CBI. comments received during an applicable [FRL–6963–8; MM–HQ–2001–0017] Chemical: CBI-Generic: monoalkyl comment period, and other information quaternary ammonium salt. related to this action, including any Clean Water Act Class II: Proposed information claimed as Confidential Use: CBI-Generic: cleaning Administrative Settlement, Penalty Business Information (CBI). This official hydrotrope. Assessment and Opportunity to record includes the documents that are Production Volume: CBI. Comment Regarding XO physically located in the docket, as well Number of Customers: CBI. Communications, Inc. as the documents that are referenced in Test Marketing Period: CBI days, AGENCY: Environmental Protection those documents. The public version of commencing on first day of commercial Agency (EPA). manufacture. the official record does not include any ACTION: Notice. information claimed as CBI. The public The following additional restrictions version of the official record, which apply to this TME. A bill of lading SUMMARY: EPA has entered into a includes printed, paper versions of any accompanying each shipment must state consent agreement with XO electronic comments submitted during that the use of the substance is restricted Communications, Inc. to resolve an applicable comment period, is to that approved in the TME. In violations of the Clean Water Act available for inspection in the TSCA addition, the applicant shall maintain (‘‘CWA’’), and its implementing Nonconfidential Information Center, the following records until 5 years after regulations. XO failed to prepare Spill North East Mall Rm. B–607, Waterside the date they are created, and shall Prevention Control and Countermeasure Mall, 401 M St., SW., Washington, DC. make them available for inspection or (‘‘SPCC’’) plans for three (3) facilities The Center is open from noon to 4 p.m., copying in accordance with section 11 where they stored diesel oil in above Monday through Friday, excluding legal of TSCA: ground tanks. EPA, as authorized by
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CWA section 311(b)(6), 33 U.S.C. Communications, Inc. disclosed, Dated: March 26, 2001. 1321(b)(6), has assessed a civil penalty pursuant to the EPA ‘‘Incentives for David A. Nielsen, for these violations. The Administrator, Self-Policing: Discovery, Disclosures, Director, Multimedia Enforcement Division, as required by CWA section Correction and Prevention of Office of Enforcement and Compliance 311(b)(6)(C), 33 U.S.C. 1321(b)(6)(C), is Violations’’ (‘‘Audit Policy’’), 60 FR Assurance. hereby providing public notice of, and 66706 (December 22, 1995), that they [FR Doc. 01–8495 Filed 4–5–01; 8:45 am] an opportunity for interested persons to failed to prepare SPCC plans for three BILLING CODE 6560–50–P comment on, this consent agreement facilities where they stored diesel oil in and proposed final order. above ground storage tanks, in violation ENVIRONMENTAL PROTECTION DATES: Comments are due on or before of the CWA section 311(b)(3) and 40 AGENCY May 7, 2001. CFR part 112. EPA determined that XO ADDRESSES: Mail written comments to met the criteria set out in the Audit [FRL–6962–8] the Enforcement & Compliance Docket Policy for a 100% waiver of the gravity and Information Center (2201A), Docket component of the penalty. As a result, Final Modification of the National Number EC–2001–004, Office of EPA waived the gravity based penalty Pollutant Discharge Elimination Enforcement and Compliance System (NPDES) General Permit for ($12,000) and proposed a settlement Assurance, U.S. Environmental the Eastern Portion of the Outer penalty amount of two hundred and Protection Agency, 1200 Pennsylvania Continental Shelf (OCS) of the Gulf of twenty-two ($222). This is the amount Avenue, NW., Mail Code 2201A, Mexico (GMG280000); Corrections Washington, DC 20460. (Comments may of the economic benefit gained by XO, be submitted on disk in WordPerfect 8.0 attributable to their delayed compliance AGENCY: Environmental Protection or earlier versions.) Written comments with the SPCC regulations. XO Agency (EPA). may be delivered in person to: Communications, Inc. has agreed to pay ACTION: Notice; corrections. Enforcement and Compliance Docket this amount in civil penalties. EPA and SUMMARY: EPA published a notice in the Information Center, U.S. Environmental XO negotiated and signed an Federal Register of March 14, 2001 (66 Protection Agency, Rm. 4033, Ariel Rios administrative consent agreement, FR 14988), for the Final Modification of Bldg., 1200 Pennsylvania Avenue, NW., following the Consolidated Rules of the National Pollutant Discharge Washington, DC. Submit comments Procedure, 40 CFR 22.13, on March 19, Elimination System (NPDES) General electronically to [email protected]. 2001 (In Re: XO Communications, Inc., Permit for the Eastern Portion of the Electronic comments may be filed Docket No. MM–HQ–2001–0017). This Outer Continental Shelf (OCS) of the online at many Federal Depository consent agreement is subject to public Gulf of Mexico (GMG280000). The Libraries. notice and comment under CWA section document contained typographical The consent agreement, the proposed 311(b)(6), 33 U.S.C. 1321(b)(6). final order, and public comments, if errors and omissions. any, may be reviewed at the Under CWA section 311(b)(6)(A), 33 FOR FURTHER INFORMATION CONTACT: Enforcement and Compliance Docket U.S.C. 1321 (b)(6)(A), any owner, William Truman, (404) 562–9457. Information Center, U.S. Environmental operator, or person in charge of a vessel, SUPPLEMENTARY INFORMATION: onshore facility, or offshore facility from Protection Agency, Rm. 4033, Ariel Rios Corrections Bldg., 1200 Pennsylvania Avenue, NW., which oil is discharged in violation of Washington, DC. Persons interested in the CWA section 311(b)(3), 33 U.S.C. In the Federal Register of Wednesday, reviewing these materials must make 1321 (b)(3), or who fails or refuses to March 14, 2001, in FR Doc. 01–6175, arrangements in advance by calling the comply with any regulations that have make the following corrections: docket clerk at 202–564–2614. A been issued under CWA section 311(j), 1. On page 14994, the second column, reasonable fee may be charged by EPA 33 U.S.C. 1321(j), may be assessed an under the heading ‘‘3. Produced Water’’, for copying docket materials. administrative civil penalty of up to the following is inserted as the third paragraph: FOR FURTHER INFORMATION CONTACT: Beth $137,500 by EPA. Class II proceedings Cavalier, Multimedia Enforcement under CWA section 311(b)(6) are ‘‘Facilities that pass six consecutive Division (2248–A), U.S. Environmental conducted in accordance with 40 CFR produced water toxicity tests will be Protection Agency, 1200 Pennsylvania part 22. allowed to change to a frequency of Avenue, NW., Washington, DC 20460; once/every six months; otherwise The procedures by which the public bimonthly testing shall continue’’ telephone (202) 564–3271; fax: (202) may comment on a proposed Class II 2. On page 14996, the third column, 564–9001; e-mail: penalty order, or participate in a Clean [email protected]. the first table, correct the title to read: Water Act Class II penalty proceeding, ‘‘4.—PRODUCED WATER CRITICAL SUPPLEMENTARY INFORMATION: Electronic are set forth in 40 CFR 22.45. The DILUTIONS (PERCENT EFFLUENT) Copies: Electronic copies of this deadline for submitting public comment document are available from the EPA FOR WATER DEPTHS OF LESS on this proposed final order is May 7, THAN 200 METERS’’. Home Page under the link ‘‘Laws and 2001. All comments will be transferred 3. On page 14998, Table 2, under the Regulations’’ at the Federal Register— to the Environmental Appeals Board heading ‘‘Measurement frequency’’ for Environmental Documents entry (http:/ (‘‘EAB’’) of EPA for consideration. The /www.epa.gov/fedrgstr). ‘‘Miscellaneous discharges of seawater powers and duties of the EAB are and freshwater to which treatment I. Background outlined in 40 CFR 22.04(a). chemicals have been added.’’, correct XO Communications, Inc., a Pursuant to CWA section 311(b)(6)(C), ‘‘1/week’’ to read ‘‘Once/day when telecommunications company EPA will not issue an order in this discharging’’. incorporated in the State of Delaware proceeding prior to the close of the 4. On page 14999, Table 3, under the and located at 11111 Sunset Hills Road, public comment period. heading ‘‘Measurement frequency’’ for Reston, Virginia 20190, failed to prepare ‘‘Miscellaneous discharges of seawater SPCC plans for three facilities. XO and freshwater to which treatment
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chemicals have been added.’’, correct FEDERAL RESERVE SYSTEM FEDERAL RESERVE SYSTEM ‘‘1/week’’ to read ‘‘Once/day when discharging’’. Formations of, Acquisitions by, and Notice of Proposals to Engage in Dated: March 14, 2001. Mergers of Bank Holding Companies Permissible Nonbanking Activities or to Acquire Companies that are A. Stanley Meiburg, The companies listed in this notice Engaged in Permissible Nonbanking Acting Regional Administrator, Region 4. have applied to the Board for approval, Activities [FR Doc. 01–8483 Filed 4–5–01; 8:45 am] pursuant to the Bank Holding Company BILLING CODE 6560–50–P Act of 1956 (12 U.S.C. 1841 et seq.) The companies listed in this notice (BHC Act), Regulation Y (12 CFR Part have given notice under section 4 of the 225), and all other applicable statutes Bank Holding Company Act (12 U.S.C. and regulations to become a bank 1843) (BHC Act) and Regulation Y (12 FEDERAL DEPOSIT INSURANCE CFR Part 225) to engage de novo, or to CORPORATION holding company and/or to acquire the assets or the ownership of, control of, or acquire or control voting securities or Notice of Agency Meeting the power to vote shares of a bank or assets of a company, including the bank holding company and all of the companies listed below, that engages either directly or through a subsidiary or Pursuant to the provisions of the banks and nonbanking companies other company, in a nonbanking activity ‘‘Government in the Sunshine Act’’ (5 owned by the bank holding company, that is listed in § 225.28 of Regulation Y U.S.C. 552b), notice is hereby given that including the companies listed below. the Federal Deposit Insurance (12 CFR 225.28) or that the Board has Corporation’s Board of Directors will The applications listed below, as well determined by Order to be closely meet in open session at 10 a.m. on as other related filings required by the related to banking and permissible for Tuesday, April 10, 2001, to consider the Board, are available for immediate bank holding companies. Unless following matters: inspection at the Federal Reserve Bank otherwise noted, these activities will be Summary Agenda: No substantive indicated. The application also will be conducted throughout the United States. discussion of the following items is available for inspection at the offices of Each notice is available for inspection anticipated. These matters will be the Board of Governors. Interested at the Federal Reserve Bank indicated. resolved with a single vote unless a persons may express their views in The notice also will be available for member of the Board of Directors writing on the standards enumerated in inspection at the offices of the Board of requests that an item be moved to the the BHC Act (12 U.S.C. 1842(c)). If the Governors. Interested persons may discussion agenda. proposal also involves the acquisition of express their views in writing on the Disposition of minutes of previous a nonbanking company, the review also question whether the proposal complies Board of Directors’ meetings. includes whether the acquisition of the with the standards of section 4 of the nonbanking company complies with the BHC Act. Additional information on all Summary reports, status reports, and bank holding companies may be reports of actions taken pursuant to standards in section 4 of the BHC Act obtained from the National Information authority delegated by the Board of (12 U.S.C. 1843). Unless otherwise Center website at www.ffiec.gov/nic/. Directors. noted, nonbanking activities will be conducted throughout the United States. Unless otherwise noted, comments Discussion Agenda Additional information on all bank regarding the applications must be holding companies may be obtained received at the Reserve Bank indicated Memorandum re: Petition to Convert from the National Information Center or the offices of the Board of Governors General Counsel Opinion No. 12— website at www.ffiec.gov/nic/. not later than April 20, 2001. Engaged in the Business of Receiving Deposits Other Than Trust Funds—to a Unless otherwise noted, comments A. Federal Reserve Bank of San Regulation. regarding each of these applications Francisco (Maria Villanueva, Consumer Regulation Group) 101 Market Street, The meeting will be held in the Board must be received at the Reserve Bank San Francisco, California 94105–1579: Room on the sixth floor of the FDIC indicated or the offices of the Board of Building located at 550—17th Street, Governors not later than April 30, 2001. 1. Wells Fargo & Company, San NW., Washington, DC. A. Federal Reserve Bank of St. Louis Francisco, California; to acquire ACO The FDIC will provide attendees with (Randall C. Sumner, Vice President) 411 Brokerage Holdings Corporation, auxiliary aids (e.g., sign language Locust Street, St. Louis, Missouri Chicago, Illinois, and its subsidiaries, interpretation) required for this meeting. 63166–2034: and thereby engage in providing Those attendees needing such assistance investment and financial advisory 1. Rockhold Bancorp, Kirksville, services, pursuant to § 225.28(b)(6) of should call (202) 416–2089 (Voice); Missouri; to acquire 25 percent of the (202) 416–2007 (TTY), to make Regulation Y; employee benefits voting shares of Rockhold Bancorp, necessary arrangements. consulting services, pursuant to § Kirksville, Missouri, and thereby 225.28(b)(9)(ii) of Regulation Y; Requests for further information indirectly acquire voting shares of La concerning the meeting may be directed insurance agency activities, pursuant to Plata Bancshares, Inc., La Plata, to Mr. Robert E. Feldman, Executive § 225.28(b)(11)(vii) of Regulation Y; and Missouri, and La Plata State Bank, La Secretary of the Corporation, at (202) data processing, pursuant to § Plata, Missouri. 898–6757. 225.28(b)(14) of Regulation Y. Dated: April 3, 2001. Board of Governors of the Federal Reserve Board of Governors of the Federal Reserve Federal Deposit Insurance Corporation. System, April 2, 2001. System, April 2, 2001. Robert E. Feldman, Robert deV. Frierson Robert deV. Frierson Executive Secretary. Associate Secretary of the Board. Associate Secretary of the Board. [FR Doc. 01–8632 Filed 4–4–01; 1:14 pm] [FR Doc. 01–8450 Filed 4–5–01; 8:45 am] [FR Doc. 01–8451 Filed 4–5–01; 8:45 am] BILLING CODE 6714–01–M BILLING CODE 6210–01–S BILLING CODE 6210–01–S
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FEDERAL RESERVE SYSTEM DEPARTMENT OF HEALTH AND 1970, more than 10,000 of these studies HUMAN SERVICES have been completed. The main purpose Government in the Sunshine Meeting of these studies is to help employers Notice Centers for Disease Control and and employees identify and eliminate Prevention occupational health hazards. Ninety-five AGENCY HOLDING THE MEETING: Board of percent of these investigations respond Governors of the Federal Reserve [30DAY–22–01] to specific requests for assistance from System. Agency Forms Undergoing Paperwork employers, employees, employee TIME AND DATE: 10 a.m., Wednesday, Reduction Act Review representatives, or other government April 11, 2001. agencies. The remaining investigations The Centers for Disease Control and are short-term field investigations PLACE: Marriner S. Eccles Federal Prevention (CDC) publishes a list of initiated by NIOSH because it received Reserve Board Building, 20th and C information collection requests under information that a chemical, biological Streets, NW., Washington, DC 20551. review by the Office of Management and or physical agent may be hazardous to STATUS: Closed. Budget (OMB) in compliance with the workers. In these investigations, NIOSH Paperwork Reduction Act (44 U.S.C. determines whether the issue warrants MATTERS TO BE CONSIDERED: Chapter 35). To request a copy of these more detailed studies. Approximately 1. Personnel actions (appointments, requests, call the CDC Reports Clearance fifty percent of the field investigations promotions, assignments, Officer at (404) 639–7090. Send written involve interviews or the administration reassignments, and salary actions) comments to CDC, Desk Officer, Human of a questionnaire to the workers. Each involving individual Federal Reserve Resources and Housing Branch, New questionnaire is specific to that System employees. Executive Office Building, Room 10235, workplace and its suspected diseases 2. Any items carried forward from a Washington, DC 20503. Written and/or hazards; however, questionnaires previously announced meeting. comments should be received within 30 are derived from standard medical days of this notice. evaluation techniques. NIOSH CONTACT PERSON FOR MORE INFORMATION: distributes interim and final reports of Proposed Project Lynn S. Fox, Assistant to the Board; the investigations, excluding personal 202–452–3204. Health Hazard Evaluations/Technical identifiers, to requesters, employers, SUPPLEMENTARY INFORMATION: You may Assistance and Emerging Problems employee representatives, the call 202–452–3206 beginning at (OMB No. 0920–0260)—Extension— Department of Labor (OSHA and approximately 5 p.m. two business days National Institute for Occupational MSHA) and, as appropriate, other state before the meeting for a recorded Safety and Health (NIOSH), Centers for and federal agencies. Following the announcement of bank and bank Disease Control and Prevention (CDC). completion of field investigations, holding company applications In accordance with its mandates under NIOSH administers follow-back scheduled for the meeting; or you may the Occupational Safety and Health Act questionnaires to employer and contact the Board’s Web site at http:// of 1970 and the Federal Mine Safety and employee representatives at the www.federalreserve.gov for an electronic Health Act of 1977, the National workplace to assess program announcement that not only lists Institute for Occupational Safety and effectiveness and identify areas for applications, but also indicates Health (NIOSH) responds each year to improvement. Because of the large procedural and other information about approximately 400 requests for health number of investigations conducted the meeting. hazard evaluations to identify potential each year, the need to respond quickly chemical, biological, or physical to requests for assistance and the Dated: April 4, 2001. hazards at the workplace. diverse nature of these investigations, Robert deV. Frierson, Approximately half of these requests NIOSH requests clearance for data Associate Secretary of the Board. require that NIOSH conduct a short- collection in these investigations. The [FR Doc. 01–8633 Filed 4–4–01; 1:14 pm] term field study to adequately address estimated annual burden hours are BILLING CODE 6210–01–P the issues raised by the requester. Since 4,093.
Number of Avg. burden Respondents Number of responses per per response respondents respondent (in hours)
Employees (initial interviews) ...... 4,200 1 15/60 Employees (questionnaires interviews) ...... 5.250 1 30/60 Employees (follow-back questionnaires) ...... 500 1 1 10/60 1 1 15/60 2 1 15/60 Employees (follow-back questionnaires) ...... 200 1 1 10/60 2 1 15/60 1 (Year 1) 2 (Year 2)
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Dated: March 30, 2001. DEPARTMENT OF HEALTH AND prepare and submit to public comment Nancy E. Cheal, HUMAN SERVICES a Statement of Objectives and Priorities Acting Associate Director for Policy, (SOP). The final version of this SOP for Planning, and Evaluation, Centers for Disease Administration for Children and the coming fiscal year is submitted to Control and Prevention (CDC). Families ADD. The information in the SOP will [FR Doc. 01–8458 Filed 4–5–01; 8:45 am] be aggregated into a national Proposed Information Collection prospective profile of where Protection BILLING CODE 4163–18–P Activity; Comment Request and Advocacy systems are going. It will Proposed Projects provide ADD with an overview of program direction, and permit ADD to Title: Developmental Disabilities track accomplishments against Protection and Advocacy Statement of objectives/targets, permitting the Objectives and Priorities. OMB No.: 0980–0270. formulation of technical assistance and Description: Required by federal compliance with GPRA. statute and regulation. Each State Respondents: State and Tribal Protection and Advocacy System must Government.
ANNUAL BURDEN ESTIMATES
Number of Average Instrument Number of responses per burden hours Total respondents respondent per response burden hours
P&A SOP ...... 57 1 44 2,508
Estimated Total Annual Burden Hours ...... 2,508
In compliance with the requirements ways to minimize the burden of the OMB No.: 0890–0160. of Section 3506(c)(2)(A) of the collection of information on Description: Required by federal Paperwork Reduction Act of 1995, the respondents, including through the use statute. Each State Protection and Administration for Children and of automated collection techniques or Advocacy System must prepare and Families is soliciting public comment other forms of information technology. submit a Program Performance Report on the specific aspects of the Consideration will be given to for the preceding fiscal year of activities information collection described above. comments and suggestions submitted Copies of the proposed collection of within 60 days of this publication. and accomplishments and of conditions information can be obtained and in the State. The information in the Dated: April 2, 2001. Annual Report will be aggretated into a comments may be forwarded by writing Bob Sargis, to the Administration for Children and national profile of Protection and Reports Clearance Officer. Families, Office of Information Services, Advocacy Systems. It will also provide 370 L’Enfant Promenade, SW., [FR Doc. 01–8456 Filed 4–5–01; 8:45 am] ADD with an overview of program Washington, DC 20447, Attn: ACF BILLING CODE 4184–01–M trends and achievements and will Reports Clearance Officer. All requests enable ADD to respond to administration and congressional should be identified by the title of the DEPARTMENT OF HEALTH AND requests for specific information on information collection. HUMAN SERVICES The Department specifically requests program activities. This information comments on: (a) Whether the proposed Administration for Children and will also be used to submit an Annual collection of information is necessary Families Report to Congress as well as to comply for the proper performance of the with requirements in GPRA. functions of the agency, including Proposed Information Collection Respondents: State and Tribal whether the information shall have Activity; Comment Request practical utility; (b) the accuracy of the Governments. agency’s estimate of the burden of the Proposed Projects proposed collection of information; (c) Title: Developmental Disabilities the quality, utility, and clarity of the Protection & Advocacy Program information to be collected; and (d) Performance Report.
ANNUAL BURDEN ESTIMATES
Number of Average Instrument Number of responses per burden hours Total burden respondents respondent per response hours
P&A PPR ...... 57 1 44 2,508
Estimated Total Annual Burden Hours ...... 2,508
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In compliance with the requirements hospitals, nursing homes, and other alternative approach may be used if of Section 3506(c)(2)(A) of the health care facilities avoid the injuries such approach satisfies the Paperwork Reduction Act of 1995, the and fatalities that have resulted from requirements of the applicable statutes Administration for Children and medical gas mixups. and regulations. Families is soliciting public comment DATES: Submit written comments on the II. Comments on the specific aspects of the guidance by July 5, 2001. General information collection described above. comments on agency guidance Interested persons may submit written Copies of the proposed collection of documents are welcome at any time. comments on the guidance to the Dockets Management Branch (address information can be obtained and ADDRESSES: Submit written requests for above). Two copies of any comments are comments may be forwarded by writing single copies of this guidance to the to be submitted, except that individuals to the Administration for Children and Drug Information Branch (HFD–210), may submit one copy. Comments are to Families, Office of Information Services, Center for Drug Evaluation and be identified with the docket number 370 L’Enfant Promenade, SW., Research, Food and Drug found in brackets in the heading of this Washington, DC 20447, Attn: ACF Administration, 5600 Fishers Lane, document. The guidance and received Reports Clearance Officer. All requests Rockville, MD 20857. Send one self- comments are available for public should be identified by the title of the addressed adhesive label to assist that examination in the Dockets information collection. office in processing your requests. Management Branch between 9 a.m. and The Department specifically requests Submit written comments on the 4 p.m., Monday through Friday. comments on: (a) Whether the proposed guidance to the Dockets Management collection of information is necessary Branch (HFA–305), Food and Drug III. Electronic Access for the proper performance of the Administration, 5630 Fishers Lane, rm. Persons with access to the Internet functions of the agency, including 1061, Rockville, MD 20852. may obtain the document at http:// whether the information shall have FOR FURTHER INFORMATION CONTACT: www.fda.gov/cder/guidance/index.htm. practical utility; (b) the accuracy of the Duane S. Sylvia, Center for Drug Dated: March 29, 2001. agency’s estimate of the burden of the Evaluation and Research (HFD–325), Ann M. Witt, proposed collection of information; (c) Food and Drug Administration, 7520 the quality, utility, and clarity of the Standish Pl., Rockville, MD 20855, 301– Acting Associate Commissioner for Policy. information to be collected; and (d) was 594–0095, ext. 8, [email protected]. [FR Doc. 01–8474 Filed 4–5–01; 8:45 am] to minimize the burden of the collection SUPPLEMENTARY INFORMATION: BILLING CODE 4160–01–S of information on respondents, including through the use of automated I. Background collection techniques or other forms of FDA is announcing the availability of DEPARTMENT OF HEALTH AND information technology. Consideration a guidance entitled ‘‘Guidance on HUMAN SERVICES will be given to comments and Hospitals, Nursing Homes, and Other Food and Drug Administration suggestions submitted within 60 days of Health Care Facilities.’’ FDA has this publication. received reports during the past 4 years [Docket No. 99D–2248] Dated: April 2, 2001. from hospitals and nursing homes International Cooperation on Bob Sargis, involving 7 deaths and 15 injuries to patients who were thought to be Harmonisation of Technical Reports Clearance Officer. Requirements for Approval of [FR Doc. 01–8547 Filed 4–5–01; 8:45 am] receiving medical grade oxygen, but were receiving a different gas (e.g., Veterinary Medicinal Products (VICH); BILLING CODE 4184–01–M nitrogen) that had been mistakenly Final Guidances Entitled connected to the oxygen supply system. ‘‘Effectiveness of Anthelmintics: As a result of these reports, FDA has General Recommendations’’ (VICH DEPARTMENT OF HEALTH AND GL7), ‘‘Effectiveness of Anthelmintics: HUMAN SERVICES decided to alert hospitals, nursing homes, and other health care facilities to Specific Recommendations for Food and Drug Administration the potentially fatal hazards associated Bovine’’ (VICH GL12), ‘‘Effectiveness with handling medical gases. The of Anthelmintics: Specific [Docket No. 01D–0131] agency also is making recommendations Recommendations for Ovine’’ (VICH GL13), and ‘‘Effectiveness of Guidance for Hospitals, Nursing that should help health care facilities avoid the tragedies that result from Anthelmintics: Specific Homes, and Other Health Care Recommendations for Caprine’’ (VICH Facilities; Availability medical gas mixups. Because of the potential danger to the GL14); Availability AGENCY: Food and Drug Administration, public health of medical gas mixups, AGENCY: Food and Drug Administration, HHS. this guidance is being issued as a Level HHS. ACTION: Notice. 1 guidance for immediate ACTION: Notice. implementation, consistent with FDA’s SUMMARY: The Food and Drug good guidance practices regulation (21 SUMMARY: The Food and Drug Administration (FDA) is announcing the CFR 10.115; 65 FR 56468, September 19, Administration (FDA) is announcing the availability of a guidance document 2000). As with other Level 1 guidances availability of four final guidances for entitled ‘‘Guidance for Hospitals, for immediate implementation, the industry (Nos. 90, 95, 96, and 97) Nursing Homes, and Other Health Care agency is soliciting comments from the entitled ‘‘Effectiveness of Facilities.’’ This guidance is intended to public. This guidance represents the Anthelmintics: General alert hospitals, nursing homes, and agency’s current thinking on how to Recommendations’’ (EAGR) (VICH GL7), other health care facilities of the avoid potentially fatal medical gas ‘‘Effectiveness of Anthelmintics: potentially fatal hazards of medical gas mixups. It does not create or confer any Specific Recommendations for Bovine’’ mixups. This guidance makes rights for or on any person and does not (VICH GL12), ‘‘Effectiveness of recommendations that will help operate to bind FDA or the public. An Anthelmintics: Specific
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Recommendations for Ovine’’ (VICH harmonization is to identify and then 16, 1999, to submit comments. FDA GL13), and ‘‘Effectiveness of reduce the differences in technical shared the comments with the Anthelmintics: Specific recommendations for drug development appropriate VICH Expert Working Recommendations for Caprine’’ (VICH among regulatory agencies in different Group and after considering the GL14). These guidances have been countries. comments, the work group submitted adapted for veterinary use by the FDA has actively participated in the the final guidance to the VICH Steering International Cooperation on International Conference on Committee. At a meeting held from Harmonisation of Technical Harmonisation of Technical November 16 to 19, 1999, the VICH Requirements for Approval of Requirements for Registration of Steering Committee endorsed the four Veterinary Medicinal Products (VICH). Pharmaceuticals for Human Use for final guidances for industry, VICH GL7, They are intended to standardize and several years to develop harmonized VICH GL12, VICH GL13, and VICH simplify methods used in the evaluation technical recommendations for the GL14. of new anthelmintics submitted for approval of human pharmaceutical and VICH GL7 is intended to standardize approval to the European Union, Japan, biological products among the European and simplify the methods used for the and the United States. Union, Japan, and the United States. effectiveness evaluation of new DATES: You may submit written The VICH is a parallel initiative for anthelmintics and generic copies for use comments at anytime. veterinary medicinal products. The in domesticated animals. Animal VICH is concerned with developing welfare will benefit by the elimination ADDRESSES: Copies of the final harmonized technical recommendations of duplicate studies that will reduce the guidances entitled ‘‘Effectiveness of for the approval of veterinary medicinal number of animals required for Anthelmintics: General products in the European Union, Japan, necessary studies. Likewise this will Recommendations’’ (VICH GL7), and the United States, and includes benefit the industry by reducing ‘‘Effectiveness of Anthelmintics: input from both regulatory and industry research and development costs. VICH Specific Recommendations for Bovine’’ representatives. GL12, VICH GL13, and VICH GL14 (VICH GL12), ‘‘Effectiveness of The VICH Steering Committee is should be read in conjunction with the Anthelmintics: Specific composed of member representatives EAGR, VICH GL7. The guidances for Recommendations for Ovine’’ (VICH from the: European Commission; bovine, ovine, and caprine are part of GL13), and ‘‘Effectiveness of European Medicines Evaluation Agency; the EAGR, and the aim of these three Anthelmintics: Specific European Federation of Animal Health; final guidances is to: (1) Be more Recommendations for Caprine’’ (VICH the U.S. FDA; the U.S. Department of specific for certain issues not discussed GL14) may be obtained on the Internet Agriculture; the Animal Health in the general guidance; (2) highlight from the CVM home page at Institute; the Japanese Veterinary differences with the EAGR on http:www.fda.gov/cvm/guidance/ Pharmaceutical Association; the effectiveness data recommendations; guidance.html. Persons without Internet Japanese Association of Veterinary and (3) give explanations for disparities access may submit written requests for Biologics; and the Japanese Ministry of with the EAGR. single copies of the final guidances to Agriculture, Forestry, and Fisheries. This final level 1 guidance is being the Communications Staff (HFV–12), Two observers are eligible to issued consistent with FDA’s good Center for Veterinary Medicine, Food participate in the VICH Steering guidance practices (21 CFR 10.115; 65 and Drug Administration, 7500 Standish Committee: One representative from the FR 56468, September 19, 2000). These Pl., Rockville, MD 20855. Send one self- Government of Australia/ New Zealand, final guidances represent the agency’s addressed adhesive label to assist that and one representative from the current thinking on effectiveness office in processing your requests. industry in Australia/ New Zealand. recommendations for anthelmintic You may submit written comments The VICH Secretariat, which medicinal products. These guidances do any time on the final guidance to the coordinates the preparation of not create or confer any rights for or on Dockets Management Branch (HFA– documentation, is provided by the any person, and do not operate to bind 305), Food and Drug Administration, Confe´de´ration Mondiale de L’Industrie FDA or the public. An alternative 5630 Fishers Lane, rm. 1061, Rockville, de la Sante´ Animale (COMISA). A method may be used as long as it MD 20852. COMISA representative also participates satisfies the requirements of applicable FOR FURTHER INFORMATION CONTACT: in the VICH Steering Committee statutes and regulations. Thomas Letonja (HFV–135), Center for meetings. Veterinary Medicine, Food and Drug III. Comments Administration, 7500 Standish Pl., II. Guidance on Effectiveness of As with all of FDA’s guidances, the Rockville, MD 20855, 301–827–7576, e- Anthelmintics public is encouraged to submit written mail: [email protected]. These four guidances are entitled comments with new data or other new SUPPLEMENTARY INFORMATION: ‘‘Effectiveness of Anthelmintics: information pertinent to these General Recommendations’’ (VICH guidances. FDA will periodically review I. Background GL7), ‘‘Effectiveness of Anthelmintics: the comments in the docket and, where In recent years, many important Specific Recommendations for Bovine’’ appropriate, will amend the guidances. initiatives have been undertaken by (VICH GL12), ‘‘Effectiveness of The agency will notify the public of any regulatory authorities and industry Anthelmintics: Specific such amendments through a notice in associations to promote the Recommendations for Ovine’’ (VICH the Federal Register. international harmonization of GL13), and ‘‘Effectiveness of Interested persons may, at any time, regulatory recommendations. FDA has Anthelmintics: Specific submit written comments to the Dockets participated in efforts to enhance Recommendations for Caprine’’ (VICH Management Branch (address above) harmonization and has expressed its GL14). regarding these guidances. Two copies commitment to seek scientifically based In the Federal Register of July 16, of any comments are to be submitted, harmonized technical recommendations 1999 (64 FR 38445), FDA published except individuals may submit one for the development of pharmaceutical these VICH guidances in draft form, copy. Comments should be identified products. One of the goals of giving interested persons until August with the docket number found in
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brackets in the heading of this significance concerning activities under DEPARTMENT OF HEALTH AND document. A copy of the guidances and section 747 of the Public Health Service Act; HUMAN SERVICES received comments are available for and (2) prepare and submit to the Secretary, public examination in the Dockets the Committee on Health, Education, Labor, Substance Abuse and Mental Health and Pensions of the Senate, and the Management Branch between 9 a.m. and Committee on Energy and Commerce of the Services Administration 4 p.m., Monday through Friday. House of Representatives, a report describing Dated: March 29, 2001. the activities of the Advisory Committee, Fiscal Year (FY) 2001 Funding Ann M. Witt, including findings and recommendations Opportunities made by the Committee concerning the Acting Associate Commissioner for Policy. activities under section 747 of the PHS Act. AGENCY: Substance Abuse and Mental [FR Doc. 01–8452 Filed 4–5–01; 8:45 am] The Advisory Committee will meet twice Health Services Administration, HHS. BILLING CODE 4160–01–S each year and submit its first report to the Secretary and the Congress by November ACTION: Notice of funding availability. 2001. DEPARTMENT OF HEALTH AND Agenda: Discussion of the focus of the SUMMARY: The Substance Abuse and HUMAN SERVICES programs and activities authorized under section 747 of the Public Health Service Act. Mental Health Services Administration Health Resources and Services Draft of the Committee’s first report to (SAMHSA) Center for Substance Abuse Administration Congress will be reviewed. Funding issues Treatment (CSAT) announces the and recommendations for the future will be availability of FY 2001 funds for grants Advisory Committee; Notice of Meeting addressed. for the following activity. This notice is Anyone interested in obtaining a roster of not a complete description of the members, minutes of the meeting, or other In accordance with section 10(a)(2) of activity; potential applicants must the Federal Advisory Committee Act relevant information should write or contact obtain a copy of the Guidance for (Public Law 92–463), announcement is Dr. Crystal Clark, Acting Deputy Executive Applicants (GFA), including Part I, made of the following National Secretary, Advisory Committee on Training Advisory body scheduled to meet in Primary Care Medicine and Dentistry, American Indian/Alaskan Native Parklawn Building, Room 9A–21, 5600 during the month of May 2001. Community Planning Program, and Part Fishers Lane, Rockville, Maryland 20857, II, General Policies and Procedures Name: Advisory Committee on Training in phone (301) 443–6326, e-mail Applicable to all SAMHSA Applications Primary Care Medicine and Dentistry. [email protected]. The web address for the Date and Time: May 7, 2001; 8:30 a.m.–5 Advisory Committee is http:// for Discretionary Grants and p.m.; May 8, 2001; 8:30 a.m.–4 p.m. www.bhpr.hrsa.gov/dm/actpcmd.htm. Cooperative Agreements, before Place: The Hilton Washington Embassy preparing and submitting an Row, 2015 Massachusetts Avenue, NW., Dated: April 2, 2001. application. Washington, DC 20036. Jane M. Harrison, The meeting is open to the public. Director, Division of Policy Review and Purpose: The Advisory Committee shall (1) Coordination. provide advice and recommendations to the Secretary concerning policy and program [FR Doc. 01–8475 Filed 4–5–01; 8:45 am] development and other matters of BILLING CODE 4160–15–P
Est. number Project Activity Application deadline Est. funds FY 2001 of awards period
American Indian Alaskan Native Community Planning Program .. July 10, 2001 ...... $1 million ...... 8–10 1 year.
The actual amount available for the Page), and other documentation and Treatment (CSAT) announces the award may vary, depending on forms. Application kits may be obtained availability of Fiscal Year (FY) 2001 unanticipated program requirements from: National Clearinghouse for funds for grants to American Indian and and the number and quality of Alcohol and Drug Information (NCADI), Alaskan Native (AI/AN) communities to applications received. FY 2001 funds for P.O. Box 2345, Rockville, MD 20847– support community planning and the activity discussed in this 2345, Telephone: 1–800–729–6686. consensus building, leading to the announcement were appropriated by the The PHS 5161–1 application form and development of local substance abuse Congress under Public Law No. 106– the full text of the activity are also treatment system plans. The plans 310. SAMHSA’s policies and available electronically via SAMHSA’s would describe how tribal governments, procedures for peer review and World Wide Web Home Page: http:// organizations providing services to Advisory Council review of grant and www.samhsa.gov. urban Indian communities, and other cooperative agreement applications When requesting an application kit, indigenous community organizations were published in the Federal Register the applicant must specify the particular will work together to deliver integrated (Vol. 58, No. 126) on July 2, 1993. activity for which detailed information substance abuse treatment and related General Instructions is desired. All information necessary to services, such as HIV/AIDS prevention, apply, including where to submit mental health services, primary care, Applicants must use application form applications and application deadline and other public health services. The PHS 5161–1 (Rev. 7/00). The instructions, are included in the CSAT American Indian/Alaskan Native application kit contains the two-part application kit. Planning Grants Program is made up of application materials (complete two types of grants: Phase I, which is Purpose programmatic guidance and instructions the Development of a community for preparing and submitting The Substance Abuse and Mental planning process; and Phase II, which is applications), the PHS 5161–1 which Health Services Administration the Implementation of a services includes Standard Form 424 (Face (SAMHSA) Center for Substance Abuse integration plan. This announcement is
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only for Phase I grants. Contingent upon Rockville, MD 20857, (301) 443–9667, local government review of applications future funding and the E–Mail: [email protected]. for Federal financial assistance. accomplishments of Phase I projects, Applicants (other than Federally Public Health System Reporting CSAT may issue a future, ‘‘Phase II’’ recognized Indian tribal governments) Requirements announcement to support should contact the State’s Single Point implementation of plans developed The Public Health System Impact of Contact (SPOC) as early as possible to during Phase I. Statement (PHSIS) is intended to keep alert them to the prospective State and local health officials apprised application(s) and to receive any Eligibility of proposed health services grant and necessary instructions on the State’s Applications may be submitted by cooperative agreement applications review process. For proposed projects Tribes, Tribal governments, or other submitted by community-based serving more than one State, the Tribal authorities, tribal colleges and nongovernmental organizations within applicant is advised to contact the SPOC universities, or by public and domestic their jurisdictions. of each affected State. A current listing private non-profit entities, including Community-based nongovernmental of SPOCs is included in the application faith based organizations, that serve service providers who are not guidance materials. The SPOC should American Indian or Alaskan Native transmitting their applications through send any State review process communities. the State must submit a PHSIS to the recommendations directly to: Division head(s) of the appropriate State and of Extramural Activities, Policy, and Availability of Funds local health agencies in the area(s) to be Review, Substance Abuse and Mental Approximately $1,000,000 will be affected not later than the pertinent Health Services Administration, available in FY 2001 to support 8–10 receipt date for applications. This Parklawn Building, Room 17–89, 5600 grants. The average award is expected to PHSIS consists of the following Fishers Lane, Rockville, Maryland range from $100,000 to $150,000 in total information: 20857. costs (direct and indirect). Actual a. A copy of the face page of the The due date for State review process funding levels will depend on the application (Standard form 424). recommendations is no later than 60 availability of funds to SAMHSA. b. A summary of the project (PHSIS), days after the specified deadline date for Period of support: Grants will be not to exceed one page, which provides: the receipt of applications. SAMHSA awarded for a period of 12 months. (1) A description of the population to does not guarantee to accommodate or be served. explain SPOC comments that are Criteria for Review and Funding (2) A summary of the services to be received after the 60-day cut-off. provided. General Review Criteria: Competing Dated: March 29, 2001. applications requesting funding under (3) A description of the coordination planned with the appropriate State or Richard Kopanda, this activity will be reviewed for Executive Officer, SAMHSA. technical merit in accordance with local health agencies. State and local governments and [FR Doc. 01–8453 Filed 4–5–01; 8:45 am] established PHS/SAMHSA peer review Indian Tribal Authority applicants are BILLING CODE 4162–20–P procedures. Review criteria that will be not subject to the Public Health System used by the peer review groups are Reporting Requirements. Application specified in the application guidance guidance materials will specify if a DEPARTMENT OF HEALTH AND material. particular FY 2001 activity is subject to HUMAN SERVICES Award Criteria for Scored the Public Health System Reporting Applications: Applications will be Requirements. Substance Abuse and Mental Health considered for funding on the basis of Services Administration their overall technical merit as PHS Non-Use of Tobacco Policy determined through the peer review Statement Fiscal Year (FY) 2001 Funding Opportunities group and the appropriate National The PHS strongly encourages all grant Advisory Council review process. and contract recipients to provide a AGENCY: Substance Abuse and Mental Availability of funds will also be an smoke-free workplace and promote the Health Services Administration, HHS. award criteria. Additional award criteria non-use of all tobacco products. In ACTION: Notice of fnding availability. specific to the programmatic activity addition, Public Law 103–227, the Pro– may be included in the application Children Act of 1994, prohibits smoking SUMMARY: The Substance Abuse and guidance materials. in certain facilities (or in some cases, Mental Health Services Administration Catalog of Federal Domestic any portion of a facility) in which (SAMHSA) Center for Mental Health Assistance Number: 93.230. regular or routine education, library, Services (CMHS) announces the Program Contact: For questions day care, health care, or early childhood availability of FY 2001 funds for grants concerning program issues, contact: development services are provided to for the following activity. This notice is Maria E. Burns, Treatment and Systems children. This is consistent with the not a complete description of the Improvement Branch, Division of PHS mission to protect and advance the activity; potential applicants must Practice and Systems Development, physical and mental health of the obtain a copy of the Guidance for Center for Substance Abuse Treatment, American people. Applicants (GFA), including Part I, SAMHSA, Rockwall II, Suite 740, 5600 Competitive Renewal for the Grants to Fishers Lane, Rockville, MD 20857, Executive Order 12372 Support Consumer and Consumer (301) 443–7611, E–Mail: Applications submitted in response to Supporter Technical Assistance Centers, [email protected]. the FY 2001 activity listed above are and Part II, General Policies and For questions regarding grants subject to the intergovernmental review Procedures Applicable to all SAMHSA management issues, contact: Kathleen requirements of Executive Order 12372, Applications for Discretionary Grants Sample, Division of Grants as implemented through DHHS and Cooperative Agreements, before Management, OPS/SAMHSA, Rockwall regulations at 45 CFR Part 100. E.O. preparing and submitting an II, 6th floor, 5600 Fishers Lane, 12372 sets up a system for State and application.
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Est. funds FY Est. number of Project Activity Application deadline 2001 awards period
Technical Assistance Centers Renewal ...... May 4, 2001 ...... $1,820,000 5 1 year
The actual amount available for the Eligibility Division of Knowledge Development & award may vary, depending on The currently funded 3 consumer and Systems Change, Center for Mental unanticipated program requirements 2 consumer supporter technical Health Services, Substance Abuse and and the number and quality of assistance centers—Consumer Mental Health Services Administration, application received. FY 2001 funds for Organization and Networking Technical 5600 Fishers Lane, Room 11C–22, the activity discussed in this Assistance Center (CONTAC) located in Rockville, MD 20857, Telephone: 301– announcement were appropriated by Charleston, West Virginia; National 443–3653, E-mail: [email protected]. Congress under Public Law No. 106– Empowerment Center (NEC), located in For questions regarding grants 310. SAMHSA’s policies and Lawrence, Massachusetts; National management issues, contact: Steve procedures for peer review and Mental Health Consumers’ Self-Help Hudak, Division of Grants Management, Advisory Council review of grant and Clearinghouse located in Philadelphia, OPS, Substance Abuse and Mental cooperative agreement application were Pennsylvania; the National Consumer Health Services Administration, 5600 published in the Federal Register (Vol. Supporter Technical Assistance Center Fishers Lane, Rm 13–103, Rockville, MD 58, No. 126) on July 2, 1993. at the National Mental Health 20857, (301) 443–9666, E-mail: [email protected]. General Instructions Association (NMHA) located in Alexandria, VA; and the National Public Health System Reporting Applicants must use application form Consumer Supporter Technical Requirements PHS 5161–1 (Rev. 7/00). The Assistance Center at the National The Public Health System Impact application kit contains the two-part Alliance for the Mentally Ill (NAMI), Statement (PHSIS) is intended to keep application materials (complete located in Arlington, Virginia may State and local health officials apprised programmatic guidance and instructions apply. of proposed health services grant and for preparing and submitting Availability of Funds cooperative agreement applications applications), the PHS 5161–1 which submitted by community-based includes Standard Form 424 (Face It is estimated that a total of nongovernmental organizations within Page), and other documentation and $1,820,000 will be available for all their jurisdictions. Community-based forms. Application kits may be obtained awards under this announcement. Each nongovernmental service providers who from: National Mental Health Services of the 5 technical assistance centers may are not transmitting their applications Knowledge Exchange, Network (KEN), apply for the same amount (direct and through the State must submit a PHSIS P.O. Box 42490, Washington, DC 20015, indirect) as their current year 03 award. to the head(s) of the appropriate State Telephone: 1–800–789–2647. The actual level of awards will depend on the availability of appropriated funds and local health agencies in the area(s) The PHS 5161–1 application form and and the applicant’s budget justification. to be affected not later than the the full text of the activity are also Period of Support: The award may be pertinent receipt date for applications. available electronically via SAMHSA’s requested for one year. This PHSIS consists of the following World Wide Web Home Page: http:// information: www.samhsa.gov. Criteria for Review and Funding a. A copy of the face page of the When requesting an application kit, General Review Criteria: Competing application (Standard form 424). the applicant must specify the particular applications requesting funding under b. A summary of the project (PHSIS), activity for which detailed information this activity will be reviewed for not to exceed one page, which provides: is desired. All information necessary to technical merit in accordance with (1) A description of the population to apply, including where to submit established PHS/SAMHSA peer review be served. applications and application deadline procedures. Review criteria that will be (2) A summary of the services to be instructions, are included in the used by the peer review groups are provided. (3) A description of the coordination application kit. specified in the application guidance material. planned with the appropriate State or Purpose Award Criteria for Scored local health agencies. Applications: Applications will be State and local governments and The Substance Abuse and Mental considered for funding on the basis of Indian Tribal Authority applicants are Health Services Administration their overall technical merit as not subject to the Public Health System (SAMHSA) Center for Mental Health determined through the peer review Reporting Requirements. Application Services (CMHS) announces the group and the appropriate National guidance materials will specify if a availability of FY 2001 funds to Advisory Council review process. particular FY 2001 activity is subject to supplement and extend the five Availability of funds will also be an the Public Health System Reporting Consumer and Consumer Supporter award criteria. Additional award criteria Requirements. Technical Assistance Centers comprised specific to the programmatic activity of 3 consumer technical assistance PHS Non-Use of Tobacco Policy may be included in the application Statement centers and 2 consumer supporter guidance materials. technical assistance centers. The Catalog of Federal Domestic The PHS strongly encourages all grant purpose of these technical assistance Assistance Number: 93.230. and contract recipients to provide a centers is to develop and implement smoke-free workplace and promote the activities that assist in the improvement Program Contact non-use of all tobacco products. In of mental health service systems at the For questions on program issues, addition, Public Law 103–227, the Pro- State and local levels. contact: Risa S. Fox, M.S., L.C.S.W., Children Act of 1994, prohibits smoking
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in certain facilities (or in some cases, DEPARTMENT OF HOUSING AND minimize the burden of the collection of any portion of a facility) in which URBAN DEVELOPMENT information on those who ear to respond, including through the use of regular or routine education, library, [Docket No. FR 4652–N–09] day care, health care, or early childhood appropriate automated collection development services are provided to Notice of Proposed Information techniques or other forms of information children. This is consistent with the Collection for Public Comment for the technology; e.g., permitting electronic PHS mission to protect and advance the Revitalization of Severely Distressed submission of responses. physical and mental health of the Public Housing (HOPE VI): HOPE VI This Notice also lists the following Revitalization Application information: American people. Title of Proposal: Revitalization of Requirements; HOPE VI Demolition Severely Distressed Public Housing Executive Order 12372 Application Requirements; HOPE VI (HOPE VI): HOPE VI Revitalization Applications submitted in response to Revitalization Quarterly Reporting; Application Requirements; HOPE VI the FY 2001 activity listed above are Certification of Mixed-Finance Demolition Application Requirements; subject to the intergovernmental review Procurement HOPE VI Revitalization Quarterly requirements of Executive Order 12372, AGENCY: Office of the Assistant Reporting; Certification of Mixed- as implemented through DHHS Secretary for Public and Indian Finance Procurement. regulations at 45 CFR Part 100. E.O. Housing, HUD. OMB Control Number: 2577–0208. Description of the Need for the 12372 sets up a system for State and ACTION: Notice. local government review of applications Information and Proposed Use: These for Federal financial assistance. SUMMARY: The proposed information information collections are required in connection with the publication in the Applicants (other than Federally collection requirement described below Federal Register of a Notice of Funding recognized Indian tribal governments) will be submitted to the Office of Management and Budget (OMB) for Availability (NOFA) which announces should contact the State’s Single Point the availability of $565,00,000, of Contact (SPOC) as early as possible to review, as required by the Paperwork Reduction Act. The Department is $490,000,000 of which is available for alert them to the prospective the revitalization of severely distressed application(s) and to receive any soliciting public comments on the subject proposal. public housing under the HOPE VI necessary instructions on the State’s program. The remaining $75,000,000 is DATES: review process. For proposed projects Comments Due Date: June 5, available for HOPE VI Demolition serving more than one State, the 2001. grants. applicant is advised to contact the SPOC ADDRESSES: Interested persons are Eligible public housing agencies of each affected State. A current listing invited to submit comments regarding (PHAs) interested in obtaining HOPE VI of SPOCs is included in the application this proposal. Comments should refer to Revitalizing funding are required to guidance materials. The SPOC should the proposal by name and/or OMB submit applications to HUD, as send any State review process Control number and should be sent to: explained in the NOFA. The recommendations directly to: Division Mildred M. Hamman, Reports Liaison information collection conducted in the of Extramural Activities, Policy, and Officer, Public and Indian Housing, applications enables HUD to conduct a Review, Substance Abuse and Mental Department of Housing and Urban comprehensive, merit-based selection Health Services Administration, Development, 451 7th Street, SW., process in order to identify and select Parklawn Building, Room 17–89, 5600 Room 4238, Washington, DC 20410– the applications to receive funding. Fishers Lane, Rockville, Maryland 5000. With the use of HUD-prescribed forms, the information collection provides 20857. FOR FURTHER INFORMATION CONTACT: HUD with sufficient information to Mildred M. Hamman, (202) 708–3642, The due date for State review process approve or disapprove applications. extension 4128, for copies of the recommendations is no later than 60 Eligible PHAs interested in obtaining proposed forms and other available days after the specified deadline date for HOPE VI Demolition funding are documents. (This is not a toll-free the receipt of applications. SAMHSA required to submit applications to HUD, number). does not guarantee to accommodate or as explained in the NOFA. The explain SPOC comments that are SUPPLEMENTARY INFORMATION: The information collection conducted in the received after the 60-day cut-off. Department will submit the proposed applications enables HUD to conduct a information collection to OMB for comprehensive selection process in Dated: March 29, 2001. review, as required by the Paperwork order to identify and select the Richard Kopanda, Reduction Act of 1995 (44 U.S.C. applications to receive funding. The Executive Officer, SAMHSA. chapter 35, as amended). information collection provides HUD [FR Doc. 01–8454 Filed 4–5–01; 8:45 am] This Notice is soliciting comments with sufficient information to approve BILLING CODE 4162–20–P from members of the public and affected or disapprove applications. agencies concerning the proposed Applicants that are awarded HOPE VI collection of information to: (1) Evaluate Revitalization funds (‘‘Grantees’’) are whether the proposed collection of required to report on a quarterly basis information is necessary for the proper on the sources and uses of all amounts performance of the functions of the expended for revitalization activities. agency, including whether the Grantees use a fully-automated, information will have practical utility; Internet-based process for the (2) evaluate the accuracy of the agency’s submission of quarterly reporting estimate of the burden of the proposed information. HUD reviews and evaluates collection of information; (3) enhance the collected information and uses it as the quality, utility, and clarity of the a primary tool with which to monitor information to be collected; and (4) the status of HOPE VI Revitalization
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projects and the HOPE VI Revitalization Estimation of the Total Number of For HOPE VI Demolition Application: program. Hours Needed to Prepare the 34 respondents, twice annually, 48 HUD requires Grantees (PHAs) to Information Collection Including hours average per response results in a submit to HUD the Certification of Number of Respondents, Frequency of total annual reporting burden of 3264 Mixed-Finance Procurement form if Response, and Hours of Response: hours. they choose to certify that they have For HOPE VI Revitalization For HOPE VI Revitalization Quarterly complied with 24 CFR Part 85.36, as Application: 80 respondents, once Reporting: 148 respondents, 4 times permitted by 85.36(g)(3)(ii), in the annually, 190 hours average per annually, 20 hours average per response procurement of program managers and response results in a total annual results in a total annual reporting developers. HUD will review and reporting burden of 15,200 hours. burden of 11,840 hours. approve/disapprove the Certification form. HUD’s approval of the For HOPE VI Revitalization For the Certification of Mixed-Finance Certification form allows the Grantee to Application Data Form (part of the Procurement form: 40 respondents, once contract with the procured firm and HOPE VI Revitalization Application annually, 20 minutes average per eliminates the need for the Grantee to above): 80 respondents, once annually, response results in a total annual submit the Request for Proposal (RFP) or 80 hours average per response results in reporting burden of 13 hours. Request for Qualifications (RFQ) a total annual reporting burden of 6,400 Grand total: These information documents for HUD approval prior to hours (this annual reporting burden of collections performed in connection to advertisement. Collection of the 6,400 hours is part of the 15,200 hours the HOPE VI program result in an information in this manner helps to of annual reporting burden for the annual total reporting burden of 30,317 streamline the procurement process and HOPE VI Revitalization Application, hours. provided above). reduce the administrative burden on Status of the Proposed Information participating Grantees and HUD staff. For HOPE VI Budget (part of the Collection: Reinstatement, with change. Agency Form Number: HUD–52860–A HOPE VI Revitalization Application (HOPE VI Application Data Form); above): 80 respondents, once annually, Authority: Section 3506 of the Paperwork Reduction Act of 1995, 44 U.S.C. Chapter 35, 6 hours average per response results in There are no agency form numbers for as amended. HOPE VI Demolition Applications, a total annual reporting burden of 480 HOPE VI Revitalization quarterly hours (this annual reporting burden of Dated: March 30, 2001. reporting and the Certification of Mixed- 480 hours is part of the 15,200 hours of Gloria Cousar, Finance Procurement form. annual reporting burden for the HOPE Acting General Deputy Assistant Secretary Members of Affected Public: Public VI Revitalization Application, provided for Public and Indian Housing. Housing Authorities. above). BILLING CODE 4210–33–M
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[FR Doc. 01–8528 Filed 4–5–01; 8:45 am] BILLING CODE 4210–33–C
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DEPARTMENT OF HOUSING AND Management and Budget, Room 10235, be required; (8) an estimate of the total URBAN DEVELOPMENT New Executive Office Building, number of hours needed to prepare the Washington, DC 20503. information submission including [Docket No. FR–4650–N–24] FOR FURTHER INFORMATION CONTACT: number of respondents, frequency of Notice of Submission of Proposed Wayne Eddins, Reports Management response, and hours of response; (9) Information Collection to OMB; HUD Officer, Q, Department of Housing and whether the proposal is new, an Conditional Commitment/Direct Urban Development, 451 Seventh Street, extension, reinstatement, or revision of Endorsement Statement of Appraised Southwest, Washington, DC 20410; an information collection requirement; Value e-mail [email protected]; and (10) the name and telephone telephone (202) 708–2374. This is not a number of an agency official familiar AGENCY: Office of the Chief Information toll-free number. Copies of the proposed with the proposal and of the OMB Desk Officer, HUD. forms and other available documents Officer for the Department. This Notice ACTION: Notice. submitted to OMB may be obtained also lists the following information: from Mr. Eddins. Title of Proposal: HUD Conditional SUMMARY: The proposed information SUPPLEMENTARY INFORMATION: Commitment/Direct Endorsement collection requirement described below The Department has submitted the proposal Statement of Appraised Value. has been submitted to the Office of OMB Approval Number: 2502–0494. Management and Budget (OMB) for for the collection of information, as described below, to OMB for review, as Form Numbers: HUD–92800.5B. review, as required by the Paperwork Description of the Need for the Reduction Act. The Department is required by the Paperwork Reduction Act (44 U.S.C. Chapter 35). The Notice Information and Its Proposed Use: Form soliciting public comments on the HUD 92800.5B sets forth the terms of subject proposal. lists the following information: (1) The title of the information collection the conditional commitment/direct DATES: Comments Due Date: May 7, proposal; (2) the office of the agency to endorsement statement of appraised 2001. collect the information; (3) the OMB value and other requirements that must ADDRESSES: Interested persons are approval number, if applicable; (4) the be met before HUD will endorse the invited to submit comments regarding description of the need for the mortgage for insurance. this proposal. Comments should refer to information and its proposed use; (5) Respondents: Individuals or the proposal by name and/or OMB the agency form number, if applicable; households, Business or other for-profit, approval number (2502–0494) and (6) what members of the public will be Federal Government. should be sent to: Joseph F. Lackey, Jr., affected by the proposal; (7) how Frequency of Submission: On OMB Desk Officer, Office of frequently information submissions will occasion.
Number of × Frequency of × Hours per Burden respondents response response = hours
Reporting Burden ...... 1,200,000 1 1.16 140,000
Total Estimated Burden Hours: HUD for suitability for possible use to Dated: March 29, 2001. 140,000. assist the homeless. John D. Garrity, Status: Reinstatement, with change. Director, Office of Special Needs Assistance EFFECTIVE DATE: April 6, 2001. Authority: Section 3507 of the Paperwork Programs. Reduction Act of 1995, 44 U.S.C. 35, as FOR FURTHER INFORMATION CONTACT: [FR Doc. 01–8220 Filed 4–5–01; 8:45 am] amended. Clifford Taffet, Department of Housing BILLING CODE 4210–29–M Dated: March 29, 2001. and Urban Development, Room 7262, 451 Seventh Street SW., Washington, Wayne Eddins, DC 20410; telephone (202) 708–1234; DEPARTMENT OF HOUSING AND Departmental Reports Management Officer, URBAN DEVELOPMENT Office of the Chief Information Officer. TTY number for the hearing- and speech-impaired (202) 708–2565, (these [FR Doc. 01–8527 Filed 4–5–01; 8:45 am] [Docket No. FR–4673–N–01] telephone numbers are not toll-free), or BILLING CODE 4210–01–M call the toll-free Title V information line Lead Safe Housing: Notice of at 1–800–927–7588. Extension of Transition Assistance DEPARTMENT OF HOUSING AND SUPPLEMENTARY INFORMATION: In Period to Certain Jurisdictions URBAN DEVELOPMENT accordance with the December 12, 1988 AGENCY: Office of Healthy Homes and court order in National Coalition for the Lead Hazard Control, HUD. [Docket No. FR–4644–N–14] Homeless v. Veterans Administration, ACTION: Notice. No. 88–2503–OG (D.D.C.), HUD Federal Property Suitable as Facilities publishes a Notice, on a weekly basis, SUMMARY: This notice advises the public to Assist the Homeless identifying unutilized, underutilized, of a direct notice that HUD issued on excess and surplus Federal buildings AGENCY: Office of the Assistant March 5, 2001, to jurisdictions which Secretary for Community Planning and and real property that HUD has previously submitted a transition Development, HUD. reviewed for suitability for use to assist implementation plan to advise these the homeless. jurisdictions of how they may obtain an ACTION: Notice. Today’s Notice is for the purpose of additional time period to build capacity SUMMARY: This Notice identifies announcing that no additional to comply with HUD’s Lead Safe unutilized, underutilized, excess, and properties have been determined Housing Regulation. surplus Federal property reviewed by suitable or unsuitable this week. DATE: Effective Date. March 5, 2001.
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FOR FURTHER INFORMATION CONTACT: by the federal government to ensure that available and needed for each discipline Further information on lead-based paint children are adequately protected from and program area. regulation transition assistance lead poisoning. The regulation took (6) A short narrative description of (including a sample transition effect one year later, on September 15, activities undertaken to coordinate with implementation plan matrix), training 2000, to enable those covered by the the state lead paint certifying agency (or, courses, and related issues is available regulation to prepare for its in states without a lead certification at www.hud.gov/offices/lead. A list of implementation. On September 11, 2000 program, with the applicable EPA the phone numbers for EPA Regional (just before the effective date), HUD Regional Lead Coordinator), and/or Lead Coordinators is available at published a policy to aid in the health departments, including a www.epa.gov/lead/leadoff1.htm or transition to the new regulation. That statement that the certifying agency was through the Lead Paint Compliance policy provided a 6-month transition contacted for a list of certified persons Assistance Center at the number below. period to those jurisdictions that (if such persons were needed). (The 15 States and two territories that submitted a Statement of Inadequate (7) A short narrative description of do not have a lead certification program Capacity and a Transition how the jurisdiction will link trained as of March 8, 2001, are: AK, AZ, FL, Implementation Plan to HUD. The individuals to housing programs. GU, HI, ID, MT, NE, NV, NM, NY, ND, submissions documented the (8) A short narrative description of SC, SD, VI, WA, WY.) Questions may be jurisdictions’ need to build capacity to activities undertaken to coordinate directed to the Lead Paint Compliance meet the rule’s requirements. See HUD’s resources in nearby jurisdictions. Assistance Center toll-free at 1–866– September 11, 2000 notice at 65 FR (9) A list of all training activities that HUD–1012. (Note: Some local telephone 54858, for further details on HUD’s lead- have been or will be completed as of exchanges may have difficulty accessing based paint transition assistance policy. April 10, 2001, including the number of this phone number. In such a case, you In response to state and local requests, people trained in each discipline and should contact your local telephone HUD has funded a variety of training their names. operator for toll-free access). and is currently conducting over 200 (10) A list of training courses that are scheduled in the next several months, SUPPLEMENTARY INFORMATION: On March training courses in 100 jurisdictions to build capacity in lead-safe work the entity offering the course and a 5, 2001, HUD issued a direct notice to contact name, address and phone jurisdictions which previously practices for workers performing rehabilitation or maintenance in number for the training provider. submitted a transition implementation (11) For jurisdictions with a HUD lead Federally-assisted housing. In addition, plan to advise these jurisdictions of how hazard control grant program starting many jurisdictions have conducted their they may obtain an additional time before January 1, 2000, a statement own training to build capacity as period to build capacity to comply with signed by the administrator of the lead needed. HUD’s Lead Safe Housing Regulation. grant program describing why the For those jurisdictions requesting more Transition Assistance program has not built adequate capacity. time, the March 5, 2001 notice provides (12) The name of a state or local HUD’s current transition assistance that an updated transition agency and contact person that will be period expired on March 15, 2001. implementation plan must be submitted responsible for coordinating HUD- Despite substantial progress since the to HUD no later than April 10, 2001. An funded lead-based paint training within regulation took effect on September 15, automatic extension of the existing the jurisdiction. transition assistance period from March 2000, there may still remain some The March 5, 2001 notice provides 15, 2001 to April 10, 2001 is in effect jurisdictions that lack capacity in one or that the updated Transition to ensure that jurisdictions have enough more disciplines, in one or more Implementation Plan must be signed by time to update their Transition programs. Therefore, HUD concluded the following: Implementation Plans. No submittal is that compliance is still not feasible for For entitlement jurisdictions in cities, needed to cover the time period from certain specified programs when counties and tribes: The chief elected March 15, 2001 to April 10, 2001. HUD jurisdictions provide an acceptable official of the jurisdiction, or both the provides this additional time to promote updated Transition Implementation head of the agency which submits the coordination among state and local Plan. Consolidated Plan to HUD and the head agencies. The March 5, 2001 notice The updated Transition of the local health department. In states advises that during this period, program Implementation Plan must demonstrate that do not have an EPA authorized participants must continue to comply good faith efforts to build capacity and state program, the EPA regional office with HUD’s lead-based paint regulations include all of the following: overseeing the lead certification that were effective before September 15, (1) A list of programs where program shall be sent a copy no later 2000. HUD will assume that a compliance is now feasible. than the time of submission. jurisdiction that does not submit an (2) A list of disciplines (e.g., lead-safe For non-entitlement areas of states: updated transition assistance plan has maintenance worker, rehabilitation The Governor, or both the head of the the capacity to comply with HUD’s new worker, risk assessor, sampling agency administering the EPA- lead-based paint regulation at 24 CFR technician, abatement worker) where authorized state lead paint certification part 35. HUD will issue a notice prior capacity is now adequate. program and the head of the agency to August 10, 2001 to address any (3) A statement that capacity is not submitting the Consolidated Plan to remaining capacity shortfalls. adequate to comply with the regulation, HUD. In states that do not have an EPA listing the applicable program and authorized state program, the head of Background discipline. the state health department shall sign On September 15, 1999 (64 FR 50140), (4) A date by which compliance is along with the head of the agency HUD published a new regulation expected to be feasible that is not later submitting the consolidated plan; the amending 24 CFR part 35 to streamline, than August 10, 2001. EPA regional office overseeing the lead modernize and consolidate all lead- (5) An updated Transition certification program shall be sent a based paint requirements in federally- Implementation Plan matrix including copy no later than the time of assisted housing and housing being sold the number of individuals currently submission. If a public housing agency
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in a non-entitlement area does not know Responsibility Act of 1998 (the ‘‘Act’’) implement the Act. This notice, which agency to contact in the state was signed into law. This notice published in today’s Federal Register, government regarding the status of the updates the public on HUD’s overall updates the public on HUD’s overall extension request, they may obtain the implementation of the Act and implementation of the Act and information from the Lead Paint identifies where existing identifies where existing Compliance Assistance Center toll-free implementation guidance may be found implementation guidance may be found, at 1–866–HUD–1012. The PHA may also with respect to the provisions regarding with respect to the provisions regarding obtain the name and telephone number public housing and tenant-based public housing and tenant-based of the state employee and office that assistance. assistance. served as the contact for the extension. FOR FURTHER INFORMATION CONTACT: A submission will not be processed if II. Summary of Rulemakings Stephen I. Holmquist, Office of Policy, it lacks any of the signatures and Undertaken Under the Quality Program and Legislative Initiatives, Transition Implementation Plan Hoiusing and Work Responsibility Act Office of Public and Indian Housing, elements required above. The March 5, Department of Housing and Urban In addition to the Notice of Initial 2001 notice advised the jurisdictions Guidance, published on February 18, that their updated Transition Development, 451 Seventh Street, SW, Room 4116, Washington, DC, 20410; 1999, and the update to that Notice, Implementation Plan must be published on April 30, 1999 (64 FR postmarked no later than April 10, 2001 telephone (202) 708–0713 (this is not a toll-free number). Persons with hearing 23344), and the Status of and must be sent to: Ms. Gail N. Ward, Implementation Notice of December 22, U.S. Department of Housing and Urban or speech impairments may access that number via TTY by calling the Federal 1999, the following rulemaking has Development, Office of Healthy Homes occurred under the Act (Federal and Lead Hazard Control, 451 Seventh Information Relay Service at (800) 877– 8339. Program specialists for more Register references are included in the St. SW., P–3206, Washington, DC 20410. following chart): The March 5, 2001 notice advised that specific HUD program areas are listed unless HUD received an updated on the HUD web page at http:// Final Rules Transition Implementation Plan with a hudweb.hud.gov/offices.html. 1. Public Housing Agency Plans postmark dated no later than April 10, SUPPLEMENTARY INFORMATION: 2. Statutory Merger of the Section 8 2001, HUD will conclude that the I. Introduction jurisdiction now has capacity to protect Certificate and Voucher Programs children in federally-assisted housing The Quality Housing and Work (Housing Choice Voucher Program) and that all programs will comply with Responsibility Act of 1998 (Title V of 3. Renewals of Section 8 Tenant-Based the regulation. Additionally, the March Pub.L. 105–276, 112 Stat. 2518, Assistance Contracts 5, 2001 notice provided that if the approved October 21, 1998) (the ‘‘Act’’), 4. Revised Restrictions on Assistance to updated Transition Implementation was part of the Fiscal Year 1999 HUD Noncitizens Plan includes all the elements listed in Appropriations Act. The Act makes 5. Comprehensive Improvement the March 5, 2001 notice the extensive amendments to the United Assistance(CIAP)Formula Department will conclude, after review, States Housing Act of 1937 (the ‘‘1937 Allocation for Fiscal 1999 Act’’), which generally governs HUD’s that compliance is not feasible for the 6. Public Housing Drug Elimination public housing and tenant-based applicable programs and/or disciplines Program (PHDEP) Formula Section 8 housing assistance programs. for the time period designated in the Allocation plan, which should not extend beyond Certain provisions of the Act became 7. Required Resident on the PHA Board August 10, 2001. During this period, effective immediately on enactment of Commissioners or Similar program participants must continue to (October 21, 1998). Most provisions of Governing Body comply with HUD’s lead-based paint the Act, however, became effective on regulations that were effective before October 1, 1999, although some 8. Amendments to the Public Housing September 15, 2000. provisions become effective on October Assessment System (PHAS) 9. Allocation of Funds Under the Public Dated: March 20, 2001. 21, 1999 (one year from enactment) or on other dates specified in the Act. Housing Capital Fund David E. Jacobs, On February 18, 1999 (64 FR 8192), 10. Changes to Admissions, Rents and Director, Office of Healthy Homes and Lead HUD published a Notice of Initial Hazard Control. Occupancy Requirements in the Guidance on the Act to advise the Public Housing and Section 8 [FR Doc. 01–8526 Filed 4–5–01; 8:45 am] public of those provisions that were Programs BILLING CODE 4210–01–P effective immediately and of action that 11. Pet Ownership in Public Housing may or should be taken at that point. 12. Direct Funding of Resident DEPARTMENT OF HOUSING AND The February 18, 1999 Notice also Management Corporations provided guidance on certain other URBAN DEVELOPMENT 13. Section 8 Homeownership Vouchers provisions in the Fiscal Year 1999 HUD [Docket No. FR–4434–N–07] Appropriations Act that affect the 14. Consortia of Public Housing public housing and Section 8 programs. Agencies and Joint Ventures Quality Housing and Work Since publication of the February 18, 15. Rule to Deconcentrate Poverty and Responsibility Act of 1998; Notice of 1999 notice, HUD has published Promote Integration in Public Status of Implementation numerous other notices and proposed, Housing (amended PHA Plan) AGENCY: Office of the Assistant interim, and final rules to implement 16. Earned Income Disregard for Persons Secretary for Public and Indian the Act. On December 22, 1999 (64 FR with Disabilities in Certain Housing, HUD. 71799), HUD published comprehensive Programs ACTION: Notice. guidance on the status of Interim Rule implementation of the Act. SUMMARY: On October 21, 1998, the Since that time, HUD has published 1. Allocation of Operating Subsidies Quality Housing and Work additional notices and rules to under the Operating Fund Formula
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Proposed Rules (Final Rule not yet 6. Allocation of Funds under the Public 3. Public Housing Demolition/ published). Housing Operating Fund Disposition. This rule will implement more fully section 531 of the Act. 1. Screening and Eviction for Drug Proposed Rules Under Development Abuse and Other Criminal Activity (not yet published) III. Summary Chart of Status and Guidance 2. Required Conversion of 1. Public Housing Capital Fund. This Developments from Public Housing rule will establish regulatory provisions The following chart summarizes Stock concerning the Public Housing Capital HUD’s implementation, or guidance 3. Voluntary Conversion of Fund other than the formula. issued, to date on each section of the Developments from Public Housing 2. Public Housing Mixed Finance. Act covered by this Notice. Where Stock This rule will make a number of rulemaking is not yet completed the 4. Public Housing Homeownership changes to the mixed finance public should review the guidance in Program regulations, including fully the December 22, 1999 Status of 5. Total Development Costs implementing section 539 of the Act. Implementation; Guidance Notice.
Implemented by February 18, 1999 Statutory section Notice of Initial Proposed rule Interim rule Final rule Additional information Guidance
Sec. 503(c) Tech- ...... Report containing proposals nical Rec- for technical and conforming ommendation. legislative changes was submitted to the Congress on July 23, 1999. Sec. 503(d) List of ...... The required FEDERAL REG- obsolete docu- ISTER notice was published ments. on October 1, 1999 (64 FR 53400). Sec. 505 Declara- ...... June 23, 1999 (64 ...... October 21, 1999 Rulemaking implemented the tion of Policy and FR 33644). (64 FR 56870). statutory requirement that Public Housing the governing board of each Agency Organiza- PHA, with certain excep- tion. tions, contain at least one member who is directly as- sisted by the PHA. Sec. 506 Defini- ...... Statutory changes were incor- tions. porated in HUD rulemakings implementing the Public Housing Reform Act, as ap- propriate. Sec. 507 Minimum Yes ...... Part of Admissions ...... A/O final rule March Section 507 was effective Rent. and Occupancy, 29, 2000 (64 FR upon enactment. April 30, 1999 (64 16692). FR 23459). Sec. 508 Deter- ...... Part of Admissions ...... A/O final rule March Partial implementation was re- mination of Ad- and Occupancy 29, 2000 (64 FR quired by August 6, 1999 justed Income and rulemaking. 16692). Notice of Guidance on Pub- Median Income. lic Housing Rent Policies (64 FR 42956). Sec. 509 Family Yes ...... Part of Admissions ...... A/O final rule March Self-Sufficiency and Occupancy 29, 2000 (64 FR Program. rulemaking. 16692). Sec. 510 Prohibi- ...... Self-implementing; no rule- tion on Use of making required. Funds. Sec. 511 Public ...... April 17, 2000 (65 February 18, 1999 October 21, 1999 Additional guidance provided Housing Agency FR 20686). (64 FR 8170). (64 FR 56844). in PIH Notices 99–33 and Plans. Streamlining, Au- 99–51, 2000–43 and 2001– gust 14, 2000 (65 4, including required elec- FR 49484). De- tronic template for submis- cember 22, 2000, sion of PHA Plans and sim- Amended Final plified Small PHA Plan Up- Rule (65 FR date. 81214). February 5, 2001, Change in Applicability Date (66 FR 8897).
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Implemented by February 18, 1999 Statutory section Notice of Initial Proposed rule Interim rule Final rule Additional information Guidance
Sec. 512 Commu- Yes, as to changes Part of Admissions ...... A/O final rule March PIH Notice 2000–11, pub- nity Service and to welfare-related and Occupancy 29, 2000 (64 FR lished on May 9, 2000, pro- Family Self-Suffi- program require- rulemaking. 16692). vides a model cooperative ciency Require- ments (see agreement that PHAs can ments. amended sub- use with welfare and other section 12(d) of agencies to target sup- the 1937 Act). portive services and share needed information. Sec. 513 Income Yes ...... Part of Admissions Part of PHA Plan A/O Final Rule Targeting for Pub- and Occupancy rulemaking, with March 29, 2000 lic Housing and rulemaking. regard to (65 FR 16692). Tenant-Based deconcentration Section 8 Assist- (see section 511). ance. Part of Section 8 Part of PHA Plan Merger Interim rulemaking, with rule with regard to regard to Section 8 vouch- deconcentration ers. The interim (see section 511). rule was pub- Final Section 8 lished on May 14, Merger rule pub- 1999 (64 FR lished on October 26632) (see sec- 21, 1999 (64 FR tion 545). 56894) (see sec- tion 545). Sec. 514 Repeal of Yes ...... Part of Admissions Part of Section 8 A/O Final Rule Federal pref- and Occupancy Merger rule- March 29, 2000 erences. rulemaking (for making (for Sec- (65 FR 16692). public housing tion 8 tenant- Part of Section 8 and Section 8 based vouchers) Merger rule- project based as- (See section 545). making (See sec- sistance). tion 545).. Sec. 515 Joint ...... September 14, 1999 ...... Nov. 29, 2000 (65 For guidance prior to imple- Ventures and Con- (64 FR 49940). FR 71204). mentation of final rule see sortia of PHAs. PIH Notice 2000–43. Sec. 516 Public ...... In development, in Housing Agency conjunction with Mortgages and capital fund pro- Security Interests. gram (non-for- mula) rulemaking (see section 519). Sec. 517 Mental ...... Development of action plan Health Action Plan. and compliance with other statutory requirements is in progress. Sec. 518 Local No- ...... No rulemaking necessary, but tification. additional elaboration may be provided in Capital Fund program (non-formula) rule- making (see section 519). Sec. 519 1. Capital Fund ...... September 14, 1999 ...... March 16, 2000 (65 formula. (64 FR 49924). FR 14422) and May 2, 2000 Amendment (65 FR 25445). 2. Capital Fund ...... In development.. program (non- formula). Sec. 519 Operating Yes (transition pro- Negotiated rule pub- March 29, 2001 (66 ...... Nonrental income provision Fund. visions). lished on July 10, FR 17276). was implemented for FY 2000 (65 FR 2000 by PIH Notice 2000–4. 42488). Sec. 519 Other Yes. Provisions. Sec. 520 Total De- ...... January 4, 2001 (65 ...... Guidance also provided in PIH velopment Cost. FR 1008). Notice 99–17.
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Implemented by February 18, 1999 Statutory section Notice of Initial Proposed rule Interim rule Final rule Additional information Guidance
Sec. 521 Sanctions ...... No rulemaking required; HUD for Improper Use will cross-reference this of Amounts. sanction authority in its pro- gram regulations, as appro- priate. Sec. 522 Repeal of ...... Capital fund formula Guidance provided in the Modernization final rule covers March 23, 1999 HUD–CPD Fund. some aspects. memorandum on the ‘‘Im- (See Section 519). pacts of the 1999 Appro- priations Act on HOME and SHOP’’ and the March 25, 1999 clarifying memo- randum on the same sub- ject. Sec. 523 Family Discussed but not Part of Admissions ...... A/O Final Rule Implementation required by Choice of Rental implemented. and Occupancy March 29, 2000 the August 6, 1999 Notice Payment. rulemaking. (65 FR 16692). of Guidance on Public Housing Rent Policies. Sec. 524 Occu- Yes ...... Part of Admissions ...... A/O Final Rule pancy by Police and Occupancy March 29, 2000 Officers and Over- rulemaking. (65 FR 16692). Income Families. Sec. 525 Site- ...... Part of PHA Plan Part of PHA Plan Based Waiting rulemaking (see rulemaking (see Lists. section 511). section 511). Sec. 526 Pet Own- ...... June 23, 1999 (64 ...... July 10, 2000 (65 ership. FR 33640). FR 42518). Sec. 529 Contract ...... No rulemaking required; to be Provisions. implemented through amendments to Annual Contributions Contracts (ACCs). Sec. 530 Housing Yes ...... No rulemaking required; to be Quality Require- implemented through ACC ments. amendments. Sec. 531 Demoli- Yes ...... In development ...... Part of PHA Plan Part of the PHA Additional guidance provided tion and Disposi- rulemaking (see Plan rulemaking in PIH Notice 99–19. tion of Public section 511). (see section 511). Housing. Sec. 532 Resident ...... October 21, 1999 ...... Final rule for Octo- Councils and Resi- (64 FR 56890) ber 21, 1999 pro- dent Management (provides for the posed rule. July Corporations. direct funding of 10, 2000 (65 FR RMCs); more 42512). comprehensive proposed rule in development. Sec. 533 Voluntary ...... July 23, 1999 (64 ...... In development. Conversion of FR 40240). Public Housing to Vouchers. Sec. 534 Transfer ...... Rulemaking is not required, of Management of but may be included as part Certain Housing. of resident participation rulemaking (Part 964). Sec. 535 Demoli- ...... Implemented by the annual tion, Site Revital- notices of fund availability ization, Replace- (NOFAs) for the HOPE VI ment Housing, and program beginning 1999 Tenant-Based As- with the FY NOFA. sistance Grants for Projects (HOPE VI). Sec. 536 Public ...... September 14, 1999 ...... In development. Housing Home- (64 FR 49932). ownership. Sec. 537 Required ...... July 23, 1999 (64 ...... In development. Conversion of FR 40232). Public Housing to Vouchers.
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Implemented by February 18, 1999 Statutory section Notice of Initial Proposed rule Interim rule Final rule Additional information Guidance
Sec. 538 Linking ...... Implemented through FY 1999 Services to Public and FY 2000 NOFAs on the Housing Residents. Resident Opportunities and Self-Sufficiency (ROSS) program; and HUD may un- dertake rulemaking in FY 2001. Sec. 539 Mixed-Fi- ...... In development.. nance Public Housing. Sec. 545 Merger of ...... May 14, 1999 (64 October 21, 1999 A notice to implement FY Certificate and FR 26632).. (64 FR 56894). 2001 Appropriations Act Voucher Programs. July 10, 2000, Ex- An amendment to Project-Based Assistance pansion of Pay- the final rule was amendments was published ment Standard published on No- January 16, 2001. (66 FR Protection (65 FR vember 3, 1999 3605). 42508). (64 FR 59620)...... October 2, 2000, In- January 19, 2001 Among other provisions, this creased Fair Mar- (66 FR 6218), rule applies the mandatory ket Rents and Determining Ad- earned income disregard for Higher Payment justed Income in rent calculation purposes to Standards (65 FR HUD Programs persons with disabilities in 58890). Serving Persons the voucher program. with Disabilities: Requiring Manda- tory Deductions for Certain Ex- penses; and Dis- allowance for Earned Income, effective April 20, 2001. Sec. 546 Public Part Section 8 Part of Section 8 Housing Agencies. merger rule- merger rule- making (see sec- making (see sec- tion 545). tion 545).. Sec. 547 Adminis- Yes ...... Initial guidance has been sup- trative fee. plemented by annual no- tices. (PIH 2000–28). Sec. 548 Law En- Yes Part of Admissions ...... A/O Final Rule forcement and Se- and Occupancy March 29, 2000 curity Personnel in rulemaking (65 FR 16692).. Assisted Housing. Sec. 549 Advance Yes Part of Section 8 ...... Additional guidance provided Notice to Tenants merger rule- in PIH Notice 98–64. of Expiration, Ter- making (see sec- mination, or tion 545). Owner Non- renewal of Assist- ance Contracts. Sec. 550 Technical ...... No rulemaking necessary or and Conforming anticipated. Amendments. Sec. 551 Funding Yes. and Allocation. Sec. 553 Portability Part of Section 8 Part of Section 8 merger rule- merger rule- making (see sec- making (see sec- tion 545). tion 545).. Sec. 554 Leasing Yes Part of Section 8 Part of Section 8 to Voucher Hold- merger rule- merger rule- ers. making (see sec- making (see sec- tion 545). tion 545).. Sec. 555 Home- April 30, 1999 (64 ...... September 12, 2000 15 demonstration programs ownership Option. FR 23488) (65 FR 55134). were approved under the proposed rule.
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Implemented by February 18, 1999 Statutory section Notice of Initial Proposed rule Interim rule Final rule Additional information Guidance
Rules are now in development to implement provisions of the American Homeowner- ship and Economic Oppor- tunity Act of 2000, which authorize downpayment as- sistance and a pilot home- ownership assistance pro- gram for disabled families. Sec. 556 Renewals ...... Negotiated final rule Consistent with statutory re- published on Oc- quirement, the October 21, tober 21, 1999 1999 final rule was pre- (64 FR 56894). ceded by an implementing PIH Notice (98–65). For the convenience of the public, the PIH notice was also published in the Federal Register on February 18, 1999 (64 FR 8188). In addition, related material is contained in Tenant-Based Section 8 Program; Proce- dures for Determining Base- line Unit Allocations, Ac- cessing, Using, Restoration of and Recapture of Pro- gram Reserves and Trans- fers of Baseline Unit Alloca- tions, April 19, 2000 (65 FR21088). Sec. 557 Manufac- ...... Implemented by letter to the tured Housing participating housing au- Demonstration thorities. Program. Sec. 559 Rule- ...... Part of Section 8 Part of Section 8 making and Imple- merger rule- merger rule- mentation. making (see sec- making (see sec- tion 545). tion 545).. Sec. 561 Home Yes ...... Implementation method was Rule Flexible reiterated in the Status of Grant Demonstra- Implementation Notice in tion. December 22, 1999 (64 FR 71799). Sec. 563 Perform- ...... The study is complete. ance Evaluation Study. Sec. 564 Public ...... June 22, 1999 (64 ...... January 11, 2000 Partial implementation (re- Housing Manage- FR 33348). PHAS Amend- garding independent as- ment Assessment ments (64 FR sessment of small troubled Program. 1712). June 6, PHAs) provided in the April 2000 Technical 30, 1999 Initial Implementa- Corrections (65 tion Guidance Update No- FR 36042). tice (64 FR 23344). Further details were also provided in a Federal Register notice published on October 21, 1999 (64 FR 33348) and subsequent notices. Sec. 565 Expan- Yes...... Part of the PHAS ...... PHAS Final Rule sion of Powers for rulemaking (see (referenced in Dealing with Pub- section 564). preceding sec- lic Housing Agen- tion).. cies in Substantial Default. Sec. 566 Audits ...... To be implemented through ACC amendment. Sec. 567 Advisory ...... Advisory Council has been Council for Hous- appointed. No rulemaking is ing Authority of necessary or anticipated. New Orleans.
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Implemented by February 18, 1999 Statutory section Notice of Initial Proposed rule Interim rule Final rule Additional information Guidance
Sec. 568 Troubled ...... Effective on October 1, 1999. PHAs and Con- In addition, and will be im- solidated Plans. plemented through rule- making on Consolidated Plans. S Sec. 575 Provi- Yes (the provision The remaining pro- sions Applicable regarding obtain- visions are part of Only to Public ing information the Screening Housing and Sec- from drug abuse and Eviction for tion 8 Assistance. treatment facili- Drug Abuse and ties). Other Criminal Activity rule- making (64 FR 40262, July 23, 1999). Sec. 576 Screening ...... Part of the Screen- of Applicants for ing and Eviction- Federally Assisted Related rule- Housing. making. Sec. 577 Termi- ...... Part of the Screen- nation of Tenancy ing and Eviction- and Assistance. Related rule- making. Sec. 578 Ineligi- ...... Part of the Screen- bility of Dangerous ing and Eviction- Sex Offenders for Related rule- Public Housing. making. Sec. 579 Defini- ...... Part of the Screen- These definitions are applica- tions. ing and Eviction- ble to the requirements de- Related rule- scribed in sections 575– making. 578. Sec. 581 Annual ...... The first and second annual Report. reports have been sub- mitted to the Congress as required. Sec. 582 Repeals ...... Effective on October 1, 1999. No rulemaking is necessary or anticipated. Sec. 583 Consoli- ...... Effective on October 1, 1999. dated Plans. Has been implemented through notices. Sec. 584 Use of Yes. American Products. Sec. 585 GAO ...... The study required by this Study on Housing section is under way. Assistance Pro- grams. Sec. 586 Drug ...... May 12, 1999 (64 ...... September 14, 1999 Proposed rule was preceded Elimination Pro- FR 25736). (64 FR 49900). by Advance Notice of Pro- gram. posed Rulemaking pub- lished on February 18, 1999 (64 FR 8210). Sec. 587 Report on ...... Report was submitted to Con- Drug Elimination gress as required. Contracts. Sec. 589 Notice on ...... Required FEDERAL REGISTER Treatment of Oc- notice published on Decem- cupancy Stand- ber 18, 1998 (63 FR ards. 70256). No further regula- tion is necessary. Sec. 592 Use of ...... May 12, 1999 (64 Assisted Housing FR 25726). by Aliens. Sec. 595 Native ...... Implemented by notice. No American Housing rulemaking is necessary or Assistance. anticipated. Sec. 596 Commu- ...... No rulemaking is necessary or nity Development anticipated. Block Grant Public Services Cap.
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Implemented by February 18, 1999 Statutory section Notice of Initial Proposed rule Interim rule Final rule Additional information Guidance
Sec. 597 Moderate Yes ...... Additional guidance provided Rehabilitation in PIH Notice 98–62. No Terms for Contract rulemaking is necessary or Renewals. anticipated. Sec. 599 Tenant ...... June 17, 1999 (64 ...... June 7, 2000 (65 Further rulemaking regarding participation. FR 32782). FR 36272). enhanced vouchers is ex- pected in 2001. Sec. 599H Mis- ...... No rulemaking is necessary or cellaneous. anticipated.
Conclusion Stop 4024; 381 Elden Street; Herndon, comment, comment on this Notice HUD is continuing to work Virginia 20170–4817. If you wish to e- instead. Titles and OMB Control Numbers: expeditiously and closely with its mail comments, the e-mail address is: • Form MMS–126, Well Potential public housing and section 8 partners to [email protected]. Reference ‘‘Information Collection Form MMS– Test Report (WPT), 1010–0039. complete the effective implementation • Form MMS–127, Sensitive of the Act. 126’’ or ‘‘Form MMS–127’’ as appropriate in your e-mail subject line. Reservoir Information Report (SRI), Dated: March 30, 2001. Include your name and return address 1010–0018. Gloria Cousar, in your e-mail message and mark your Abstract: The Outer Continental Shelf Acting General Deputy Assistant Secretary message for return receipt. (OCS) Lands Act (43 U.S.C. 1331 et for Public and Indian Housing. Our practice is to make comments, seq.), as amended, requires the Secretary [FR Doc. 01–8525 Filed 4–5–01; 8:45 am] including names and home addresses of of the Interior (Secretary) to preserve, protect, and develop sulphur resources BILLING CODE 4210–33–P respondents, available for public review during regular business hours. on the OCS; make such resources Individual respondents may request that available to meet the Nation’s energy DEPARTMENT OF THE INTERIOR we withhold their home address from needs as rapidly as possible; balance the record, which we will honor to the orderly energy resources development Minerals Management Service extent allowable by law. There may be with protection of the human, marine, and coastal environments; ensure the circumstances in which we would public a fair and equitable return on the Agency Information Collection withhold from the record a respondent’s resources offshore; preserve and Activities: Proposed Collection; identity, as allowable by the law. If you maintain free-enterprise competition; Comment Request wish us to withhold your name and/or and ensure that the extent of oil and address, you must state this AGENCY: Minerals Management Service natural gas resources of the OCS is prominently at the beginning of your (MMS), Interior. assessed at the earliest practicable time. comment. However, we will not ACTION: Notice of revision of two Section 5(a) of the OCS Lands Act consider anonymous comments. We currently approved information requires the Secretary to prescribe rules will make all submissions from collections (OMB Control Numbers and regulations ‘‘to provide for the organizations or businesses, and from 1010–0018 and 1010–0039). prevention of waste, and conservation of individuals identifying themselves as the natural resources of the Outer SUMMARY: To comply with the representatives or officials of Continental Shelf, and the protection of Paperwork Reduction Act of 1995 organizations or businesses, available correlative rights therein’’ and to (PRA), we are inviting comments on two for public inspection in their entirety. include provisions ‘‘for the prompt and collections of information that we will FOR FURTHER INFORMATION CONTACT: efficient exploration and development submit to the Office of Management and Alexis London, Rules Processing Team, of a lease area.’’ Budget (OMB) for review and approval. telephone (703) 787–1600. You may also To carry out these responsibilities, The information collection requests contact Alexis London to obtain a copy MMS has issued regulations to ensure (ICR) are titled ‘‘Form MMS–126, Well at no cost of the revised forms MMS– that operations in the OCS will meet Potential Test Report (WPT)’’; and 126 and MMS–127. statutory requirements; provide for ‘‘Form MMS–127, Sensitive Reservoir SUPPLEMENTARY INFORMATION: Please safety and protect the environment; and Information Report (SRI).’’ The note that on March 8, 2001, MMS result in diligent exploration, submissions to OMB will request published a Notice (66 FR 13955) development, and production of OCS approval of revisions (to both forms) announcing our intention to routinely leases. Various sections of 30 CFR part that clarify the submittal requirements renew, without change, OMB approval 250, subpart K, require respondents to and eliminate certain data elements. of form MMS–127, titled ‘‘Request for submit forms MMS–126 and MMS–127. The current title (Request for Reservoir Reservoir Maximum Efficient Rate For several years, the MMS Gulf of Maximum Efficient Rate) of Form (MER)’’. Subsequent to publishing that Mexico Region (GOMR) has issued MMS–127 is renamed. notice, MMS decided to officially revise instructions to lessees and operators DATES: Submit written comments by this form to reflect current reporting that when they submit these forms, they June 5, 2001. practices in the MMS Gulf of Mexico do not need to request a maximum ADDRESSES: Mail or hand-carry Region. The MMS Alaska and Pacific production rate (MPR) or a maximum comments to the Department of the OCS Regions concurred with this efficient rate (MER), nor complete data Interior; Minerals Management Service; decision. You should disregard the elements 110 through 114 on Attention: Rules Processing Team; Mail March 8, 2001, notice. If you wish to cumulative well production during
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approved testing periods. The GOMR Responses are mandatory. No information, you should comment and does, however, retain the authority to questions of a ‘‘sensitive’’ nature are provide your total capital and startup set MPRs for individual well asked. MMS will protect proprietary cost components or annual operation, completions, and to set MERs for information according to the Freedom of maintenance, and purchase of service individual reservoirs, if necessary to Information Act (5 U.S.C. 552) and its components. You should describe the ensure natural resources conservation implementing regulations (43 CFR 2), 30 methods you use to estimate major cost and to maximize ultimate recovery. CFR 250.196 (Data and information to factors, including system and The MMS Alaska and Pacific OCS be made available to the public), and 30 technology acquisition, expected useful Regions agree with the determination CFR part 252 (OCS Oil and Gas life of capital equipment, discount that MMS no longer needs to collect the Information Program). Proprietary rate(s), and the period over which you information reported in data elements information concerning geological and incur costs. Capital and startup costs 110 through 114 on both forms. They geophysical data will be protected include, among other items, computers will still require lessees and operators in according to 43 U.S.C. 1352. and software you purchase to prepare those regions to complete data element Frequency: The frequency is ‘‘on for collecting information, monitoring, 91(Requested MPR) on form MMS–126 occasion,’’ but not less than annual. and record storage facilities. Generally, and data elements 119 and 120 (Present Estimated Number and Description of your estimates should not include and Requested MER) on form MMS– Respondents: Approximately 130 equipment or services purchased: (i) 127. We are revising the forms to reflect Federal OCS oil and gas or sulphur Before October 1, 1995; (ii) to comply these decisions. When we next revise lessees. with requirements not associated with Estimated Annual Reporting and the 30 CFR 250, subpart K, regulations, the information collection; (iii) for Recordkeeping ‘‘Hour’’ Burden: The we anticipate proposing to officially reasons other than to provide currently approved ‘‘hour’’ burden for incorporate these changes in regulation. information or keep records for the both forms is 1 hour. Government; or (iv) as part of customary MMS District and Regional Estimated Annual Reporting and and usual business or private practices. Supervisors use the information on form Recordkeeping ‘‘Non-Hour Cost’’ MMS–126 for various environmental, Burden: We have identified no ‘‘non- MMS Information Collection reservoir, reserves, and conservation hour cost’’ burden associated with Clearance Officer: Jo Ann Lauterbach, analyses, including the determination of either form MMS–126 or MMS–127. (202) 208–7744. MPRs when necessary for certain oil Comments: The PRA (44 U.S.C. 3501, Dated: March 27, 2001. and gas completions. The form contains et seq.) provides that an agency may not John V. Mirabella, information concerning the conditions conduct or sponsor, and a person is not Acting Chief, Engineering and Operations and results of a well potential test. This required to respond to, a collection of Division. requirement implements the information unless it displays a [FR Doc. 01–8461 Filed 4–5–01; 8:45 am] conservation provisions of the OCS currently valid OMB control number. BILLING CODE 4310–MR–U Lands Act and 30 CFR 250. The Before submitting an ICR to OMB, PRA information obtained from the well section 3506(c)(2)(A) requires each potential test is essential to determine if agency ‘‘* * * to provide notice * * * DEPARTMENT OF THE INTERIOR an MPR is necessary for a well and to and otherwise consult with members of establish the appropriate rate. It is not the public and affected agencies Minerals Management Service possible to specify an MPR in the concerning each proposed collection of absence of information about the information * * *’’. Agencies must Agency Information Collection production rate capability (potential) of specifically solicit comments to: (a) Activities: Proposed Collection, the well. Evaluate whether the proposed Comment Request MMS District and Regional collection of information is necessary AGENCY: Minerals Management Service Supervisors use the information for the agency to perform its duties, (MMS), Interior. submitted on form MMS–127 to including whether the information is determine whether a rate-sensitive useful; (b) evaluate the accuracy of the ACTION: Notice of an extension of reservoir is being prudently developed. agency’s estimate of the burden of the information collection (OMB Control This represents an essential control proposed collection of information; (c) Number 1010–0075). mechanism that MMS uses to regulate enhance the quality, usefulness, and SUMMARY: To comply with the production rates from each sensitive clarity of the information to be Paperwork Reduction Act of 1995, we reservoir being actively produced. collected; and (d) minimize the burden are soliciting comments on an Occasionally, the information available on the respondents, including the use of information collection titled, Gas on a reservoir early in its producing life automated collection techniques or Processing and Transportation may indicate it to be non-sensitive, other forms of information technology. Allowance. We will submit an while later and more complete We will summarize written responses to information collection request (ICR) to information would establish the this notice and address them in our the Office of Management and Budget reservoir as being sensitive. Production submission for OMB approval, (OMB) for review and approval after this from a well completed in the gas cap of including any appropriate adjustments comment period closes. a sensitive reservoir requires approval to the estimated burden. from the Regional Supervisor. The Agencies must estimate both the DATES: Submit written comments on or information submitted on form MMS– ‘‘hour’’ and ‘‘non-hour cost’’ burdens to before June 5, 2001. 127 provides reservoir parameters that respondents or recordkeepers resulting ADDRESSES: Submit written comments are revised at least annually or sooner from the collection of information. We to Dennis C. Jones, Regulations and if reservoir development results in a have not identified any non-hour cost FOIA Team, Minerals Management change in reservoir interpretation. The burdens for the information collection Service, Minerals Revenue Management, engineers and geologists use the aspects of forms MMS–126 or MMS– PO Box 25165, MS 3021, Denver, information for rate control and 127. Therefore, if you have costs to Colorado 80225. If you use an overnight reservoir studies. generate, maintain, and disclose this courier service, our courier address is
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Building 85, Room A–613, Denver (Secretary) is responsible for managing Estimated Number and Description of Federal Center, Denver, Colorado 80225. the production of minerals from Federal Respondents: 65 Indian lessees. PUBLIC COMMENT PROCEDURE: Submit and Indian Lands and the OCS; for Estimated Annual Reporting and your comments to the addresses listed collecting royalties from lessees who Recordkeeping ‘‘Hour’’ Burden: 750 in the ADDRESSES section, or email your produce minerals; and for distributing hours. comments to us at the funds collected in accordance with Estimated Annual Reporting and [email protected]. Include the applicable laws. The Secretary also has Recordkeeping ‘‘Non-hour Cost’’ title of the information collection and an Indian trust responsibility to manage Burden: n/a. the OMB Control Number in the Indian lands and seek advice and Comments: Section 3506(c)(2)(A) of ‘‘Attention’’ line of your comment; also, information from Indian beneficiaries. the Paperwork Reduction Act requires include your name and return address. We perform the royalty management each agency ‘‘to provide notice * * * Submit electronic comments as an functions and assist the Secretary in and otherwise consult with members of ASCII file avoiding the use of special carrying out DOI’s Indian trust the public and affected agencies characters and any form of encryption. responsibility. concerning each proposed collection of If you do not receive a confirmation that The product valuation and allowance information * * *.’’ Agencies must we have received your email, contact determination process is essential to specifically solicit comments to: (a) Mr. Jones at (303) 231–3046. We will assure that the Indians receive payment Evaluate whether the proposed post all comments at http:// on the proper value of the minerals collection of information is necessary www.mrm.mms.gov/Laws_R_ D/ being removed. To determine whether for the agency to perform its duties, FRNotices/FRInfColl.htm for public the amount of royalty tendered including whether the information is review. represents the proper royalty due, it is useful; (b) evaluate the accuracy of the We make copies of the comments necessary to establish the proper value agency’s estimate of the burden of the available for public review, including of the gas and gas plant products being proposed collection of information; (c) names and addresses of respondents, sold, or otherwise disposed of in some enhance the quality, usefulness, and during regular business hours at our other manner. Of equal importance is clarity of the information to be offices in Lakewood, Colorado. the proper determination of costs collected; and (d) minimize the burden Individual respondents may request that associated with the allowable on the respondents, including the use of we withhold their home address from deductions from the value of gas and gas automated collection techniques or plant products. the public record, which we will honor other forms of information technology. Under certain circumstances, lessees to the extent allowable by law. There are authorized to deduct from royalty The PRA also requires agencies to also may be circumstances in which we payments, the reasonable actual costs of estimate the total annual reporting would withhold from the rulemaking transporting the royalty portion of ‘‘non-hour cost’’ burden to respondents record a respondent’s identity, as produced minerals from the lease to a or recordkeepers resulting from the allowable by law. If you request that we processing or sales point not in the collection of information. We have not withhold your name and/or address, immediate lease area. Transportation identified non-hour cost burdens and state this prominently at the beginning allowances are a part of the product need to know if there are costs of your comment. However, we will not valuation process that the Minerals associated with the collection of this consider anonymous comments. We Management Service (MMS) uses to information for either total capital and will make all submissions from determine if the lessee is reporting and startup cost components or annual organizations or businesses, and from paying the proper royalty amount. operation, maintenance, and purchase individuals identifying themselves as Also, when gas is processed for the of service components. Your estimates representatives or officials of recovery of gas plant products, lessees should consider the costs to generate, organizations or businesses, available may claim a processing allowance. maintain, and disclose or provide the for public inspection in their entirety. MMS normally will accept the cost as information. You should describe the FOR FURTHER INFORMATION CONTACT: stated in the lessee’s arm’s-length methods you use to estimate major cost Dennis C. Jones, phone (303) 231–3046, processing contract as being factors, including system and FAX (303) 231–3385, email representative of the cost of the technology acquisition, expected useful [email protected]. A copy of the processing allowance. In those instances life of capital equipment, discount information collection request (ICR) will where gas is being processed through a rate(s), and the period over which you be available to you without charge upon lessee-owned plant, the processing costs incur costs. Capital and startup costs request. The ICR will also be posted to shall be based upon the actual plant include, among other items, computers our web site at http:// operating and maintenance expenses, and software you purchase to prepare www.mrm.mms.gov/Laws_R_D/ depreciation, and a reasonable return on for collecting information; monitoring, FRNotices/FRInfColl.htm when we investment. The allowance is expressed sampling, drilling, and testing submit the ICR to OMB for review and as a cost per unit of individual gas plant equipment; and record storage facilities. approval. products. Processing allowances may be Your estimates should not include SUPPLEMENTARY INFORMATION: taken as a deduction from royalty equipment or services purchased: (i) Title: Gas Processing and payments. Before October 1, 1995; (ii) to comply Transportation Allowance. Responses to this information with requirements not associated with OMB Control Number: 1010–0075. collection are voluntary and are the information collection; (iii) for Bureau Form Number: MMS–4109, required for respondents to claim a gas reasons other than to provide MMS–4295. processing and transportation information or keep records for the Abstract: The Department of the allowance. Proprietary information is Government; or (iv) as part of customary Interior (DOI) is responsible for matters requested and protected, and there are and usual business or private practices. relevant to mineral resource no questions of sensitive nature The Paperwork Reduction Act of 1995 development on Federal and Indian involved in this collection of provides that an agency shall not Lands and the Outer Continental Shelf information. conduct or sponsor, and a person is not (OCS). The Secretary of the Interior Frequency: On occasion. required to respond to, a collection of
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information unless it displays a during regular business hours at our well-day, and reduces operators’ currently valid OMB Control Number. offices in Lakewood, Colorado. expenses. Operators are required to Dated: March 23, 2001. Individual respondents may request that notify MMS of the reduced royalty rate Lucy Querques Denett, we withhold their home address from using Form MMS–4377, Stripper the public record, which we will honor Royalty Rate Reduction Notification. Associate Director for Minerals Revenue Management. to the extent allowable by law. There The form requires identification of the also may be circumstances in which we operator, name of the contact person, [FR Doc. 01–8545 Filed 4–5–01; 8:45 am] would withhold from the rulemaking lease and agreement numbers, BILLING CODE 4310–MR–P record a respondent’s identity, as calculated royalty rate, current royalty allowable by law. If you request that we rate and period covered. We estimate that an operator may DEPARTMENT OF THE INTERIOR withhold your name and/or address, state this prominently at the beginning require 30 minutes per property to Minerals Management Service of your comment. However, we will not research production for one 12-month consider anonymous comments. We period, determine average annual well Agency Information Collection will make all submissions from production, and calculate and report a Activities: Proposed Collection, organizations or businesses, and from new royalty rate. This is an annual 1 × Comment Request individuals identifying themselves as burden of 2,250 hours ( ⁄2 hour 4,500 representatives or officials of properties). We estimate that an AGENCY: Minerals Management Service organizations or businesses, available operator may require 15 minutes (MMS), Interior. for public inspection in their entirety. annually to perform the necessary ACTION: Notice of an extension of an FOR FURTHER INFORMATION CONTACT: recordkeeping responsibilities information collection (OMB Control associated with this information Number 1010–0090). Dennis C. Jones, Regulations and FOIA Team, phone (303) 231–3046, FAX (303) collection, or an annual burden of 225 hours (1⁄4 hour × 900 operators). SUMMARY: 231–3385, email To comply with the Responses to this information [email protected]. A copy of the Paperwork Reduction Act of 1995, we collection are voluntary and are information collection request (ICR) will are soliciting comments on an required for respondents to claim a be available to you without charge upon information collection titled, Stripper reduced royalty rate. Proprietary request. The ICR will also be posted to Royalty Rate Reduction Notification. We information is requested and protected, our web site at http:// will submit an information collection and there are no questions of sensitive www.mrm.mms.gov/Laws_R_D/ request (ICR) to the Office of nature involved in this collection of FRNotices/FRInfColl.htm when we Management and Budget (OMB) for information. review and approval after this comment submit the ICR to OMB for review and Frequency: On occasion. period closes. approval. Estimated Number and Description of DATES: Submit written comments on or SUPPLEMENTARY INFORMATION: Respondents: 900 operators of low- before June 5, 2001. Title: Stripper Royalty Rate Reduction producing, stripper oil properties. ADDRESSES: Submit written comments Notification. Estimated Annual Reporting and to Dennis C. Jones, Regulations and OMB Control Number: 1010–0090. Recordkeeping ‘‘Hour’’ Burden: 2,475 FOIA Team, Minerals Revenue Bureau Form Number: n/a. hours. Management, Minerals Management Abstract: The Department of the Estimated Annual Reporting and Service, P.O. Box 25165, MS 320B2, Interior (DOI) is responsible for matters Recordkeeping ‘‘Non-hour Cost’’ Denver, Colorado 80225. If you use an relevant to mineral resource Burden: n/a. overnight courier service, our courier development on Federal and Indian Comments: Section 3506(c)(2)(A) of address is Building 85, Room A–613, Lands and the Outer Continental Shelf the Paperwork Reduction Act requires Denver Federal Center, Denver, (OCS). The Secretary of the Interior each agency ‘‘to provide notice * * * Colorado 80225. (Secretary) is responsible for managing and otherwise consult with members of the production of minerals from Federal the public and affected agencies Public Comment Procedure and Indian Lands and the OCS, concerning each proposed collection of Submit your comments to the collecting royalties from lessees who information * * *.’’ Agencies must addresses listed in the ADDRESSES produce minerals, and distributing the specifically solicit comments to: (a) section, or email your comments to us funds collected in accordance with Evaluate whether the proposed at [email protected]. Include applicable laws. The Secretary also has collection of information is necessary the title of the information collection an Indian trust responsibility to manage for the agency to perform its duties, and the OMB Control Number in the Indian lands and seek advice and including whether the information is ‘‘Attention’’ line of your comment; also, information from Indian beneficiaries. useful; (b) evaluate the accuracy of the include your name and return address. We perform the royalty management agency’s estimate of the burden of the Submit electronic comments as an functions and assist the Secretary in proposed collection of information; (c) ASCII file avoiding the use of special carrying out DOI’s Indian trust enhance the quality, usefulness, and characters and any form of encryption. responsibility. clarity of the information to be If you do not receive a confirmation that The Bureau of Land Management collected; and (d) minimize the burden we have received your email, contact (BLM) amended 43 CFR 3103.4–1 to on the respondents, including the use of Mr. Jones at (303) 231–3046. We will allow royalty rate reductions to automated collection techniques or post all comments at http:// operators of low-producing, stripper oil other forms of information technology. www.mrm.mms.gov/Laws_R_D/ properties. This amendment action The PRA also requires agencies to FRNotices/FRInfColl.htm for public encourages continued oil production, estimate the total annual reporting review. provides an incentive for enhanced oil ‘‘non-hour cost’’ burden to respondents We make copies of the comments recovery projects, discourages or recordkeepers resulting from the available for public review, including abandonment of oil properties collection of information. We have not names and addresses of respondents, producing less than 15 barrels of oil per identified non-hour cost burdens and
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need to know if there are costs and ‘‘Proposed Sale Notice Packages’’ John A. Trelease, at (202) 208–2783 or associated with the collection of this containing information essential to electronically at [email protected]. information for either total capital and potential bidders may be obtained from SUPPLEMENTARY INFORMATION: The Office startup cost components or annual the Public Information Unit, Gulf of of Management and Budget (OMB) operation, maintenance, and purchase Mexico Region, Minerals Management regulations at 5 CFR 1320, which of service components. Your estimates Service, 1201 Elmwood Park Boulevard, implementing provisions of the should consider the costs to generate, New Orleans, Louisiana 70123–2394. Paperwork Reduction Act of 1995 (Pub. maintain, and disclose or provide the Telephone: (504) 736–2519. L. 104–13), require that interested information. You should describe the SUPPLEMENTARY INFORMATION: With members of the public and affected methods you use to estimate major cost regard to oil and gas leasing on the OCS, agencies have an opportunity to factors, including system and the Secretary of the Interior, pursuant to comment on information collection and technology acquisition, expected useful section 19 of the OCS Lands Act, recordkeeping activities (see 5 CFR life of capital equipment, discount provides the affected States the 1320.8 (d)). This notice identifies rate(s), and the period over which you opportunity to review the proposed information collections that OSM will incur costs. Capital and startup costs Notices. The proposed Notices set forth be submitting to OMB for extension. include, among other items, computers the proposed terms and conditions of These collections are contained in 30 and software you purchase to prepare the sales, including minimum bids, CFR 732 and 874. for collecting information; monitoring, royalty rates, and rentals. The final OSM has revised burden estimates, sampling, drilling, and testing Notices of Sale will be published in the where appropriate, to reflect current equipment; and record storage facilities. Federal Register at least 30 days prior reporting levels or adjustments based on Your estimates should not include to the date of bid opening. Bid opening reestimates of burden or respondents. equipment or services purchased: (i) is currently scheduled for August 22, OSM will request a 3-year term of Before October 1, 1995; (ii) to comply 2001. approval for these information with requirements not associated with Dated: March 26, 2001. collection activities. the information collection; (iii) for Thomas R. Kitsos, Comments are invited on: (1) The reasons other than to provide need for the collection of information information or keep records for the Acting Director, Minerals Management Service. for the performance of the functions of Government; or (iv) as part of customary the agency; (2) the accuracy of the [FR Doc. 01–8460 Filed 4–5–01; 8:45 am] and usual business or private practices. agency’s burden estimates; (3) ways to The Paperwork Reduction Act of 1995 BILLING CODE 4310–MR–U enhance the quality, utility and clarity provides that an agency shall not of the information collections; and (4) conduct or sponsor, and a person is not DEPARTMENT OF THE INTERIOR ways to minimize the information required to respond to, a collection of collection burden on respondents, such information unless it displays a Office of Surface Mining Reclamation as use of automated means of collection currently valid OMB Control Number. and Enforcement of the information. A summary of the Dated: March 23, 2001. public comments will accompany Lucy Querques Denett, Notice of Proposed Information OSM’s submissions of the information Associate Director for Minerals Revenue Collection collection requests to OMB. Management. This notice provides the public with AGENCY: Office of Surface Mining 60 days in which to comment on the [FR Doc. 01–8546 Filed 4–5–01; 8:45 am] Reclamation and Enforcement. BILLING CODE 4310–MR–P following information collection ACTION: Notice and request for activities: comments. Title: Procedures and Criteria for DEPARTMENT OF THE INTERIOR SUMMARY: In compliance with the Approval or Disapproval of State Program Submissions, 30 CFR 732. Minerals Management Service Paperwork Reduction Act of 1995, the Office of Surface Mining Reclamation OMB Control Number: 1029–0024. and Enforcement (OSM) is announcing Summary: Part 732 establishes the Outer Continental Shelf, Western Gulf procedures and criteria for approval and of Mexico, Oil and Gas Lease Sale 180, its intention to request approval for the collections of information for the disapproval of State program and Central Gulf of Mexico, Oil and submissions. The information submitted Gas Lease Sale 178, Part 2 Procedures and Criteria for Approval or Disapproval of State Program is used to evaluate whether State AGENCY: Minerals Management Service, Submissions, 30 CFR 732; and General regulatory authorities are meeting the Interior. Reclamation Requirements, 30 CFR 874. provisions of their approved programs. Bureau Form Number: None. ACTION: Availability of the proposed DATES: Comments on the proposed Frequency of Collection: Once and notices of sale. information collection must be received annually. by June 5, 2001. SUMMARY: This Notice announces the Description of Respondents: 24 State availability of the Gulf of Mexico Outer ADDRESSES: Mail comments to John A. regulatory authorities. Continental Shelf (OCS) Proposed Trelease, Office of Surface Mining Total Annual Responses: 65. Notices of Sale for Oil and Gas Lease Reclamation and Enforcement, 1951 Total Annual Burden Hours: 9,205. Sale 180 in the Western Gulf of Mexico, Constitution Ave, NW., Room 210–SIB, Title: General Reclamation and for Oil and Gas Lease Sale 178, Part Washington, DC 20240. Comments may Requirements, 30 CFR 874. 2, in the Central Gulf of Mexico. This also be submitted electronically to OMB Control Number: 1029–0113. Notice of Availability is published [email protected]. Summary: Part 874 establishes land pursuant to 30 CFR 256.29(c), as a FOR FURTHER INFORMATION CONTACT: To and water eligibility requirements, matter of information to the public. request a copy of the information reclamation objectives and priorities ADDRESSES: The proposed Notices of collection requests, explanatory and reclamation contractor Sale for Sale 180 and Sale 178, Part 2, information and related forms, contact responsibility. 30 CFR 874.17 requires
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consultation between the AML agency DEPARTMENT OF JUSTICE Greenville, South Carolina, on August and the appropriate Title V regulatory 17, 1999, before Administrative Law authority on the likelihood of removing Drug Enforcement Administration Judge Gail A. Randall. At the hearing, the coal under a Title V permit and [Docket No. 99–13] both parties called witnesses to testify concurrences between the AML agency and introduced documentary evidence. and the appropriate Title V regulatory Alexander Drug Company, Inc.; After the hearing, both parties filed authority on the AML project boundary Revocation of Registration Proposed Findings of Fact, Conclusions and the amount of coal that would be of Law Argument. On March 22, 2000, extracted under the AML reclamation The Deputy Assistant Administrator, Judge Randall issued her Recommended project. Office of Diversion Control, Drug Rulings, Findings of Fact, Conclusions Bureau Form Number: None. Enforcement Administration (DEA) of Law, and Decision of the issued an Order to Show Cause, dated Frequency of Collection: Once. Administrative Law Judge (Opinion). January 22, 1999, to Alexander Drug, On May 17, 2000, the record of these Description of Respondents: 26 State Co., Inc. (Respondent), seeking to revoke regulatory authorities and Indian tribes. proceedings was transmitted to the its DEA Certificate of Registration, Administrator for final decision. Total Annual Responses: 45. #BA2660214, and deny any applications The Administrator has considered the Total Annual Burden Hours: 3,240. for renewal of such registration record in its entirety, and pursuant to 21 Dated: March 19, 2001. pursuant to 21 U.S.C. 824(a)(2) for the CFR 1316.67, hereby issues his final Richard G. Bryson, reason that the Respondent was order based upon the findings of fact Chief, Division of Regulatory Support. convicted of a felony related to and conclusions of law as hereinafter set [FR Doc. 01–8431 Filed 4–5–01; 8:45 am] controlled substances, and section forth. The Administrator adopts the 824(a)(4) for the reason that the BILLING CODE 4310–05–M findings of fact as set forth in Judge Respondent’s continued registration Randall’s Opinion and also adopts Judge would be inconsistent with the public Randall’s recommended conclusions of interest, as defined in 21 U.S.C. 823(f). law and decision. INTERNATIONAL TRADE The Order to Show Cause alleged that The issue in this proceeding is COMMISSION these grounds were evidenced by the whether or not the record as a whole following: establishes a by a preponderance of the 1. The Respondent pharmacy had evidence that the DEA should revoke [USITC SE–01–013] violated several state regulations and the DEA Certificate of Registration of Sunshine Act Meeting laws regarding record keeping. Alexander Drug Co., pursuant to 21 2. A pharmacist employee of the U.S.C. 824(a)(2) and 824(a)(4), and AGENCY HOLDING THE MEETING: United Respondent dispensed a controlled should deny any pending applications States International Trade Commission. substance on two occasions without a for renewal of such registration as a physician’s authorization. retail pharmacy pursuant to 21 U.S.C. TIME AND DATE: April 16, 2001 at 11 a.m. 3. A DEA inspection on August 6, 823(f), because Alexander Drug Co. was PLACE: Room 101, 500 E Street S.W., 1996, revealed over one-thousand convicted of a felony and an officer of Washington, DC 20436, Telephone: record keeping violations. Alexander Drug Co. was convicted of a (202) 205–2000. 4. On April 28, 1997, the Respondent misdemeanor arising out of this STATUS: Open to the public. pharmacy and the president of the investigation but not related to Respondent pharmacy were indicted on controlled substances, and because the MATTERS TO BE CONSIDERED: sixteen felony counts of maintaining continued registration of Alexander 1. Agenda for future meeting: none. false records and one count of Drug Co. would be inconsistent with the 2. Minutes. conspiracy. public interest. 3. Ratification List. 5. On July 28, 1997, the Respondent The Administrator finds as follows: 4. Inv. No. 731–TA–922 pharmacy was convicted, upon a plea of The Respondent is located in (Preliminary)(Automotive Replacement guilty, of a felony related to maintaining Greenville, South Carolina, and holds a Glass Windshields from China)— false records. DEA Certificate of Registration, briefing and vote. (The Commission is 6. The president of the Respondent BA2660214, as a retail pharmacy. The currently scheduled to transmit its pharmacy was indicted and convicted Respondent timely submitted a renewal determination to the Secretary of upon a plea of guilty of one felony count application for this registration, that Commerce on April 16, 2001; of obstructing a federal officer. remains pending before the DEA. Mark Commissioners’ opinions are currently 7. The president of the Respondent Wansley is the President, owner, and scheduled to be transmitted to the pharmacy was indicted on three felony pharmacist in charge of Respondent Secretary of Commerce on April 23, counts of making a misrepresentation in pharmacy. Sam Gaillard began working 2001.) the filing of insurance billing. in charge of Respondent pharmacy. Sam 5. Outstanding action jackets: none. 8. On December 22, 1997, a Gaillard began working as a pharmacist In accordance with Commission pharmacist employee of the Respondent for the Respondent in 1955. In 1957, he policy, subject matter listed above, not was charged with one felony count of purchased the Respondent. In 1991, he disposed of at the scheduled meeting, obtaining controlled substances under sold the Respondent to Mr. Wansley but may be carried over to the agenda of the false pretenses and one felony count of continued to be employed by the following meeting. conspiracy to obtain controlled Respondent as a pharmacist until 1998. substances by fraud. On July 20, 1994, two inspectors of Issued: April 4, 2001. The Respondent timely filed a request the South Carolina Department of By order of the Commission: for a hearing on the allegations raised by Health and Environmental Control Donna R. Koehnke, the Order to Show Cause. After granting (DHEC) conducted a routine inspection Secretary. the Respondent’s emergency motion for of the Respondent’s controlled [FR Doc. 01–8649 Filed 4–4–01; 1:14 pm] a continuance on June 7, 1999, the substance dispensing records. The BILLING CODE 7020–02–P requested hearing was held in inspectors noted their findings on a
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Pharmacy Inspection Form. The needed to improve its record keeping in on file for such transfers were Pharmacy Inspection Form contains a this area. unsatisfactory as they did not properly list of areas reviewed during a South On August 24, 1995, two DHEC indicate the dates of the transfers. The Carolina State pharmacy inspection. An inspectors conducted a second unsatisfactory condition of these records inspector testified that during an inspection of the Respondent. Mark was noted on the Pharmacy Inspection inspection, the inspector may write an Wansley was present during the Form. S (satisfactory), I (improvement needed), inspection. The inspectors noted their The DHEC inspectors again found or U (Unsatisfactory) next to any general findings on a Pharmacy Inspection prescriptions without the proper patient area of review. These notations are Form. or practitioner name and address meant to heighten the awareness of the The DHEC inspectors noted that the information. The inspectors also found pharmacist to the pharmacy’s practices Respondent had failed to record the several controlled substance in these areas. The determination of dates when shipments of controlled prescriptions that were expired or out of which notation a pharmacy receives substances were received at the date; prescriptions for controlled depends on the number of violations pharmacy. The inspectors indicated on substances that contained ‘‘use as found under the area of review. This the Pharmacy Inspection Form that the directed’’ instructions rather than more DHEC inspection was the first of three Respondent needed to improve its specific dosage directions; dosages such inspections, as set forth below, and record keeping in this area. dispensed with directions that indicate a DHEC inspector who participated in The DHEC inspectors found that, due the amount dispensed exceeded the each of the three inspections testified as to a problem with the Respondent’s maximum 30-day limit for the to the findings of each inspection. Judge computer system, some dispensing substance; refills that were filled early; Randall credited the testimony of the records for controlled substances did one prescription that appeared to be DHEC inspector with regard to the not contain complete patient addresses. filled with the incorrect controlled findings of each of the inspections, as Additionally, the inspectors noted that substance; and a phone-in prescription set forth below. some of the dispensing records did not for a Schedule II controlled substance The DHEC inspectors found that the properly contain the dispensing that exceeded the amount allowable for Respondent’s dispensing records for pharmacist’s information. The an emergency situation. The investigator Schedule II controlled substance inspectors indicated on the Pharmacy testified that each of these practices is transfers included locally prepared Inspection Form that the Respondent a violation of state regulation. prescription forms rather than the needed to improve its record keeping in As was noted during the previous two required DEA Form 222. The DHEC these area. The inspectors found more inspections, the DHEC inspectors found inspectors advised Mr. Wansley to use violations in these areas than could be several repeat sales of Schedule V DEA form 222 for future controlled recorded on the Pharmacy Inspection controlled substances that did not substance transfers, but the inspectors Form. contain the proper state-required did not mark this area of review with an As was found during the July 20, 1994 documentation. unsatisfactory designation. inspection, the DHEC inspectors again During this inspection, the DHEC The DHEC inspectors noted on the noted that the respondent’s records for inspectors conducted an inventory and Pharmacy Inspection Form that the Schedule II controlled substance audit of six selected controlled dispensing records did not clearly state transfers included locally prepared substances. The inspectors analyzed the specific directions with regard to each prescription forms rather than the inventory records, invoices, transfer controlled substance dispensed. The required DEA form 222. The inspectors documents, and dispensing records applicable Pharmacy Inspection Form indicated on the Pharmacy Inspection related to th4ese substances from May 1, indicates that the Respondent’s Form that the Respondent needed to 1995, to April 19, 1996, and compared practices in this area were satisfactory, improve its record keeping in this area. the recorded data to the amounts of the however. Judge Randall credited the The DHEC inspectors noted several substances in inventory on April 19, inspector’s testimony that noting a post-dated prescriptions, where the 1996. The inspectors found the potential discrepancy in this area is a dispensing records indicated that following shortages or overages for each ‘‘means of trying to heighten the prescriptions for controlled substances substance: pharmacist’s awareness to try to were written after the date that the document according to the regulations.’’ Respondent filled the prescriptions. The Adderall: shortage of 41 dosage units The DHEC inspectors found two inspectors also noted that at least one alprazolam: overage of 1,743 dosage prescriptions for controlled substances prescription refill was filled improperly units that did not contain a physician’s more than 30 days after it was written Android: overage of 30 dosage units signature. The inspectors indicated on by the practitioner. Bontril: overage of 799 dosage units the Pharmacy Inspection Form that the As was noted during the July 20, 1994 Fiorinal: shortage of 27 dosage units Respondent needed to improve its inspection, the DHEC inspectors found oxycodone: shortage of 176 dosage units record keeping in this area. several repeat sales of Schedule V The inspector testified that the series The DHEC inspectors also informed controlled substances and informed the of DHEC inspections showed a the respondent of several repeat sales of Respondent ‘‘to be careful.’’ consistent pattern of noncompliance Schedule V controlled substances to five On April 19, 1996, DHEC inspectors with state regulation. individuals. State law requires conducted a third inspection and also During the April 19, 1996 inspection, documentation of such sales in a an audit of the Respondent. The the DHEC inspectors also discovered specified manner, including a inspectors noted their findings on a that the Respondent’s records contained description of why repetitive sales were Pharmacy Inspection Form. the following falsified phone-in needed. The DHEC inspectors again found that prescriptions for controlled substances The DHEC inspector testified that the the Respondent had transferred which had been illegally dispensed. respondent had failed to note the reason Schedule II controlled substances to In 1995, Sam Gaillard injured his that repetitive sales were allowed. The another registered party without back, which caused him discomfort. Mr. inspectors indicated on the Pharmacy maintaining the proper records, Gaillard was told by his physician to Inspection Form that the Respondent including a DEA Form 222. The records contact him whenever he needed
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medication for pain. On at least ten March 5, 1996, Sam Gaillard then intervention program. In accordance occasions, Sam Gaillard was unable to dispensed hydrocodone, a Schedule III with S.C. Code Ann. section 17–22–150, reach his treating physician. In order to controlled substance, to himself, in the a successful completion of this program treat his back pain, Sam Gaillard wrote name of this wife, without a results in a non-criminal disposition of several controlled substances prescription issued by a practitioner in the charges. prescriptions for himself using his the usual course of professional On August 6, 1996, DEA Diversion physician’s name and dispensed the practice. He created a false prescription Investigators executed a search warrant controlled substances to himself. Each record indicating that a physician had and conducted an inspection of the prescription identifies Sam Gaillard as authorized the prescription. Respondent. During the execution of the the recipient of these medications. On or about February 1, 1996, and warrant, the investigators acquired On or about September 29, 1995, and again on or about February 6, 1996, Sam copies of DEA 222 Narcotic Order again on or about November 3, 1995, Gaillard dispensed QV Tussin, a Forms, invoices for the purchase of Sam Gaillard dispensed Lorazepam, a Schedule V controlled substance, to controlled substances, prescriptions for Schedule IV controlled substance, to himself, in the name of his wife, controlled substances, and records for himself, in the name of his wife, without a prescription issued by a the purchase, sale, and transfer of listed without a prescription issued by a practitioner in the usual course of chemicals. Judge Randall credited the practitioner in the usual course of professional practice. He also created a testimony of a DEA Diversion professional practice. He also created a false prescription record indicating that Investigator (Investigator) with regard to false prescription record indicating that a physician had authorized the the findings of this investigation. a physician had authorized the prescription. The Investigator testified that on prescription. Mr. Gaillard created this Sam Gaillard’s son suffers from thirteen occasions, the Respondent false prescription in the name of his migraine headaches and had been transferred Schedule II controlled wife because her health insurance did prescribed Fiorinal #3 by his treating substances to other DEA registrants not require co-payment. physician. When he was unable to reach without properly executing a DEA Form On or about December 22, 1995, the his son’s physician, Sam Gaillard wrote 222. Although the Respondent did not pharmacy records indicate that Mark a prescription for Fiorinal #3 using the prepare a DEA Form 222 for any of these Wansley dispensed Lorazepam, a name of his son’s treating physician and transfers as required, the Respondent Schedule IV controlled substance, to dispensed the controlled substances to maintained records indicating the Sam Gaillard without a prescription his son. quantity and locations of controlled issued by a practitioner in the usual On five separate occasions on or about substances transferred. The Investigator course of professional practice and that November 23, 1994, May 26, 1995, testified that had the information he created a false prescription record September 19, 1995, December 12, 1995, contained on these records been placed indicting that a physician had and February 23, 1996, Sam Gaillard properly on DEA forms, there would authorized the prescription. Although dispensed Fiorinal #3, a Schedule III have been no violation. Mark Wansley’s initials appear on the controlled substance, to his son, without The Investigator also testified that the record for this prescription, Sam a prescription issued by a practitioner in Respondent transferred Schedule III Gaillard testified that he was the usual course of professional through V controlled substances on nine responsible for filling this prescription practice. He also created a false occasions without recording the proper and creating the false record. Judge prescription record indicating that a information, including names, dates, Randall credited Sam Gaillard’s physician had authorized the substance type, and quantity. The testimony that the Respondent’s closing prescription. Respondent did maintain records of procedures often include the evening On or about December 18, 1995, Sam each transfer. The records did not pharmacist initialing prescriptions that Gaillard dispensed Prometh VC with always contain all of the required had been filled earlier in the day, in codeine, a Schedule V controlled information, however, and they were explaining how Mark Wansley’s initials substance, to his son, without a not always correctly maintained in the could appear on a prescription filled by prescription issued by a practitioner in Respondent’s filing system. Sam Gaillard. Judge Randall also the usual course of professional The Investigator further testified that, credited the testimony of a DEA practice. He also created a false between April of 1994 and July of 1996, Diversion Investigator who testified, prescription record indicating that a on thirty occasions the Respondent however, that Sam Gaillard stated to physician had authorized the failed to complete properly the required him that Mark Wansley knew of prescription. Supplier’s Copy 1 of DEA Form 222. Gaillard’s illicit activities. On or about On or about April 12, 1996, at Sam The Supplier’s Copy 1 of DEA Form 222 January 24, 1996, and March 29, 1996, Gaillard’s request, Mark Wansley failed to include the supplier’s DEA Sam Gaillard refilled this prescription dispensed Fiorinal #3, a Schedule III number and street address. Further, on and created a false prescription record controlled substance, to Sam Gaillard’s fifty occasions between August 23, indicating that a physician had son without a prescription issued by a 1994, and July 19, 1996, the Respondent authorized the refills. practitioner in the usual course of failed to complete properly the required Again, on or about February 1, 1996, professional practice. He also created a Purchaser’s Copy 3 of DEA Form 222. Sam Gaillard dispensed Vicodin, a false prescription record indicating that Many of the records for these transfers Schedule III controlled substance, to a physician had authorized the were attached to invoices that contained himself, without a prescription issued prescription. Judge Randall credited a description of the type of controlled by a practitioner in the usual course of Sam Gaillard’s testimony that he told substance transferred, the quantity professional practice. Yet Sam Gaillard Mark Wansley that he would obtain transferred, and the location of the created a false prescription record proper authorization from his son’s transfer, however. Thus, the Respondent indicating that a physician had physician, but he never did so. had the required information, but had authorized the prescription. Sam Gaillard was charged in failed to record completely the Sam Gaillard also took a medication Greenville County, South Carolina, with information on the required forms. prescribed for his wife and found that obtaining controlled substances by On approximately 1000 occasions it relieved his back spasms. On or about fraud, and entered a pre-trial between August 1994 and August 1996,
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the Respondent failed to record 843(a)(4)(A) and was sentenced to two (4) Compliance with applicable State, information on purchase invoices for years of probation and fined $20,000. Federal, or local laws relating to controlled substances as required by Pursuant to 21 U.S.C. 824(a), ‘‘A controlled substances. federal regulations. Missing information registration pursuant to section 823 of (5) Such other conduct which may included the date the shipment of this title to * * * dispense a controlled threaten the public health or safety. controlled substances was received, substance * * * may be suspended or It should be noted that these factors improperly recorded addresses, and no revoked by the Attorney General upon are to be considered in the disjunctive: entry showing the number of packages a finding that the registrant * * * (2) the Administrator may properly rely on actually received. This information is has been convicted of a felony under any one or a combination of these significant, the pharmacy needs the date this subchapter or subchapter II of this factors, and may give each factor the and the quantity received to properly chapter or any other law of the United weight he deems appropriate in account for the controlled substances on States, or of any State, relating to any determining whether an application for hand and subsequently dispensed. substance defined in this subchapter as registration should be denied. See Between November 17, 1995, and July a controlled substance or a list I Henry J. Schwarz, Jr., M.D., 54 FR 16, 1996, the Respondent purchased chemical.’’ Pursuant to this statute, a 16,422 (DEA 1989). approximately 36,000 capsules of the felony conviction is an ‘‘independent Regarding factor one, in accordance List I chemical ephedrine without statutory basis for revocation of a with 21 U.S.C. 823(f)(1), the maintaining any required sales records. registration.’’ See Bobby Watts, M.D., 58 Administrator shall consider the Regulations involving the record FR 46995 (DEA 1993) (providing the recommendation of the appropriate state keeping requirements for the purchase standard for finding an independent licensing agency in determining whether a registrant’s continued and sale of ephedrine were changed in statutory basis for revocation under registration is consistent with the public 1994; yet the Respondent’s records were section 824(a)). While a conviction for a interest. Here, the state agency has not not in compliance with these felony related to controlled substances made a recommendation pertaining to requirements by 1995 or 1996. creates a lawful basis to revoke a During the execution of the search the resolution of this proceeding. pharmacy’s DEA Certificate of Further, a valid state registration is a warrant, Mark Wansley was arrested by Registration under 21 U.S.C. 824(a)(2), it DEA agents for failing to follow law prerequisite for DEA Registration. See remains within the Administrator’s 21 U.S.C. 823(f) (authorizing the enforcement officers’ instructions, and discretion as to whether or not to revoke he was charged with interfering with Attorney General to register a the registration. Dobson Drug Co., Inc., Federal officers in the execution of a practitioner to dispense controlled 56 FR 46445, 46446 (DEA 1991). warrant. During the execution of the substances only if the applicant is The record in this proceeding search warrant, Mr. Wansley chose to authorized to dispense controlled demonstrates that the Respondent was remain at the Respondent during the substances under the laws of the state in convicted of one felony count of search. The DEA investigators told him which he or she conducts business); 21 to remain seated during the search. maintaining false records regarding the U.S.C. 802(21) (defining ‘‘practitioner’’ Subsequently, Mark Wansley’s mother dispensing of controlled substances in as ‘‘a pharmacy * * * or other person knocked on the back door of the violation of 21 U.S.C. 843(a)(4)(A). licensed, registered, or otherwise Respondent, and a DEA agent instructed Pursuant to 21 U.S.C. 843(a)(4)(A), it permitted, by the United States or the Mr. Wansley that he could not leave his shall be unlawful ‘‘to furnish false or jurisdiction in which he practices * * * seat to speak with his mother. Contrary fraudulent material information in, or to distribute, [or] dispense * * * to the instructions of the DEA agent, Mr. omit any material information from, any controlled substance[s) in the course of Wansley left his seat, resulting in his application, report, record, or other professional practice’’). In this case, the being arrested. document required to be made, kept, or Respondent maintains state authority to Subsequently, Mark Wansley was filed under this subchapter or handle and distribute controlled indicted, with one count pertaining to subchapter II of this chapter.’’ Thus the substances in the State of South the obstruction of a federal officer preponderance of the evidence Carolina. during the execution of a search warrant establishes this basis for revocation of In accordance with 21 U.S.C. in violation of 18 U.S.C. 111. the Respondent’s Certificate of 823(f)(2), the Administrator shall On July 28, 1997, in the United States Registration. consider the registrant’s experience in District Court for the District of South Pursuant to 21 U.S.C. 823(f) and dispensing controlled substances in Carolina, Mark Wansley pleaded guilty 824(a)(4), the Administrator may revoke determining whether its continued to a misdemeanor count of Assaulting, a DEA Certificate of Registration and registration is consistent with the public Resisting and Impeding an Agent of the deny any pending applications to renew interest. The Administrator shall also United States in violation of 18 U.S.C. that registration, if he determines that consider, pursuant to 21 U.S.C. 111 and was sentenced to two years the continued registration would be 823(f)(4), the applicant’s compliance probation. inconsistent with the public interest. with state and federal law. As the As a result of the DEA investigation, See KK Pharmacy, 64 FR 49507 (DEA Respondent’s experience in dispensing Mark Wansley and the Respondent were 1999). Section 823(f) requires that the controlled substances is related to its indicted on sixteen felony counts of following factors be considered: compliance with state and federal law, maintaining false records in violation of (1) The recommendation of the factors two and four will be considered 21 U.S.C. 843(a)(4)(A), and one count of appropriate State licensing board or together. See Service Pharmacy, 61 FR conspiracy in violation of 21 U.S.C. 846. professional disciplinary authority. 10,791, 10,795 (DEA 1996). The government did not seek conviction (2) The applicant’s experience in It is undisputed that the Respondent on the conspiracy count. dispensing, or conducting research with was convicted of the felony of On July 28, 1997, in the United States respect to controlled substances. maintaining false records regarding the District Court for the District of South (3) The applicant’s conviction record dispensing of controlled substances in Carolina, the Respondent was convicted under Federal or State laws relating to violation of 21 U.S.C. 843(a)(4)(A). of one felony count of maintaining false the manufacture, distribution, or Additionally, the DHEC investigators records in violation of 21 U.S.C. dispensing of controlled substances. detailed a series of the Respondent’s
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record keeping discrepancies over a 21 controlled substances and certain available, to the public at large.’’’ month period, including failures to chemicals mandated by Congress United States v. David P. Poulin, 926 F. record required information on the through the Controlled Substances Act Supp. 246, 250 (D. Mass. 1996) quoting required forms. Additionally, the DHEC depends upon strict adherence by all United States v. Averi, 715 F. Supp. investigators also noted that the registrants to all record keeping 1508, 1510 (M.D. Ala. 1989). The Respondent failed properly to record requirements including those set forth at statutory text and legislative history of repeat sales of Schedule V controlled 21 U.S.C. 827, 828, 829, and 830, and the Controlled Substances Act makes substances as required by state all implementing regulations found in clear that Congress intended strict regulation. The DHEC investigators Title 21 Code of Federal Regulations, as compliance with the recordkeeping noted that the majority of these well as all applicable state laws and provisions. United States v. Green discrepancies were in areas in which regulations. Drugs, 905 F.2d 694, 698 (3d Cir. 1990), the Respondent needed to improve its Past DEA cases consistently have held cert. denied, 498 U.S. 985, 111 S.Ct. 518 practices. In three inspections of the that the failure to comply with record (1990); United States v. James Little, 59 Respondent, the DHEC investigators keeping requirements is a basis for F. Supp. 2d 177, 183 (D. Mass. 1999). noted three areas in which the revoking a registration. Singers- See also United States v. Naeem Akhtar, Respondent’s practices were Andreini Pharmacy, Inc., 63 FR 4,668 95 F. Supp. 2d 668, 671 (S.D. Tex. unsatisfactory. As was explained during (DEA 1998); Arthur Sklar, d/b/a King 1999); United States v. Stidham, 938 F. the hearing in this matter by the Pharmacy, 54 FR 34623 (DEA 1989); Supp. at 813. The DHEC audit and inventory of the testifying DHEC investigator, the Summer Grove Pharmacy, 54 FR 28522 Respondent revealed shortages or notations on the Pharmacy Inspection (DEA 1989); The Boro Pharmacy and overages of each controlled substances Form generally were intended to help Bell Apothecary, 53 FR 15151 (DEA investigated. These discrepancies the Respondent understand and fully 1988). These cases reflect the constitute a violation of 21 U.S.C. 827 comply with the relevant state and Congressional purpose and intent and 21 CFR 1304.21, which require the federal regulations. The results of the embodied in the Controlled Substances Respondent to keep complete and DHEC investigation show that, although Act with regard to protecting the public accurate records of all controlled repeatedly advised of relevant state and against the dangers of the diversion of federal regulations, the Respondent did substances. The audit also revealed the controlled substances. ‘‘In passing the not alter its practices to conform to presence of prescriptions that were post- Controlled Substances Act, ‘Congress these regulations. By not following the dated, filled beyond the expiration date, was particularly concerned with the directives of the DHEC investigators, the incorrectly filled, refilled too early, and diversion of drugs from legitimate Respondent’s actions over the 21 month filled for more than allowed by channels to illegitimate channels.’’’ period show a general and continued regulation. These practices constituted a United States v. Frederick M. Blanton, noncompliance with state regulation. violation of state and federal Similarly, the DEA investigation 730 F.2d 1425, 1427, (11th Cir. 1984) regulations. revealed that the Respondent had (quoting United States v. Moore, 423 The DEA inspection also found that committed a series of record keeping U.S. 122, 135, 96 S. Ct. 335, 342 (1975). the Respondent purchased violations. By not properly preparing ‘‘The purpose of the enactment of the approximately 36,000 units of the List I DEA Form 222 for each Schedule II [Controlled Substances Act] was to chemical ephedrine without transfer, and by not properly preparing provide a system for the control of drug maintaining any required sales record, Supplier’s Copy 1 and Purchaser’s Copy traffic and to prevent the abuse of drugs. which is a violation of 21 U.S.C. 830(a) 3 of DEA Form 222 for each Schedule The statutory scheme envisioned by the and 842(a)(10), and 21 CFR 1310.03 and II transfer, the Respondent violated 21 Act is one of control through record 1310.04. As previously noted, the U.S.C. 828 and 842(a)(5), and 21 CFR keeping. Any person who desires to regulations regarding record keeping 1305.03, 1305.09, and 1305.11. shoulder the responsibility of engaging requirements for the purchase and sale Respondent also failed properly to in the manufacture or distribution of of the List I chemical ephedrine were record information on purchase invoices these products subjects himself to the changed in 1994; yet the Respondent’s for controlled substances in violation of regulatory system laid down by the 1970 records were still not in compliance 21 U.S.C. 827 and 842(a)(5), and 21 CFR act.’’ United States v. Stidham, 938 F. with these requirements from November 1304.22. The non-conforming records Supp. 808, 814 (S.D. Ala. 1996) quoting 1995 through July 1996. Therefore, the actually on file with the Respondent United States v. Greenberg, 334 F. Supp. Administrator finds Respondent’s arguably detailed sufficient information 364, 366–7, (W.D. Pa. 1971). ‘‘The consistent pattern of record keeping to determine that the controlled Controlled Substances Act attempts to violations weigh in favor of revocation substances were not diverted to an illicit limit this diversion by strict registration of its registration. purpose, however, but were actually requirements of all persons . . . who are The DEA has consistently recognized transferred to other registrants. authorized by state law to handle that a pharmacy operates under the Nevertheless, Respondent’s non- controlled substances. The registration control of owners, stockholders, conforming record keeping is also a scheme includes formalized drug pharmacists, or other employees. violation of 21 CFR 1304.04. ordering procedures and certain types of Further, the DEA has consistently held Even if Respondent arguably had recordkeeping thus allowing the federal that the conduct of these individuals is sufficient albeit non-conforming government’s Drug Enforcement relevant in evaluating a respondent information in its files to comply with Administration to closely monitor the pharmacy’s fitness to be registered by some of the state and federal record flow of controlled substances from the DEA. See e.g., Rick’s Pharmacy, 62 keeping requirements (Respondent had manufacturer to the hands of the FR 42,595, 42,597 (DEA 1997); Big T no records whatsoever regarding the consumer.’’ Blanton, 730 F.2d at 1427. Pharmacy, Inc., 47 FR 51,830 (DEA disposition of the 36,000 capsules of the ‘‘The Controlled Substances Act focuses 1982), Seals Energy Outlet, 64 FR List I chemical ephedrine), this does not on recordkeeping, in ‘an attempt to 14,269, 14,271 (DEA 1999). On fourteen absolve Respondent from its obligation regulate closely the distribution of occasions, the former owner and to adhere to the law. The efficacy of the certain substances determined by pharmacist-in-charge of the Respondent, closed system of distribution for Congress to pose dangers, if freely Sam Gaillard, dispensed controlled
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substances without practitioner for the revocation of a registration based record contains no assurances that such authorization in violation of 21 U.S.C. on the public interest. Summer Grove conduct will not be repeated in the 829 and 21 CFR 1306.11(a). These Pharmacy, 54 FR 28522 (DEA 1989). future. See Rocco’s Pharmacy, 62 FR violations include the dispensing of The Administrator concurs with Judge 3,056 (DEA 1997) (holding that twelve unauthorized prescriptions and Randall’s conclusion that a improper dispensing of controlled the dispensing of two unauthorized preponderance of the evidence shows substances is significant in predicting refills. On at least one occasion the that the Respondent has violated state future compliance with relevant current owner and pharmacist-in-charge and federal law regarding the regulations). of the Respondent, Mark Wansley, dispensing of controlled substances, and The DHEC audit of controlled dispensed controlled substances finds that the Respondent was convicted substances revealed overages and without practitioner authorization in of a felony related to maintaining false shortages, indications that the violation 21 U.S.C. 829 and 21 CFR records regarding the dispensing of Respondent’s record keeping practices 1306.11(a). Additionally, a DEA controlled substances. Accordingly, the are not adequate to account for the Diversion Investigator credibly testified Administrator finds that the controlled substances handled by the that Sam Gaillard stated that Mark Government has established by a Respondent’s employees. These Wansley knew about these illicit preponderance of the evidence that a overages and shortages demonstrate that activities. For each unauthorized basis exists to revoke the Respondent’s Respondent’s record keeping practices distribution of controlled substances, DEA Certificate of Registration and to do not comport with the legal the Respondent’s agents created a false deny the pending renewal application. requirements and present an record indicating that the distributions See Fourth Street Pharmacy, 52 FR unacceptable risk of diversion. Further, were authorized. This falsification of 32,068 (DEA 1987) (holding that a the Respondent purchased records is a violation of 21 U.S.C. conviction of the respondent corporate approximately 36,000 units of a List I 843(a)(4)(A). entity for a felony related to controlled chemical, yet failed to account for any Each of these prescriptions was substances is sufficient ground for of its distribution. Thus no records exist dispensed to Sam Gaillard or a member revocation of a DEA Certificate of to assure the DEA that this substance of his family. Sam Gaillard is no longer Registration). was lawfully distributed, in violation of employed by the Respondent, however. In determining whether revocation is 21 U.S.C. 830(a) and 842(a)(10), and 21 Therefore, these unauthorized warranted, the Administrator looks to CFR 1310.03 and 1310.04. distributions currently pose no threat to the totality of the circumstances in each After reviewing the totality of the the public interest. case. Martha Hernandez, M.D., 62 FR circumstances, the Administrator finds Regarding factor three, Respondent’s 61,145 (DEA 1997). The record that revocation is warranted in this case. conviction record, the record in this demonstrates that the Respondent has The Administrator is very concerned proceeding demonstrates without taken proper ameliorative action by no regarding the absence of evidence of dispute that the Respondent was longer employing Sam Gaillard. remedial actions and the Respondent’s convicted of one felony count of However, the DHEC and DEA demonstrated continued unwillingness maintaining false records regarding the inspections together revealed a or inability to comply with state and dispensing of controlled substances in consistent pattern of numerous state and federal regulations in the recording and violation of 21 U.S.C. 843(A)(4)(A). federal record keeping violations handling of controlled substances and With regard to the fifth factor, such spanning a period of over two years. List I chemicals. See Singers-Andreini other conduct which may threaten the The Administrator concurs with Judge Pharmacy, Inc., 63 FR 4,668 (DEA 1998); public health or safety, the record in Randall’s concern that the Respondent AML Corp., 61 FR 8,973 (DEA 1996). this case demonstrates without dispute presented no evidence demonstrating a Respondent’s failure to comply with that Mark Wansley, owner and change in record keeping practices. See relevant record keeping requirements pharmacist-in-charge of the Respondent, Singers-Andreini Pharmacy, Inc., 63 FR creates a serious risk of diversion, was convicted of the offense of 4,668, 4,6672 (DEA 1998). Mark specifically undetected diversion. Such Assaulting, Resisting, and Impeding an Wansley’s silence leaves the record void a risk is inconsistent with the public Agent of the United States. While Mr. of any assurances of his future interest. The three DHEC inspections Wansley’s failure to follow the specific accountable conduct. See AML Corp., and the subsequent DEA inspection of instructions of a DEA agent are relevant 61 FR 8,973, 8,976 (DEA 1996) (finding the Respondent together revealed a to a determination under this factor, the that the pharmacy owner’s failure to persistent pattern of non-compliance Administrator concurs with Judge acknowledge past misconduct is with applicable record keeping Randall’s finding that the circumstances significant in determining the public regulations spanning over two years. surrounding this arrest and conviction interest). Furthermore, past DEA cases Since ‘‘an agency rationally may are also relevant. Mark Wansley’s have found that a negative inference conclude that past performance is the actions had no effect on the DEA’s may be drawn from a respondent’s best predictor of future performance,’’ ability to seize the targeted records nor silence. Alan L. Ager, D.P.M., 63 FR Alra v. Drug Enforcement did his actions serve to hide evidence 54,732 (DEA 1998). Administration, 54 F.3d 450 (7th Cir. from the investigation. The actions by the Respondent’s 1995), the Administrator concludes that Also relevant to this factor, the record employees in creating false records are this persistent pattern of non- demonstrates that Sam Gaillard created significant. The Administrator concurs compliance, taken together with Mark two false prescription records in his with Judge Randall’s finding that the Wansley’s failure to testify as to wife’s name, and he used these evidence credibly shows Mark Wansley corrective actions taken to prevent prescriptions to make false dispensed controlled substances on at future record keeping violations, create representations to an insurance carrier. least one occasion without practitioner an unacceptable risk for the public Again, however, also significant is the authorization, and created at least one interest. It is the Respondent’s fact that Sam Gaillard is no longer false prescription record. Such an responsibility to conduct its business in employed by the Respondent. indication of willingness to engage in a manner that does not place the public Finally, past DEA cases have found dishonest conduct weights heavily in at risk for the diversion of controlled record keeping violations to be a basis favor of revocation, especially since the substances.
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Accordingly, the Administrator of the Dated: March 29, 2001. DEPARTMENT OF JUSTICE Drug Enforcement Administration, Laura M. Nagel, pursuant to the authority vested in him Deputy Assistant Administrator, Office of Drug Enforcement Administration by 21 U.S.C. 823 and 824 and 28 CFR Diversion Control, Drug Enforcement [Docket No. 99–30] 0.100(b) and 0.104, hereby orders that Administration. DEA Certificate of Registration [FR Doc. 01–8550 Filed 4–5–01; 8:45 am] Barry H. Brooks, M.D.; Continuation of BA2660214, issued to Alexander Drug BILLING CODE 4410–09–M Registration Co., Inc., be, and it hereby is, revoked. On April 8, 1999, the Deputy The Administrator further orders that DEPARTMENT OF JUSTICE Assistant Administrator, Office of any pending applications for the Diversion Control, Drug Enforcement renewal of such registration, be, and Drug Enforcement Administration Administration (DEA), issued an Order they hereby are, denied. This order is to Show Cause to Barry H. Brooks, M.D. effective May 7, 2001. Manufacturer of Controlled (Respondent), of Cleveland, Ohio, Substances; Notice of Registration Dated: March 27, 2001. proposing to revoke his DEA Certificate of Registration BB2048127, pursuant to Donnie R. Marshall, By Notice dated September 28, 2000, 21 U.S.C. 824(a)(1), (2), and (4), and to Administrator. and published in the Federal Register on October 18, 2000, (65 FR 60976), B.I. deny any pending applications for such [FR Doc. 01–8478 Filed 4–5–01; 8:45 am] Chemicals, Inc., 2820 No. Normandy registration pursuant to 21 U.S.C. 823(f). BILLING CODE 4410–09–M Drive, Petersburg, Virginia 23805, made Respondent timely requested a application by renewal to the Drug hearing on the issues raised by the Enforcement Administration (DEA) to Order to Show Cause, and following DEPARTMENT OF JUSTICE be registered as a bulk manufacturer of pre-hearing procedures, a hearing was held in Cleveland, Ohio, on December 7, Drug Enforcement Administration the basic classes of controlled substances listed below: 1999, before Administrative Law Judge Mary Ellen Bittner. At the hearing, both Manufacturer of Controlled Drug Schedule parties called witnesses and introduced Substances; Notice of Application documentary evidence. After the Amphetamine (1101) ...... II hearing, the Government submitted Pursuant to § 1301.33(a) of Title 21 of Methadone (9250) ...... II proposed findings of fact, conclusions of the Code of Federal Regulations (CFR), Methadone-intermediate (9254) ... II law, and argument; and Respondent this is notice that on December 3, 2000, Levo-alphacetylmethadol (9648) .. II submitted a ‘‘Post Hearing Brief.’’ On Ansys Technologies, Inc., 25200 May 24, 2000, Judge Bittner issued her The firms plans to bulk manufacture Commercentre Drive, Lake Forest, Opinion and Recommended Decision, California 92630, made application by the listed controlled substances. No comments or objections have been recommending that the Respondent’s renewal to the Drug Enforcement received. DEA has considered the registration be continued, and that any Administration (DEA) for registration as factors in Title 21, United States Code, pending applications for renewal be a bulk manufacturer of the basic classes section 823(a) and determined that the granted. On July 18, 2000, Judge Bittner of controlled substances listed below: registration of B.I. Chemicals, Inc. to transmitted the record of these manufacture the listed controlled proceedings to the Administrator for his Drug Schedule substances is consistent with the public final order. interest at this time. DEA has The Administrator has considered the Phencyclidine (7471) ...... II investigated the firm on a regular basis record in its entirety, and pursuant to 21 1-Piperidinocyclohexane II to ensure that the company’s continued CFR 1316.67, hereby issues his final carbonitrile (PCC) (8603). order adopting the Opinion and Benzoylecgonine (9180) ...... II registration is consistent with the public interest. These investigations have Recommended Decision of the included inspection and testing of the Administrative Law Judge. His adoption The firm plans to manufacture the company’s physical security systems, is in no matter diminished by any listed controlled substances to produce audits of the company’s records, recitation of facts, issues, and standards and controls for in-vitro verification of the company’s conclusions herein, or by any failure to diagnostic drug testing systems. compliance with state and local laws, mention a matter of fact or law. The Administrator finds that the and a review of the company’s Any other such applicant and any Respondent graduated from Harvard background and history. Therefore, person who is presently registered with Medical School in 1967 and thereafter pursuant to 21 U.S.C. 823 and 28 CFR DEA to manufacture such substances completed training in psychiatry and 0.100 and 0.104, the Deputy Assistant may file comments or objections to the internal medicine. Since 1979, he has Administrator, Office of Diversion issuance of the proposed registration. been a member of the faculty at Case Control, hereby orders that the Western Reserve University School of Any such comments or objections application submitted by the above firm Medicine, and he is currently on the may be addressed, in quintuplicate, to for registration as a bulk manufacturer staff at five hospitals, while maintaining the Deputy Assistant Administrator, of the basic classes of controlled a private practice in Cleveland, Ohio. Office of Diversion Control, Drug substances listed above is granted. Enforcement Administration, United Respondent is a recovering alcoholic Dated: March 29, 2001. States Department of Justice, who is actively involved in Alcoholics Washington, DC 20537, Attention: DEA Laura M. Nagel, Anonymous and is a speaker at its Federal Register Representative (CCR), Deputy Assistant Administrator, Office of meetings. He has been involved in Diversion Control, Drug Enforcement Alcoholics Anonymous for over fifteen and must be filed no later than June 5, Administration. 2001. years. [FR Doc. 01–8548 Filed 4–5–01; 8:45 am] The Administrator further finds that BILLING CODE 4410–09–M on or about March 7, 1985, Respondent
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was convicted in the Cuyahoga County Board; (4) undertake and maintain 4. Have you ever been convicted of a Court of Common Pleas of thirteen participation in an alcohol felony? felony counts of attempted illegal rehabilitation program at least two times The responses marked on the form processing of drug documents as a result per week and submit reports that indicate a ‘‘yes’’ answer to each of these of prescribing Dilaudid to patients for documented his continual compliance three questions. Respondent testified the treatment of heroin addiction. with the program; (5) abstain completely that he signed the form, but he was Respondent received a sentence of one from the use of or possession of drugs, unsure whether he signed it before or year imprisonment, but the sentence other than those that are available over- after it was filled out. He further was suspended and he was placed on the-counter or those that were testified that although he signed this one year probation and fined a thousand prescribed, administered, or dispensed form, he did not read it, and it was dollars plus court costs. to him by a person authorized by law; completed by an administrator. In a letter dated November 7, 1985, and (6) abstain completely from the On June 16, 1992, and again or June the State of Ohio Medical Board used of alcohol. 19, 1995, Respondent submitted DEA (Medical Board) notified Respondent of On April 24, 1987, as a result of the Registration renewal applications. its intent to determine whether it should Medical Board’s action, Respondent Question 2(b) on each of these continue to permit him to practice surrendered his DEA Certificate of applications asks the following: medicine and surgery in the State of Registration AB7408619 in Schedules II Has the applicant ever been convicted of a Ohio. The letter cited Respondent’s and III. Respondent maintained his crime in connection with controlled conviction as the reason for the Medical privileges to handle controlled substances under State or Federal law, or Board’s inquiry and advised Respondent substances in Schedules IV and V, ever surrendered or had a Federal controlled of his right to a hearing. Respondent substance registration revoked, suspended, however. restricted or denied, or ever had a State requested a hearing, and on February About January of 1989, after 11, 1986, he appeared before a hearing professional license or controlled substance Respondent had satisfied the two year registration revoked, suspended, denied, examiner for the Medical Board. minimum restriction on handling restricted or place on probation? Following the hearing, the hearing Schedule II and III controlled In response to this question, Respondent examiner issued a Report and substances, the Medical Board Recommendation to the Medical Board. checked ‘‘no’’ on both the 1992 and reinstated Respondent’s state privileges The hearing examiner found that both 1995 applications. to handle Schedule II and III controlled Respondent’s prescribing Dilaudid to A Staff Coordinator in the DEA Office substances. drug addicted individuals to facilitate of Diversion Control, Chemical On February 6, 1989, Respondent their detoxification and the 1985 Investigation Unit, testified that the submitted an application to DEA as a conviction that resulted from this DEA applications for registration practitioner to handle controlled conduct were bases for revoking his contain three liability questions that are license. The report stated that ‘‘Dr. substances in Schedules II through V. intended to elicit information from Brooks’ practice of prescribing Dilaudid Question 4(b) of this DEA application applicants to determine if further to facilitate detoxification was not only asks: ‘‘Has the applicant ever been investigation is needed. The first illegal, but also blatant: the convicted of a felony in connection with liability question asks whether the state prescriptions themselves declared that controlled substances under State and or the jurisdiction in which the the medication was being used for an Federal law, or over surrendered or had applicant is practicing has granted the explicitly illegal purposes.’’ a CSA registration revoked, suspended, applicant the authority to handle Consequently, the hearing examiner or denied?’’ Respondent answered ‘‘no.’’ controlled substances. The second and recommended that the Medical Board In June 1992, Respondent submitted third liability questions asks whether an revoke Respondent’s Ohio Medical an application to the Medical Board for applicant has ever been convicted of a license. In addition, the hearing renewal of his medical license. This felony in connection with controlled examiner recommended that the application included the following substances under state or federal law, or Medical Board require Respondent questions: ‘‘Have you been found guilty ever surrendered or had a controlled immediately to surrender his DEA of, or pled guilty or no contest to: (A.) substances registration revoked, Certificate of Registration. A felony or misdemeanor. (B.) A federal suspended, or denied. The Staff On July 24, 1986, the Medical Board or state law regulating the possession, Coordinator testified that the answers to issued an Entry of Order revoking distribution or use of any drug?’’ In these questions determine whether Respondent’s license to practice response to each of these questions, further investigation is required. If medicine in Ohio, staying the Respondent checked ‘‘yes.’’ further investigation is required, the revocation, and placing Respondent on On or about November 21, 1995, application is sent from DEA probation for a period of at least five Respondent signed an Application for Headquarters to the appropriate DEA years but no more than eight years. The Privileges to the Health Care Network/ field office to determine the extent of Medical Board imposed various Facility/Organization and/or Hospital. the applicant’s criminal history and the conditions, including requirements that Page nine of this form contains the status of his controlled substance Respondent (1) not prescribe, following questions: registrations, and a ‘‘hold’’ is placed on administer, dispense, order, or possess 2. Have there ever been any actions that application until the field office controlled substances, except those against your professional license, returns an approval to DEA listed in Schedules IV and V, for a including but not limited to, Headquarters. minimum of two years; (2) undergo restrictions, limitations, denial, In April 1996, the DEA Cleveland psychiatric treatment at least twice a revocation, suspension, voluntary or Resident Office received a change-of- month and ensure that quarterly involuntary surrender or cancellation in address request from the Respondent. A psychiatric reports were forwarded to any state? DEA Diversion Investigator (DI) testified the Medical Board; (3) submit daily 3. Has your DEA license ever been that he was working in the Cleveland specimens for random urine screening restricted, reduced, denied, suspended, office at the time and reviewed and ensure that weekly screening canceled or been voluntarily or Respondent’s request. The DI noted that reports were forwarded to the Medical involuntarily relinquished? there seemed to be some discrepancies
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in the Respondent’s submissions that his registration in Schedules II and III Certificate of Registration and deny any warranted further investigation, and was tied to his conviction, and pending applications for such a consequently, he reviewed therefore, he believed that the surrender certificate upon a finding that the Respondent’s drug-related criminal was also expunged. He also testified that registrant has been convicted of a felony history in a DEA computer database and he believed DEA knew about his related to controlled substances under discovered Respondent’s 1985 felony conviction prior to his submission of the state or federal law. conviction. 1989, 1992, and 1995 DEA applications In addition, the Administrator may The DI testified that he and another because in accordance with the Medical revoke a DEA Certificate of Registration DEA Diversion Investigator met with Board’s order he had submitted his and deny any pending applications for Respondent on November 19, 1996. At surrender of schedule II and III such a certificate if he determines that that meeting, Respondent admitted that privileges to a DEA Diversion the issuance of such registration would he was familiar with the 1989 DEA Investigator in 1987. be inconsistent with the public interest application, and that he had checked Respondent testified that at the time as determined pursuant to 21 U.S.C. ‘‘no’’ in response to question 4(b). The he executed the 1992 and 1995 DEA 824(a)(4) and 823(f). Section 823(f) DI further testified that during this applications he believed he was not requires that the following factors be meeting, Respondent indicated that he required to report his conviction. considered: was familiar with the 1992 and 1995 Respondent testified that he believed (1) The recommendation of the renewal applications, and that he signed the Medical Board was the ‘‘gold appropriate state licensing board or each of them. The DI testified that standard;’’ that is, if the Medical Board professional disciplinary authority. Respondent stated that he believed he did not require him to report a (2) The applicant’s experience in was again eligible for Medical Board conviction after five years, he was not dispensing, or conducting research with privileges after the passage of five years required to report it on any other respect to controlled substances. following his conviction, that application. (3) The applicant’s conviction record Respondent also stated that he believed With regard to his negative answers to under Federal or State laws relating to he could obtain his DEA privileges as the liability questions on his 1989 DEA the manufacture, distribution, or soon as he was eligible for Medical application, Respondent testified that dispensing of controlled substances. Board privileges, and for these reasons, although this application was (4) Compliance with applicable State, he answered ‘‘no’’ to the liability completed less than five years after his Federal, or local laws relating to questions on the various DEA felony conviction, he believed his controlled substances. applications. The DI further testified conviction had been expunged. (5) Such other conduct which may that later in the meeting, however, Similarly, Respondent testified that he threaten the public health and safety. Respondent admitted that ‘‘he had provided a negative response on his As a threshold matter, it should be screwed up’’ in answering the liability 1989 DEA application to the question of noted that the factors specified in questions. Similarly, the Respondent whether he had ever surrendered a section 823(f) are to be considered in the testified before Judge Bittner in these controlled substances registration disjunctive: The Administrator may proceedings regarding his responses to because he believed that the surrender properly rely on any one or a the DEA liability questions that he was tied to his conviction. combination of the factors, and give ‘‘definitely had made a mistake and In support of these contentions, each factor the weight he deems realized that.’’ Respondents testified that in the late appropriate, in determining whether a On March 28, 1997, an Assistant 1980’s he sponsored an attorney in registration should be revoked or an United States Attorney for the Northern Alcoholics Anonymous, and at some application for a registration denied. District of Ohio wrote to Respondent’s point told the attorney about his 1985 Henry J. Schwarz, Jr., M.D., 54 FR attorney at that time, advising that the felony conviction. Respondent testified 16,422 (DEA 1989). United States Attorney’s Office had that the attorney recommended to him Pursuant to 21 U.S.C. 824(a)(1), decided to pursue a criminal that the conviction be expunged, and falsification of a DEA application prosecution of Respondent pursuant to that he told the attorney ‘‘go ahead and constitutes independent grounds to 21 U.S.C. 843(a)(4)(A). On April 8, 1997, do it.’’ Respondent testified that revoke a registration. Past cases have Respondent wrote to DEA’s Registration although he never paid the attorney established that the appropriate test for Unit advising that his 1989, 1992, and anything, he later received a letter from determining whether an applicant 1995 DEA registration applications were the attorney that the expungement ‘‘had materially falsified any application is in error with respect to the liability been accomplished.’’ Respondent whether the applicant ‘‘knew or should questions, and requesting that the ‘‘no’’ testified he did not have a copy of the have known’’ that the submitted answers to liability questions on his letter because it was subsequently application was false. Terrance E. pending 1995 renewal application be destroyed in a fire. Respondent testified Murphy, M.D., 61 FR 2,841, 2,844 (DEA changed to ‘‘yes’’ answers. Respondent that he was informed by the court 1996); Bobby Watts, M.D., 58 FR 46,995 was indicted on two counts of violating (presumably the same court that (DEA 1993). 21 U.S.C. 843(a)(4)(A) (in 1992 and convicted him) there was no record of It is undisputed that after his 1985 1995, respectively) and was acquitted the expungement sometime during the conviction, on his 1989 application for after a two day trial in August 1997. 1997 DEA investigation leading to these DEA registration Respondent provided a Respondent gave testimony in these proceedings. ‘‘no’’ response to the question of proceedings with regard to why he Pursuant to 21 U.S.C. 824(a)(1), the whether he had ever been convicted of answered the liability questions on the Administrator may revoke a DEA a felony in connection with controlled DEA applications as he did. Certificate of Registration and deny any substances under state or federal law or Specifically, he stated he did not believe pending applications for such a ever surrendered a federal controlled he had to refer to his conviction after certificate upon a finding that the substances registration. Similarly, on his the passage of five years, and he further registrant has materially falsified any 1992 and 1995 DEA applications, stated he though his conviction had DEA application for registration. Respondent answered in the negative to been expunged. Respondent further Pursuant to 21 U.S.C. 824(a)(2), the the question of whether he had ever testified that he thought the surrender of Administrator may revoke a DEA been convicted of a crime in connection
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with controlled substances under state Respondent also testified that on the DEA relies on the answers to these or federal law or ever surrendered a same application he answered ‘‘no’’ questions to determine whether it is federal controlled substances when asked whether he had ever necessary to conduct an investigation registration. In addition, after the surrendered a federal controlled prior to granting an application.’’ Medical Board restricted Respondent’s substances registration because he Theodore Neujahr, D.V.M., 64 Fed. Reg. controlled substances privileges in believed that the surrender was related 72,362, 72,364 (DEA 1999) (citing Bobby 1986, Respondent provided ‘‘no’’ to the conviction, and therefore Watts, M.D., 58 FR 46,995 (DEA 1993); responses on his 1992 and 1995 DEA expunged. Respondent offered the same Ezzat E. Majd Pour, M.D., 55 FR 47,547 applications when asked whether he explanation with regard to the negative (DEA 1990). had ever a state professional license or answers he provided a similar questions Prior DEA cases have established that controlled substances registration on his 1992 and 1995 DEA applications ‘‘‘[s]ince [it] must rely on the revoked, denied, restricted or placed on He also offered these explanations when truthfulness of information supplied by probation. testifying as to why he responded ‘‘no’’ applicants in registering them to handle In contrast to the DEA applications, on his 1992 and 1995 DEA applications controlled substances, falsification on separate occasions Respondent when asked whether he had ever had a cannot be tolerated.’’’ Terrance E. submitted applications to organizations state professional license or controlled Murphy, M.D., 61 FR 2,841, 2,845 (DEA other than DEA and provided accurate substances registration revoked, 1996) (quoting Bobby Watts, M.D., 58 information in response to liability suspended, denied, restricted or placed FR 46,995 (DEA 1993). Judge Bittner questions. On an application to the on probation. found, and the Administrator concurs, Medical Board dated June 1992, Judge Bittner noted, and the that Respondent’s contentions Respondent provided ‘‘yes’’ responses Administrator concurs, that the liability concerning the reasons for his when asked whether he had been questions on the DEA applications ask untruthful answers on his DEA convicted of a felony or misdemeanor or whether the applicant has ‘‘ever been applications are meritless, and therefore whether he had been found guilty of a convicted’’ of a crime in connection constitute grounds for revoking federal or state law regulating the with controlled substances or ‘‘ever Respondent’s registration pursuant to handling of any drugs. Respondent surrendered’’ a federal controlled section 824(a)(1). In addition, pursuant signed and dated this application substances registration. (Emphasis to 21 U.S.C. 824(a)(2), conviction of a approximately three days after added). Similarly, the application that felony related to controlled substances submitting a DEA application on which Respondent signed in 1992 and 1995 constitutes independent grounds to he provided a ‘‘no’’ response to similar ask whether the applicant ‘‘ever had a revoke a DEA registration. Judge Bittner liability questions. Also, in November of State professional license or controlled further noted, however, that in prior 1995, Respondent signed an substance registration revoked, DEA cases the Deputy Administrator ‘‘Application For Privileges To The suspended, denied, restricted or placed has held that the totality of the Health Care Network/Facility/ on probation.’’ (Emphasis added). circumstances is to be considered in Organization And/Or Hospital’’ on Nothing on the application forms determining whether a registration which he provided ‘‘yes’’ responses suggests that the mere passage of time should be revoked because of a when asked whether he had ever been relieves the applicant of the obligation registrant’s material falsification of an convicted of a felony and whether his of providing accurate answers. Judge application. See Martha Hernandez, DEA registration had ever been Bittner also observed that with regard to M.D., 62 FR 61,145, 61,147–48 (DEA ‘‘restricted, reduced, denied, suspended, Respondent’s expungement allegation, 1997). canceled or been voluntarily or Respondent provided no documentary With regard to the public interest involuntarily relinquished.’’ evidence to support his belief that the factors found at 21 U.S.C. 823(f), it is In sum, Respondent testified he 1985 conviction had ever been undisputed that Respondent currently is believed that (1) he was not required to expunged, and he offered no clear authorized by the State of Ohio to report the conviction on applications for explanation for his belief that the handle controlled substances, and thus licensure filed more than five years after surrender of his federal or state satisfies the first factor. Since state his convictions; (2) an attorney with controlled substances registrations were licensure is a necessary but insufficient whom he was acquainted had expunged related to his conviction. Judge Bittner condition for DEA registration, however, the conviction for him; (3) his surrender therefore found, and the Administrator Judge Bittner found, and the of Schedule II and III privileges in 1987 concurs, that Respondent’s beliefs were Administrator concurs, that this factor is was tied to his conviction; and (4) the not reasonable, that Respondent knew not determinative. James C. LaJevic, DEA knew of his conviction because the his answers to the liability questions D.M.D., 64 FR 55,962, 55,964 (DEA agency was involved in an investigation were false, and therefore were not valid 1999). that eventually led to it. defenses. With regard to the second public An examination of Respondent’s Judge Bittner found, and the interest factor, Respondent’s experience contentions reveals the following. On Administrator concurs, that in handling controlled substances, Judge February 6, 1989, Respondent provided Respondent’s attempt to argue that DEA Bittner found, and the Administrator a ‘‘no’’ response when asked on a DEA was aware of Respondent’s 1985 concurs, that since Respondent’s felony application whether he had ever been conviction, and therefore, that any conviction approximately fifteen years convicted of a felony related to omission of the conviction on the DEA ago for illegally prescribing a controlled controlled substances. Respondent applications was immaterial, is also substance, Dilaudid, to patients for the signed and dated this application without merit. As the DEA Staff treatment of heroin addiction, there approximately four years following his Coordinator testified, the liability have been no further allegations that 1985 conviction, controverting his questions on the DEA applications for Respondent has abused his controlled assertion that five years was the cutoff registrations are intended to extract substances privileges since regaining a point. Respondent testified that his information from applicants to DEA registration in 1989. explanation for answering ‘‘no’’ in this determine whether further investigation With regard to the third public instance was that he believed his is needed. ‘‘Answers to the liability interest factor, Respondent’s conviction conviction had been expunged. question[s] are always material because record relating to controlled substances,
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it is undisputed that on or about March circumstances in this case suggest that application by renewal to the Drug 7, 1985, in the Cuyahoga Court of the public interest is best served by Enforcement Administration to be Common Pleas, Cleveland, Ohio, allowing Respondent to maintain his registered as an importer of Respondent was convicted of thirteen registration. Respondent has held a DEA phenylacetone (8501), a basic class of felony counts involving attempted registration since 1989, and there is no controlled substance listed in Schedule illegal processing of drug documents. evidence nor allegation that Respondent II. With regard to the fourth public has abused the registration since that The firm plans to import the interest factor, Respondent’s compliance time. The Administrator concludes that phenylacetone for the manufacture of with applicable State, Federal, or local the evidence shows that throughout amphetamine. laws relating to controlled substances, it Respondent has readily admitted fault, Any manufacturer holding, or is undisputed that Respondent was has taken responsibility for his past applying for, registration as a bulk convicted of attempted illegal misconduct, and has fully cooperated manufacturer of this basic class of processing of drug documents, as noted with and assisted in the investigations controlled substance may file written above. In addition, the State Medical concerning his illicit activities. comments on or objections to the Board of Ohio found that the acts that Furthermore, considering the support application described above and may, at led to Respondent’s conviction systems he has in place, including his the same time, file a written request for constituted a violation of the Ohio long-term and active leadership in a hearing on such application in Revised Code. Furthermore, pursuant to Alcoholics Anonymous, strong faith in accordance with 21 CFR 1301.43 in 21 CFR 1306.04(c) (1999), a practitioner- God, a strong and close marriage, and such form as prescribed by 21 CFR registrant is prohibited from issuing full time employment in a professional 1316.47. prescriptions for the dispensing of medical community, the Administrator Any such comments, objections, or narcotic drugs listed in any schedule for concludes that Respondent is unlikely requests for a hearing may be addressed, detoxification treatment. Respondent to repeat his past mistakes and that his in quintuplicate, to the Deputy Assistant violated this section by prescribing continued registration is consistent with Administrator, Office of Diversion Dilaudid to known drug addicts for the the public interest. Control, Drug Enforcement purpose of facilitating detoxification. Accordingly, the Administrator of the Administration, United States Since Respondent violated 21 CFR Drug Enforcement Administration, Department of Justice, Washington, DC 1306.04(c), he also violated 21 CFR pursuant to the authority vested in him 20537, Attention: DEA Federal Register 1306.04(a) by issuing prescriptions by 21 U.S.C. 823 and 824 and 28 C.F.R. Representative (CCR), and must be filed illegally, not for a legitimate medical 0.100(b) and 0.104, hereby orders that no later than (30 days from publication). purpose and not in the usual course of DEA Certificate of Registration This procedure is to be conducted professional practice. Judge Bittner BB2048127, issued to Barry H. Brooks, simultaneously with and independent found, and the Administrator concurs, M.D., be continued, and any pending of the procedures described in 21 CFR that the findings pursuant to this factor applications for renewal granted. This 1301.34(b), (c), (d), (e), and (f). As noted weigh in favor of finding Respondent’s order is effective May 7, 2001. in a previous notice at 40 FR 43745–46 continued registration inconsistent with Dated: March 27, 2001. (September 23, 1975), all applicants for the public interest. Donnie R. Marshall, registration to import basic class of any With regard to the fifth public interest controlled substance in Schedule I or II Administrator. factor, such other conduct which may are and will continue to be required to threaten the public health and safety, [FR Doc. 01–8477 Filed 4–5–01; 8:45 am] demonstrate to the Deputy Assistant Judge Bittner noted, and the BILLING CODE 4410–09–M Administrator, Office of Diversion Administrator concurs, that Control, Drug Enforcement Respondent’s actions in providing DEPARTMENT OF JUSTICE Administration that the requirements inaccurate answers to the liability for such registration pursuant to 21 questions on the various applications Drug Enforcement Administration U.S.C. 958(a), 21 U.S.C. 823(a), and 21 are relevant to this factor. Since the CFR 1301.34(a), (b), (c), (d), (e), and (f) issues regarding this conduct have Importation of Controlled Substances; are satisfied. already been discussed, they need not Notice of Application be reiterated here. Dated: March 29, 2001. Judge Bittner concluded, and the Pursuant to section 1008 of the Laura M. Nagel, Administrator concurs, that it is Controlled Substances Import and Deputy Assistant Administrator, Office of undisputed that Respondent was Export Act (21 U.S.C. 958(i)), the Diversion Control, Drug Enforcement convicted of a drug related felony in Attorney General shall, prior to issuing Administration. 1985 and that he provided inaccurate a registration under this section to a [FR Doc. 01–8551 Filed 4–5–01; 8:45 am] responses to the liability questions on at bulk manufacturer of a controlled BILLING CODE 4410–09–M least three DEA applications. The substance in Schedule I or II and prior Administrator also concurs with Judge to issuing a regulation under section Bittner’s finding that Respondent’s 1002(a) authorizing the importation of DEPARTMENT OF JUSTICE purported justifications for his such a substance, provide Drug Enforcement Administration inaccurate responses are not credible. manufacturers holding registrations for Thus, the Administrator concurs with the bulk manufacture of the substance Manufacturer of Controlled Judge Bittner’s finding that there are an opportunity for a hearing. Substances; Notice of Application grounds to revoke Respondent’s Therefore, in accordance with registration pursuant to both 21 U.S.C. § 1301.34 of Title 21, Code of Federal Pursuant to § 1301.33(a) of Title 21 of 824(a)(1) and 824(a)(2). Regulations (CFR), notice is hereby the Code of Federal Regulations (CFR), The Administrator concurs with Judge given that on May 8, 2000, Chirex this is notice that on November 28, Bittner’s recommendation that Technology Center, Inc., DBA Chirex 2000, Ganes Chemicals Inc., Industrial Respondent’s registration be continued, Cauldron, 383 Phoenixville Pike, Park Road, Pennsville, New Jersey however. The totality of the Malvern, Pennsylvania 19355, made 08070, made application by renewal to
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the Drug Enforcement Administration Drug Schedule Dated: March 29, 2001. (DEA) for registration as a bulk Laura M. Nagel, manufacturer of the basic classes of Lysergic acid diethylamide (7315) I Deputy Assistant Administrator, Office of Tetrahydrocannabinols (7370) ..... I controlled substances listed below: Diversion Control, Drug Enforcement Mescaline (7381) ...... I Administration. Drug Schedule 2,5-Dimethoxyamphetamine I (7396). [FR Doc. 01–8549 Filed 4–5–01; 8:45 am] Amphetamine (1100) ...... II 3,4-methylenedioxyamphetamine I BILLING CODE 4410–09–M Methylphenidate (1724) ...... II (7400). Amobarbital (2125) ...... II 3,4-Methylenedioxy-N- I Pentobarbital (2270 ...... II ethylamphetamine (7404). DEPARTMENT OF JUSTICE Secobarbital (2315) ...... II 3,4-Methylenedioxymetham- I Glutethimide (2550 ...... II phetamine (7405). Drug Enforcement Administration Methadone (9250) ...... II 4-Methoxyamphetamine (7411) ... I Methadone-intermediate (9254) ... II Psilocybin (7437) ...... I Importer of Controlled Substances; Psilocyn (7438) ...... I Dextropropoxyphene, bulk (non- II Notice of Registration dosage forms) (9273). N-Ethyl-1-phenylcyclohexylamine I (7455). By Notice dated November 6, 2000, The firm plans to manufacture the Dihydromorphine (9145) ...... I Normorphine (9313) ...... I and published in the Federal Register controlled substances for distribution as Acetylmethadol (9601) ...... I on November 28, 2000 (65 FR 70938), bulk products to its customers. Alphacetylmethadol Except Levo- I Research Triangle Institute, Kenneth H. Any other such applicant and any Alphacetylmethadol (9603). Davis, Jr., Hermann Building, East person who is presently registered with Normethadone (9635) ...... I Institute Drive, PO Box 12194, Research DEA to manufacture such substance 3-Methylfentanyl (9813) ...... I Triangle Park, North Carolina 27709, may file comments or objections to the Amphetamine (1100) ...... II issuance of the proposed registration. Methamphetamine (1105) ...... II made application by renewal to the Any such comments or objections Methylphenidate (1724) ...... II Drug Enforcement Administration may be addressed, in quintuplicate, to Amobarbital (2125) ...... II (DEA) to be registered as an importer of Pentobarbital (2270) ...... II the Deputy Assistant Administrator, the basic classes of controlled Secobarbital (2315) ...... II substances listed below: Office of Diversion Control, Drug 1-Phenylcyclohexylamine (7460) II Enforcement Administration, United Phencyclidine (7471) ...... II States Department of Justice, Phenylacetone (8501) ...... II Drug Schedule Washington, DC 20537, Attention: DEA 1-Piperidinocyclohexanecar- II bonitrile (8603). Tetrahydrocannabinols (7370) ..... I Federal Register Representative (CCR), Cocaine (9041) ...... II and must be filed no later than June 5, Codeine (9050) ...... II 2001. Dihydrocodeine (9120) ...... II Oxycodone (9143) ...... II The firm plans to import small Dated: March 29, 2001. Hydromorphone (9150) ...... II quantities of the listed controlled Laura M. Nagel, Benzoylecgonine (9180) ...... II Ethylmorphine (9190) ...... II substances for the National Institute of Deputy Assistant Administrator, Office of Drug Abuse and other clients. Diversion Control, Drug Enforcement Hydrocodone (9193) ...... II Administration. Isomethadone (9226) ...... II No comments or objections have been Meperidine (9230) ...... II [FR Doc. 01–8552 Filed 4–5–01; 8:45 am] received. DEA has considered the Methadone (9250) ...... II factors in Title 21, United States Code, BILLING CODE 4410–09–M Methadone intermediate (9254) ... II Dextropropoxyphene, bulk (non- II section 823(a) and determined that the dosage forms) (9273). registration of Research Triangle DEPARTMENT OF JUSTICE Morphine (9300) ...... II Institute is consistent with the public Thebaine (9333) ...... II interest and with United States Drug Enforcement Administration Levo-Alphacetylmethadol (9648) .. II obligations under international treaties, Oxymorphone (9652) ...... II conventions, or protocols in effect on Manufacturer of Controlled Fentanyl (9801) ...... II May 1, 1971, at this time. DEA has Substances; Notice of Application investigated Research Triangle Institute The firm plans to manufacture small on a regular basis to ensure that the Pursuant to § 1301.33(a) of Title 21 of quantities of the listed controlled company’s continued registration is the Code of Federal Regulations (CFR), substances to produce standards for this is notice that on November 22, analytical laboratories. consistent with the public interest. 2000, Isotec, Inc., 3858 Benner Road, Any other such applicant and any These investigations have included Miamisburg, Ohio 45342, made person who is presently registered with inspection and testing of the company’s application by renewal to the Drug DEA to manufacture such substances physical security systems, audits of the Enforcement Administration (DEA) for may file comments or objections to the company’s records, verification of the registration as a bulk manufacturer of issuance of the proposed registration. company’s compliance with state and the basic classes of controlled Any such comments or objections local laws, and a review of the substances listed below: may be addressed, in quintuplicate, to company’s background and history. the Deputy Assistant Administrator, Therefore, pursuant to section 1008(a) of Drug Schedule Office of Diversion Control, Drug the Controlled Substances Import and Export Act and in accordance with Title Cathinone (1235) ...... I Enforcement Administration, United Methcathinone (1237) ...... I States Department of Justice, 21, Code of Federal Regulations, N-Ethylamphetamine (1475) ...... I Washington, DC 20537, Attention: DEA § 1301.34, the above firm is granted N,N-Dimethylamphetamine (1480) I Federal Register Representative (CCR), registration as an importer of the basic Aminorex (1585) ...... I and must be filed no later than June 5, classes of controlled substances listed Methaqualone (2565) ...... I 2001. above.
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Dated: March 29, 2001. 10235, Washington, DC 20503 ((202) OMB Number: 1205–0319. Laura M. Nagel, 395–7316), within 60 days from the date Affected Public: State, Local, or Tribal Deputy Assistant Administrator, Office of of this publication in the Federal Government. Diversion Control, Drug Enforcement Register. Frequency: Semi-annually. Administration. The OMB is particularly interested in Number of Respondents: 54. [FR Doc. 01–8457 Filed 4–5–01; 8:45 am] comments which: Number of Annual Responses: 108. • BILLING CODE 4410–09–M Evaluate whether the proposed Estimated Time Per Response: 2 collection of information is necessary hours. for the proper performance of the Total Burden Hours: 216. DEPARTMENT OF LABOR functions of the agency, including Total Annualized Capital/Startup whether the information will have Costs: $0. Office of the Secretary practical utility; Total Annual Costs (operating/ • Evaluate the accuracy of the maintaining systems or purchasing Submission for OMB Review; agency’s estimate of the burden of the services): $0. Comment Request proposed collection of information, Description: The information including the validity of the March 30, 2001. collected on the Form ETA–9037 is methodology and assumptions used; The Department of Labor (DOL) has • Enhance the quality, utility, and authorized by 20 CFR parts 655 and 656 submitted the following public clarity of the information to be and is used to collect information from information collection requests (ICRs) to collected; and States on the activities they perform the Office of Management and Budget • Minimize the burden of the under the Alien Certification (OMB) for review and approval in collection of information on those who Reimbursable Grant. accordance with the Paperwork are to respond, including through the Type of Review: Revision of a Reduction Act of 1995 (Pub. L. 104–13, use of appropriate automated, currently approved collection. 44 U.S.C. Chapter 35). A copy of each electronic, mechanical, or other Agency: Employment and Training individual ICR, with applicable technological collection techniques or Administration (ETA). supporting documentation, may be other forms of information technology, Title: Forms for Agricultural obtained by contacting the Department e.g., permitting electronic submission of Recruitment System of Services to of Labor. To obtain documentation responses. Migratory Workers and Their contact Darrin King at (202) 693–4129 or Type of Review: Extension of a Employers; Application for Alien E-Mail [email protected]. currently approved collection. Employment Certification. Comment should be sent to Office of Agency: Employment and Training OMB Number: 1205–0134. Information and Regulatory Affairs, Administration (ETA). Affected Public: State, Local, or Tribal Attn: OMB Desk Officer for ETA, Office Title: State Alien Labor Certification Government; Individuals and of Management and Budget, Room Activity Report. households.
Estimated Number of Annual Average time annual Form No. Frequency respondents responses per response burden (in hours) hours
ETA–790 ...... On occasion ...... 52 2,000 1.00 2,000 ETA–795 ...... On occasion ...... 52 3,000 .50 1,500
Total ...... 5,000 .75 3,500
Total Annualized Capital/Startup the previously approved Forms ETA– available from other sources. They Costs: $0. 785 and ETA–785A. specify that basic hourly wage rates and fringe benefits which are determined to Total Annual Costs (operating/ Ira L. Mills, maintaining systems or purchasing be prevailing for the described classes of Departmental Clearance Officer. laborers and mechanics employed on services): $0. [FR Doc. 01–8520 Filed 4–5–01; 8:45 am] construction projects of a similar Description: The Forms ETA–790 and BILLING CODE 4510–30–M character and in the localities specified ETA–795 are used in servicing therein. agricultural employers to ensure their The determinations in these decisions labor needs for domestic migratory DEPARTMENT OF LABOR of prevailing rates and fringe benefits agricultural workers are met; in helping have been made in accordance with 29 domestic agricultural workers locate Employment Standards Administration CFR Part 1, by authority of the Secretary of Labor pursuant to the provisions of jobs expeditiously and ensure exposure Wage and Hour Division; Minimum the Davis-Bacon Act of March 3, 1931, of employment opportunities to Wages for Federal and Federally as amended (46 Stat. 1494, as amended, domestic agricultural workers before Assisted Construction; General Wage 40 U.S.C. 276a) and of other Federal cortication for employment foreign Determination Decisions workers. Due to lack of use, the statutes referred to in 29 CFR part 1, Department recommends eliminating General wage determination decisions Appendix, as well as such additional of the Secretary of Labor are issued in statutes as may from time to time be accordance with applicable law and are enacted containing provisions for the based on the information obtained by payment of wages determined to be the Department of Labor from its study prevailing by the Secretary of Labor in of local wage conditions and data made accordance with the Davis-Bacon Act.
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The prevailing rates and fringe benefits Issued Under the Davis-Bacon and VA010050 (Mar. 2, 2001) determined in these decisions shall, in related Acts’’ being modified are listed VA010051 (Mar. 2, 2001) accordance with the provisions of the by Volume and State. Dates of VA010069 (Mar. 2, 2001) foregoing statutes, constitute the publication in the Federal Register are VA010080 (Mar. 2, 2001) VA010085 (Mar. 2, 2001) minimum wages payable on Federal and in parentheses following the decisions federally assisted construction projects being modified. Volume III to laborers and mechanics of the Volume I Alabama: specified classes engaged on contract AL010004 (Mar. 2, 2001) work of the character and in the Maine: AL010006 (Mar. 2, 2001) localities described therein. ME010001 (Mar. 2, 2001) AL010007 (Mar. 2, 2001) ME010002 (Mar. 2, 2001) AL010008 (Mar. 2, 2001) Good cause is hereby found for not ME010005 (Mar. 2, 2001) utilizing notice and public comment AL010017 (Mar. 2, 2001) ME010006 (Mar. 2, 2001) AL010018 (Mar. 2, 2001) procedure thereon prior to the issuance ME010007 (Mar. 2, 2001) of these determinations as prescribed in AL010033 (Mar. 2, 2001) ME010008 (Mar. 2, 2001) AL010034 (Mar. 2, 2001) 5 U.S.C. 553 and not providing for delay ME010009 (Mar. 2, 2001) AL010044 (Mar. 2, 2001) ME010010 (Mar. 2, 2001) in the effective date as prescribed in that AL010052 (Mar. 2, 2001) New Hampshire: section, because the necessity to issue Georgia: NH010001 (Mar. 2, 2001) current construction industry wage GA010003 (Mar. 2, 2001) New Jersey: determinations frequently and in large GA010073 (Mar. 2, 2001) NJ010002 (Mar. 2, 2001) GA010085 (Mar. 2, 2001) volume causes procedures to be NJ010003 (Mar. 2, 2001) GA010086 (Mar. 2, 2001) impractical and contrary to the public New York: GA010087 (Mar. 2, 2001) interest. NY010001 (Mar. 2, 2001) GA010088 (Mar. 2, 2001) General wage determination NY010002 (Mar. 2, 2001) Kentucky: decisions, and modifications and NY010003 (Mar. 2, 2001) supersedeas decisions thereto, contain NY010004 (Mar. 2, 2001) KY010001 (Mar. 2, 2001) NY010005 (Mar. 2, 2001) KY010002 (Mar. 2, 2001) no expiration dates and are effective KY010003 (Mar. 2, 2001) from their date of notice in the Federal NY010007 (Mar. 2, 2001) NY010010 (Mar. 2, 2001) KY010004 (Mar. 2, 2001) Register, or on the date written notice KY010006 (Mar. 2, 2001) is received by the agency, whichever is NY010011 (Mar. 2, 2001) NY010013 (Mar. 2, 2001) KY010007 (Mar. 2, 2001) earlier. These decisions are to be used NY010014 (Mar. 2, 2001) KY010025 (Mar. 2, 2001) in accordance with the provisions of 29 NY010015 (Mar. 2, 2001) KY010027 (Mar. 2, 2001) CFR Parts 1 and 5. Accordingly, the NY010016 (Mar. 2, 2001) KY010029 (Mar. 2, 2001) applicable decision, together with any NY010018 (Mar. 2, 2001) KY010032 (Mar. 2, 2001) modifications issued, must be made a NY010021 (Mar. 2, 2001) KY010035 (Mar. 2, 2001) part of every contract for performance of NY010022 (Mar. 2, 2001) KY010039 (Mar. 2, 2001) KY010044 (Mar. 2, 2001) the described work within the NY010026 (Mar. 2, 2001) geographic area indicated as required by NY010031 (Mar. 2, 2001) Volume IV an applicable Federal prevailing wage NY010032 (Mar. 2, 2001) NY010039 (Mar. 2, 2001) Illinois: law and 20 CFR Part 5. The wage rates NY010040 (Mar. 2, 2001) IL010001 (Mar. 2, 2001) and fringe benefits, notice of which is NY010042 (Mar. 2, 2001) IL010002 (Mar. 2, 2001) published herein, and which are NY010045 (Mar. 2, 2001) IL010003 (Mar. 2, 2001) contained in the Government Printing NY010048 (Mar. 2, 2001) IL010004 (Mar. 2, 2001) Office (GPO) document entitled NY010049 (Mar. 2, 2001) IL010005 (Mar. 2, 2001) IL010006 (Mar. 2, 2001) ‘‘General Wage Determinations Issued NY010051 (Mar. 2, 2001) NY010060 (Mar. 2, 2001) IL010007 (Mar. 2, 2001) Under The Davis-Bacon Act And IL010008 (Mar. 2, 2001) Related Acts,’’ shall be the minimum NY010071 (Mar. 2, 2001) NY010072 (Mar. 2, 2001) IL010009 (Mar. 2, 2001) paid by contractors and subcontractors NY010075 (Mar. 2, 2001) IL010012 (Mar. 2, 2001) to laborers and mechanics. NY010077 (Mar. 2, 2001) IL010013 (Mar. 2, 2001) Any person, organization, or IL010014 (Mar. 2, 2001) governmental agency having an interest Volume II IL010015 (Mar. 2, 2001) in the rates determined as prevailing is Maryland: IL010017 (Mar. 2, 2001) encouraged to submit wage rate and MD010001 (Mar. 2, 2001) IL010020 (Mar. 2, 2001) fringe benefit information for MD010006 (Mar. 2, 2001) IL010025 (Mar. 2, 2001) IL010035 (Mar. 2, 2001) consideration by the Department. MD010010 (Mar. 2, 2001) MD010011 (Mar. 2, 2001) IL010042 (Mar. 2, 2001) Further information and self- MD010021 (Mar. 2, 2001) IL010044 (Mar. 2, 2001) explanatory forms for the purpose of MD010036 (Mar. 2, 2001) IL010047 (Mar. 2, 2001) submitting this data may be obtained by MD010037 (Mar. 2, 2001) IL010048 (Mar. 2, 2001) writing to the U.S. Department of Labor, MD010039 (Mar. 2, 2001) IL010049 (Mar. 2, 2001) Employment Standards Administration, MD010040 (Mar. 2, 2001) IL010054 (Mar. 2, 2001) Wage and Hour Division, Division of MD010042 (Mar. 2, 2001) IL010057 (Mar. 2, 2001) Wage Determinations, 200 Constitution MD010058 (Mar. 2, 2001) IL010059 (Mar. 2, 2001) Avenue, NW., Room S–3014, Pennsylvania: IL010060 (Mar. 2, 2001) PA010010 (Mar. 2, 2001) IL010061 (Mar. 2, 2001) Washington, DC 20210. PA010014 (Mar. 2, 2001) IL010063 (Mar. 2, 2001) Modification to General Wage PA010021 (Mar. 2, 2001) Indiana: Determination Decisions Virginia: IN010001 (Mar. 2, 2001) VA010015 (Mar. 2, 2001) IN010002 (Mar. 2, 2001) The number of decisions listed to the VA010017 (Mar. 2, 2001) IN010003 (Mar. 2, 2001) Government Printing Office document VA010019 (Mar. 2, 2001) IN010004 (Mar. 2, 2001) entitled ‘‘General Wage Determinations VA010022 (Mar. 2, 2001) IN010005 (Mar. 2, 2001)
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IN010006 (Mar. 2, 2001) SD010008 (Mar. 2, 2001) DEPARTMENT OF LABOR IN010007 (Mar. 2, 2001) SD010010 (Mar. 2, 2001) IN010017 (Mar. 2, 2001) Washington: Employment and Training IN010018 (Mar. 2, 2001) WA010001 (Mar. 2, 2001) Administration IN010020 (Mar. 2, 2001) WA010002 (Mar. 2, 2001) IN010021 (Mar. 2, 2001) WA010005 (Mar. 2, 2001) Proposed Information Collection IN010047 (Mar. 2, 2001) WA010008 (Mar. 2, 2001) Request Submitted for Public IN010048 (Mar. 2, 2001) Comment and Recommendations; Michigan: Volume VII MI010002 (Mar. 2, 2001) NAFTA-Transitional Adjustment MI010003 (Mar. 2, 2001) None. Assistance, Confidential Data Request MI010004 (Mar. 2, 2001) General Wage Determination ACTION: Notice. MI010005 (Mar. 2, 2001) Publication MI010007 (Mar. 2, 2001) SUMMARY: The Department of Labor, as MI010008 (Mar. 2, 2001) General wage determinations issued MI010010 (Mar. 2, 2001) part of its continuing effort to reduce MI010011 (Mar. 2, 2001) under the Davis-Bacon and related Acts, paperwork and respondent burden MI010012 (Mar. 2, 2001) including those noted above, may be conducts a preclearance consultation MI010013 (Mar. 2, 2001) found in the Government Printing Office program to provide the general public MI010015 (Mar. 2, 2001) (GPO) document entitled ‘‘General Wage and Federal agencies with an MI010016 (Mar. 2, 2001) Determinations Issued Under The Davis- opportunity to comment on proposed MI010017 (Mar. 2, 2001) Bacon And Related Acts’’. This and/or continuing collections of MI010023 (Mar. 2, 2001) publication is available at each of the 50 information in accordance with the Minnesota: Paperwork Reduction Act of 1995 (PRA MN010005 (Mar. 2, 2001) Regional Government Depository MN010007 (Mar. 2, 2001) Libraries and many of the 1,400 95) (44 U.S.C. 3506(c)(2)(A). This MN010008 (Mar. 2, 2001) Government Depository Libraries across program helps to ensure that requested MN010015 (Mar. 2, 2001) the country. data can be provided in the desired MN010027 (Mar. 2, 2001) format, reporting burden (time and MN010061 (Mar. 2, 2001) General wage determinations issued financial resources) is minimized, Ohio: under the Davis-Bacon and related Acts collection instruments are clearly OH010001 (Mar. 2, 2001) are available electronically at no cost on understood, and the impact of collection OH010003 (Mar. 2, 2001) the Government Printing Office site at requirements on respondents can be OH010006 (Mar. 2, 2001) www.access.gpo.gov/davisbacon. They properly assessed. Currently, the OH010007 (Mar. 2, 2001) are also available electronically by OH010009 (Mar. 2, 2001) Employment and Training OH010012 (Mar. 2, 2001) subscription to the FedWorld Bulletin Administration is soliciting comments OH010013 (Mar. 2, 2001) Board System of the National Technical concerning the proposed renewal of the OH010020 (Mar. 2, 2001) Information Service (NTIS) of the U.S. information collection of the NAFTA OH010022 (Mar. 2, 2001) Department of Commerce at 1–800–363– Transitional Adjustment Assistance OH010023 (Mar. 2, 2001) 2068. Confidential Data Request, ETA 9043. OH010027 (Mar. 2, 2001) A copy of the proposed information OH010028 (Mar. 2, 2001) Hard-copy subscriptions may be purchased from: Superintendent of collection request can be obtained by OH010029 (Mar. 2, 2001) contacting the employee listed below in Documents, U.S. Government Printing Volume V the contact section of this notice. Office, Washington, DC 20402 (202) DATES: Louisiana: 512–1800 Written comments must be LA010001 (Mar. 2, 2001) submitted on or before June 5, 2000. LA010005 (Mar. 2, 2001) When ordering hard-copy Written comments should evaluate LA010014 (Mar. 2, 2001) subscription(s), be sure to specify the whether the proposed collection of LA010018 (Mar. 2, 2001) State(s) of interest, since subscriptions information is necessary for the proper Nebraska: may be ordered for any or all of the six performance of the functions of the NE010001 (Mar. 2, 2001) separate volumes, arranged by State. NE010003 (Mar. 2, 2001) agency, including whether the NE010007 (Mar. 2, 2001) Subscriptions include an annual edition information will have practical utility; NE010010 (Mar. 2, 2001) (issued in January or February) which evaluate the accuracy of the agency’s NE010011 (Mar. 2, 2001) includes all current general wage estimate of the burden of the proposed NE010019 (Mar. 2, 2001) determinations for the States covered by collection of information including the NE010021 (Mar. 2, 2001) each volume. Throughout the remainder validity of the methodology and Volume VI of the year, regular weekly updates will assumptions used; enhance the quality, utility, and clarity of the information to Alaska: be distributed to subscribers. AK010001 (Mar. 2, 2001) be collected; and minimize the burden Signed at Washington, DC this 29 Day of of the collection of information on those Idaho: March 2001. ID010001 (Mar. 2, 2001) who are to respond, including through North Dakota: Carl J. Poleskey, the use of appropriate automated, ND010010 (Mar. 2, 2001) Chief, Branch of Construction Wage electronic, mechanical, or other ND010011 (Mar. 2, 2001) Determinations. technological automated, electronic, Oregon: [FR Doc. 01–8230 Filed 4–5–01; 8:45 am] mechanical, or other technological OR010001 (Mar. 2, 2001) BILLING CODE 4510–27–M collection techniques or other forms of OR010004 (Mar. 2, 2001) information technology, e.g., permitting OR010017 (Mar. 2, 2001) South Dakota: electronic submission of responses. SD010002 (Mar. 2, 2001) ADDRESSES: Edward A. Tomchick, SD010006 (Mar. 2, 2001) Division of Trade Adjustment SD010007 (Mar. 2, 2001) Assistance, Employment and Training
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Administration, Department of Labor, Dated: March 30, 2001. technological automated, electronic, Room C–5311, 200 Constitution Edward A. Tomchick, mechanical, or other technological Avenue, NW., Washington, DC 20210, Director, Division of Trade Adjustment collection techniques or other forms of 202–693–3560 (this is not a toll-free Assistance. information technology, e.g., permitting number). [FR Doc. 01–8518 Filed 4–5–01; 8:45 am] electronic submission of responses. SUPPLEMENTARY INFORMATION: BILLING CODE 4510–30–M ADDRESSES: Edward A. Tomchick, Division of Trade Adjustment I. Background Assistance, Employment and Training The North American Free Trade DEPARTMENT OF LABOR Administration, Department of Labor, Agreement (NAFTA) Implementation Room C–5311, 200 Constitution Act amended Chapter 2 of Title II of the Employment and Training Avenue, NW., Washington, DC 20210, Trade Act of 1974 to add a Subchapter Administration 202–693–3560 (this is not a toll-free number). D—NAFTA Transitional Adjustment Proposed Information Collection Assistance Program. This program Request Submitted for Public SUPPLEMENTARY INFORMATION: provides needed adjustment assistance Comment and Recommendations; I. Background to workers adversely affected because of NAFTA-Transitional Adjustment imports from Canada or Mexico or shifts Assistance Customer Survey Form The North American Free Trade of production from the United States to Agreement (NAFTA) Implementation those countries. ACTION: Notice. Act amended Chapter 2 of Title II of the Section 250 of the Act authorizes the Trade Act of 1974 to add a Subchapter Governor of each State to accept SUMMARY: The Department of Labor, as D—NAFTA Transitional Adjustment petitions for certification of eligibility to part of its continuing effort to reduce Assistance Program. This program apply for adjustment assistance. Once a paperwork and respondent burden provides needed adjustment assistance petition for NAFTA adjustment conducts a preclearance consultation to workers adversely affected because of assistance is filed with the Governor in program to provide the general public imports from Canada or Mexico or shifts the State where the firm is located, the and Federal agencies with an of production from the United States to law gives the Governor ten days to make opportunity to comment on proposed those countries. a preliminary finding of whether the and/or continuing collections of Section 250 of the Act authorizes the petition meets the group eligibility information in accordance with the Governor of each State to accept requirements under Subchapter D, and Paperwork Reduction Act of 1995 petitions for certification of eligibility to transmits the finding to the Secretary of (PRA95) (44 U.S.C. 3506(c)(2)(A)). This apply for NAFTA transitional Labor. The NAFTA Confidential Data program helps to ensure that requested adjustment assistance. Once a Request Form ETA–9043 establishes the data can be provided in the desired preliminary finding is issued by the format which has been used by the format, reporting burden (time and Governor, the Secretary must determine Governor for making a preliminary financial resources) is minimized, to what extent, if any, increased imports finding. collection instruments are clearly from Mexico or Canada have impacted understood, and the impact of collection II. Current Actions the petitioning workers’ firm selling requirements on respondents can be market, and thus determine whether the This is a request for OMB approval properly assessed. Currently, the statutory criteria for worker group under [the Paperwork Reduction Act of Employment and Training eligibility are met. The customer survey 1995 (44 U.S.C. 3506(c)(2)(A)] for of a Administration is soliciting comments form establishes the format which has collection of information assigned OMB concerning the proposed renewal of the been used by the Secretary to determine Control No. 1205–0339. information collection of the NAFTA the impact of imports. Type of Review: Extension without Transitional Adjustment Assistance change. Customer Survey Form, ETA 9044. II. Current Actions Agency: Employment and Training A copy of the proposed information This is a request for OMB approval Administration, Labor. collection request can be obtained by under [the Paperwork Reduction Act of Title: NAFTA-Confidential Data contacting the employee listed below in 1995 (44 U.S.C. 3506(c)(2)(A)] for Request. the contact section of this notice. renewal of a of collection of information OMB Number: 1205–0339. DATES: Written comments must be previously approved and assigned OMB Agency Number: ETA–9043. Control No. 1205–0337. Affected Public: Businesses and State. submitted on or before June 5, 2001. Written comments should evaluate Type of Review: Extension without Total Respondents: Estimated 1,000. change. Frequency: On occasion. whether the proposed collection of information is necessary for the proper Agency: Employment and Training Average Time per Response: Administration, Labor. Respondents = 3 hours; State performance of the functions of the agency, including whether the Title: NAFTA Transitional Review = 4.5 hours. Adjustment Assistance, Customer Estimated Total Burden Hours: information will have practical utility; evaluate the accuracy of the agency’s Survey Form. Respondents = 3,000; State review = OMB Number: 1205–0337. 4,500; Total = 7,500. estimate of the burden of the proposed Agency Number: ETA–9044. Estimated Respondent Cost: collection of information including the Affected Public: Businesses. Respondents = $53,610; State review = validity of the methodology and Total Respondents: Estimated 420. $79,110; Total =$132,720. assumptions used; enhance the quality, Frequency: On occasion. Comments submitted in response to utility, and clarity of the information to Estimated Time Per Response: 2 this notice will be summarized and/or be collected; and minimize the burden hours. included in the request for Office of of the collection of information on those Estimated Total Respondent Cost: Management and Budget approval of the who are to respond, including through $32,130. information collection request; they will the use of appropriate automated, Comments submitted in response to also become a matter of public record. electronic, mechanical, or other this notice will be summarized and/or
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included in the request for Office of II. Desired Focus of Comments Comments submitted in response to Management and Budget approval of the Currently, the Mine Safety and Health this notice will be summarized and/or information collection request; they will Administration (MSHA) is soliciting included in the request for Office of also become a matter of public record. comments concerning the proposed Management and Budget approval of the Dated: March 30, 2001. extension of the information collection request for Office of Management and Budget approval of the information Edward A. Tomchick, related to the Mine Ventilation System Plan. MSHA is particularly interested in collection request; they will also Acting Director, Office of Trade Adjustment become a matter of public record. Assistance. comments which: • [FR Doc. 01–8521 Filed 4–5–01; 8:45 am] Evaluate whether the proposed Dated: March 30, 2001. BILLING CODE 4510–30–M collection of information is necessary Brenda C. Teaster, for the proper performance of the Acting Director, Records Management functions of the agency, including Division. DEPARTMENT OF LABOR whether the information will have [FR Doc. 01–8519 Filed 4–5–01; 8:45 am] practical utility; BILLING CODE 4510–43–M Mine Safety and Health Administration • Evaluate the accuracy of the agency’s estimate of the burden of the Proposed Information Collection proposed collection of information, DEPARTMENT OF LABOR Request Submitted for Public including the validity of the Comment and Recommendations; methodology and assumptions used; Pension and Welfare Benefits Mine Ventilation System Plan • Enhance the quality, utility, and Administration clarity of the information to be ACTION: Notice. collected; and Agency Information Collection • Minimize the burden of the Activities; Announcement of OMB SUMMARY: The Department of Labor, as collection of information on those who Approval part of its continuing effort to reduce are to respond, including through the paperwork and respondent burden AGENCY: Pension and Welfare Benefits use of appropriate automated, conducts a preclearance consultation Administration, Department of Labor. electronic, mechanical, or other program to provide the general public ACTION: Notice. technological collection techniques or and Federal agencies with an other forms of information technology, SUMMARY: The Pension and Welfare opportunity to comment on proposed e.g., permitting electronic submissions Benefits Administration (PWBA) is and/or continuing collections of of responses. announcing that collections of information in accordance with the information included in its Prohibited Paperwork Reduction Act of 1995 III. Current Action Transaction Exemptions 75–1, 80–83, (PRA95) (44 U.S.C. 3506(c)(2)(A)). This A well planned mine ventilation and 88–59 have been approved by the program helps to ensure that requested system is necessary to assure a fresh air Office of Management and Budget data can be provided in the desired supply to miners at all working places, (OMB) under the Paperwork Reduction format, reporting burden (time and to control the amounts of harmful Act of 1995. This notice announces the financial resources) is minimized, airborne contaminants in the mine OMB approval numbers and expiration collection instruments are clearly atmosphere, and to dilute possible dates. understood, and the impact of collection accumulation of explosive gases. FOR FURTHER INFORMATION CONTACT: requirements on respondents can be The standard requires that mine Address requests for copies of the properly assessed. operators prepare a written plan of the information collection requests (ICRs) to DATES: Submit comments on or before mine’s ventilation system and to update Gerald B. Lindrew, U.S. Department of June 5, 2001. the plan annually. The purposes are to Labor, Pension and Welfare Benefits FOR FURTHER INFORMATION CONTACT: insure that each operator routinely Administration, 200 Constitution Brenda C. Teaster, Acting Chief, Records plans, reviews, and updates the plan; to Avenue, NW., Room N–5647, Management Division, U.S. Department insure the availability of accurate and Washington, DC 20210. Telephone: of Labor, Mine Safety and Health correct information; and to provide (202) 219–4782. This is not a toll-free Administration, Room 709A, 4015 MSHA with the opportunity to alert the number. mine operator to potential hazards. Wilson Boulevard, Arlington, VA SUPPLEMENTARY INFORMATION: In the Type of Review: Extension. 22203–1984. Mrs. Teaster can be Federal Register of August 22, 2000 (65 Agency: Mine Safety and Health reached at [email protected] (Internet FR 51038), the Agency announced its Administration. E-mail), (703) 235–1470 (voice), or (703) intent to request renewal of its current 235–1563 (facsimile). Title: Mine Ventilation System Plan. OMB Number: 1219–0016. OMB approval for the information SUPPLEMENTARY INFORMATION: Affected Public: Business or other for- collection provisions of Prohibited Transaction Class Exemption 75–1 I. Background profit. Frequency: Annually. (Broker-dealers, reporting dealers, banks Underground mines present harsh Cite/Reference/Form/etc: 30 CFR engaging in securities transactions with and hostile working environments. the 57.8520. employee benefit plans). In accordance ventilation system is the most vital life Total Respondents: 284. with PRA 95, OMB has renewed its support system in underground mining Total Responses: 284. approval for the ICR under OMB control and a properly operating ventilation Average Time Per Response: 24 hours. number 1210–0092. The approval system is essential for maintaining a Estimated Total Burden Hours: 6,816 expires January 31, 2004. safe and healthful working hours. In the Federal Register of August 22, environment. Lack of adequate Total Burden Cost (capital/startup): 2000 (65 FR 51038), the Agency ventilation in underground mines has $0. announced its intent to request renewal resulted in fatalities from asphyxiation Total Burden Cost (operating/ of its current OMB approval for the and explosions. maintaining): $0. information collection provisions of
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Prohibited Transaction Class Exemption proprietary or confidential nature, including Foundation, 4201 Wilson Blvd., Arlington, 80–83 (Transactions involving purchase technical information; financial data, such as VA 22230; Telephone: (703) 292–8558 of securities where issuer may use salaries; and personal information Purpose of Meeting: To provide advice and proceeds to reduce indebtedness to concerning individuals associated with the recommendations concerning proposals proposals. These matters are exempt under 5 parties-in-interest). In accordance with submitted to NSF for financial support. U.S.C. 552b(c), (4) and (6) of the Government Agenda: To review and evaluate PRA 95, OMB has renewed its approval in the Sunshine Act. Instrumentation & Facilities proposals as part for the ICR under OMB control number Dated: April 3, 2001. of the selection process for awards. 1210–0064. The approval expires Reason for Closing: The proposals being Susanne Bolton, January 31, 2004. reviewed include information of a In the Federal Register of August 22, Committee Management Officer. proprietary or confidential nature, including 2000 (65 FR 51037), the Agency [FR Doc. 01–8541 Filed 4–5–01; 8:45 am] technical information; financial data, such as announced its intent to request renewal BILLING CODE 7555–01–M salaries; and personal information of its current OMB approval for the concerning individuals associated with the information collection provisions of proposals. These matters are exempt under 5 Prohibited Transaction Class Exemption NATIONAL SCIENCE FOUNDATION U.S.C. 552b(c), (4) and (6) of the Government in the Sunshine Act. 88–59 (Residential Mortgage Financing Advisory Committee For Biological Arrangements). In accordance with PRA Sciences; Notice of Meeting Dated: April 3, 2001. 95, OMB has renewed its approval for Susanne Bolton, the ICR under OMB control number In accordance with the Federal Committee Manager Officer. 1210–0095. The approval expires Advisory Committee Act (Pub. L. 92– [FR Doc. 01–8537 Filed 4–5–01; 8:45 am] January 31, 2004. 463, as amended), the National Science Under 5 CFR 1320.5(b), an Agency Foundation announces the following BILLING CODE 7555–01–M may not conduct or sponsor, and a meeting: person is not required to respond to, a Name: Advisory Committee for Biological NATIONAL SCIENCE FOUNDATION collection of information unless the Sciences (1110) collection of information displays a Date/Time: April 26, 2001; 8:30 a.m.–5 Special Emphasis Panel in Electrical valid control number. p.m.; April 27, 2001; 8:30 a.m.–3 p.m and Communications Systems; Notice Place: National Science Foundation, 4201 Dated: March 30, 2001. of Meetings Wilson Blvd., Arlington, VA, Rm. 1235. Gerald B. Lindrew, Type of Meeting: Open. Deputy Director, Office of Policy and Contact Person: Dr. Mary E. Clutter, This notice is being published in Research, Pension and Welfare Benefits Assistant Director, Biological Sciences, Room accord with the Federal Advisory Administration. 605, National Science Foundation, 4201 Committee Act (Pub. L 92–463, as [FR Doc. 01–8517 Filed 4–5–01; 8:45 am] Wilson Blvd., Arlington, VA 22230 Tel No.: amended). (703) 292–8400 BILLING CODE 4510–29–P During the period April 1 through Minutes: May be obtained from the contact person listed above. May 2001, the Special Emphasis Panel Purpose of Meeting: The Advisory will be holding panel meetings to NATIONAL SCIENCE FOUNDATION Committee for BIO provides advice, review and evaluate research proposals. recommendations, and oversight concerning The dates, contact person, and types of Special Emphasis Panel in Advanced major program emphases, directions, and proposals are as follows: Networking Infrastructure Research; goals for the research-related activities of the Notice of Meeting divisions that make up BIO. Special Emphasis Panel in Electrical and Agenda: Planning and Issues Discussion. Communications Systems (1196) In accordance with the Federal Dated: April 3, 2001. 1. Date: April 26–27, 2001, 8:30 a.m.–5 Advisory Committee Act (Pub. L. 92– Susanne Bolton, p.m., Room 340. 463, as amended), the National Science Committee Management Officer. Contact: Dr. James Mink, Program Director, Foundation announces the following Electronics, Photonics, and Device meeting: [FR Doc. 01–8538 Filed 4–5–01; 8:45 am] Technologies (EPDT), Division of Electrical BILLING CODE 7555–01–M and Communications Systems, National Name: Special Emphasis Panel in Science Foundation, 4201 Wilson Blvd., Advanced Networking Infrastructure and Room 675, Arlington, VA 22230. Telephone: Research (#1207). NATIONAL SCIENCE FOUNDATION Date/Time: May 3–4, 2001; 8 AM–5 p.m. (703) 292–8339. (This meeting was previously scheduled for Type of Proposal: Information Technology Earth Sciences Proposal Review Research (ITR). April 9–10, 2001). Panel; Notice of Meeting Place: Room 515 Stafford II, National 2. Date: May 8–9, 2001, 8:30 a.m.–5 p.m., Science Foundation, 4201 Wilson Blvd., In accordance with the Federal Room 595 (Stafford Place). Arlington, VA. Advisory Committee Act (Pub. L. 92– Contact: Dr. James Mink, Program Director, Electronics, Photonics, and Device Type of Meeting: Closed. 463, as amended), the National Science Contact Persons: John Cozzens, Division of Technologies (EPDT), Division of Electrical Advanced Networking Infrastructure Foundation announces the following and Communications Systems, National Research, Room 1175, National Science meeting. Science Foundation, 4201 Wilson Blvd., Foundation, 4201 Wilson Blvd., Arlington, Name: Earth Sciences Proposal Review Room 675, Arlington, VA 22230. Telephone: VA 22230. Telephone: (703) 292–8949. Panel (1569). (703) 292–8339. Purpose of Meeting: To provide advice and Date/Time: May 2–4, 2001, 8 a.m. to 6 p.m. Type of Proposal: Major Research recommendations concerning proposals Place: University of Arizona, AMS Facility, Instrumentation (MRI). submitted to NSF for financial support. Tucson, Arizona. Place: National Science Foundation, 4201 Agenda: To review and evaluate Type of Meeting: Closed. Wilson Blvd., Arlington, VA. Information Technology Research proposals Contact Person: Mr. Russell C. Kelz, Type of Meetings: Closed. as part of the selection process for awards. Associate Program Director, Instrumentation Purpose of Meetings: To provide advice Reason for Closing: The proposals being & Facilities Program, Division of Earth and recommendations concerning proposals reviewed include information of a Sciences, Room 785, National Science submitted to NSF for financial support.
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Agenda: To review and evaluate ITR & MRI NATIONAL SCIENCE FOUNDATION Name: Special Emphasis Panel in proposals submitted to the Division as part Experimental & Integrative Activities (1193). of the selection process for awards. Advisory Committee For Date/Time: May 8, 2001, 8:30 a.m.–5 p.m. Reason for Closing: The proposals being Environmental Research and Place: Room 525, 545, 565, and 575 reviewed include information of a Education; Notice of Meeting Stafford II Building National Science Foundation, 4201 Wilson Blvd., Arlington, proprietary or confidential nature, including In accordance with the Federal VA. technical information; financial data, such as Type of Meeting: Closed. salaries, and personal information Advisory Committee Act (Pub. Law 92– 463, as amended), the National Science Contact Person: Dr. Anita LaSalle, CISE concerning individuals associated with the Educational Innovation (EI), Experimental proposals. These matters are exempt under 5 Foundation announces the following and Integrative Activities, Room 1160, U.S.C. 552b(c), (4) and (6) of the Government meeting: National Science Foundation, 4201 Wilson in the Sunshine Act. Name: Advisory Committee for Boulevard, Arlington, VA 22230. Telephone: Environmental Research and Education (703) 292–8980. Dated: April 3, 2001. (9487). Purpose of Meeting: To provide advice and Susanne Bolton, Dates: May 2, 2001; 8:30 a.m.–2:45 p.m. recommendations concerning proposals Committee Management Officer. May 3, 2001; 8:30 a.m.–3:30 p.m. submitted to the National Science Foundation for financial support. [FR Doc. 01–8536 Filed 4–5–01; 8:45 am] Place: Stafford II, Room 595, National Science Foundation, 4201 Wilson Blvd., Agenda: To review and evaluate CISE BILLING CODE 7555–01–M Arlington, VA. Educational Innovation (EI) proposals Type of Meeting: Open. submitted in response to the program Contact Person: Dr. Margaret Cavanaugh, announcement (NSF 99–80). NATIONAL SCIENCE FOUNDATION Office of the Director, National Science Reason for Closing: The proposals being Foundation, Suite 1205, 4201 Wilson Blvd., reviewed include information of a Special Emphasis Panel in Elementary, Arlington, Virginia 22230. Phone 703–292– proprietary or confidential nature, including Secondary and Informal Education; 8002. technical information; financial data, such as Notice of Meeting Minutes: May be obtained from the contact salaries; and personal information person listed above. concerning individuals associated with the Purpose of Meeting: To provide advice, proposals. These matters are exempt under 5 In accordance with the Federal U.S.C. 552b(c), (4) and (6) of the Government Advisory Committee Act (Pub. L. 92– recommendations, and oversight concerning support for environmental research and in the Sunshine Act. 463, as amended), the National Science education. Dated: April 3, 2001. Foundation announces the following meeting: Agenda Susanne Bolton, May 2, 2001 Committee Management Officer. Name: Special Emphasis Panel in [FR Doc. 01–8532 Filed 4–5–01; 8:45 am] Elementary, Secondary and Informal Update on recent NSF environmental BILLING CODE 7555–01–M Education (59). activities, including the Biocomplexity in Date/Time: Wednesday, April 25, 2001, the Environment Competition 5:30 p.m. to 9 p.m., Thursday, April 26, 2001, AC–ERE Task Group meetings and reports on strategic planning; planning for NATIONAL SCIENCE FOUNDATION 8:30 a.m. to 5:30 p.m., Friday, April 27, 2001, environmental cyberinfrastructure; and 8:30 a.m. to 3 p.m. education, diversity and communication Special Emphasis Panel for Place: The Wyndam City Center, 1143 New Discussion of environmental opportunities Geosciences; Notice of Meeting Hampshire Ave., NW., Washington, DC. with Dr. E. O. Wilson of Harvard Type of Meeting: Closed. University In accordance with the Federal Contact Person: Mr. John S. Bradley, Discussion of interdisciplinary Advisory Committee Act (Public Law Section Head, Division of Elementary, environmental activities in large groups 92–463, as amended), the National Secondary and Informal Education, National and centers Science Foundation announces the Science Foundation, 4201 Wilson Boulevard, May 3, 2001 following meeting: Arlington, VA 22230. Telephone: (703) 292– Discussion of interagency and international Name: Special Emphasis Panel for 8620. ERE activities Geosciences (1756). Purpose of Meeting: To provide advice and Meeting with the Deputy Director Date: April 30, 2001. recommendations concerning proposals for Overview of NSF environmental activities Time: 8:30 a.m. to 5:30 p.m. the Centers For Learning and Teaching and plans in engineering and in biological Place: Room 7770, National Science Programs submitted to NSF for financial sciences Foundation, 4201 Wilson Boulevard, Arlington, VA 22230. support. Dated: April 3, 2001. Agenda: To review and evaluate proposals Type of Meeting: Closed. Susanne Bolton, Contact Person: Ms. Robin Reichlin, as part of the selection process for awards. Committee Management Officer. Program Director, Geophysics Program, Reason for Closing: The proposals being [FR Doc. 01–8539 Filed 4–5–01; 8:45 am] Division of Earth Sciences, Room 785, reviewed include information of a National Science Foundation, Arlington, VA BILLING CODE 7555–01–M proprietary or confidential nature, including 22230, (703) 292–8556. technical information; financial data, such as Purpose of Meeting: To provide advice and salaries; and personal information recommendations concerning proposals concerning individuals associated with the NATIONAL SCIENCE FOUNDATION submitted to NSF for financial support. proposals. These matters are exempt under 5 Agenda: To review and evaluate Special Emphasis Panel in cooperative studies of the earth’s deep U.S.C. 552b(c)(4) and (6) of the Government Experimental & Integrative Activities; in the Sunshine Act. interior proposals as part of the selection Notice of Meeting process for awards. Dated: April 3, 2001. Reason for Closing: The proposals being In accordance with the Federal Susanne Bolton, reviewed include information of a Advisory Committee Act (Pub. L. 92– proprietary or confidential nature, including Committee Management Officer. 463, as amended), the National Science technical information; financial data, such as [FR Doc. 01–8530 Filed 4–5–01; 8:45 am] Foundation announces the following salaries; and personal information BILLING CODE 7555–01–M meeting: concerning individuals associated with
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proposals. These matters are exempt under 5 1. Date & Time: April 27th; 8 a.m. to 5 p.m. Dated: April 3, 2001. U.S.C. 552b(c), (4) and (6) of the Government Place: National Science Foundation, 4201 Susanne Bolton, in the Sunshine Act. Wilson Boulevard, Arlington, VA Rm. 970. Committee Management Officer. Dated: April 3, 2001. Contact Person: Dr. Cheryl Eavey, Program [FR Doc. 01–8540 Filed 4–5–01; 8:45 am] Director for Methodology, Measurements and Susanne Bolton, BILLING CODE 7555–01–M Committee Management Officer. Statistics (MMS) Program, National Science Foundation, 4201 Wilson Boulevard, Suite [FR Doc. 01–8531 Filed 4–5–01; 8:45 am] 995, Arlington, VA 22230. Telephone: (703) NATIONAL SCIENCE FOUNDATION BILLING CODE 7555–01–M 292–7269. Agenda: To review and evaluate MMS Advisory Panel For Neuroscience; proposals as part of the selection process for Notice of Meeting NATIONAL SCIENCE FOUNDATION awards. 2. Date & Time: April 30th 2001; 8 a.m. to In accordance with the Federal Special Emphasis Panel in Materials Advisory Committee Act (Pub. L. 92– Research; Notice of Meeting 5 p.m. Rm. 970. Contact Person: Dr. Cheryl Eavey, Program 463, as amended), the National Science In accordance with the Federal Director for Methodology, Measurements and Foundation announces the following Advisory Committee Act (Pub. L. 92– Statistics (MMS) Program, National Science meeting; 463, as amended), the National Science Foundation, 4201 Wilson Boulevard, Suite Name: Advisory Panel for Neuroscience Foundation announces the following 995, Arlington, VA 22230. Telephone (703) (1158). meeting: 292–7269. Date and Time: May 3–4, 2001; 8 a.m. to Agenda: To review and evaluate Survey 5 p.m. Name: Special Emphasis Panel in Materials Place: Room 545, 4121 Wilson Boulevard, Research (1203). Methods proposals as part of the selection process for awards. Arlington, Virginia. Date/Time: April 25–26, 2001, 8 a.m. to 6 Type of Meeting: Part-Open. p.m. 3. Date & Time: May 11th, 2001; 8 a.m. to Contact Person: Dr. Harald Vaessin, Place: National Science Foundation, 4201 5 p.m. Rm. 970. Program Director, Developmental Wilson Blvd., Room 365, Arlington, VA. Contact Person: Dr. Cheryl Eavey, Program Neuroscience, Division of Integrative Biology Type of Meeting: Closed. Director for Methodology, Measurements and and Neuroscience, Suite 685, National Contact Person: Dr. Guebre X. Tessema, Statistics (MMS) Program, National Science Science Foundation, 4201 Wilson Boulevard, Program Director, National Facilities and Foundation, 4201 Wilson Boulevard, Suite Arlington, Virginia 22230. Telephone: (703) Instrumentation, Division of Materials 995, Arlington, VA 22230. Telephone (703) 292–8423. Research, Room 1065, National Science 292–7269. Purpose of Meeting: To provide advice and Foundation, 4201 Wilson Boulevard, recommendations concerning proposals Arlington, VA 22230, Telephone: (703) 292– Agenda: To review and evaluate Survey Methods proposals as part of the selection submitted to NSF for financial support. 4943. Minutes: May be obtained from the contact process for awards. Purpose of Meeting: To provide advice and person listed above. recommendations concerning proposals 4. Date & Time: May 14th–15th, 2001; 8 Agenda: Open Session: May 3, 2001; 4 p.m. submitted to NSF for financial support. a.m. to 5 p.m. Rm. 920. to 5 p.m. to discuss goals and assessment Agenda: Review and evaluate proposals as Contact Person: Dr. Rachelle D. Hollander, procedures. Closed Session: May 3, 2001; 8 part of the selection process to determine Program Director for Societal Dimensions of a.m. to 4 p.m.; May 4, 2001; 8 a.m. to 5 p.m. finalists considered for the FY2001 Engineering, Science and Technology To review and evaluate Developmental Instrumentation for Materials Research (IMR) Program, National Science Foundation, 4201 Neuroscience proposals as part of the and Major Research Instrumentation (MRI) Wilson Boulevard, Suite 995, Arlington, VA selection process for awards. Programs. Reason for Closing: The proposals being 22230. Telephone (703) 292–7272. Reason for Closing: The proposals being reviewed include information of a reviewed include information of a Agenda: To review and evaluate SDEST proprietary or confidential nature, including proprietary or confidential nature, including proposals as part of the selection process for technical information; financial data, such as technical information, financial data such as awards. salaries; and personal information salaries, and personal information 5. Date & Time: May 18–19, 2001; 8 a.m. concerning individuals associated with the concerning individuals associated with the to 5 p.m. Rm. 970. proposals. These matters are exempt under 5 proposals. These matters are exempt under 5 Contact Person: Dr. Bruce Seely & Dr. John U.S.C. 552b(c) (4) and (6) of the Government U.S.C. 552b(c), (4) and (6) of the Government Perhonis, Program Directors for Science and in the Sunshine Act. in the Sunshine Act. Technology Studies Program, National Dated: April 3, 2001. Dated: April 3, 2001. Science Foundation, 4201 Wilson Boulevard, Susanne Bolton, Susanne Bolton, Suite 995, Arlington, VA 22230. Telephone Committee Meeting Officer. (703) 292–7279. Committee Management Officer. [FR Doc. 01–8529 Filed 4–5–01; 8:45 am] Agenda: To review and evaluate STS [FR Doc. 01–8534 Filed 4–5–01; 8:45 am] BILLING CODE 7555–01–M proposals as part of the selection process for BILLING CODE 7555–01–M awards. Type of Meetings: Closed. NATIONAL SCIENCE FOUNDATION NATIONAL SCIENCE FOUNDATION Purpose of Meetings: To provide advice and recommendations concerning support for Advisory Panel for Neuroscience; Advisory Panel for Methods, Cross- research proposals submitted to the NSF for Notice of Meeting Directorate and Science and Society; financial support. Notice of Meetings Reason for Closing: The proposals being In accordance with the Federal reviewed include information of a Advisory Committee Act (Pub. L. 92– In accordance with the Federal proprietary or confidential nature, including 463, as amended), the National Science Advisory Committee Act (Pub. L. 92– technical information; financial data, such as Foundation announces the following 463, as amended), the National Science salaries; and personal information meeting: Foundation (NSF) announces the concerning individuals associated with the Name: Advisory Panel for Neuroscience following five meetings of the Advisory proposals. These matters are exempt under 5 (1158). Panel for Methods, Cross-Directorate U.S.C. 552b(c) (4) and (6) of the Government Date/Time: April 19–20, 2001; 8 a.m. to 5 and Science and Society (#1760): in the Sunshine Act. p.m.
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Place: Room 680, 4201 Wilson Boulevard, Dated: April 3, 2001. leave to intervene was filed following Arlington, VA. Susanne Bolton, this notice. Type of Meeting: Part-Open. Committee Management Officer. The Commission has prepared an Contact Person: Dr. Soo-Siang Lim, [FR Doc. 01–8533 Filed 4–5–01; 8:45 am] Environmental Assessment related to Program Director, Neuronal & Glial BILLING CODE 7555–01–M the action and has determined not to Mechanisms; Division of Integrative Biology prepare an environmental impact and Neuroscience, Suite 680, National statement. Based upon the Science Foundation, 4201 Wilson Blvd., environmental assessment, the Arlington, VA 22230 Telephone: (703) 292– NUCLEAR REGULATORY Commission has concluded that the 8423. COMMISSION issuance of the amendment will not Purpose of Meeting: To provide advice and [Docket Nos. 50–254 and 50–265] recommendations concerning proposals have a significant effect on the quality of the human environment (66 FR submitted to NSF for financial support. Exelon Generation Company, LLC; Minutes: May be obtained from the contact 16691). Notice of Issuance of Amendment to For further details with respect to the person listed above. Facility Operating License Agenda: Open Session: April 20, 2001; 5 action see (1) the application for p.m. to 6 p.m., to discuss goals and The U.S. Nuclear Regulatory amendment dated March 3, 2000, and assessment procedures. Closed Session: April Commission (Commission) has issued supplemented by letters dated March 19–20, 2001; 8 a.m. to 5 p.m. To review and Amendment No. 199 to Facility 24, June 5 (two letters), July 18, July 31, evaluate Neuronal & Glial Mechanisms Operating License No. DPR–29 and September 1, September 22, October 5, proposals as part of the selection process for Amendment No. 195 to Facility October 9, November 20, and December awards. Operating License DPR–30, issued to 18, 2000; and February 15, February 28, Reason for Closing: The proposals being Exelon Generation Company, LLC (the and March 26, 2001, (2) Amendment reviewed include information of a licensee), which revised the operating No. 199 to License No. DPR–29 and proprietary or confidential nature, including licenses and the Technical Amendment No. 195 to License No. technical information, financial data, such as DPR–30, (3) the Commission’s related salaries; and personal information Specifications for operation of the Quad Cities Nuclear Power Station, Units 1 Safety Evaluation, and (4) the concerning individual associated with the Commission’s Environmental proposals. These matters are exempt under 5 and 2, respectively, located in Rock Assessment. Documents may be U.S.C. 552b(c)(4) and (6) of the Government County, Illinois. The amendments are in the Sunshine Act. effective as of the date of issuance. examined, and/or copied for a fee, at the The amendments revise the current NRC’s Public Document Room, located Dated: April 3, 2001. Technical Specifications (TS, Appendix at One White Flint North, 11555 Susanne Bolton, A of the operating licenses) in their Rockville Pike (first floor), Rockville, Committee Meeting Officer. entirety with a set of improved TS (ITS) Maryland, and accessible electronically [FR Doc. 01–8535 Filed 4–5–01; 8:45 am] based on NUREG–1433, Revision 1, through the ADAMS Public Electronic BILLING CODE 7555–01–M ‘‘Standard Technical Specifications, Reading Room link at the NRC Web site General Electric Plants BWR/4,’’ dated (http://www.nrc.gov). April 1995, and on guidance provided Dated at Rockville, Maryland, this 30th day NATIONAL SCIENCE FOUNDATION in the Commission’s ‘‘Final Policy of March 2001. Statement on Technical Specifications For the Nuclear Regulatory Commission. Special Emphasis Panel in Physics; Improvements for Nuclear Power Stewart N. Bailey, Notice of Meeting Reactors,’’ published on July 22, 1993 Project Manager, Section 2, Project (58 FR 39132). In addition, the Directorate III, Division of Licensing Project In accordance with the Federal amendments add new conditions to the Management, Office of Nuclear Reactor Advisory Committee Act (Pub. L. 92– operating licenses regarding the Regulation. 463, as amended), the National Science relocation of current TS requirements [FR Doc. 01–8501 Filed 4–5–01; 8:45 am] Foundation announces the following into licensee-controlled documents as BILLING CODE 7590–01–P meeting: part of the implementation of the ITS, Name: Special Emphasis Panel in Physics and the schedule for the first (1208). performance of new and revised NUCLEAR REGULATORY Date/Time: April 18–20, 2001, 8 a.m.–5 surveillance requirements (four COMMISSION p.m. conditions). Place: National Science Foundation, 4201 The application for the amendment [Docket No. 72–20] Wilson Blvd., Arlington, VA. complies with the standards and Department of Energy; Three Mile Type of Meeting: Closed. requirements of the Atomic Energy Act Contact Person: Dr. John Lightbody, Island, Unit 2, Independent Spent Fuel of 1954, as amended (the Act), and the Storage Installation Notice of National Science Foundation, 4201 Wilson Commission’s rules and regulations. Blvd., Arlington, VA 22230. Docketing Of Materials License SNM– The Commission has made appropriate 2508 Amendment; Application Purpose of Meeting: To provide advice and findings as required by the Act and the recommendations concerning proposals Commission’s rules and regulations in By letter dated March 26, 2001, the submitted to NSF for financial support. 10 CFR Chapter I, which are set forth in U.S. Department of Energy (DOE) Agenda: Review various proposals. Reason for Closing: The proposals being the license amendment.Notice of submitted an application to the Nuclear reviewed include information of a Consideration of Issuance of Regulatory Commission (NRC or the proprietary or confidential nature, including Amendment to Facility Operating Commission), in accordance with 10 technical information, information on License and Opportunity for a Hearing CFR Part 72, requesting the amendment personnel and data for present and future in connection with this action was of the Three Mile Island, Unit 2 (TMI– subcontracts. These matters are exempt published in the Federal Register on 2) independent spent fuel storage under 5 U.S.C. 552b(c), (4) and (6) of the February 16, 2001 (66 FR 10751). No installation (ISFSI) license (SNM–2508) Government in the Sunshine Act. request for a hearing or petition for for the ISFSI located at Idaho Falls,
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Idaho. DOE is seeking Commission licenses and the Technical September 1, September 22, October 5, approval to amend the materials license Specifications for operation of the October 9, November 20, and December to correct an error in the number of fuel LaSalle County Station, Units 1 and 2, 18, 2000; February 15, February 28, and and filter canisters that can be stored at respectively, located in LaSalle County, March 7, 2001, (2) Amendment No. 147 the ISFSI. The requested changes do not Illinois. The amendments are effective to License No. NPF–11 and Amendment appear to affect the design, analyses, as of the date of issuance. No. 133 to License No. NPF–18, (3) the operation, maintenance, or surveillance The amendments revise the current Commission’s related Safety Evaluation, of the ISFSI. Technical Specifications (TS, Appendix and (4) the Commission’s This application was docketed under A of the operating licenses) in their Environmental Assessment. Documents 10 CFR Part 72; the ISFSI Docket No. is entirety with a set of improved TS (ITS) may be examined, and/or copied for a 72–20 and will remain the same for this based on NUREG–1433, Revision 1, fee, at the NRC’s Public Document action. The amendment of an ISFSI ‘‘Standard Technical Specifications, Room, located at One White Flint North, license is subject to the Commission’s General Electric Plants BWR/4,’’ dated 11555 Rockville Pike (first floor), approval. April 1995, NUREG–1434, Revision 1, Rockville, Maryland, and accessible The Commission may issue either a ‘‘Standard Technical Specifications, electronically through the ADAMS notice of hearing or a notice of proposed General Electric Plants BWR/6,’’ dated Public Electronic Reading Room link at action and opportunity for hearing in April 1995, and guidance provided in the NRC Web site (http://www.nrc.gov). accordance with 10 CFR 72.46(b)(1) or, the Commission’s ‘‘Final Policy Statement on Technical Specifications Dated at Rockville, Maryland, this 30th day if a determination is made that the of March 2001. Improvements for Nuclear Power amendment does not present a genuine For The Nuclear Regulatory Commission. issue as to whether public health and Reactors,’’ published on July 22, 1993 Stewart N. Bailey, safety will be significantly affected, take (58 FR 39132). In addition, the immediate action on the amendment in amendments add new conditions to the Project Manager, Section 2, Project Directorate III, Division of Licensing Project accordance with 10 CFR 72.46(b)(2) and operating licenses regarding the relocation of current TS requirements Management, Office of Nuclear Reactor provide notice of the action taken and Regulation. into licensee-controlled documents as an opportunity for interested persons to [FR Doc. 01–8499 Filed 4–5–01; 8:45 am] request a hearing on whether the action part of the implementation of the ITS, BILLING CODE 7590–01–P should be rescinded or modified. and the schedule for the first For further details with respect to this performance of new and revised application, see the application dated surveillance requirements (four conditions). The amendments also NUCLEAR REGULATORY March 26, 2001, which is available for COMMISSION public inspection at the Commission’s delete a license condition related to fuel Public Document Room, One White movement, since its requirements have [Docket Nos. 50–237 AND 50–249] Flint North Building, 11555 Rockville been incorporated into the ITS. Pike, Rockville, MD or from the publicly The application for the amendment Exelon Generation Company, LLC; available records component of NRC’s complies with the standards and Notice of Issuance of Amendment to Agencywide Documents Access and requirements of the Atomic Energy Act Facility Operating License Management System (ADAMS). ADAMS of 1954, as amended (the Act), and the Commission’s rules and regulations. The U.S. Nuclear Regulatory is accessible from the NRC Web site at The Commission has made appropriate Commission (Commission) has issued Http://www.nrc.gov/NRC/ADAMS/ findings as required by the Act and the Amendment No. 185 to Facility index.html (the Public Electronic Commission’s rules and regulations in Operating License No. DPR–19 and Reading Room). 10 CFR Chapter I, which are set forth in Amendment No. 180 to Facility Dated at Rockville, Maryland, this 29th day the license amendment. Operating License DPR–25, issued to of March 2001. Notice of Consideration of Issuance of Exelon Generation Company, LLC (the For the Nuclear Regulatory Commission. Amendment to Facility Operating licensee), which revised the operating E. William Brach, License and Opportunity for a Hearing licenses and the Technical Director Spent Fuel Project Office, Office of in connection with this action was Specifications for operation of the Nuclear Material Safety and Safeguards. published in the Federal Register on Dresden Nuclear Power Station, Units 2 [FR Doc. 01–8502 Filed 4–5–01; 8:45 am] February 16, 2001 (66 FR 10753). No and 3, respectively, located in Grundy BILLING CODE 7590–01–P request for a hearing or petition for County, Illinois. The amendments are leave to intervene was filed following effective as of the date of issuance. this notice. The amendments revise the current NUCLEAR REGULATORY The Commission has prepared an Technical Specifications (TS, Appendix COMMISSION Environmental Assessment related to A of the operating licenses) in their the action and has determined not to entirety with a set of improved TS (ITS) [Docket Nos. 50–373 AND 50–374] prepare an environmental impact based on NUREG–1433, Revision 1, Exelon Generation Company, LLC; statement. Based upon the ‘‘Standard Technical Specifications, Notice of Issuance of Amendment to environmental assessment, the General Electric Plants BWR/4,’’ dated Facility Operating License Commission has concluded that the April 1995, and on guidance provided issuance of the amendment will not in the Commission’s ‘‘Final Policy The U.S. Nuclear Regulatory have a significant effect on the quality Statement on Technical Specifications Commission (Commission) has issued of the human environment (66 FR Improvements for Nuclear Power Amendment No. 147 to Facility 16694). Reactors,’’ published on July 22, 1993 Operating License No. NPF–11 and For further details with respect to the (58 FR 39132). In addition, the Amendment No. 133 to Facility action see (1) the application for amendments add new conditions to the Operating License NPF–18, issued to amendment dated March 3, 2000, and operating licenses regarding (1) the Exelon Generation Company, LLC (the supplemented by letters dated March relocation of current TS requirements licensee), which revised the operating 24, June 5 (two letters), July 18, July 31, into licensee-controlled documents as
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part of the implementation of the ITS, For The Nuclear Regulatory Commission. from the NRC Web Site at http:// (2) the schedule for the first Stewart N. Bailey, www.nrc.gov/NRC/ADAMS/index.html performance of new and revised Project Manager, Section 2, Project (the Public Electronic Reading Room). surveillance requirements (four Directorate III, Division of Licensing Project Dated at Rockville, Maryland, this 29th day conditions), and (3) continued operation Management, Office of Nuclear Reactor of March 2001. Regulation. with a current TS setpoint until an For the Nuclear Regulatory Commission. [FR Doc. 01–8500 Filed 4–5–01; 8:45 am] outage of sufficient duration permits a E. William Brach, BILLING CODE 7590–01–P change to the setpoint (Unit 2 only). Director, Spent Fuel Project Office, Office of The application for the amendment Nuclear Material Safety and Safeguards. complies with the standards and NUCLEAR REGULATORY [FR Doc. 01–8503 Filed 4–5–01; 8:45 am] requirements of the Atomic Energy Act COMMISSION BILLING CODE 7590–01–P of 1954, as amended (the Act), and the [Docket No. 72–17] Commission’s rules and regulations. The Commission has made appropriate Trojan Nuclear Plant; Notice of NUCLEAR WASTE TECHNICAL findings as required by the Act and the Docketing of Materials License No. REVIEW BOARD Commission’s rules and regulations in SNM–2509, Amendment Application for 10 CFR Chapter I, which are set forth in the Trojan Independent Spent Fuel Board Meeting: May 8–9, 2001— the license amendment. Storage Installation Arlington, Virginia Notice of Consideration of Issuance of By letter dated February 19, 2001, Discussions of questions on important Amendment to Facility Operating Portland General Electric Company technical issues related to the DOE’s License and Opportunity for a Hearing (PGE) submitted an application to the Yucca Mountain site-evaluation efforts, in connection with this action was Nuclear Regulatory Commission (NRC including analysis of alternative published in the Federal Register on or the Commission) in accordance with repository designs, performance February 16, 2001 (66 FR 10756). No 10 CFR part 72 requesting an assessment of the natural and request for a hearing or petition for amendment of the Trojan Nuclear Plant engineered components of a repository leave to intervene was filed following independent spent fuel storage system, and evaluation of the effects of this notice. installation (ISFSI) license (SNM–2509) corrosion products on the waste package for the ISFSI located in Columbia environment. Updates on scientific and The Commission has prepared an County, Oregon. PGE is seeking engineering studies and on studies Environmental Assessment related to Commission approval to revise the dating fluid inclusions at Yucca the action and has determined not to Trojan ISFSI Technical Specifications Mountain. prepare an environmental impact (Appendix A to the license) to conform Pursuant to its authority under statement. Based upon the to a change in the Code of Federal section 5051 of Public Law 100–203, environmental assessment, the Regulations (10 CFR 72.48) which will Nuclear Waste Policy Amendments Act Commission has concluded that the become effective on April 5, 2001, and of 1987, on Tuesday, May 8, and issuance of the amendment will not to make editorial corrections. Wednesday, May 9, 2001, the Nuclear have a significant effect on the quality This application was docketed under Waste Technical Board (Board) will of the human environment (66 FR 10 CFR part 72. The ISFSI Docket No. hold a meeting in Arlington, Virginia, to 16689). is 72–17 and will remain the same for discuss U.S. Department of Energy For further details with respect to the this action. The amendment of an ISFSI (DOE) efforts to characterize a site at Yucca Mountain, Nevada, as the action see (1) the application for license is subject to the Commission’s possible location of a permanent amendment dated March 3, 2000, and approval. The Commission may issue either a repository for spent nuclear fuel and supplemented by letters dated March notice of hearing or a notice of proposed high-level radioactive waste. At the 24, June 5 (two letters), July 18, July 31, action and opportunity for hearing in meeting, the DOE will present updates September 1, September 22, October 5, accordance with 10 CFR 72.46(b)(1) or, on important aspects of its technical and October 9, November 20, and December if a determination is made that the scientific program by answering 18, 2000; and February 15 and February amendment does not present a genuine questions posed by the Board on 28, 2001, (2) Amendment No. 185 to issue as to whether public health and important technical issues related to the License No. DPR–19 and Amendment safety will be significantly affected, take evaluation of the Yucca Mountain site. No. 180 to License No. DPR–25, (3) the immediate action on the amendment in The meeting is open to the public, and Commission’s related Safety Evaluation, accordance with 10 CFR 72.46(b)(2) and opportunities for public comment will and (4) the Commission’s provide notice of the action taken and be provided. The Board is charged by Environmental Assessment. Documents an opportunity for interested persons to Congress with reviewing the technical may be examined, and/or copied for a request a hearing on whether the action and scientific validity of DOE activities fee, at the NRC’s Public Document should be rescinded or modified. related to managing spent nuclear fuel Room, located at One White Flint North, For further details with respect to this and high-level radioactive waste. 11555 Rockville Pike (first floor), application, see the application dated The Board meeting will be held at the Rockville, Maryland, and accessible February 19, 2001, which is available Hilton Arlington & Towers; 950 North electronically through the ADAMS for public inspection at the Stafford Street; Arlington, Virginia Public Electronic Reading Room link at Commission’s Public Document Room, 22203. The telephone number is (703) the NRC Web site (http://www.nrc.gov). One White Flint North Building, 11555 528–6000; the fax number is (703) 812– Rockville Pike, Rockville, MD, or from 5127. The meeting sessions will start at Dated at Rockville, Maryland, this 30th day the publicly available records 8 a.m. on both days. of March 2001. component of NRC’s Agencywide The morning session on Tuesday, Documents Access and Management May 8, will begin with a general System (ADAMS). ADAMS is accessible overview of the DOE program and a
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briefing on revisions to the Yucca the Board’s Web site at www.nwtrb.gov. seq.) provides, among other things, an Mountain project’s fiscal year 2001 Beginning on June 11, 2001, transcripts exemption from broker-dealer work plan. These presentations will be of the meeting will be available on the registration for foreign broker-dealers followed by updates on the DOE’s Board’s Web site, via e-mail, on that effect trades with or for U.S. analysis of alternative repository computer disk, and on a library-loan institutional investors through a U.S. designs, including the criteria used to basis in paper format from Davonya registered broker-dealer, provided that compare and evaluate the designs, and Barnes of the Board staff. the U.S. broker-dealers obtains certain on the DOE’s uncertainty study interim A block of rooms has been reserved at information about, and consents to report. After lunch, the DOE will the Arlington Hilton & Towers. When service of process from, the personnel of discuss efforts to develop multiple lines making a reservation, please state that the foreign broker-dealer involved in of evidence for increasing confidence in you are attending the Nuclear Waste such transactions, and maintains certain the repository safety case. The DOE then Technical Review Board meeting. For records in connection therewith. will address Board questions related to more information, contact the NWTRB; These requirements are intended to performance assessment; first on aspects Karyn Severson, External Affairs; 2300 ensure (a) that the U.S. broker-dealer of the natural system and then on the Clarendon Boulevard, Suite 1300; will receive notice of the identity of, engineered system. The questions on the Arlington, VA 22201–3367; (tel) 703– and has reviewed the background of, natural system involve the long-term 235–4473; (fax) 703–235–4495; (e-mail) foreign personnel who will contact U.S. climate model and its possible effects on [email protected]. institutional investors, (b) that the several aspects of repository The Nuclear Waste Technical Review foreign broker-dealer and its personnel performance assessment. The questions Board was created by Congress in the effectively may be served with process on the engineered barrier system (EBS) Nuclear Waste Policy Amendments Act in the event enforcement action is relate to differences in the performance of 1987. The Board’s purpose is to necessary, and (c) that the Commission of EBS components as designed and evaluate the technical and scientific has ready access to information their performance as installed, to the validity of activities undertaken by the potential consequences if weld concerning these persons and their U.S. Secretary of Energy related to managing securities activities. treatment technologies needed for the the disposal of the nation’s spent waste packages are not perfected, to the nuclear fuel and high level radioactive It is estimated that approximately effects of failure of the drip shields on waste. In the same legislation, Congress 2,000 respondents will incur an average repository and waste package directed the DOE to characterize a site burden of three hours per year to performance, to the effects of corrosion at Yucca Mountain, Nevada, to comply with this rule, for a total burden products on the postclosure waste determine its suitability as the location of 6,000 hours. At an average cost per package environment, and to the effects of a potential repository for the hour of approximately $100, the on certain design parameters of a cooler permanent disposal of spent nuclear resultant total cost of compliance for the repository design. fuel and high-level radioactive waste. respondents is $600,000 per year (2,000 The session on Wednesday, May 9, entities × 3 hours/entity × $100/hour = will begin with an update of scientific Dated: April 2, 2001. $600,000). William D. Barnard, and engineering activities at the Yucca Written comments are invited on: (a) Mountain site and will be followed by Executive Director, Nuclear Waste Technical Whether the proposed collection of Review Board. a briefing on corrosion investigations information is necessary for the proper conducted by the Nuclear Regulatory [FR Doc. 01–8476 Filed 4–5–01; 8:45 am] performance of the functions of the Commission’s Center for Nuclear Waste BILLING CODE 6820–AM–M agency, including whether the Regulatory Analysis. The Board then information will have practical utility; will hear from scientists from the (b) the accuracy of the agency’s estimate University of Nevada-Las Vegas, the SECURITIES AND EXCHANGE of the burden of the proposed collection State of Nevada, the U.S. Geological COMMISSION of information; (c) ways to enhance the Survey, and the Virginia Polytechnic quality, utility, and clarity of the Institute and State University on a joint [Extension: Rule 15a–6; SEC File No. 270– information to be collected; and (d) DOE-State of Nevada study dating fluid 329; OMB Control No. 3235–0371] ways to minimize the burden of the inclusions at Yucca Mountain. The collection of information on session is scheduled to end at Proposed Collection; Comment respondents, including through the use approximately 1:15 p.m. Request Opportunities for public comment of automated collection techniques or will be provided before adjournment on Upon Written Request, Copies Available other forms of information technology. both days. Those wanting to speak From: Securities and Exchange Commission, Consideration will be given to during the public comment periods are Office of Filings and Information Services, comments and suggestions submitted in Washington, DC 20549. encouraged to sign the ‘‘Public writing within 60 days of this Comment Register’’ at the check-in Notice is hereby given that pursuant publication. table. A time limit may have to be set to the Paperwork Reduction Act of 1995 Direct your written comments to on individual remarks, but written (44 U.S.C. 3501 et seq.), the Securities Michael E. Bartell, Associate Executive comments of any length may be and Exchange Commission Director, Office of Information submitted for the record. Interested (‘‘Commission’’) is soliciting comments Technology, Securities and Exchange parties also will have the opportunity to on the collection of information Commission, 450 5th Street, NW., submit questions in writing to the summarized below. The Commission Washington, DC 20549. plans to submit this existing collection Board. As time permits, the questions Dated: March 30, 2001. will be answered during the meeting. of information to the Office of A detailed agenda will be available Management and Budget for extension Margaret H. McFarland, approximately one week before the and approval. Deputy Secretary. meeting. Copies of the agenda can be Rule 15a–6 under the Securities [FR Doc. 01–8504 Filed 4–5–01; 8:45 am] requested by telephone or obtained from Exchange Act of 1934 (15 U.S.C. 78a et BILLING CODE 8010–01–M
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SECURITIES AND EXCHANGE JWB Aggressive Growth Fund Debt Strategies Fund, Inc. COMMISSION [File No. 811–9132] [File No. 811–8171] [Release No. IC–24921] Summary: Applicant seeks an order Debt Strategies Fund III, Inc. Notice of Applications for declaring that it has ceased to be an [File No. 811–8823] Deregistration Under Section 8(f) of the investment company. On May 18, 1999, Investment Company Act of 1940 applicant made a final liquidating Summary: Each applicant, a closed- distribution to its sole shareholder. end investment company, seeks an March 30, 2001. Expenses of $7,209 incurred in order declaring that it has ceased to be The following is a notice of connection with the liquidation were an investment company. On November 6, 2000, each applicant transferred its applications for deregistration under paid by JWB Investment Advisory & section 8(f) of the Investment Company assets to Debt Strategies Fund, Inc. Research, applicant’s investment Act of 1940 for the month of March, (formerly Debt Strategies Fund II, Inc.) adviser. 2001. A copy of each application may be based on net asset value. Total expenses obtained for a fee at the SEC’s Public Filing Dates: The application was of $976,107 were incurred in connection Reference Branch, 450 Fifth St., NW., filed on March 8, 2001, and amended on with the reorganizations and were paid Washington, DC 20549–0102 (tel. 202– March 20, 2001. by the acquiring fund. 942–8090). An order granting each Applicant’s Address: 810 Richards Filing Date: The applications were application will be issued unless the Street, Suite 123, Honolulu, HI 96813. filed on February 16, 2001. SEC orders a hearing. Interested persons may request a hearing on any Firstar Stellar Funds (formerly Star Applicant’s Address: 800 Scudders application by writing to the SEC’s Funds Mill Road, Plainsboro, NJ 08536. Secretary at the address below and [File No. 811–5762] The Achievement Funds Trust serving the relevant application by writing to the SEC’s Secretary at the Summary: Applicant seeks an order [File No. 811–5712] address below and serving the relevant declaring that it has ceased to be an Summary: Applicant seeks an order applicant with a copy of the request, investment company. By December 11, declaring that it has ceased to be an personally or by mail. Hearing requests 2000, each series of applicant had investment company. On February 26, should be received by the SEC by 5:30 transferred its assets to Firstar Funds, 2001, applicant transferred its assets to p.m. on April 24, 2001, and should be Inc. based on net asset value. Expenses Wells Fargo Funds Trust based on net accompanied by proof of service on the of $1,000,808 incurred in connection asset value. Applicant incurred no applicant, in the form of an affidavit or, with the reorganization were paid by expenses in connection with the for lawyers, a certificate of service. Firstar Investment Research & reorganization. Hearing requests should state the nature Management Company, LLC, investment Filing Date: The application was filed of the writer’s interest, the reason for the adviser to applicant and the acquiring on March 7, 2001. request, and the issues contested. Persons who wish to be notified of a fund. Applicant’s Address: One Freedom hearing may request notification by Filing Dates: The application was Valley Dr., Oaks, PA 19456. writing to the Secretary, SEC, 450 Fifth filed on February 13, 2001, and Prudential Employees Limited Street, NW., Washington, DC 20549– amended on March 9, 2001. Partnership 1986 0609. For Further Information Contact: Applicant’s Address: 615 East [File No. 811–4561] Diane L. Titus, at (202) 942–0564, SEC, Michigan Street, Milwaukee, WI 53202. Division of Investment Management, Prudential Employees Limited Office of Investment Company Managed Securities Plus Fund, Inc. Partnership 1987 Regulation, 450 Fifth Street, NW., [File No. 811–8045] Washington, DC 20549–0506. [File No. 811–5156] Summary: Applicant, a closed-end Pacific Innovations Trust Prudential Employees Limited investment company, seeks an order Partnership 1988 [File No. 811–7863] declaring that it has ceased to be an [File No. 811–5393] Summary: Applicant seeks an order investment company. On December 8, declaring that it has ceased to be an 2000, applicant made a final liquidating Summary: Each applicant, a closed- investment company. On February 11, distribution to its shareholders based on end investment company, seeks an 2000, Applicant distributed all of its net asset value. Prior to the liquidation order declaring that it has ceased to be assets at net asset value to its date, applicant’s floating rate notes were an investment company. On July 20, shareholders in connection with redeemed in accordance with their 1999, August 14, 1997, and December 3, Applicant’s liquidation. The following terms and applicant’s preferred stock 1997, respectively, applicants made a expenses were incurred in connection was redeemed in accordance with its liquidating distribution to their with the liquidation: Legal expenses of terms and paid the full liquidation shareholders based on net asset value. $16,267; Accounting expenses of Expenses of $7,205, $2,239 and $4,624, $1,500; Insurance tail coverage for preference plus all accrued dividends. Applicant incurred no expenses in respectively, incurred in connection directors of $32,500; Out-of-pocket costs with the liquidations were paid by each connection with the liquidation. of $2,062, and Final Tax Returns of applicant. $28,000. These expenses were paid by Filing Dates: The application was Filing Dates: The applications were an affiliate of Bank of America N.A. filed on December 27, 2000, and filed on January 10, 2001, and amended Filing Dates: The application was amended on March 12, 2001. filed on August 28, 2000 and amended on March 6, 2001. Applicant’s Address: 575 Lexington on March 28, 2001. Applicants Address: 6200 S. Syracuse Applicant’s Address: 103 Bellevue Avenue, 9th Floor, New York, NY Way, Suite 100, Englewood, Colorado Parkway, Wilmington, Delaware 19809. 10022. 80111.
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Summit Funds Management Fortis Fiduiciary Fund, Inc. For the Commission, by the Division of Corporation Investment Management, pursuant to [File No. 811–3269] delegated authority. [File No. 811–10009] Summary: Applicant seeks an order Margaret H. McFarland, Summary: Applicant, a closed-end declaring that it has ceased to be an Deputy Secretary. management investment company, investment company. On October 22, [FR Doc. 01–8468 Filed 4–5–01; 8:45 am] seeks an order declaring that it has 1998, applicant transferred its assets to ceased to be an investment company. Fortis Capital Fund, a portfolio of Fortis BILLING CODE 8010–01–M On February 27, 2001, applicant made Equity Portfolios, Inc., based on net a liquidating distribution to its asset value. Expenses of $112,926 SECURITIES AND EXCHANGE shareholders based on net asset value. incurred in connection with the COMMISSION Expenses of $7,000 incurred in reorganization were paid pro rata by connection with the liquidation were applicant and the acquiring fund. [Rel. No. IC–24922; File No. 812–12336] paid by applicant. Filing Dates: The application was Filing Date: The application was filed filed on December 27, 2000, and Barr Rosenberg Series Trust, et al. on February 28, 2001. amended on March 5, 2001. March 30, 2001. Applicant’s Address: 2 Crossfield Applicant’s Address: 500 Beilenberg AGENCY: Securities and Exchange Avenue, West Nyack, NY 10994. Drive, Woodbury, Minnesota 55125. Commission (the ‘‘Commission’’ or Nuveen Tax Exempt Unit Trust Series Van Kampen American Capital ‘‘SEC’’) 2 Municipal Bond Fund ACTION: Notice of application for an order pursuant to Section 17(b) of the [File No. 811–1030] [File No. 811–2683]; Investment Company Act of 1940 (the Summary: Applicant, a unit Van Kampen Merritt Money Market ‘‘1940 Act’’) for an exemption from investment trust, seeks an order Trust Section 17(a) of the 1940 Act. declaring that it has ceased to be an [File No. 811–3514]; investment company. On September 15, SUMMARY OF APPLICATION: The 1999, applicant made a liquidating Van Kampen American Capital Texas Applicants seek an order to permit the distribution to its shareholders based on Tax Free Income Fund sale of substantially all the assets of the net asset value. Applicant incurred no [File No. 811–6464]; Barr Rosenberg VIT Market Neutral expenses in connection with the Fund to the AXA Rosenberg Value liquidation. Van Kampen American Capital Utilities Market Neutral Fund (the ‘‘Merger’’). Filing Date: The application was filed Income Fund APPLICANTS: Barr Rosenberg Variable on February 28, 2001. Applicant’s Address: 333 West [File No. 811–7998]; Insurance Trust (the ‘‘VIT’’), on behalf Wacker Drive, Chicago, IL 60606. Summary: Each applicant seeks an of its Barr Rosenberg VIT Market order declaring that it has ceased to be Neutral Fund (the ‘‘VIT Fund’’), Barr Managed High Yield Fund Inc. an investment company. On September Rosenberg Series Trust (the ‘‘Series [File No. 811–7804] 22, 1995, Van Kampen American Trust’’ and, together with the VIT, the ‘‘Trust’’), on behalf of its AXA Summary: Applicant, a closed-end Capital Municipal Bond Fund Rosenberg Value Market Neutral Fund management investment company, transferred its assets to Van Kampen (the ‘‘Value Fund’’ and, together with seeks an order declaring that it has Municipal Income fund based on net the VIT Fund, the ‘‘Funds’’), the Funds’ ceased to be an investment company. asset value. On September 22, 1995, Van investment adviser, AXA Rosenberg On June 2, 2000, applicant transferred Kampen Merritt Money Market Trust Investment Management LLC (the its assets to Managed High Yield Plus transferred its assets to Van Kampen ‘‘Adviser’’) and the VIT Fund’s sole Fund Inc. based on net asset value. Reserve Fund based on net asset value. shareholder and the parent company to Expenses of $214,000 incurred in On October 25, 1996, Van Kampen the Adviser, AXA Rosenberg Group connection with the reorganization were American Capital Texas Tax Free LLC, (‘‘AXA Rosenberg Group’’ and, paid by applicant. Income Fund transferred its assets to Filing Date: The application was filed Van Kampen Municipal Income Fund together with the Trusts, the Funds and on March 5, 2001. based on net asset value. On September the Adviser, the ‘‘Applicants’’). Applicant’s Address: 51 West 52nd 27, 1995, Van Kampen American FILING DATE: The application was filed Street, New York, NY 10019–6114. Capital Utilities Income Fund on November 21, 2000, and amended transferred its assets to Van Kampen and restated on March 29, 2001. Merrill Lynch Convertible Fund, Inc. Utility Fund based on net asset value. HEARING OR NOTIFICATION OF HEARING: An [File No. 811–4311] Expenses of $100, $100, $160, and $100, order granting the application will be Summary: Applicant seeks an order respectively, incurred in connection issued unless the Commission orders a declaring that it has ceased to be an with the reorganizations were paid by hearing. Interested persons may request investment company. On December 18, the investment adviser to each a hearing by writing to the Secretary of 2000, applicant transferred its assets to applicant, Van Kampen Asset the Commission and serving Applicants Merrill Lynch Balanced Capital Fund, Management Inc. with a copy of the request, personally or Inc. based on net asset value. Expenses Filing Dates: The applications were by mail. Hearing requests should be of $163,986 incurred in connection with filed on January 8, 2001, and amended received by the Commission by 5:30 the reorganization were paid by Merrill on March 1, 2001. Van Kampen p.m. on April 24, 2001, and should be Lynch Investment Managers, LLP, American Capital Municipal Bond Fund accompanied by proof of service on the applicant’s investment adviser. filed a second amendment to its Applicants in the form of an affidavit or, Filing Date: The application was filed application on March 20, 2001. for lawyers, certificate of service. on February 21, 2001. Applicants’ Address: 1 Parkview Hearing requests should state the nature Applicant’s Address: 800 Scudders Plaza, PO Box 5555, Oakbrook Terrace, of the writer’s interest, the reason for the Mill Road, Plainsboro, NJ 08536. Illinois 60181–5555. request, and the issues contested.
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Persons who wish to be notified of a 4. AXA Rosenberg Group, a holding which are the same as those set forth in hearing may request notification by company for the AXA Rosenberg the VIT’s registration statement and are writing to the Secretary of the businesses, is the sole member and similar to those suggested under Rule Commission. 100% owner of the Adviser and as such 17a–7 under the 1940 Act. No sales may be deemed an affiliate of the charge or fee of any kind will be charged ADDRESSES: Secretary, Securities and Adviser under the 1940 Act. AXA to the Value Fund’s shareholders in Exchange Commission, 450 Fifth Street, Rosenberg Group is a controlling connection with the Merger. NW., Washington, DC 20549–0609; shareholder of the VIT Fund and 9. The Agreement and Declaration of Applicants: c/o Joseph B. Kittredge Jr., therefore may be deemed an affiliate of Trust of the VIT, as amended, provides Esq., Ropes & Gray, One International the Value Fund by virtue of its that the Trust’s Board of Trustees must Place, Boston, Massachusetts 02110. beneficial ownership, as of January 31, approve a sale of substantially all the FOR FURTHER INFORMATION CONTACT: 2001, of 100% of the outstanding voting assets of any series of the VIT and that Martha Atkins, Attorney, at (202) 942– securities of the VIT Fund. the Board of Trustees may submit such 0668, or Keith Carpenter, Branch Chief, 5. The VIT Fund was originally matters to the shareholders of the VIT at (202) 942–0679, Office of Insurance launched by the VIT as a clone of its Fund, which it has done. AXA Products, Division of Investment retail counterpart, the Value Fund. Rosenberg Group, as the sole Management. Accordingly, the investment objective shareholder of the VIT Fund, has SUPPLEMENTARY INFORMATION: The and strategies of the VIT Fund are indicated that it will approve the following is a summary of the substantially identical to those of the Merger, and therefore it is intended that application. The complete application is Value Fund as described above. there will be no proxy solicitation in 6. The Adviser is the investment available for a fee from the SEC’s Public connection therewith. Instead, the VIT adviser to both Trusts and the Funds. Reference Branch, 450 Fifth Street, NW., has filed a registration and information The Adviser is responsible for making Washington, DC 20549–0102 (telephone statement with the Commission on investment decisions for the Funds and Form N–14 detailing the proposed (202) 942–8090). managing the Funds’ other affairs and Merger and intends to send the Applicants’ Representations business, subject to the supervision of Prospectus/Information Statement the Trust’s Board of Trustees. The 1. The Series trust is a Massachusetts contained therein to AXA Rosenberg Adviser also provides investment business trust organized under the laws Group shortly after such registration and advisory services to a number of information statement becomes of The Commonwealth of Massachusetts institutional investors as well as the effective. and is registered on Form N–1A under other portfolios of the Series Trust. 10. The terms of the proposed Merger the 1940 Act as a diversified, open-end 7. Since its inception, the VIT Fund were presented to the Trusts’ Board of management investment company. The has never achieved returns sufficient to Trustees at their meeting on December Series Trust has issued shares of enable the Adviser to market its shares 4, 2000. At that time, the Board beneficial interest in ten series, each of successfully to insurance company determined that the Merger is in the best which represents an interest in a separate accounts. Consequently, the interests of the shareholders of the different investment portfolio. Each Adviser continues to incur the Value Fund and the shareholder of the series of the Series Trust, including the substantial costs of maintaining the VIT VIT Fund and that the interests of the Value Fund, is managed by the Adviser. Fund, even though its asset base has Value Fund’s shareholders will not be 2. The Value Fund’s investment never grown beyond the contributions diluted thereby, in each case as required objective is to increase the value of an of AXA Rosenberg Group. Given its under rule 17a–8 under the 1940 Act. investment in bull markets and in bear historical record, the VIT Fund is 11. The Applicants believe that the markets through strategies designed to unlikely to attract insurance companies Merger as proposed is consistent with maintain limited net exposure to general to utilize it as a funding vehicle for the interests of the Value Fund’s equity market risk. It seeks to achieve its variable products and thus is expected shareholders because the Funds have investment objective by buying common to present a constant drain on the substantially identical investment stocks that the Adviser believes are Adviser’s assets while providing no objectives and strategies and because undervalued and by ‘‘selling short’’ benefit to the investing public. the injection of additional capital into stocks that the Adviser believes are 8. The Trusts are proposing to effect the Value Fund is expected to increase overvalued. The Value Fund seeks to the Merger pursuant to an Agreement economies of scale for its shareholders have approximately equal dollar and Plan of Reorganization (the ‘‘Plan’’). to the extent that certain of the Value amounts invested in long and short The Plan provides that substantially all Fund’s expenses are fixed and do not positions and near neutral exposure to of the assets, subject to the liabilities, of vary with asset size. specific industries, specific the VIT Fund will be sold to the Value 12. Applicants agree that the terms of capitalization ranges and certain other Fund. The Plan further provides that, as and conditions to the issuance of an risk factors. The Value fund invests payment for such assets, the Value Fund order granting the section 17(b) primarily in stocks that are principally will issue to the VIT Fund a number of exemption requested by the Applicants traded in the markets of the United its Institutional Shares having an are that: States, and measures its performance by aggregate net asset value equal to the (a) The Trusts’ Board of Trustees, a comparison to 3-month U.S. Treasury aggregate value of the net assets of the including a majority of the Trusts’ Bills. VIT Fund exchanged therefor. Those independent Trustees voting separately, 3. The VIT is a Massachusetts Institutional Shares of the Value Fund has determined (1) that participation in business trust organized under the laws will then be distributed to AXA the Merger is in the best interests of of The Commonwealth of Massachusetts Rosenberg Group, as the VIT Fund’s sole each of the VIT Fund and the Value and is registered on Form N–1A under shareholder. The value of the assets of Fund, and (2) that the interests of the the 1940 Act as a diversified, open-end both Funds will be calculated in Value Fund’s shareholders will not be management investment company. The accordance with the Series Trust’s diluted as a result of the Merger; sole series of the VIT is the VIT Fund, valuation procedures as set forth in the (b) All securities positions valued in which is managed by the Adviser. Series Trust’s registration statement, connection with the Merger will be
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consistently valued in accordance with other Separate Accounts and the FOR FURTHER INFORMATION CONTACT: the Series Trust’s valuation procedures, Insurance Company Applicants, Curtis A. Young, Senior Counsel, or which are substantially identical to ‘‘Applicants’’). Lorna J. MacLeod, Branch Chief, Office those of the VIT and similar to those SUMMARY OF APPLICATION: Applicants of Insurance Products, Division of suggested under Rule 17a–7 under the request an order permitting the Investment Management at (202) 942– 1940 Act; and substitution (1) by the AGL Separate 0670. (c) The Merger will be reviewed Account of shares of the Global Equity SUPPLEMENTARY INFORMATION: The during the following quarter by the Portfolio (‘‘Global Equity Portfolio’’) for following is a summary of the Series Trust’s Trustees, including the shares of the Asian Equity Portfolio application. The complete application is independent Trustees, for purposes of (‘‘Asian Equity Portfolio’’); (2) by the available for a fee from the SEC’s Public determining that the condition set forth Integrity Separate Account and the Reference Branch, 450 Fifth Street, NW., in (b) above has been met. National Integrity Separate account Washington, DC 20549 (tel. (202) 942– For the Commission, by the Division of (collectively, the ‘‘Integrity Separate 8090). Investment Management, under delegated Accounts’’) of shares of the Janus Aspen authority. Worldwide Growth Portfolio— Applicants’ Representations Margaret H. McFarland, Institutional Shares (the ‘‘Janus 1. American General is a stock life Deputy Secretary. Wordwide Growth Portfolio’’) for shares insurance company organized under the [FR Doc. 01–8467 Filed 4–5–01; 8:45 am] of the Asian Equity Portfolio; (3) by laws of the State of Texas and is a BILLING CODE 8010–01–M Ameritas VA Separate Account and the successor in interest to a company Ameritas VUL Separate Account of originally organized under the laws of shares of the Global Equity Portfolio for the State of Delaware in 1917. American SECURITIES AND EXCHANGE shares of the Asian Equity Portfolio; and General is an indirect, wholly-owned COMMISSION (4) by the Americas VA Separate subsidiary of American General [Rel. No. IC–24923; File No. 812–12376] Account and Americas VUL Separate Corporation, a diversified financial Account of shares of the Variable services holding company engaged American General Life Insurance Insurance Products—Initial Class (the primarily in the insurance business. Company, et al. ‘‘Fidelity Overseas Portfolio’’) for shares 2. The AGL Separate Account was of the Asian Equity Portfolio. The established in 1973 by American March 30, 2001. Global Equity Portfolio, Janus General. The AGL Separate Account is AGENCY: Securities and Exchange Worldwide Growth Portfolio and a separate account under Texas law that Commission (‘‘SEC’’ or ‘‘Commission’’) Fidelity Overseas Portfolio are referred is used for the purpose of funding ACTION: Notice of application for an to herein as the ‘‘Substitute Portfolios.’’ variable annuity contracts issued by order pursuant to Section 26(b) of the FILING DATE: The application was filed American General. The ‘‘Generations ’’ Investment Company Act of 1940, as on December 22, 2000, and amended variable annuity contract (File No. 33– amended (the ‘‘Act’’), approving certain and restated on March 16, 2001. 433890) is the only American General substitutions of securities. contract affected by this application (the HEARING OR NOTIFICATION OF HEARING: An ‘‘AGL VA Contract’’). The AGL Separate APPLICANTS: American General Life order granting the application will be Account is registered under the Act as Insurance Company (‘‘American issued unless the Commission orders a a unit investment trust (File No. 811– General’’), American General Life hearing. Interested persons may request 2441). Insurance Company Separate Account D a hearing by writing to the Secretary of 3. Ameritas is a stock life insurance (the ‘‘AGL Separate Account’’), the Commission and serving Applicants company organized in the State of Ameritas Variable Life Insurance with a copy of the request, personally or Nebraska in 1983. Ameritas is a wholly- Company (‘‘Ameritas’’), Ameritas by mail. Hearing requests must be owned subsidiary of AMAL Variable Life Insurance Company received by the Commission by 5:30 Corporation, a Nebraska stock company. Separate Account VA–2 (the ‘‘Ameritas p.m. on April 24, 2001, and should be AMAL Corporation is a joint venture of VA Separate Account’’), Ameritas accompanied by proof of service on Ameritas Life Insurance Corp, a Variable Life Insurance Company Applicants in the form of an affidavit or, Nebraska stock life insurance company Separate Account V (the ‘‘Ameritas VUL for lawyers, a certificate of service. that owns a majority interest in AMAL Separate Account,’’ collectively with the Hearing requests should state the nature Corporation, and AmerUs Life Insurance Ameritas VA Separate Account, the of the writer’s interest, the reason for the Company, an Iowa stock life insurance ‘‘Ameritas Separate Accounts’’), request, and the issues contested. company that owns a minority interest Integrity Life Insurance Company Persons who wish to be notified of a in AMAL Corporation. (‘‘Integrity’’) Integrity Life Insurance hearing may request notification by 4. The Ameritas VA Separate Account Company Separate Account II (the writing to the Secretary of the SEC. was established in 1987 under Nebraska ‘‘Integrity Separate Account’’), National ADDRESSES: Secretary, Securities and law. The Americas VA Separate Integrity Life Insurance Company Exchange Commission, 450 Fifth Street, Account is registered under the Act as (‘‘National Integrity,’’ collectively with NW., Washington, DC 20549–0609; a unit investment trust (File No. 811– American General, Ameritas and American General and the AGL Separate 05192) and is used to fund variable Integrity, the ‘‘Insurance Company Account, P.O. Box 1401, Houston, annuity contracts issued by Ameritas. Applicants’’), National Integrity Life Texas, 77251–1401; Ameritas and the Six variable annuity contrasts issued by Insurance Company Separate Account II Ameritas Separate Accounts, 5900 ‘‘O’’ Ameritas (File Nos. 333–46675, 333– (the ‘‘National Integrity Separate Street, Lincoln, Nebraska 68510 and 36507, 33–14774, 33–33844, 33–58642 Account,’’ collectively with the AGL Integrity, National Integrity, the and 33–98848) (the ‘‘Ameritas VA Separate Account, the Ameritas Integrity Separate Account and the Contracts’’) are affected by this Separate Accounts and the Integrity National Integrity Separate Account, application. Separate Account, the ‘‘Separate P.O. Box 740074, Louisville, Kentucky 5. The Americas VUL Separate Accounts,’’ and collectively with the 40202–3319. Account was established in 1985 under
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Nebraska law. The Ameritas VUL respective Insurance Company and to substitute, for the shares held in Separate Account is registered under the Applicants. Accordingly, all of the any Subaccount, the shares of another Act as a unit investment trust (File No. assets of each Insurance Company Portfolio or the shares of another 811–04473) and is used to fund variable Applicant are available to meet its underlying mutual fund. life insurance policies issued by obligations under its Contracts. Each 17. Each of the Ameritas VA Contracts Ameritas. Six variable universal life Separate Account meets the definition and Ameritas VUL Contracts reserves insurance contracts (File Nos. 33–30019, of ‘‘separate account’’ contained in the right to add, delete, combine or 333–14845, 333–71505, 333–15585, 33– Section 2(a)(37) of the Act. substitute Subaccounts of the Ameritas 01576 and 333–95163) (the ‘‘Ameritas 11. Each of the Contracts permits Separate Accounts. Ameritas Contract VUL Contracts’’) are affected by this allocations of accumulation value to owners will be notified of any such application. available Subaccounts that invest in action (for example, the Substitutions 6. Integrity is a stock life insurance specific investment portfolios proposed herein) that materially affects company organized under the laws of (‘‘Portfolios’’) of underlying mutual a Subaccount in which they have an Ohio. Integrity is a subsidiary of funds. At the time of filing the interest. Western and Southern Life Insurance application, the AGL VA Contract had a 18. The Integrity and National Company, a mutual life insurance total of 17 Portfolios available, the Integrity Contracts each reserves the company originally organized under the Ameritas VA Contracts and Ameritas right, upon notice to Contract owners, to laws of Ohio in 1888. VUL Contracts each had a total of 31 add, combine or remove Subaccounts, 7. The Integrity Separate Account was Portfolios, and the Integrity and or to withdraw assets from one established under Ohio law in 1992. National Integrity Contracts each had a Subaccount and put them into another The Integrity Separate Account is total of 34 Portfolios. One Subaccount of Subaccount. registered under the Act as a unit each Contract invests in the Asian 19. The Asian Equity Portfolio is a investment trust (File No. 811–7134) Equity Portfolio of The Universal separate investment portfolio of the and is used to fund variable annuity Institutional Funds, Inc. (‘‘Universal Universal Funds, an open-end contracts issued by Integrity. One Funds’’). management investment company variable annuity contract (File No. 33– 12. Each Contract permits transfers of registered under the Act (File Nos. 811– 51268) (the ‘‘Integrity Contract’’) is accumulation value from one 7607 and 333–03013), and is currently affected by this application. Subaccount to another Subaccount of an investment option under all of the 8. National Integrity is a stock life the issuing Separate Account at any Contracts. The Asian Equity Portfolio is insurance company organized under the time prior to annuitization, subject to managed by Morgan Stanley Asset laws of New York. National Integrity is certain restrictions and charges Management (‘‘MSAM’’). a direct subsidiary of Integrity and an described below. No sales charge 20. The investment objective of the indirect subsidiary of Western and applies to such a transfer of Asian Equity Portfolio is to seek long- Southern Life Insurance Company. accumulation value among term capital appreciation by investing 9. The National Integrity Separate Subaccounts. primarily in equity securities of Asian Account was established under New 13. The AGL VA Contract permits up issuers. The total expenses of the Asian York law in 1992. The National Integrity to 12 free transfers in a contract year. A Equity Portfolio for the fiscal year ended Separate Account is registered under the fee of $25 may be imposed on transfers December 31, 2000, were 1.33% (on an Act as a unit investment trust (File No. in excess of 12 in a contract year. annual basis) of average daily net assets. 811–7132) and is used to fund variable Transfers that cause the amount Absent voluntary reimbursements by annuity contracts issued by National remaining in a Subaccount to be less MSAM, those expenses would have Integrity. One variable annuity contract than $500 are treated as requests to been 2.97%. The average annual total File No. 33–51126) (the ‘‘National transfer the entire amount in that returns of the Asian Equity Portfolio Integrity Contract,’’ collectively with the Subaccount. (exclusive of Contract or Subaccount AGL VA Contract, Ameritas VA 14. Each Ameritas VA Contract and charges) were ¥44.38% for the year Contracts, Ameritas VUL Contracts, and each Ameritas VUL Contract permits up ended December 31, 2000, and Integrity Contract, the ‘‘Contracts’’) is to 15 free transfers during any contract ¥15.33% for the period from its affected by this application. year. A fee of $10 may be imposed on inception on March 3, 1997, through 10. Purchase payments for the transfers in excess of 15 in a contract December 31, 2000. Contracts are allocated to one or more year. Each transfer must be at least $250 21. MSAM has indicated to the board subaccounts of the Separate Accounts or, if less, the entire amount in the of directors of the Universal Funds and (‘‘Subaccounts’’). Income, gains and Subaccount from which values are to be to the Insurance Company Applicants losses, whether or not realized, from transferred. Because at least $100 must that the small size of the Asian Equity assets allocated to the Separate remain in a Subaccount after a transfer, Portfolio makes it difficult to manage Accounts are, as provided in the a request to transfer values from a efficiently. The board of directors of the Contracts, credited to or charged against Subaccount with $350 or less in it is Universal Funds concluded, in a the Separate Account without regard to treated as a request to transfer the full meeting held on September 12, 2000, other income, gains or losses of the amount in that Subaccount. that it would be prudent to work with respective Insurance Company 15. The Integrity and National the Insurance Company Applicants to Applicants. The assets maintained in Integrity Contracts permit up to 12 free evaluate the steps necessary to liquidate the Separate Accounts will not be transfers during any contract year. A fee the Asian Equity Portfolio in a timely charged with any liabilities arising out of $20 may be imposed on transfers in and orderly manner. of any other business conducted by the excess of 12 in a contract year. Transfers 22. The Global Equity Portfolio is respective Insurance Company must be at least $250, or, if less, the another separate investment portfolio of Applicants. Nevertheless, all obligations entire amount in the Subaccount from the Universal Funds and is currently an arising under the Contracts, including which values are to be transferred. investment option under all of the the commitment to make annuity 16. The AGL VA Contract reserves the Contracts other than the Integrity and payments or death benefit payments, are right, upon notice to Contract owners, to National Integrity Contracts. The Global general corporate obligations of the add, combine or remove Subaccounts Equity Portfolio is managed by MSAM.
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The investment objective of the Global stocks. The total expenses of the in that Portfolio on or after the date of Equity Portfolio is to seek long-term Fidelity Overseas Portfolio for the ended substitution. In addition, the Stickers capital appreciation by investing December 31, 2000, were 0.89%. The will inform these affected Contract primarily in equity securities of issuers average annual total returns of the owners that they will have an throughout the world, including U.S. Fidelity Overseas Portfolio were 19.07% opportunity to reallocate accumulation issuers. The total expenses of the Global for the year ended December 31, 2000, value: Equity Portfolio for the fiscal year ended 10.44% respectively for the five-year • Prior to the Substitutions, from the December 31, 2000, were 1.15% (on an period ended on that date and 9.28% for Subaccounts investing in the Asian annual basis) of average daily net assets. the ten-year period ended on that date. Equity Portfolio, or Absent voluntary reimbursements by 25. Applicants seek an order • For 30 days after the Substitutions, MSAM, those expenses would have permitting the substitution: from the Subaccounts investing in the been 1.43%. The average annual total (a) By the American General relevant Substitute Portfolio to returns of the Global Equity Portfolio Subaccount of shares of the Global Subaccounts investing in other (exclusive of Contract or Subaccount Equity Portfolio for shares of the Asian Portfolios available under the respective charges) were 11.46% for the year ended Equity Portfolio (a ‘‘Global Equity Contracts, Substitution’’); December 31, 2000, and 12.13% for the Without the imposition of any transfer period from its inception on January 2, (b) By the Integrity and National Integrity Subaccounts of shares of the charge or limitation and without 1997, through December 31, 2000. diminishing the number of free transfers 23. Janus Worldwide Growth Portfolio Janus Worldwide Growth Portfolio for that may be made in a given contract is a separate investment portfolio of shares of the Asian Equity Portfolio (the year. Janus Aspen Series, a registered open ‘‘Janus Substitution’’); 28. The prospectuses for the end management investment company (c) By the Ameritas VA Subaccount (File Nos. 811–7736 and 33–63212). and the Ameritas VUL Subaccount of Contracts, as modified by the Stickers, Janus Worldwide Growth Portfolio is shares of the Global Equity Portfolio for will reflect the Substitutions. Each currently an investment option under shares of the Asian Equity Portfolio held Contract owner will have been provided the Integrity and National Integrity in connection with one Ameritas VA a prospectus for the relevant Substitute Contracts. Janus Worldwide Growth Contract (File No. 333–46675) and two Portfolio before the Substitutions. Portfolio is managed by Janus Capital Ameritas VUL Contracts (File Nos. 333– Within five days after the Substitutions, Corporation. The investment objective 71505 and 333–95163) (a ‘‘Global Equity each Insurance Company Applicant will of Janus Worldwide Growth Portfolio is Substitution’’); and send to affected Contract owners written to seek long-term growth of capital in a (d) By the Ameritas VA Subaccount confirmation that the Substitutions have manner consistent with the preservation and the Ameritas VUL Subaccount of occurred. That confirmation will of capital. It pursues its objective by shares of the Fidelity Overseas Portfolio reiterate the free transfer rights investing primarily in common stocks of for shares of the Asian Equity Portfolio disclosed in the Sticker. companies of any size throughout the held in connection with the remaining 29. The Insurance Company world. It normally invests in issuers five Ameritas VA Contracts and four Applicants will pay all expenses and from at least five different countries, Ameritas VUL Contracts. transaction costs of the Substitutions, including the United States, although 26. Each Substitution will take place including all legal, accounting and from time to time it may invest in fewer at the applicable Portfolios’ relative net brokerage expenses relating to the than five countries, or even a single asset values determined on the date of Substitutions or this amended and country. The total expenses of Janus the Substitutions in accordance with restated application. MSAM has agreed Worldwide Growth Portfolio for the year section 22 of the Act and Rule 22c–1 to reimburse the Insurance Company ended December 31, 2000, were 0.69%. thereunder. Accordingly, there will be Applicants for all of those costs. No The average annual total returns of no financial impact to any Contract costs will be borne by contract owners. Janus Worldwide Growth Portfolio owner. Each Substitution will be Affected Contract owners will not incur were—15.67% for the one-year period effected by having each Subaccount that any fees or charges as result of the ended December 31, 2000, 19.39% for invests in the Asian Equity Portfolio Substitutions, nor will their rights or the the five-year period ending on that date redeem its shares of the Asian Equity obligations of the Insurance Company and 22.28% for the period from the Portfolio at the net asset value Applicants under the Contracts be inception of that Portfolio to December calculated on the date of the altered in any way. The Substitutions 31, 2000. Substitutions and purchase shares of the will not cause the fees and charges 24. Fidelity Overseas Portfolio is a appropriate Substitute Portfolio at the under the Contracts currently being paid separate investment portfolio of net asset value calculated on the same by contract owners to be greater after the Variable Insurance Products Fund (File date. Substitutions than before the Nos. 811–3329 and 2–75010) and is 27. The Substitutions requested in Substitutions. currently an investment option under this application will be described in Applicants’ Legal Analysis five Ameritas VA Contracts (File Nos. supplements to the prospectuses for the 333–36507, 33–14774, 33–33844, 33– Contracts (‘‘Stickers’’) filed with the 1. Applicants believe that their 58642 and 33–98848) and four Ameritas Commission and mailed to Contract request satisfies the standards for relief VUL Contracts (File Nos. 33–30019, owners. Each Sticker will give the of Section 26(b) of the Act because: 333–14845, 333–15585 and 33–01576). relevant contract owners notice of the • After each Substitution, affected The Fidelity Overseas Portfolio is Substitution that would affect their Contract owners will have Contract managed by Fidelity Management and Contract and will describe the reasons values allocated to a Subaccount Research Company. The investment for engaging in that Substitution. The investing in the available Portfolio with objective of the Fidelity Overseas Stickers will also inform existing investment policies that most closely Portfolio is to seek long-term growth of Contract owners with values allocated resemble the Asian Equity Portfolio’s capital. It pursues its objective by to a Subaccount investing in the Asian investment policies, that is less investing at least 65% of its total assets Equity Portfolio that no amounts may be expensive than the Asian Equity in foreign securities, normally common allocated to the Subaccounts that invest Portfolio and that has had better
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performance than the Asian Equity Portfolio, involves seeking long-term are differences between the investment Portfolio; and capital appreciation by investing in objectives and policies of the Asian • Absent the Substitutions, Contract foreign equity securities. Equity Portfolio and those of a owners would have Contract values (b) The costs of the Substitutions will Substitute Portfolio, it represents a allocated to a Portfolio whose expenses be borne by the Insurance Company move to a more geographically could reasonably be expected to Applicants and will not be borne by diversified (and thus more conservative) increase, which could negatively impact Contract owners. No charges will be portfolio. In the Janus Substitution, the its performance. assessed to the Contract owners to effect Substitute Portfolio also is more 2. The legislative history makes clear the Substitutions. conservative because that Portfolio that the purpose of Section 26(b) is to (c) The Substitutions will, in all cases, seeks capital preservation in addition to protect the expectation of investors in a be at net asset values of the respective capital growth. Where the investment unit investment trust that the unit shares, without the imposition of any objectives and policies of the substitute investment trust will accumulate shares transfer or similar charge and with no fund were more conservative than those of a particular issuer by preventing change in the amount of any Contract of the eliminated fund, applicants have unscrutinized substitutions which owner’s accumulation value. might, in effect, force shareholders (d) The Substitutions will not cause been permitted some leeway with regard dissatisfied with the substituted security the fees and charges under the Contracts to how close the investment objectives to redeem their shares, thereby possibly currently being paid by Contract owners and policies of a substitute fund must be incurring either a loss of the sales load to be greater after the Substitutions than to those of the eliminated fund. For deducted from initial premium before the Substitutions and in each example, an international growth payments, an additional sales load upon case will result in Contract owners’ portfolio has been permitted to be reinvestment of the redemption contract values being moved to a substituted for an emerging markets proceeds, or both. Moreover, in the Portfolio with lower expenses than the portfolio, a fund that could invest no insurance product context, a Contract expenses of the Asian Equity Portfolio. more than 25% of its assets in foreign owner forced to redeem may suffer (e) All Contract owners will be given securities was permitted to be adverse tax consequences. Section 26(b) notice of the Substitutions prior to the substituted for a fund that invested at affords this protection to investors by Substitutions and will have an least 65% of its assets in foreign preventing a depositor or trustee of a opportunity to reallocate accumulation securities, and a fund seeking to unit investment trust that holds shares value among other available maximize total return by actively of one issuer from substituting for those Subaccounts without the imposition of allocating assets among sub-portfolios shares the shares of another issuer, any transfer charge or limitation. consisting of a global equity portfolio, a unless the Commission approves that Neither of the following categories of global bond portfolio, a capital substitution. transfers will count against a Contract appreciation portfolio and a money 3. The purposes, terms and conditions owner’s free transfers in a contract year: market portfolio was permitted to be • of the Substitutions are consistent with Transfers of accumulation value substituted for a foreign securities the principles and purposes of Section from a Subaccount investing in the portfolio that sought long-term capital 26(b) and do not entail any of the abuses Asian Equity Portfolio from the date of appreciation by investing in equity that Section 26(b) is designed to notice through the date of the securities of foreign issuers. prevent. Substitution is a necessary and Substitutions, and appropriate solution to a situation • Transfers to another Subaccount of Conclusion where, because a Portfolio is being, or accumulation value that had been likely to be, liquidated by its Board of transferred to a Subaccount that invests Applicants request an order of the Directors, continued investment in that in a Substitute Portfolio as a result of Commission pursuant to section 26(b) of Portfolio will, or likely will, not remain the Substitutions, for 30 days after the the Act approving the proposed possible. The Commission has routinely Substitutions. Substitutions. Section 26(b), in approved substitutions involving (f) Within five days after the pertinent part, provides that the incipient liquidations. Moreover, each Substitutions, each Insurance Company Commission shall issue an order Insurance Company Applicant has Applicant will send to its Contract approving a substitution of securities if reserved the right to make such a owners written confirmation that the the evidence establishes that it is Substitution in the respective Contracts Substitutions have occurred. consistent with the protection of and each has disclosed this reserved (g) The Substitutions will in no way investors and the purposes fairly right in the prospectuses for the alter the insurance benefits to Contract intended by the policy and provisions of respective Contracts. owners or the contractual obligations of the Act. For the reasons and upon the 4. The Substitutions will not result in the Insurance Company Applicants. facts set forth above, the requested the type of costly forced redemption (h) The Substitutions will in no way orders meet the standards set forth in that Section 26(b) was intended to guard alter the tax benefits to Contract owners section 26(b) and should, therefore, be against and, for the following reasons, and no tax liability will be created for granted. are consistent with the protection of Contract owners as a result of the investors and the purposes fairly Substitutions. For the Commission, by the Division of intended by the Act: 5. Substitutions have been common Investment Management, pursuant to (a) In the case of each Substitution, where the substitute fund has delegated authority. the Substitute Portfolio is an investment objectives and policies that Margaret H. McFarland, appropriate Portfolio to which to move are similar to those of the eliminated Deputy Secretary. the contract values of Contract owners fund, expenses lower than those of the [FR Doc. 01–8469 Filed 4–5–01; 8:45 am] with values allocated to the Asian eliminated fund and performance Equity Portfolio because its investment similar to or better than that of the BILLING CODE 8010–01–M objective, like that of the Asian Equity eliminated fund. To the extent that there
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SECURITIES AND EXCHANGE 19(b)(3)(A)(ii) of the Act 3 that imposed specialist’s use in attracting orders in COMMISSION transaction fees on specialists and the classes of options that are traded at ROTs. One proposal imposed a new the specialist’s station. ROTs who [Release No. 34–44143; File No. SR–Amex– 01–12] equity option marketing fee of $0.40 on contribute to the fees collected will also transactions of specialist and ROTs, be able to participate in the order flow Self-Regulatory Organizations; Notice excluding transactions in QQQ options, derived from the program. The Amex of Filing and Immediate Effectiveness and allowed the specialists to use the believes that there will be a fair of Proposed Rule Change by the proceeds from the marketing fee to correlation between the fees that the American Stock Exchange LLC attract order flow in equity options specialist and the ROTs contribute to Relating to Fees on Transactions of traded on the Amex.4 The other the program and the benefits that they the Specialist and Registered Option proposal increased, from $0.17 to $0.47 will receive from it. per contract, the fee imposed on the Traders in Nasdaq 100 Index Options Under the program, the Amex specialist and ROTs for transactions in April 2, 2001. QQQ options in which a public provides administrative support to the Pursuant to section 19(b)(1) of the customer (defined as a non-broker- QQQ option specialist in such matters Securities Exchange Act of 1934 dealer) is a party to the trade.5 The as keeping tract of the number of (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 Amex now proposed to apply the equity qualified orders that each firm directs to notice is hereby given that on March 1, option marketing fee to the transactions the Exchange, and making debits and 2001, the American Stock Exchange LLC of the specialist and ROTs in QQQ credits to the accounts of the specialist (‘‘Amex’’ or ‘‘Exchange’’) filed with the options, and to decrease from $0.47 to and the firms to reflect the payments Securities and Exchange Commission $0.27 per contract the fee that the Amex that are to be made. The Amex may pay the proposed rule change as described imposes on the specialist and ROTs for such amounts directly to the member in Items, I, II, and III below, which the transactions in QQQ options that order flow provider (pursuant to Amex has prepared. The Commission is involve a public customer. payment parameters that the specialist publishing this notice to solicit a. Application of the Marketing Fee. establishes) if the amount of the comments on the proposed rule change Consistent with the program currently payment that the order flow provider is from interested persons. in place for all other equity options, the to receive would exceed any fees that it owes to the Amex. I. Self-Regulatory Organization’s Amex will collect a fee of $0.40 on Statement of the Terms of Substance of every QQQ option contract that the The Amex believes that the the Proposed Rule Change specialist and ROTs execute on the application of the program to QQQ Exchange, with the exception that trades options is necessary to promote the The Amex proposes to impose a $0.40 between ROTs and trades between the Amex’s competitiveness with other equity option marketing fee on the specialist and ROTs will not be subject exchanges that trade the QQQ options. transactions of the specialist and to the program. The Amex will collect registered options traders (‘‘ROTs’’) in the fees and then allocate the funds to b. Decrease in Other Transaction Fee. options on the Nasdaq 100 Index shares, the specialist in QQQ options. The The Amex currently imposes a which trade under the symbol ‘‘QQQ,’’ specialist in turn will use the funds to transaction fee on options trades and to decrease the separate transaction attract orders in the classes of options executed on the Exchange, with the fee that is imposed on some transactions that the specialist trades. The specialist charges varying depending on whether in QQQ options from $0.47 to $0.27 per may use the funds to pay broker-dealers the transaction involves an equity or contract. for orders that they direct to the Amex index option and whether the transaction is executed for a specialist II. Self-Regulatory Organization’s for execution. The specific terms Statement of the Purpose of, and governing the orders that qualify for or market maker account, a member Statutory Basis for, the Proposed Rule payment, and the amount of any firm’s proprietary account, a non- Change payment to be made, will be determined member broker-dealer, or a customer by the specialist in whatever manner the account. The Amex also imposes a In its filing with the Commission, the specialist believes is most likely to be charge for clearance of options trades Amex included statements concerning effective in attracting order flow to the and an options floor brokerage charge the purpose of and basis for the Amex in the options that the specialist which depend upon the type of account proposed rule change and discussed any trades. The specialist will be obligated for which the trade is executed. All comments it had received on the to account to the Amex for its use of the three types of charges—transaction, proposed rule change. The text of these funds made available for this purpose, options clearance, and options floor statements may be examined at the but the specialist, and not the Amex, brokerage—are subject to caps on the places specified in Item IV below. The will make all determinations concerning number of options contracts subject to Amex has prepared summaries, set forth the amount paid for orders and the the charges on a given day.6 Currently, in section A, B, and C below, of the types and sizes of orders that qualify for no transaction, clearance, or floor most significant aspects of such payment. brokerage fees are charged for customer statements. This marketing fee will be assessed equity option transactions. A. Self-Regulatory Organization’s monthly, beginning as of March 1, 2001. To offset the costs of providing for the Statement of the Purpose of, and The Amex will make the funds trading of QQQ options and to enhance Statutory Basis for, the Proposed Rule generated by the fee available to the the marketing of those options, the Change QQQ option specialist for the Amex currently charges the specialist and ROTs a fee of $0.47 per contract for 1. Purpose 3 15 U.S.C. 78s(b)(3)(A)(ii). transactions in which a public customer In August 2000 the Amex filed two 4 See Securities Exchange Act Release No. 43228 (August 30, 2000), 65 FR 54330 (September 7, 2000) proposed rule changes under section (SR–Amex–00–38). 6 The current caps are set at 2,000 contracts for 5 See Securities Exchange Act Release No. 43152 customer trades and 3,000 contracts for member 1 15 U.S.C. 78s(b)(1). (August 14, 2000), 65 FR 51376 (August 23, 2000) firm proprietary, non-member broker-dealer, 2 17 CFR 240.19b–4. (SR–Amex–00–39). specialist, and market maker trades.
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is a party to the trade.7 The Amex now should file six copies thereof with the against the same market maker at the proposes to decrease the fee to $0.27. Secretary, Securities and Exchange same price level during the first day of Options clearance and floor brokerage Commission, 450 Fifth Street, NW., trading of the securities of initial public fees for the specialist and ROTs will Washington, DC 20549–0609. Copies of offerings (‘‘IPOs’’) and secondary remain unchanged at $0.04 and $0.03 the submission, all subsequent offerings in the Nasdaq National Market per contract side, respectively. The amendments, all written statements Execution System (‘‘NNMS’’ or Amex believes that the proposed with respect to the proposed rule ‘‘SuperSOESS’’).3 On January 31, 2001, decrease is necessary to allow for the change that are filed with the the NASD filed Amendment No. 1 to the application of $0.40 marketing fee on Commission, and all written proposed rule change.4 The proposed QQQ options. communications relating to the rule change Amendment No. 1 were 2. Statutory Basis. The Amex believes proposed rule change between the published for comment in the Federal that the proposed rule change is Commission and any person, other than Register on February 21, 2001.5 No consistent with section 6(b) of the Act 8 those that may be withheld from the comments were received regarding the in general and furthers the objectives of public in accordance with the proposal. This order approves the section 6(b)(4) of the Act 9 in particular provisions of 5 U.S.C. 552, will be proposed rule change, as amended. in that it is designed to provide for the available for inspection and copying in II. Description of the Proposed Rule equitable allocation of reasonable dues, the Commission’s Public Reference Change fees, and other charges among its Room. Copies of such filing will also be members, issuers, and other persons available for inspection and copying at The rules governing Nasdaq’s Small using its facilities. the principal office of the Amex. All Order Execution System (‘‘SOES’’) submissions should refer to File No. currently establish a delay of 17 seconds B. Self-Regulatory Organization’s SR–Amex–01–12 and should be (15 seconds for quote management and Statement on Burden on Competition submitted by April 27, 2001. two seconds for system processing) between executions against the same The Exchange does not believe that For the Commission by the Division of the proposed rule change will impose Market Regulation, pursuant to delegated market maker in the same security at the any burden on competition. authority.12 same price level. This delay will be reduced to five seconds (plus two C. Self-Regulatory Organization’s Margaret H. McFarland, Deputy Secretary. seconds system processing time) for the Statement on Comments on the majority of Nasdaq NMS securities Proposed rule Change Received From [FR Doc. 01–8507 Filed 4–5–01; 8:45 am] when Nasdaq implements SuperSOES. Members, Participants or Others BILLING CODE 8010–01–M In response to market participants’ The Amex did not solicit or receive concerns that significant order flow any comments with respect to the SECURITIES AND EXCHANGE could potentially produce queuing proposed rule change. COMMISSION within the the system, Nasdaq filed a III. Date of Effectiveness of the rule change with the Commission in [Release No. 34–44142; File No. SR–NASD– Proposed Rule Change and Timing for December 2000 to reduce the interval 01–03] delay between executions in Nasdaq 100 Commission Action Index securities to two seconds, The Amex has designated the Self, Regulatory Organizations; Order commencing on the date that Nasdaq foregoing proposed rule change as a fee Approving Proposed Rule Change and launches SuperSOES.6 change pursuant to section Amendment No. 1 to the Proposed Nasdaq filed the current proposal to 19(b)(3)(A)(ii) of the Act 10 and Rule Rule Change by the National address similar queuing concerns raised 19b–4(f)(2) thereunder.11 Accordingly, Association of Securities Dealers, Inc. by market participants in connection the proposal has become effective Relating to the Elimination of the with the rapid flow of orders immediately upon filing with the Interval Delay Between Executions for accompanying IPOs and secondary Commission. At any time within 60 Initial Public Offerings and Secondary days after the filing of this proposed Offerings in the Nasdaq National 3 On January 14, 2000, the Commission approved rule change, the Commission may Market Execution System the creation of SuperSOES, a new platform for summarily abrogate the rule change if it trading Nasdaq National Market (‘‘NNM’’) April 2, 2001. securities. See Securities Exchange Act Release No. appears to the Commission that the 42344 (January 14, 2000), 65 FR 3897 (January 25, action is necessary or appropriate in the I. Introduction 2000). SuperSOES will become Nasdaq’s primary public interest, for the protection of On January 5, 2001, the National automatic execution trading platform. To date, investors, or otherwise in the Nasdaq has not implemented SuperSOES. Association of Securities Dealers, Inc. 4 See Letter from Thomas P. Moran, Assistant furtherance of the purposes of the Act. (‘‘NASD’’ or ‘‘Association’’), through its General Counsel, Nasdaq, to Jack Drogin, Assistant IV. Solicitation of Comments subsidiary, the Nasdaq Stock Market, Director, Division of Market Regulation, Inc. (‘‘Nasdaq’’), filed with the Commission, dated January 30, 2001 (‘‘Amendment Interested persons are invited to Securities and Exchange Commission No. 1’’). In Amendment No. 1, the Nasdaq added submit written data, views and a footnote to proposed NASD Rule 4710(b)(1)(D)(3) (‘‘SEC’’ or ‘‘Commission’’), pursuant to requiring the lead underwriter of a secondary arguments concerning the foregoing, section 19(b)(1) of the Securities offering to submit a written request to the Nasdaq including whether the proposed rule Exchange Act of 1934 (‘‘Act’’),1 and Market Operations Department no later than the change is consistent with the Act. Rule 10b–4 thereunder,2 a proposed rule business day prior to the start of trading in the Persons making written submission secondary offering to obtain immediate processing change, on a six-month pilot basis, to of executions in the secondary offering. amend NASDd Rule 4710, ‘‘Participant 5 See Securities Exchange Act Release No. 43958 7 The term public customer shall have the (February 13, 2001), 66 FR 11076. meaning set forth in Amex Rule 958A (i.e., a non- Obligations in NNMS,’’ to eliminate the 6 See Securities Exchange Act Release No. 43720 broker-dealer). internal delay between executions (December 13, 2000), 65 FR 79909 (December 20, 8 15 U.S.C. 78f(b). 2000) (notice of filing and immediate effectiveness 9 15 U.S.C. 78f(b)(4). 12 17 CFR 200.30–(a)(12). of File No. SR–NASD–00–67) (‘‘2000 Notice’’). 10 15 U.S.C. 78s(b)(3)(A)(ii). 1 15 U.S.C. 78s(b)(1). Nasdaq will implement the two-second interval 11 17 CFR 240.19b–4(f)(2). 2 17 CFR 240.19b–4. delay on a six-month pilot basis.
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offerings. Under the proposal, on the III. Discussion trading in the secondary offering, that it first day of trading of the securities of After careful review, the Commission wishes to obtain immediate processing a SuperSOES-eligible IPO or secondary finds that the proposed rule change is of executions in the secondary 11 offering, after SuperSOES has executed consistent with the requirements of the offering. If the request is not made in an order against a market maker’s Act and the rules and regulations a timely manner, the secondary offering displayed quote and reserve size (if thereunder applicable to a national will be processed pursuant to the applicable), the market maker will be securities association.8 In particular, the interval delays applicable to the required to execute another order at its Commission finds that the proposal is security. The Commission finds that this posted bid or offer in that security as consistent with section 15A(b)(6) of the requirement will help ensure that soon as SuperSOES delivers another Act 9 because it is designed to promote Nasdaq is specifically made aware of the order to the market maker’s quote. just and equitable principles of trade, need to remove the interval delay on the Consequently, a market maker will be foster cooperation and coordination first day of such an offering. available for subsequently execution at with persons engaged in processing IV. Conclusion its posted quote as quickly as the system information with respect to and can transmit instructions between the facilitating transactions in securities, as For the foregoing reasons, the execution and quote-update engines, an well as to remove impediments to and Commission finds that the proposal, as operation that, according to Nasdaq, perfect the mechanism of a free and amended, is consistent with the generally requires from one to one and open market, and, in general, to protect requirements of the Act and rules and one half seconds. investors and the public interest. regulations thereunder. As discussed more fully above, the It Is Therefore Ordered, pursuant to After the first day of trading in the 12 interval delay in SuperSOES will be two section 19(b)(2) of the Act, that the IPO or secondary offering, the NNMS proposed rule change (SR–NASD–01– interval delay between executions seconds for Nasdaq 100 Index securities and five seconds for all other Nasdaq 03) and Amendment No. 1 thereto are against the same market maker at the approved on a six-month pilot basis, same price level will be determined by NMS securities. In its proposal to establish a two-second interval delay for commencing with the launch of whether or not the security is part of the SuperSOES. Nasdaq 100 Index. Thus, on subsequent Nasdaq 100 Index securities, Nasdaq trading days, the NNMS interval delay noted that market participants had For the Commission, by the Division of expressed concern that a five-second Market Regulation, pursuant to delegated between executions against the same 13 market maker at the same price level for interval delay could hinder the efficient authority. a Nasdaq 100 Index security would be and orderly operation of SuperSOES by Margaret H. McFarland, two seconds and the NNMS interval causing a queuing of orders in securities Deputy Secretary. delay between executions against the with rapid order flow.10 [FR Doc. 01–8470 Filed 4–5–01; 8:45 am] same market maker at the same price According to Nasdaq, market BILLING CODE 8010–01–M level for a security that is not a part of participants have raised similar queuing the Nasdaq 100 Index would be five concerns in connection with the rapid seconds.7 flow of orders accompanying IPOs and SECURITIES AND EXCHANGE secondary offerings. The Commission COMMISSION Nasdaq proposes to implement the believes that the current proposal proposal on a six-month pilot basis responds to concerns raised by market [Release No. 34–44144; File No. SR–NASD– 00–81] beginning when SuperSOES become participants and should help to operational. During operation of the minimize the queuing of orders for IPOs RIN pilot program, Nasdaq represents that it and secondary offerings on their first will monitor the performance of the day of trading. The Commission Self Regulatory Organizations; Order system under the proposed parameters believes that the prompt execution of Granting Approval of Proposed Rule to determine whether the proposed orders for IPOs and secondary offerings Change by the National Association of measures adequately address the may facilitate the price discovery Securities Dealers, Inc. Relating to concerns expressed by market process, to the benefit of all market Computer to Computer Interface Fees participants. participants. for Non-NASD Members Nasdaq believes that reducing the Nasdaq proposes to implement the interval delay between executions on proposal on a six-month pilot basis, April 2, 2001. the first day of trading of NNMS-eligible commencing with the launch of I. Introduction IPOs and secondary offerings will SuperSOES. The Commission believes On December 26, 2000, the National ensure that customer orders for those that implementing the proposal on a six- Association of Securities Dealers, Inc. securities are processed in the most month pilot basis should provide (‘‘NASD’’) through its subsidiary. The expeditious manner possible. Nasdaq Nasdaq with time to evaluate the Nasdaq Stock Market, Inc. (‘‘Nasdaq’’) also believes that such processing will operation of the proposed changes and filed with the Securities and Exchange improve market function and aid in the their impact on the market. Commission (‘‘SEC’’ or ‘‘Commission’’), price discovery process. Amendment No. 1 requires the lead underwriter of a secondary offering to pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 7 communicate to the Nasdaq Market Nasdaq will continue its current practice of (‘‘Act’’),1 and Rule 19b–4 thereunder,2 a using the same interval delay between multiple Operations Department, no later than round-lot executions against the same market the business day prior to the start of the proposed rule change relating to participant for odd-lot executions of that same computer to computer interface fees for security. For example, if the interval delay in a security is five seconds, the interval delay after an 8 In approving this proposal, the Commission has 11 See Amendment No. 1, supra note 4. odd-lot execution would also be five seconds. In considered the proposed rule’s impact on 12 addition, Nasdaq represents that it will closely efficiency, competition, and capital formation. 15 15 U.S.C. 78s(b)(2). monitor odd-lot order entry activity in NNMS to U.S.C. 78c(f). 13 17 CFR 200.30–3(a)(12). ensure that such activity dos not adversely impact 9 15 U.S.C. 78o–3(b)(6). 1 15 U.S.C. 78s(b)(1). market quality. 10 See 2000 Notice, supra note 6. 2 17 CFR 240.19b–4.
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non-NASD members,3 Notice of the Nasdaq services. This new fee structure Proposed new language is in italics; proposed rule change appeared in the has been created to reflect Nasdaq’s proposed deletions are in brackets. Federal Register on January 16, 2001.4 adoption of a new Transmission Control * * * * * The Commission received no comments Protocol/Internet Protocol (‘‘TCP/IP’’) 7000 CHARGES FOR SERVICES AND on the proposed rule change. This order standard for CTCI linkages that will EQUIPMENT approved the proposed rule change. allow transmission of CTCI data using 7010. System Services Nasdaq’s Enterprise Wide Network II II. Description of the Proposal (‘‘EWNII’’). Nasdaq intends to impose (a) through (e) No change. (f) Nasdaq Workstation TM Service these fees on a rolling basis on non- Nasdaq proposes to amend NASD (1) through (2) No Change. Rule 7010 to change the manner in members as they are converted to the (3) The following charges shall apply for which fees are assessed on non-NASD new protocol and T1 or 56kb lines.5 each CTCI subscriber: members who use a Computer-to- [Service Charge $200/month per CTCI Computer Interface (‘‘CTCI’’) to access circuit]
Options Price J
Option 1: Dual 56kb lines (one for redundancy) and single hub and router ...... $1,275/month. Option 2: Dual 56kb lines (one for redundancy), dual hubs (one for redundancy), and dual routers $1,600/month. (one for redundancy). Option 3: Dual T1 lines (one for redundancy), dual hubs (one for redundancy), and dual routers $8,000/month. (one for redundancy). Includes base bandwidth of 128kb. Disaster Recovery Option: Single 56kb line with single hub and router. (For remote disaster recovery sites only.) ... $975/month. Bandwidth Enhancement Fee (for T1 subscribers only) ...... $4,000/month per 64kd increase above 128kb T1 base. Installation Fee ...... $2,000 per site for dual hubs and router. $1,000 per site for single hub and router. Relocation Fee (for the movement of TCP/IP-capable lines within a single location) ...... $1,700 per relocation.
* * * * * transition to EWNII is completed, data transmission network should The CTCI network is a point-to-point Nasdaq will terminate its current X.25/ enable Nasdaq to provide CTCI dedicated circuit connection from the bisynch network. This upgrade will subscribers with linkages that are more premises of brokerages and service require all current X.25/19.2kb users to robust, customizable, and efficient in providers to Nasdaq’s processing install either 56kb or T1 lines. Nasdaq the use of available network bandwidth. facilities in Trumbull, Connecticut. believes that, in return, these lines will IV. Conclusion Through CTCI, firms are able to enter provide a minimum data transmission capability of almost three times that of trade reports to Nasdaq’s Automated For the above reasons, the the current 19kb-based interface. Confirmation Transaction Service Commission finds that the proposed (‘‘ACT’’) and orders to Nasdaq’s ACES III. Discussion rule change is consistent with the and Small Order Execution (‘‘SOES’’) provisions of the Act, in general, and systems. CTCI also processes SelectNet The Commission finds the proposed with section 15A(b)(5),8 in particular. transaction confirmation reports. rule change is consistent with the Act In response to numerous requests and the rules and regulations It is Therefore Ordered, pursuant to 9 from market participants that Nasdaq promulgated thereunder.6 Specifically, section 19(b)(2) of the Act, that the upgrade the speed and reliability of its the Commission finds that approval of proposed rule change, SR–NASD–00– current CTCI data transmission the proposed rule change is consistent 81, as amended, be and hereby is environment, Nasdaq has determined to with section 15A(b)(5) of the Act,7 approved on an accelerated basis. sunset its existing CTCI X.25.bisynch which requires that the rules of the For the Commission, by the Division of network. This X.25 system will be NASD provide for the equitable Market Regulation, pursuant to delegated replaced by linking current CTCI allocation of reasonable dues, fees and authority.10 subscribers to Nasdaq’s faster and more other charges among members and Margaret H. McFarland, reliable EWNII. EWNII operates new issuers and other persons using any Deputy Secretary. more powerful 56kb and T1 data lines facility or system which the NASD and transmits electronic information operates or controls. The Commission [FR Doc. 01–8472 Filed 4–5–01; 8:45 am] using the industry-standard TCP/IP notes that Nasdaq’s upgrade of the BILLING CODE 8010–01–M transmission protocol. Once the speed and reliability of its current CTCI
3 On December 26, 2000, Nasdaq filed 4 See Securities Exchange Act Release No. 43815 6 In approving this proposal, the Commission has Amendment No. 1 with the Commission. (January 8, 2001), 66 FR 3625 (January 16, 2001). considered the proposed rule’s impact on Amendment No. 1 noted that Nasdaq’s Board of 5 Nasdaq filed a separate proposal to impose these efficiency, competition, and capital formation. 15 Directors approved the proposed rule change at its same fees on NASD members who interact with U.S.C. 78c(f) 7 meeting on October 4, 2000, and the NASD Board Nasdaq through a CTCI. See Securities Exchange 15 U.S.C. 78o–3(b)(5). 8 of Governors reviewed the proposal at its meeting Act Release No. 43821 (January 8, 2001), 66 FR Id. on October 5, 2000. 3627 (January 16, 2001). 9 15 U.S.C. 78s(b)(2). 10 17 CFR 200.30–3(a)(12).
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SECURITIES AND EXCHANGE (e.g., daily, monthly, quarterly) and in Commission believes that the rule will COMMISSION such format as the Exchange may broadly enable the Exchange to detect require.4 The Exchange, in conjunction unusual trading patterns at an early [Release No. 34–44135; File No. SR–NYSE– with the Commission, the National 00–60] stage and thereby better protect Association of Securities Dealers investors and the public interest from Self-Regulatory Organizations; Order Regulation, Inc., Securities Industry abusive sales practices. Association (‘‘SIA’’), several member Approving a Proposed Rule Change by III. Conclusion. the New York Stock Exchange, Inc. organizations, and other securities Amending NYSE Rule 416, industry representatives, has developed It Is Therefore Ordered, pursuant to Questionnaires and Reports a broker-dealer reporting system section 19(b)(2) of the act,7 that the intended to help identify potential sales proposed rule change (SR–NYSE–00– March 30, 2001. practice violations, particularly those 60) is approved. On December 21, 2000, the New York associated with low-priced microcap issues. The data that the Exchange For the Commission by the Division of Stock Exchange, Inc. (‘‘NYSE’’ or Market Regulation, pursuant to delegated ‘‘Exchange’’) filed with the Securities collects for this reporting system, authority.8 pursuant to proposed Rule 416.20, will and Exchange Commission (‘‘SEC’’ or Margaret H. McFarland, ‘‘Commission’’) pursuant to section be submitted to a processing center that Deputy Secretary. 19(b)(1) of the Securities Exchange Act will organize it according to exception of 1934 (‘‘Act’’),1 and Rule 19b–4 parameters established by the Exchange [FR Doc. 01–8471 Filed 4–5–01; 8:45 am] thereunder,2 a proposed rule change to and other self-regulatory organizations. BILLING CODE 8010–01–M amend NYSE Rule 416, Questionnaires The required data will initially include, and Reports. The proposed rule change among other data, various raw statistical SECURITIES AND EXCHANGE was noticed in the Federal Register on data pertaining to cancelled trades. It is COMMISSION February 2, 2001.3 No comments were intended that additional data will be received on the proposed rule change. required at future dates. Once the This order approves the proposed rule reporting system is fully operational, it [Release No. 34–44141; File No. SR–NYSE– change. is expected that the trade information 00–32] collected pursuant to this initiative will I. Description of the Proposal serve as an early warning system to ‘‘red Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order NYSE Rule 415 authorizes the flag’’ unusual trading patterns. Approving Proposed Rule Change Exchange to require members and II. Discussion Relating to Shareholder Approval of member organizations to submit Stock Option Plans prescribed information that the The Commission finds that the proposed rule change is consistent with Exchange believes to be essential for the March 30, 2001. protection of investors and the public the provisions of section 6(b)(5) of the 5 interest. The Rule has been used to Act, which require, among other I. Introduction things, that the rules of the Exchange be require the periodic submittal of On July 13, 2000, the New York Stock specific predefined financial, designed to prevent fraudulent and manipulative acts and practices, to Exchange, Inc. (‘‘NYSE’’ or ‘‘Exchange’’) operational, and other information filed with the Securities and Exchange necessary for an effective evaluation of promote just and equitable principles of trade, to foster cooperation and Commission (‘‘SEC’’ or ‘‘Commission’’), a member’s or member organization’s pursuant to Section 19(b)(1) of the compliance with applicable rules and coordination with respect to facilitating transactions in securities, to remove Securities Exchange Act of 1934 regulations. NYSE Rule 416 has also (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a been used to prepare the membership impediments to and perfect the mechanism of a free and open market proposed rule change to extend the for specific initiatives such as and a national market system, and, in effectiveness of a pilot regarding the participation in Year 2000 testing and general, to protect investors and the Exchange’s shareholder approval policy the conversion to decimalization. public interest.6 In particular, the with respect to stock option and similar To facilitate the participation of Commission believes that Rule 416.20 plans. The proposed rule change was members and member organizations in will help to prevent fraudulent and published for comment in the Federal an industry-wide regulatory initiative 3 manipulative acts and practices and Register on August 10, 2000. On with respect to clearing firms, the promote just and equitable principles of August 15, 2000, the Commission Exchange has proposed an amendment trade because it authorizes the Exchange extended the comment period until to Rule 416 (Rule 416.20) that will give to require clearing members to submit the Exchange broader authority to trading data to be analyzed for 7 15 U.S.C. 78s(b)(2). require members and member indications of sales practice violations 8 17 CFR 200.30–3(a)(12). 1 organizations to submit to the Exchange in connection with low-priced microcap 15 U.S.C. 78s(b)(1). 2 raw trading data, on their own behalf issues. Furthermore, because Rule 416 17 CFR 240.19b–4. 3 Securities Exchange Act Release No. 43111 and on behalf of firms that introduce authorizes the Exchange to require its customer accounts to them pursuant to (August 2, 2000), 65 FR 49046 (‘‘2000 Proposal’’). clearing members to submit this In addition, the NYSE submitted a monitoring NYSE Rule 382 (Carrying Agreements). information on their own behalf and on report that presented data regarding the use of the Pursuant to Rule 416.20 members may behalf of their introducing firms, the ‘‘broadly-based’’ exemption by NYSE-listed be required by the Exchange to submit companies. See letter to Nancy J. Sanow, Assistant such information on an ongoing basis Director, Division of Market Regulation 4 The Exchange has represented that it anticipates (‘‘Division’’), SEC, from Catherine R. Kinney, Group requesting members and member organizations to Executive Vice President, Office of Chief Executive, 1 15 U.S.C. 78s(b)(1). submit raw data electronically. NYSE, dated September 28, 2000 (‘‘Pilot Monitoring 2 17 CFR 240.19b–4. 5 15 U.S.C. 78f(b)(5). Report’’). This report is part of the public file and 3 Securities Exchange Act Release No. 43886 6 In approving the proposal, the Commission has may be inspected at the Commission’s Public (January 25, 2001), 65 FR 8829 (February 2, 2001) considered the rule’s impact on efficiency, Reference Room as well as the principle office of (SR–NYSE–00–60). competition, and capital formation. 15 U.S.C. 78c(f). the NYSE.
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September 20, 2000.4 The Commission January 19, 2001, the Exchange ‘‘broadly-based.’’ Historically, the received 25 comment letters on the submitted Amendment No. 1 to the Exchange had not provided a definition proposal in response to both the regular proposed rule change, which was of what constituted a ‘‘broadly-based’’ and extended comment periods.5 On published in the Federal Register on Plan other than to state that such a Plan March 7, 2001, the NYSE submitted its February 2, 2001.7 No comments were must include employees other than response to the comment letters.6 On received on Amendment No. 1. This officers and directors. The only express order approves the proposal, as example of such a Plan in the Manual 4 Securities Exchange Act Release No. 43155, 65 amended, on a pilot basis until was an employee stock option plan, or FR 51382 (August 23, 2000). As originally noticed, September 30, 2001. ‘‘ESOP.’’ the comment period expired on August 31, 2000. 5 See letters to Jonathan G. Katz, Secretary, SEC II. Background In December 1997, the Exchange filed from Sarah A.B. Teslik, Executive Director, Council a proposed rule change, which codified, of Institutional Investors, dated August 17, 2000 On June 4, 2000, the Commission among other things, existing Exchange (‘‘CII’’), Linda S. Selbach, Global Proxy Manager, approved, on a pilot basis, an Exchange interpretations regarding ‘‘broadly- Barclays Global Investors, dated August 21, 2000 proposal to amend Sections 312.01, 11 (‘‘Barclays Global Investors’’); Jeffrey W. States, et based’’ Plans (‘‘Original Proposal’’). al., Sacramento County Employees’ Retirement 312.03, and 312.04 of the Exchange’s Specifically, in the Original Proposal, System, dated August 23, 2000 (‘‘Sacramento Listed Company Manual (‘‘Manual’’) the Exchange amended the Manual to County’’); James P. Hoffa, General President, with respect to the definition of a International Brotherhood of Teamsters, dated state that the determination of whether ‘‘broadly-based’’ stock option plan a Plan was ‘‘broadly-based’’ required a August 28, 2000 (‘‘Teamsters’’); Alan G. Hevesi, 8 Comptroller, Comptroller of the City of New York, (‘‘1999 Pilot’’). The 1999 Pilot was review of a number of factors, including dated August 24, 2000 (‘‘Comptroller of the City of scheduled to expire on September 30, the number of persons included in the New York’’); Kay R.H. Evans, Executive Director, 2000. Therefore, the Exchange Plan, and the nature of the company’s Maine State Retirement System, dated August 29, submitted the 2000 Proposal to extend 2000 (‘‘Maine State Retirement System’’); Peter C. employees, such as whether there were Clapman, Senior Vice President and Chief Counsel, the effectiveness of the 1999 Pilot. In separate compensation arrangements for Investments, Teachers Insurance and Annuity addition, the NYSE submitted its Pilot salaried and hourly employees. The Association College Retirement Equities Fund, Monitoring Report to provide the dated August 23, 2000 (‘‘TIAA–CREF’’); Tom Original Proposal also codified a non- Herndon, Executive Director, State Board of Commission with data regarding the use 9 exclusive safe harbor for Plans in which Administration of Florida, dated August 28, 2000 of the ‘‘broadly-based’’ exemption. at least 20 percent of a company’s (‘‘State Board of Florida’’); Keith Johnson, Chief Originally, the Exchange sought a three- Legal Counsel, State of Wisconsin Investment employees were eligible to participate in year extension of the 1999 Pilot. the Plan, provided that the majority of Board, dated September 1, 2000 (‘‘State of However, in Amendment No. 1, the Wisconsin Investment Board’’); Steven E. those eligible were neither officers nor Exchange shortened its extension Kornrumpf, Director, State of New Jersey, directors. The Commission did not Department of the Treasury, Division of Investment, request to one year and also modified receive any comments on the Original dated August 31, 2000 (‘‘State of New Jersey’’); the ‘‘broadly-based’’ definition to Peter M. Gilbert, Chief Investment Officer, Proposal, and subsequently approved it, address a potential loop-hole. To Commonwealth of Pennsylvania, State Employees’ on April 8, 1998.12 Retirement System, dated September 7, 2000 (‘‘PA provide time for consideration of the Following the Commission’s approval State Employees’ Retirement System’’); Mark E. 2000 Proposal, the effectiveness of 1999 of the Original Proposal, the Exchange Brossman, Counsel to Longview Funds, Schulte, Pilot was extended through March 30, Roth & Zabel, dated September 12, 2000 (‘‘Schulte, and the Commission received a 2001.10 Roth & Zabel’’); Nell Minnow, Editor, The Corporate significant number of inquiries and Library, dated September 19, 2000 (‘‘Corporate Paragraphs 312.01, 312.03, and 312.04 Library’’); Denise L. Nappier, Treasurer, State of of the Manual set forth the Exchange’s comments regarding the Original Connecticut, Office of the Treasurer, dated policy with respect to shareholder Proposal. Many of these inquiries and September 18, 2000 (‘‘State of Connecticut’’); comments originated from the Michael R. Zucker, Director, Office of Corporate approval of stock option and similar Affairs, American Federation of State, County and plans (‘‘Plans’’). As a prerequisite to institutional investor community and Municipal Employees, AFL–CIO, dated September listing, shareholder approval of Plans or focused on the ‘‘broadly-based’’ 19, 2000 (‘‘AFSCME’’); Joseph T. Hansen, any other arrangement pursuant to definition. Commenters expressed International Secretary-Treasurer, United Food & general concern that, without Commercial Workers International Union, AFL–CIO which officers or directors acquire stock & CLC, dated September 19, 2000 (‘‘UFCW’’); is required. There are, however, four shareholder approval, companies could William Patterson, Director, Office of Investment, exemptions from the shareholder dilute the value of existing shares by American Federation of Labor and Congress of creating new Plans. Industrial Organizations, dated September 20, 2000 approval requirement, one of which is (‘‘AFL–CIO’’); Gary K. Duberstein, Managing an exemption for Plans that are In response, the Exchange issued a Director, Greenway Partners, L.P., dated September request for comment regarding the 20, 2000 (‘‘Greenway Partners’’); H.W. Ward, Chief 7 Securities Exchange Act Release No. 43879 definition of ‘‘broadly-based’’ Plans. Executive Officer, Hotel Employees and Restaurant (January 24, 2001), 66 FR 8827 (‘‘Amendment No. According to the NYSE, the listed Employees International Union, Welfare-Pension 1’’). company community favored retaining Funds, dated September 19, 2000 (‘‘Hotel 8 Employees and Restaurant Employees International Securities Exchange Act Release No. 41479, 64 the new Policy, while the institutional FR 31667 (June 11, 1999). Union’’); John F. Olsen, Gibson, Dunn & Crutcher investor community favored a narrower LLP, dated October 9, 2000 (‘‘Gibson, Dunn & 9 See note 3 supra. In the Pilot Monitoring Report, Crutcher’’); James P. Ryan, Senior Counsel, Fund the NYSE stated that of the 319 listing applications definition of what constituted a Business Management Group, Capital Research and with respect to stock option or purchase plans ‘‘broadly-based’’ Plan, and suggested Management Company, dated November 13, 2000 submitted to the Exchange from June 4, 1999 that such definition be an exclusive test (‘‘Capital Research and Management Company’’); through May 2000, 209 were submitted to instead of a non-exclusive safe harbor. Eugene P. Stein, Executive Vice President, Capital shareholders for a vote and 60 Plans relied on the Guardian Trust Company, dated November 22, 2000 ‘‘broadly-based’’ exemption approved in the 1999 A Stockholder Approval Policy Task (‘‘Capital Guardian Trust Company’’); Sheila W. Pilot. Force (‘‘Task Force’’) was subsequently Beckett, Executive Director, Employees Retirement 10 Securities Exchange Act Release Nos. 44018 established by the NYSE to review the System of Texas, dated December 11, 2000 (February 28, 2001), 66 FR 13821 (March 7, 2001); (‘‘Employees Retirement System of Texas’’); Deb 43647 (November 30, 2000, 65 FR 77404 (December comments and to make Lingle, e-mail received on September 25, 2000; and 11, 2000) (Notice of Filing to extend the John Johnson, e-mail received on September 25, effectiveness of the 1999 Pilot through February 28, 11 Securities Exchange Act Release No. 39659 2000. 2001); 43329 (September 22, 2000), 65 FR 58833 (February 12, 1998), 63 FR 9036 (February 23, 6 See letter to Jonathan G. Katz, Secretary, SEC, (October 2, 2000) (Notice of Filing to extend the 1998). from James E. Buck, Senior Vice President and effectiveness of the 1999 Pilot through November 12 Securities Exchange Act Release No. 39839, 63 Secretary, dated March 5, 2001 (‘‘NYSE Letter’’). 30, 2000). FR 18481 (April 15, 1998).
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recommendations concerning possible to competition for listings based on applied on a rolling three-year basis by changes to the NYSE’s Policy. The Task disparities in the corporate governance Plans with terms longer than three Force was composed of representatives rules of the respective markets. The years. In the event that a Plan is of the Exchange’s legal Advisory Task Force believed that this would implemented with a stated term shorter Committee, Individual Investors compromise the purposes intended to than three years, awards, under the Committee, Pension Managers Advisory be served by those rules, and could revision, would have to be made in a Committee, and Listed Company undermine the public’s confidence and way that would meet the rule criteria Advisory Committee. In addition, trust in the markets. during such shorter period. members of other Exchange Accordingly, the Exchange began IV. Summary of Comments constituencies, including the Council of discussions with the management of the Institutional Investors, were represented National Association of Securities The Commission received 25 on the Task Force. Dealers, Inc. regarding a dilution comment letters on the proposed rule Following its deliberations, the Task standard. On December 5, 2000, the change.18 Of the 25 comment letters, 20 Force recommended that certain Nasdaq Stock Market, Inc. (‘‘Nasdaq’’) comment letters opposed the Exchange’s changes be made to the definition of a solicited comment from its members proposal to extend the effectiveness of ‘‘broadly-based’’ Plan.13 In addition, the and investors on the NYSE Task Force’s the pilot for three years,19 and two Task Force recommended that the dilution standard. The comment period commenters while opposing the three- Exchange actively consider setting an for the Nasdaq request for comment year extension request, supported a one- overall dilution maximum for all non- expired on February 5, 2001. year extension of the 1999 Pilot.20 One tax qualified Plans that otherwise would commenter was from a member of the be exempt from shareholder approval III. Description of the Proposal Task Force and responded to issues requirements. As approved in the 1999 Pilot, a Plan raised by various commenters.21 Two The Exchange responded by is currently considered ‘‘broadly- commenters did not address the issues submitting the 1999 Pilot, which based,’’ and thus exempt from the raised in the proposed rule change.22 amended Sections 312.01, 312.03, and Exchange’s shareholder approval The Exchange submitted a written 312.04 of the Manual to reflect the requirements, if, pursuant to the terms response to the issues raised in the recommendations to the Task Force. of the Plan (a) at least a majority of the comment letters.23 The following The Exchange also directed the Task issuer’s full time, exempt U.S. discussion summarizes the issues raised Force to continue its work to consider employees are eligible to participate by the commenters and the Exchange’s the dilution issue with a target date of under the Plan; and (b) at least a response. NYSE’s September 1999 meeting of the majority of the shares awarded under A. Three-Year Extension Request Board of Directors. the Plan, or shares of stock underlying The Task Force submitted its finding options awarded under the Plan, during A majority of commenters opposed to the Exchange’s Board at the the shorter of the three-year period the original three-year extension November 1999 meeting.14 The Task commencing on the date the Plan is requested by the NYSE and argued that Force recommended implementing adopted by the issuer or the term of the the NYSE should adopt a dilution enhanced disclosure requirements for Plan itself are made to employees who standard immediately or by the 2001 24 the compensation tables contained in a are not officers or directors of the issuer. proxy season. For example, several company’s SEC filings.15 Although the In the 2000 Proposal, as amended, the commenters noted that the 1999 Pilot Task Force formulated dilution Exchange requested that the 18 standards and presented them in its Commission extend the 1999 Pilot See note 5 supra. report, the Task Force believed, and the 19 See letters from CII; Barclays Global Investors; through September 30, 2001 in order to Sacramento County; Teamsters; Comptroller of the Exchange’s Board agreed, that such permit additional industry discussions City of New York; Maine State Retirement System; standards should be adopted uniformly of the issues, while at the same time State Board of Florida; State of Wisconsin by all the major listing markets in the enabling the Exchange to continue to Investment Board; State of New Jersey; PA State United States. The Task Force was Employees’ Retirement System; Schulte, Roth & study the experience of NYSE-listed Zabel; Corporate Library; State of Connecticut; concerned that adoption of the dilution companies and their investors that UFCW; AFL-CIO; Greenway Partners; Hotel standard by only one market would lead utilize the exemption from shareholder Employees and Restaurant Employees International approval for ‘‘broadly-based’’ Plans.16 Union; Capital Research and Management 13 See Report of the Special Task Force on In addition, the Exchange proposed to Company; Capital Guardian Trust Company; and Stockholder Approval Policy dated August 28, Employees Retirement System of Texas. amend the second part of the ‘‘broadly- 20 1998. See letters from TIAA-CREF and AFSCME. 14 See Report of the New York Stock Exchange based’’ definition, which focuses on 21 See letter from Gibson, Dunn & Crutcher. The Special Task Force on Stockholder Approval Policy. actual grants made under a Plan.17 Commission notes that the following commenters The Task Force had previously submitted a status Specifically, the Exchange proposed to were also members of the NYSE Task Force: report to the Commission in October 1999. See amend this provision by requiring that Barclays Global Investors; TIAA–CREF; State Board letter to Annette Nazareth, Director, Division, SEC, of Florida; and State of Wisconsin Investment from Catherine Kinney, Group Executive Vice at least a majority of shares of stock or Board. President, Office of Chief Executive, NYSE, dated shares of stock underlying options 22 See e-mails from Deb Lingle and John Johnson. October 28, 1999 (Status Report Submission NYSE– awarded under a Plan during any three- 23 See NYSE Letter, note 6 supra. 98–32). The Task Force Report and the Status year period must be awarded to 24 See letters from CII; Barclays Global Investors; Report are part of the public file and may be employees who are not officers or Sacramento County; Teamsters; Comptroller of the inspected at the Commission’s Public Reference City of New York; Maine State Retirement System; Room as well as at the principle office of the NYSE. directors of the company. According to TIAA–CREF; State Board of Florida; State of 15 In January 2001, the Commission approved for the NYSE, the three-year period refers to Wisconsin Investment Board; State of New Jersey; publication and public comment a proposed rule periods of consecutive years and is a PA State Employees’ Retirement System; Schulte, that would enhance disclosure of equity continuing requirement that should be Roth & Zabel; Corporate Library; State of compensation plans. See Securities Act Release No. Conneticut; AFSCME; UFCW; AFL–CIO; Greenway 7944 (January 26, 2001), 66 FR 8732 (February 1, Partners; Hotel Employees and Restaurant 2001). A copy of the Commission’s proposal also 16 See Amendment No. 1, note 7 supra. As Employees International Union; Capital Research can be found on the Commission’s website at discussed above, the Exchange originally requested and Management Company; Capital Guardian Trust www.sec.gov. The comment period for this proposal an extension until September 30, 2003. Company; and Employees Retirement System of ends on April 2, 2001. 17 See Amendment No. 1, note 7 supra. Texas.
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was approved on a pilot basis with the several competing listing markets. approval of Plans and thus, NYSE’s pre- understanding that a new standard be in According to the Exchange, a uniform condition for moving forward with a place for the 2000 proxy season.25 approach that is supported by as broad dilution-based standard was As described above, the Exchange a consensus as possible is necessary. unreasonable.37 modified its extension request in The Exchange noted several As noted above, the NYSE continues Amendment No. 1 so that the 2000 developments including the to believe that a shareholder approval Proposal now proposes an extension Commission’s proposal to enhance standard based on dilution is a until September 30, 2001. disclosure, which NYSE’s Task Force significant change and cannot be made B. Dilution found to be an important adjunct to a by one of several competing listing dilution-based standard, as well as markets. NYSE argues that a uniform A majority of commenters argued that Nasdaq’s solicitation of comments on approach should be adopted. the NYSE should adopt the dilution this issue. The Exchange committed to standard developed by its Task Force.26 continue working with its constituents, E. Other Issues Generally, dilution refers to the the Commission, and other markets to Many commenters raised other issues diminished value of a shareholder’s achieve a consensus that adequately related generally to the ‘‘broadly-based’’ investment that can occur when stock addresses the needs of all involved. definition that were raised and options are granted. As noted above, the considered in the 1999 Pilot.38 For Task Force developed a dilution C. Enhanced Disclosure example, several commenters argued standard to measure the effects of Plans Several commenters argued that that the ‘‘broadly-based’’ exemption on shareholders’ interests but enhanced disclosure of Plans was denies shareholders of the right to recommended that the NYSE delay needed.31 These commenters urged the oversee and consider potentially adopting the dilution standard until the Commission to adopt new Plan dilutive Plans.39 In this regard, a few other major listing markets followed disclosure rules. The Commission notes commenters noted that they acted as suit. Several commenters believed that a that in January 2001, it approved for fiduciaries for clients and had dilution standard should be added to publication and public comment a obligations to protect their clients’ the current rule along with the proposal to enhance disclosure of equity interests, which they believed the NYSE ‘‘broadly-based’’ standard.27 One compensation plans.32 rule usurped.40 commenter noted that the extension D. Uniform Standards Two commenters argued that the request would ‘‘increase the risk of definition should be amended to delete excessive dilution of [its] investments in Several commenters disagreed with the reference to ‘‘exempt’’ employees.41 NYSE listed companies that establish NYSE’s argument that a dilution Two other commenters stated ‘‘broard-based’’ stock option plans.’’ 28 standard should be implemented on a shareholders should have the authority Another commenter argued that uniform basis with other listing to approve all stock option plans.42 33 delaying implementation of a dilution markets. One commenter argued that Finally, one commenter reiterated the standard is unacceptable given the cost it believed that ‘‘there is no need to wait concern about conflicts of interest of 29 of Plans to shareholders. Finally, one for other exchanges to join-in’’ because officers and directors that implement commenter argued that the NYSE ‘‘the market place will surely have them 34 Plans in which they participate noting should adopt both of its Task Force’s follow.’’ Another commenter that lower level employees could be recommendations on dilution and questioned the Exchange’s commitment 35 excluded from participating in such shareholder approval of all Plans that to adopting a dilution-based standard. Plans.43 permit officer and director They along with another commenter participation.30 argued that adoption of a dilution-based V. Discussion In response, the Exchange stated that standard should not hinge on approval After careful review, the Commission it continues to believe that a change as of a similar rule by the Nasdaq/Amex finds that the proposed rule change is 36 significant as a move to a dilution-based market. Finally, one commenter noted consistent with the requirements of the standard cannot be made by only one of that because many Nasdaq companies Act and the rules and regulations rely heavily on Plans to compensate and thereunder applicable to a national 25 See e.g., letters from Teamsters and State of retain highly skilled employees, it is securities exchange.44 In particular, the Wisconsin Investment Board. See also letter from unlikely that Nasdaq would propose a TIAA–CREF, which stated that the 1999 Pilot was Commission believes that the proposal understood as a stop-gap measure until permanent standard to require shareholder is consistent with the requirements of resolution could be reached. 26 31 See letters from CII; Barclays Global Investors; See letters from CII; Barclays Global Investors; 37 See letter from Comptroller of the City of New Sacramento County; Teamsters; Maine State Sacramento County; Teamsters; Comptroller of the York. City of New York; Maine State Retirement System; Retirement system; TIAA–CREF; State of Wisconsin 38 See order approving the 1999 Pilot, note 8 TIAA–CREF; State Board of Florida; State of Investment Board; Schulte, Roth & Zabel; AFSCME; supra Wisconsin Investment Board; State of New Jersey; Hotel Employees and Restaurant Employees 39 PA State Employees’ Retirement System; Schulte, International Union; Deb Lingle; John Johnson; and See letter from Teamsters; Comptroller of the Roth & Zabel; State of Connecticut; AFSCME; Employees Retirement System of Texas. City of New York; State of Wisconsin Investment UFCW; AFL–CIO; Greenway Partners; Hotel 32 See note 15 supra. Board; PA State Employees’ Retirement System; Employees and Restaurant Employees International 33 See letters from Comptroller of the City of New UFCW; Hotel Employees and Restaurant Employees Union; Capital Research and Management York; State Board of Florida; PA State Employees’ International Union; and Capital Guardian Trust Company; Capital Guardian Trust Company; and Retirement System; Schulte Roth & Zabel; AFSCME; Company. Employees Retirement System of Texas. Greenway Partners; and Hotel Employees and 40 See letters from Barclays Global Investments; 27 See letters from Capital Research and Restaurant Employees International Union. Comptroller of the City of New York; PA State Management Company, which supported the 34 See letter from Hotel Employees and Restaurant Employees’ Retirement System; and Capital ‘‘broadly-based’’ definition but believed that a Employees International Union. Guardian Trust Company. 41 dilution standard was also necessary; and Capital 35 See letter from Schulte, Roth & Zabel, which See letters from Teamsters and AFL–CIO. Guardian Trust Company. stated ‘‘we believe that the NYSE could have 42 See letters from State of New Jersey and UFCA. 28 See letter from Comptroller of the City of New resolved this issue with Nasdaq/Amex by now, and 43 See letter from PA State Employees’ Retirement York. grow increasingly concerned about NYSE’s System. 29 See letter from AFSCME. commitment to adopting a dilution-based 44 In approving this proposal, the Commission has 30 See letter from Hotel Employees and Restaurant standard.’’ considered its impact on efficiency, competition, Employees International Union. 36 Id. See also letter from State Board of Florida. and capital formation. 15 U.S.C. 78c(f).
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Section 6(b)(5) of the Act, which Nasdaq in developing a consensus on years of the Plan. This modification requires, among other things, that the the issue.48 In addition, the NYSE has should further protect the interests of rules of an exchange be designed to substantially shortened the duration of investors by ensuring that only truly prevent fraudulent and manipulative the extension request from three years to ‘‘broadly-based’’ Plan are exempt from acts and practices, to promote just and one year. Thus, the Commission shareholder approval requirements equitable principles of trade and, in believes that extending the pilot through consistent with Section 6(b)(5) of the general, to protect investors and the September 30, 2001 is appropriate at Act.50 public interest, and not be designed to this time to enable the markets to The Commission has decided to permit unfair discrimination between continue to work on developing a approve the proposed rule change on a issuers.45 potential uniform standard. pilot basis to permit the markets to The Commission has carefully In the order approving the 1999 Pilot, continue their consideration of a considered the issues raised by this the Commission noted that its standard dilution standard. The Commission proposed rule change and continues to for reviewing the NYSE’s proposal is notes that the majority of commenters believe that it is consistent with the whether its consistent with the Act. The that opposed the 2000 Proposal were requirements of the Act.46 In approving Commission must apply this same opposed to the three-year extension. In this proposal, the Commission standard to the current 2000 Proposal. addition, two members of the Task recognizes that a majority of the While the Commission still strongly Force, while questioning the length of commenters continue to believe that a urges the markets to address the issues time requested, believed that some dilution standard would be more in this area and review adoption of a 51 appropriate. Nevertheless, the dilution standard, we nonetheless extension of the pilot was justified. In Commission believes that the current continue to believe that the 2000 response, the NYSE shortened its 2000 Proposal, which addresses Proposal is consistent with the Act extension request to one year. In the concerns that the 1999 Pilot permitted because it represents a reasonable effort NYSE Letter, the Exchange reiterated its grants made under ‘‘broadly-based’’ by the Exchange to clarify which Plans commitment to continue working with Plans to be made in a non-broadly-based are ‘‘broadly-based’’ and therefore its constituents, the Commission, and fashion, is still a better test that the exempt from shareholder approval. other markets to achieve a consensus previous non-exclusive safe harbor Accordingly, the adoption of the solution that adequately addresses the approved in the Original Proposal.47 proposed rule change on a pilot basis needs of all involved. Further, Nasdaq The Commission approved the 1999 should protect investors in accordance recently displayed its willingness to Pilot basis to provide the NYSE with with Section 6(b)(5) of the Act 49 by consider the issues regarding time to develop a dilution test. The helping ensure that only ‘‘broadly shareholder approval standards for NYSE Task Force did develop such a based’’ Plans will be exempted from Plans. Therefore, the Commission test but recommended that the NYSE shareholder approval. believes that it is appropriate to approve Board of Directors refrain from Further, as noted above, the NYSE has the NYSE proposal on a pilot basis until proposing and implementing its modified its definition of ‘‘broadly- September 30, 2001 to enable the dilution standard until such time as the based’’ to require that awards granted to markets to continue working on a other listing markets, specifically Plan participants must be considered on solution that balances the needs of Nasdaq, would adopt similar a rolling three year period to determine investors with the needs of listed requirements. At this time, Nasdaq has if in fact the awards are granted in a companies. not adopted the NYSE dilution standard ‘‘broadly-based’’ fashion, i.e., a majority VI. Conclusion and has not developed its own dilution of shares must be awarded to non-officer standard. However, as noted above, and director Plan participants. The It is therefore ordered, pursuant to Nasdaq has taken substantial steps in Commission notes that, in approving the Section 19(b)(2) of the Act,52 that the considering the NYSE dilution proposal 1999 Pilot, it received numerous amended proposed rule change (SR– by issuing a request for comment from comments about a loop-hole in the NYSE–00–32) is approved on a pilot its issuers and investors. Nasdaq definition of ‘‘broadly-based’’ Plans basis until September 30, 2001. received approximately 275 comment because the definition only required letters on the NYSE dilution proposal. actual grants to be awarded to non- For the Commission, by the Division of The Commission expects to receive the officers and directors during the first Market Regulation, pursuant to delegated 53 Nasdaq analysis on these letters in the three years of the Plan. The Commission authority. near future. In addition, in its response believes that the modification of the Margaret H. McFarland, to the comment letters, the NYSE stated rolling three-year period shall Deputy Secretary. that it intends to coordinate with strengthen the definition and should [FR Doc. 01–8505 Filed 4–5–01; 8:45 am] help to ensure that Plans that are BILLING CODE 8010–01–M 45 15 U.S.C. 78f(b)(5). established by NYSE-listed companies 46 See also order approving the 1999 Pilot, note are actually implemented in ‘‘broadly- 50 15 U.S.C. 78f(b)(5). 8 supra. In addition, the Commission has reviewed based’’ fashion. Accordingly, the new the Pilot Monitoring Report. The Commission 51 See letters from TIAA–CREF, which stated ‘‘we expects the NYSE to continue to monitor its listed rolling three-year definition should believe that the issues are capable of a companies’ use of the ‘‘broadly-based’’ exemption address the previous concerns by comprehensive resolution within one year based on and to submit a similar report prior to any future preventing NYSE-listed companies from the recommended standards already conditionally submission regarding this matter. establishing Plans and only approved by the NYSE * * *’’; and Gibson, Dunn 47 & Crutcher, which stated ‘‘[w]hile the duration of The Commission notes that if it found that the implementing them in a ‘‘broadly- current ‘‘broadly-based’’ definition was not the extension can legitimately be the subject of consistent with the requirements of the Act, the based’’ fashion during the first three discussion, the justification for an extension cannot Original Proposal approved by the Commission in be seriously questioned.’’ 1998 would become effective. See notes 11 and 12 48 See note 6 supra. 52 15 U.S.C. 78s(b)(2). supra. 49 15 U.S.C. 78f(b)(5). 53 17 CFR 200.30–3(a)(12).
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SECURITIES AND EXCHANGE On July 13, 1995, the NYSE submitted Amendment No. 5 to the proposed rule COMMISSION Amendment No. 2 to the proposed rule change.15 Given the public’s interest in change, which was published in the the proposed rule change and the [Docket No. 34–44139; File No. SR–NYSE– Federal Register on July 28, 1995.8 The Commission’s desire to give the public 94–34] Commission received five comment sufficient time to consider Amendment letters on Amendment No. 2 to the No. 5 to the proposal, the Commission Self-Regulatory Organizations; Order 9 Approving Proposed Rule Change and proposed rule change. extended the comment period to On June 28, 1996, the NYSE Notice of Filing and Order Granting Amendment No. 5 for an additional 14 submitted Amendment No. 3 to the 16 Accelerated Approval of Amendment days. proposed rule change, which was On March 13, 2001, the NYSE No. 6 to the Proposed Rule Change by published in the Federal Register on submitted Amendment No. 6 to the the New York Stock Exchange, Inc. July 18, 1996.10 The Commission proposed rule change.17 This order Amending Rule 92 To Permit Limited received three comment letters on approves the proposed rule change, as Trading Along With Customers Amendment No. 3 to the proposed rule amended. The Commission also seeks March 30, 2001. change.11 comment from interested persons on On December 15, 1997, the NYSE Amendment No. 6. I. Introduction submitted Amendment No. 4 to the II. Background On September 27, 1994, the New York proposed rule change, which was Exchange, Inc. (‘‘NYSE’’ or ‘‘Exchange’’) published in the Federal Register on Currently, NYSE Rule 92 prohibits submitted to the Securities and February 18, 1998.12 The Commission members from personally buying or Exchange Commission (‘‘SEC’’ or received six comment letters on selling (or initiating the purchase or ‘‘Commission’’), pursuant to section Amendment No. 4 to the proposed rule sale) of any security on the Exchange at 19(b)(1) of the Securities Exchange Act change.13 the same or better price at which they of 1934 (‘‘Act’’) 1 and Rule 19b–4 On October 28, 1999, the NYSE hold executable customer orders. The thereunder,2 a proposed rule change to submitted Amendment No. 5 to the rule does not contain any exceptions for amend NYSE Rule 92 to permit limited proposed rule change, which was any type of proprietary transactions. In trading along with customers. On published in the Federal Register on addition, the current rule does not apply 14 December 20, 1994, the Exchange December 20, 1999. The Commission to member organizations or transactions submitted Amendment No. 1 to the received three comment letters on by members or member organizations in proposed rule change.3 The proposed market centers other than the Exchange. According to the Exchange, Rule 92 rule change, as amended by April 4, 1995; Frederick Moss, Chairman of the Board of Trustees, CSE, dated February 16, 1995; reflects fundamental concepts of agency Amendment No. 1, was published in the David P. Semak, Vice President Regulation, PCX, law—that an agent must place its Federal Register on January 3, 1995 dated February 17, 1995 (‘‘PCX Letter No. 1’’); and customer’s interest ahead of its own (‘‘Original Proposal’’).4 On February 1, George W. Mann, Senior Vice President and General Counsel, Boston Stock Exchange, Inc. (‘‘BSE’’), proprietary interest. While this concept 1995, in response to requests from dated February 27, 1995. remains true today, the Exchange several self-regulatory organizations 8 Securities Exchange Act Release No. 36015 (July believes that trading practices have 5 21, 1995), 60 FR 38875. (‘‘SROs’’), the Commission published a evolved in a manner that requires that notice of filing to extend the comment 9 See letter to Jonathan G. Katz, Secretary, SEC, 6 from David P. Semak, Vice President Regulation, the rule be amended. Specifically, the period for the Original Proposal. The PCX, dated September 8, 1995; letters to Margaret rule was drafted and promulgated before Commission received ten comment H. McFarland, Deputy Secretary, SEC, from William the advent of block positioning 18 and letters on the Original Proposal.7 W. Uchimoto, First Vice President and General Counsel, Phlx, dated August 11, 1995 and October the proliferation of upstairs proprietary 27, 1995; and David Colker, Executive Vice trading by member organizations. Thus, 1 15 U.S.C. 78s(b)(1). President and Chief Operating Officer, CSE, dated the Exchange decided to evaluate the 2 17 CFR 240.19b–4. February 15, 1996; and letter to Brandon Becker, rule’s application, which currently only 3 See: letter to Glen Barrentine, Team Leader, Director, Division, SEC, from Roger D. Blanc, Division Vice President and Secretary, NYSE dated Wilkie, Farr & Gallagher, dated November 22, 1995. applies to trading practices engaged in December 16, 1994 (‘‘Amendment No. 1’’). 10 Securities Exchange Act Release No. 37428 by floor members, in light of member 4 Securities Exchange Act Release No. 35139 (July 11, 1996), 61 FR 37523. organizations’ new off-floor trading (December 22, 1994), 60 FR 156. 11 See letter to Jonathan G. Katz, Secretary, SEC, practices. According to the Exchange, in 5 See letters to Katherine A. Simmons, Division, from Roger D. Blanc, Wilkie, Farr & Gallagher, dated amending Rule 92 to address these off- SEC, from Robert P. Ackerman, The Cincinnati August 2, 1996; and letters to Margaret H. Stock Exchange (‘‘CSE’’), dated January 23, 1995; McFarland, Deputy Secretary, SEC, from Michele R. floor trading practices, it sought to strike and David P. Semak, Vice President Regulation, Weisbaum, Vice President and Associate General Pacific Stock Exchange, Inc. (‘‘PCX’’), dated January Counsel, Phlx, dated August 8, 1996; and Adam W. 15 See letters to Jonathan G. Katz, Secretary, SEC, 23, 1995. Gurwitz, Director of Legal Affairs, CSE, dated from Gerald D. Putnam, Chief Executive Officer, 6 Securities Exchange Act Release No. 35274 August 13, 1996. Archipelago, L.L.C., dated January 10, 2000 (January 25, 1995), 60 FR 6330. Pursuant to Section 12 Securities Exchange Act Release No. 39634 (‘‘Archipelago Letter’’); Sam Scott Miller, Orrick, 19(b)(2) of the Act, the NYSE consented to the (February 9, 1998), 63 FR 8244. Herrington & Sutcliffe, LLP, dated January 25, 2000 additional twenty-one day public comment period. 13 See letters to Jonathan G. Katz, Secretary, SEC, (‘‘Orrick Herrington Letter’’); Richard T. Sharp, See letter to Katherine Simmons, Division, SEC, from Roger D. Blanc, Wilkie, Farr & Gallagher, dated Solomon, Zauderer, Ellenhorn, Frischer & Sharp, from Donald Siemer, Director, Market Surveillance, March 10, 1998; Robert C. Errico, President, dated March 10, 2000 (‘‘Solomon Zauderer Letter’’). NYSE, dated January 24, 1995. Securities Industry Association, dated March 24, 16 Securities Exchange Act Release No. 42330 7 See letters to Jonathan G. Katz, Secretary, SEC, 1998; Karen A. Aluise, Vice President, BSE, dated (January 11, 2000), 65 FR 3515 (January 21, 2000). from Roger D. Blanc, Wilkie, Farr & Gallagher, dated March 12, 1998; Paul A. Merolla, Vice President– 17 See letter to Belinda Blaine, Associate Director, February 21, 1995 (‘‘Blanc Letter No. 1’’) and March Associate General Counsel, Goldman Sachs, dated Division, SEC, from James E. Buck, Senior Vice 30, 1995; Joan Conley, Corporate Secretary, March 18, 1998; letter to Margaret H. McFarland, President and Secretary, NYSE, dated March 9, National Association of Securities Dealers, Inc. Deputy Secretary, SEC, from Adam W. Gurwitz, 2001 (‘‘Amendment No. 6’’). (‘‘NASD’’), dated March 6, 1995; Peter A. Ianello, Vice President Legal and Corporate Secretary, CSE, 18 Block positioning is an activity engaged in by et al, SBC Capital Markets Inc., dated March 13, dated March 11, 1998; and letter to Howard L. certain broker-dealers whereby a broker-dealer acts 1995; J. Craig Long, Foley & Lardner, dated May 3, Kramer, Assistant Director, Division, SEC, from as principal in taking all or part of a block order 1995; and letters to Margaret H. McFarland, Deputy Julius R. Leiman-Carbia, Goldman Sachs, dated May placed with the broker-dealer by a customer to Secretary, SEC from William W. Uchimoto, General 21, 1998. facilitate a transaction that might otherwise be Counsel, Philadelphia Stock Exchange (‘‘Phlx’’), 14 Securities Exchange Act Release No. 42224 difficult to effect in the ordinary course of floor dated February 15, 1995 (‘‘Phlx Letter No. 1’’) and (December 13, 1999), 64 FR 3515. trading.
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an appropriate balance between representing the member firm’s In Amendment No. 4,24 the Exchange permitting block facilitations and customer. proposed to permit members and preserving customer protections. The Exchange, however, proposed to member organizations to hedge Accordingly, the Original Proposal 19 amend the ‘‘other market center’’ facilitation positions, provided that the sought to extend the restrictions of the provision of the Original Proposal by hedging activity met certain conditions. excluding transactions in securities not rule by treating proprietary transactions In addition, the Exchange proposed to listed on the NYSE, transactions by a entered by member organizations in the included a provision as Supplemental member organization acting in the same manner as proprietary trades of Material .20 concerning the application capacity of a market maker in a security individual members on the floor of the of the proposed ‘‘any other market Exchange. However, to accommodate covered by Rule 19c–3 22 under the Act, and transactions by a member center’’ language. Specifically, the the block facilitation business, the Exchange proposed to defer the review Exchange proposed to permit members organization acting in the capacity of a of transactions, both proprietary and and member organizations to trade specialist or market maker on a regional agency, that were executed on another along with customers when liquidating exchange, to the extent that the market center, to that other market block facilitation positions, subject to principal trade effected was center’s regulatory staff, if the other certain conditions. immediately liquidated at the same market center had a trading along In the Original Proposal, the Exchange price as the customer received on that exchange. The NYSE, however, prohibition that was ‘‘substantially also sought to extend the trading 25 restrictions imposed by Rule 92 to reasserted its belief that the rule should similar’’ to the NYSE’s Rule 92. If the trades effected by NYSE members that apply to all agency transactions by its other market center did not have a occurred on ‘‘any other market center.’’ members irrespective of the market ‘‘substantially similar’’ rule, the NYSE The Exchange believed that the broad center on which a transaction may be rules would govern the review and concepts of agency law and fiduciary executed. analysis and the NYSE would pursue duties owned by agents to their Finally, to accommodate off-floor the matter. Further, the NYSE proposed customers applied to all agency proprietary trading, the Exchange that all investigations be coordinated relationships irrespective of the market proposed an additional exception to the through the ISG procedures. center. Thus, it believed that its rule to permit members or member In Amendment No. 5,26 the Exchange members should be subject to the rule’s organizations to trade along with revised the ‘‘other market center’’ restrictions regardless of whether their customers when engaging in bona fide provisions by limiting the application of transactions occurred on the NYSE. arbitrage or risk arbitrage, provided that Rule 92 to only those situations in certain conditions were met. which one or both trades (proprietary or Finally, the Exchange clarified the 23 rule by proposing that members or In Amendment No. 3, the Exchange agency) of a customer facilitation employees of members or member further clarified the scope of the transaction were effected on the NYSE. organizations engaged in proprietary proposed rule change. Specifically, the Thus, if neither transaction occurred on trading for the member or member Exchange amended the provision that the NYSE, Rule 92 would not apply. organization would be imputed with excluded regional exchange specialists and market makers from the provisions In addition, the Exchange proposed a knowledge of customer orders unless definition for bona fide hedge. the member organization had created a of the rule when they were acting in the capacity of a specialist or market maker Specifically, the Exchange proposed to functional separation between its define the creation of a bona fide hedge proprietary trading desks and its other on a regional exchange by deleting the requirement proposed in Amendment as those transactions that occur so close trading desks. in time to the completion of the 20 No. 2 that a regional specialist or market In Amendment No. 2, the Exchange transaction precipitating such hedge revised the Original Proposal to reflect maker immediately liquidate its principal trade at the same price to its that the hedge transactions are ‘‘clearly some of the issues raised in the related.’’ Further, the Exchange defined comment letters.21 Several commenters customer. The Exchange also sought to clarify its what it considered to be ‘‘clearly raised concerns about extending the rule reason for expanding its enforcement of related’’ for purposes of the hedge to cover member organizations and to Rule 92 to other market centers. exception in proposed Supplemental transactions occurring on other market Specifically, NYSE stated that because Material .50. centers. The Exchange reiterated its Rule 92 was an inventor protection and belief that the rule should be extended Finally, the Exchange proposed to market integrity rule, its amendments to apply to member organizations. permit members and member sought to expand the narrow focus on According to the Exchange, while most organizations to trade along with floor activities to encompass member trading along situations occur when the customers when effecting transactions organizations’ transaction in NYSE- same floor broker represents both to correct bona fide errors. listed securities irrespective of the agency and proprietary orders, it would 27 market center in which these III. Description of the Proposal be unacceptable for a member to enter transactions occurred. The NYSE, a proprietary order with a different As described above, NYSE Rule 92 nevertheless, amended the proposal to broker, who could then compete currently restricts the ability of a NYSE provide that, if another SRO had directly with the member firms’s broker prohibitions similar to Rule 92, the 24 prohibited activity resulted in See note 12 supra. 19 See note 4 supra. 25 NYSE proposed that it would consider a rule 20 See note 8 supra. transactions effected solely on that other to be ‘‘substantially similar’’ if the difference in the 21 See note 7 supra. In addition to submitting SRO’s market, and that SRO was a application of the rule was minor and technical and Amendment No. 2 to the Commission, the Exchange member of the Intermarket Surveillance not materially different. submitted a letter responding to the issues raises in Group (‘‘ISG’’), the ISG’s investigative 26 See note 14 supra. Blanc Letter No. 1, Phlx Letter No. 1 and PCX Letter procedures would apply. 27 The Commission notes that the description of No. 1. See letter to Brandon Becker, Director, the proposal, and thus the proposal approved in Division, SEC, from James E. Buck, Senior Vice this order, reflects the proposed rule language President and Secretary, NYSE dated March 15, 22 17 CFR 240.19c–3. submitted by the NYSE in Amendment No. 6 See 1995. 23 See note 10 supra. note 17 supra.
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member 28 to trade for its own account execution reports. Consent from the with the risk of offsets; 37 (iii) the risk when the member has knowledge of any customer will be required for each to be offset is the result of a position unexecuted customer order for the same transaction with which the member or acquired in the course of facilitating a security that could be executed at the member organization wishes to trade customer’s order; and (iv) the same price. The NYSE has proposed to along.32 Subject to this consent, customer’s order is for 10,000 shares or amend Rule 92 to broaden its members and member organizations more. Third, pursuant to proposed applicability to include member will be permitted to enter only four NYSE Rule 92(b)(3), members and organization,29 and to permit members types of proprietary orders when member organizations will be permitted and member organizations to trade representing non-individual investor to modify an existing hedge if (i) the along with some of their customers in orders: First, pursuant to proposed size of the hedge, as modified, remains limited circumstances, as discussed NYSE Rule 92(b)(1), members and commensurate with the risk it offsets; further below. member organizations will be permitted (ii) the hedge was created to offset a As proposed NYSE Rule 92(a) would to liquidate a position in a proprietary position acquired in the course of maintain the restriction regarding NYSE facilitation account 33 if their customer’s facilitating a customer’s order; and (iii) members’ ability to enter orders to buy order is for at least 10,000 shares.34 the customer’s order is for 10,000 shares or sell any Exchange-listed security for Second, pursuant to proposed NYSE or more. Finally, pursuant to proposed any account in which such member or Rule 92(b)(2), members and member NYSE Rule 92(b)(4), members and member organization or any approved organizations will be permitted to create member organizations will be permitted person thereof is directly or indirectly a bona fide hedge 35 so long as (i) the to engage in bona fide arbitrage 38 or risk interested, if the person responsible for creation of the hedge, whether through arbitrage 39 transactions so long as such the entry of the order has knowledge 30 one or more transactions, occurs so transactions are recorded in an account of any particular unexecuted customer close in time to the completion of the used solely to record arbitrage order to buy or sell the same security transaction precipitating such hedge transactions. that could be executed at the same that the hedge is clearly related; 36 (ii) In addition to the current exceptions price. However, Rule 92, as proposed, the size of the hedge is commensurate will now also place the same trading to the rule for odd-lot dealers to offset odd-lot orders for customers, and orders restrictions on member organizations. 32 According to the Exchange, it intends to inform As proposed in NYSE Rule 92(b), its members and member organizations that, with delivery terms other than those members and member organizations although the rule does not include express specified in an unexecuted market or will be permitted to enter proprietary recordkeeping provisions with regard to evidencing limit order, the Exchange has proposed orders while representing a customer’s customers’ consent, members and member organizations will have the burden of proof to two other exceptions. First, pursuant to order that could be executed at the same demonstrate that consent has in fact been obtained. proposed Rule 92(c)(3), transactions by price, under limited circumstances, so See Original Proposal, note 4 supra. See also a member or member organization that long as the order is not for the account Amendment No. 2, note 8 supra. is acting in the capacity of a market of an individual investor 31 and the 33 In Supplemental Material .40 to proposed maker or specialist in an NYSE-listed NYSE Rule 92, the Exchange proposed to define a customer has given express permission, ‘‘proprietary facilitation account’’ an account in security otherwise than on the Exchange which must include an understanding which a member organizations has a direct interest will not be subject to the restrictions of of the relative price and size of allocated and which is used to record transactions whereby proposed Rule 92.40 Second, pursuant a member organization acquires positions in the to proposed Rule 92(c)(4), transactions 28 The NYSE defines the term ‘‘member’’ as a course of facilitating customer orders. 34 by members made to correct bona fide natural person who is a member of the Exchange. The Exchange also clarified that it believed that See NYSE Constitution, Article I, Section 3(h). the exception should be extended to situations errors will also be permitted. 29 The NYSE defines the term ‘‘member where a member organization enters into a binding contract with a customer to buy or sell a specified In the Original Proposal, the NYSE organization’’ as a corporation or partnership, proposed to extend the application of registered as a broker or dealer in securities under, number of shares of a particular security at the unless exempt by, the Act, approved by the Board closing price on the same day, with the contract to NYSE Rule 92 to other market centers. as a member corporation or member firm, at least be completed after the close of trading on that day. In Amendment No. 5, the NYSE one of whose officers or general partners or According to the Exchange, it would consider such a binding contract, for the purposes of Rule 92 only, withdrew this language but proposed to employees is a member of the Exchange, or which apply Rule 92 to those situations in has the status of a member corporation or member as the equivalent of the establishment of a block firm by virtue of permission given to it pursuant to facilitation position so long as the contract is which one or both trades (proprietary or the rules of the NYSE. See NYSE Constitution, binding on both the customer and the member agency) of a customer facilitation is Article I, Sections 3(i), (j), and (k). organization. In these circumstances, the member organization would be required to memorialize the effected on the NYSE. If neither segment 30 In Supplemental Material .10 to proposed of a customer facilitation transaction NYSE Rule 92, the Exchange proposed to define block facilitation position by an entry or otherwise what constitutes knowledge for the purposes of the in a block facilitation account. Thereafter, the occurs on the exchange, proposed NYSE rule to provide that a member or employee of a member organization could trade along with its Rule 92 would not apply. member or a member organization that is customer’s order to liquidate that position in responsible for entering proprietary orders shall be accordance with the provisions of proposed 37 In Amendment No. 4, the Exchange stated that presumed to have knowledge of a particular paragraph (b) of Rule 92. See Amendment No. 6, the determination of what constitutes an offset or customer order unless the member organization has note 17 supra. implemented a reasonable system of internal 35 In Supplemental Material .40 to proposed reduction of risk may be made by the use of any policies and procedures to prevent the misuse of NYSE Rule 92, the Exchange proposed to define responsible method of calculating the size of the information about customer orders by those ‘‘bona fide hedge ’’ as having the meaning ascribed risk and the type of securities, which would responsible for entering proprietary orders. to it in Securities Exchange Act Release No. 15533 appropriately hedge that risk. 38 31 In Supplemental Material .40 to proposed (January 29, 1979) (‘‘Section 11(a) Release’’). In Supplemental Material .40 to proposed NYSE Rule 92, the Exchange proposed to define ‘‘an 36 In Supplemental Material .50 to proposed NYSE Rule 92, the Exchange proposed to define account of an individual investor’’ as having the NYSE Rule 92, the Exchange provided that for the ‘‘bona fide arbitrage’’ as having the meaning same meaning ascribed to the term in NYSE Rule purposes of NYSE Rule 92(b)(2), a hedge will be ascribed to it in the Section 11(a) Release. See note 80A. NYSE Rule 80A, Supplemental Material .40(c) deemed to be ‘‘clearly related’’ if either the first or 35 supra. defines such terms as an account covered by last transaction comprising the hedge is executed 39 In proposed Supplemental Material .40 to Section 11(a)(1)(E) of the Act, which includes an on the same trade date as the transaction that proposed NYSE Rule 92, the Exchange proposed to account of a natural person, the estate of a natural precipitates such hedge. Further, the provision define ‘‘risk arbitrage’’ as having the meaning person, or a trust created by a natural person for requires a member to mark all memoranda of orders ascribed to it in the Section 11(a) Release. See note himself or another natural person. See 15 U.S.C. to identify each transaction creating or modifying 35 supra. 78k(a)(1)(E). a hedge as permitted under the rule. 40 See Amendment No. 6, note 17 supra.
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IV. Summary of Comments 41 securities in amounts less than 10,000 note that proposed Rule 92 does not shares. restrict a member firm from executing a The Commission received three The Exchange responded that it proprietary program order when holding comments in response to Amendment continued to believe that the 10,000 a customer order in a component No. 5.42 The Exchange responded to the share threshold for customers’ orders is security, nor does it restrict a member issues raised in these comment letters in appropriate for the purposes of the firm’s ability to execute a proprietary Amendment No. 6 to the proposed rule limited trading along exceptions order in an individual security when change.43 permitted by proposed Rule 92. holding a customer’s program order One commenter supported the Second, the commenter proposed that includes that individual security. proposal and believed that it clearly the NYSE permit members and member The Exchange responded that it promoted investor protection.44 Another firms to trade along with their high net considered proprietary program orders commenter questioned the reference to worth customers as well as their to be subject to the restrictions against transactions by members and member institutional customers. The commenter trading along with customer orders. organizations acting in the capacity of believed that, subject to specified However, the Exchange recognized that market makers pursuant to SEC Rule conditions, proposed Rule 92 should program trading desks at member 19c–3,45 as proposed in Rule 92(c)(3) in permit consensual trading along with organizations are typically distinct from Amendment No. 5.46 The commenter sophisticated high net worth customers, trading desks that handle non-program noted that, as a result of the rescission who are capable of understanding customer orders. Therefore, the of NYSE Rule 390, such a distinction allocations and to consenting to Exchange stated that proprietary would be irrelevant. The Exchange allocations on an informed basis. program orders entered in accordance agreed with the commenter’s suggestion The Exchange responded that it with the requirements of proposed and subsequently amended the proposal continued to believe that the limited Supplemental Material .10, which in Amendment No. 6 to delete the trading along exceptions should be requires members or member reference to SEC Rule 19c–3.47 available only when the customer is not organizations to establish a reasonable an individual investor. system of procedures to prevent the The third commenter raised several Third, the commenter requested that misuse of information about customer issues regarding the language of the the NYSE clarify the meaning of the orders by those responsible for entering proposal.48 First, the commenter phrase in proposed Rule 92(b) that proprietary orders, could be entered questioned the proposed definition of requires a customer to understand the notwithstanding the fact that the ‘‘block size’’ for purposes of the ‘‘relative price and size of allocated member organization may also be proposed Rule 92. As proposed, execution reports.’’ Specifically, the representing customer orders in the members and member organizations commenter requested that the Exchange same stock executable at the same price. will be permitted to liquidate positions clarify that a member or member firm Fifth, the commenter requested that held in facilitation accounts, create may, with its customer’s consent and the NYSE confirm that proposed Rule bona fide hedges or modify existing subject to the other conditions of the 92 does not apply to market-on-close hedges while representing a customer proposed rule, allocate shares in any (‘‘MOC’’) and limit-on-close (‘‘LOC’’) order if, among other things, their specified size (not to exceed the size of orders entered in connection with the customer’s order is for 10,000 shares or the facilitation position) to the Exchange’s MOC and LOC policy. more. The commenter proposed that the member’s or member firm’s facilitation According to the commenter, because NYSE adopt the definition set forth by account. each MOC and LOC order is executed at the Commission in its Section 11(a) The Exchange responded by clarifying the same time at the same closing price Release 49 for block orders. The that a member organization would not by the specialist, there is no opportunity commenter indicated that the be precluded form allocating executions for a member firm to ‘‘front-run’’ or Commission defined a ‘‘block order’’ for to its own account before allocating otherwise take advantage of the market purposes of section 11(a)(1) of the Act 50 executions to its customer, but that the impact of a customer MOC or LOC order as one that ‘‘represents at least 10,000 member organization would be required by entering a proprietary MOC or LOC shares or a quantity of securities that to inform the customer of this fact in order. Therefore, the commenter has a current market value of at least advance and obtain the customer’s believed that MOC and LOC orders do $200,000, whichever is greater.’’ The express permission that it may do so. not present the potential for abuse that commenter believed that the Further, the member organization must the rule was designed to protect against Commission’s disjunctive definition retain appropriate documentation that and should not be subject to the would enable members to provide the customer was informed as to exactly constraints of the rule. liquidity to their customers by how the execution would be allocated.51 With regards to MOC orders, the facilitating trades of high-priced Fourth, the commenter sought Exchange stated that there would not be clarification on the proposed rule’s any restriction on a member 41 The Commission notes that it received a total application to program orders. organization entering proprietary MOC of 30 comment letters on the proposal. The Specifically, the commenter noted that orders in the same stock as to which it Exchange has generally addressed the issues raised the proposed rule should clarify the also had entered a customer MOC order in the earlier comments letters by subsequently amending the proposal. Therefore, this discussion difference between an order to buy or because all MOC order must be only reflects the issues raised in the comment sell an entire program and an order to executed at the same price. With regards letters received in response to Amendment No. 5. buy or sell a single component security to LOC orders, however, the Exchange 42 See note 15 supra. of such a program. The commenter stated that, because a LOC order may or 43 See Amendment No. 6, note 17 supra. requested that the NYSE specifically may not receive an execution, 44 See Archipelago Letter, note 15 supra. depending on the depth of contra side 45 17 CFR 240.19c–3. 51 The Exchange also reiterated its interpretation 46 See Orrick Herrington Letter, note 15 supra. interest, a member organization may regarding consent by stating that consent must be 47 enter proprietary LOC orders with the 17 CFR 240.19c–3. obtained with respect to each order that the member 48 See Solomon Zauderer letter, note 15 supra. organization intends to trade along with, and that same limit price as its customer’s LOC 49 See note 35 supra. the member organization must retain appropriate order but, if the member organization 50 15 U.S.C. 78k(a0(1). documentation evidencing such consent. receives an execution and its customer’s
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order does not, the member organization period, such a transaction will not V. Discussion must give up its execution to its automatically be deemed to be outside After careful review, the Commission customer. of the ‘‘clearly related’’ definition, and finds that the proposed rule change is Sixth, the commenter believed that thus, in violation of proposed Rule 92. consistent with the requirements of the the ‘‘clearly related’’ definition, in According to the Exchange, the Act and the rules and regulations proposed Supplemental Material .50 ‘‘clearly related’’ definition is not a safe thereunder applicable to a national relating to bona fide hedges, is unduly harbor. Thus, transactions occurring securities exchange.54 In particular, the restrictive. Pursuant to proposed Rule outside of the rule’s time limitations Commission believes the proposal is 92(b)(2), a member or member would be in violation of the rule.52 consistent with the requirements of organization may create a bona fide section 6(b)(5) of the Act, 55 which hedge, so long as, the hedge, among In relation to the hedge exception, the requires, among other things, that the other things, is clearly related to the commenter also noted that Amendment rules of an exchange be designed to transaction precipitating the hedge. As No. 5 deleted the requirement that the prevent fradulent and manipulative acts proposed, a hedge will be deemed risk to be hedged be the result of a and practices, to promote just and ‘‘clearly related’’ if either the first or last ‘‘previously-established position,’’ as equitable principles of trade, and, in leg of the hedge is executed on the same proposed in Amendment No. 4. general, to protect investors and the trade date as the transaction that According to the commenter, this precipitates such hedge. According to change signifies the the proposal public interest. The NYSE first proposed to amend its the commenter, the ‘‘same trade date’’ permits a member firm to create a hedge Rule 92 in 1994. Since then, the requirement is unduly restrictive. The either prior to, or subsequent to, Exchange has repeatedly amended its commenter asserted, as an example, that effecting the facilitation trade. Therefore proposal in order to address the a derivatives desk needs to have the commenter suggested revising significant policy issues raised by flexibility in creating a hedge when proposed Rule 91(b)(2)(iii) to reflect this commenters. The Commission determining whether to facilitate a change by reading ‘‘* * * the risk to be recognizes that this time-consuming customer’s order, and, if so, at what offset is the result of a position acquired price. Further, the commenter argued or to be acquired in the course of process has been necessary in order to that a block desk that facilitates a facilitating a customer’s order * * *’’. permit the Exchange to craft its revised customer’s order based on a closing Rule 92 in a manner that balances The Exchange responded that it fundamental investor protections with price, may hedge such a position as believed that the hedge exemption is quickly as feasible when the market the requirements of evolving trading available only to offset the risk of a practices involving institutional opens on the next trading day. facilitation position that has been Therefore, the commenter believed that investors and member firm proprietary acquired, or that the member knows it trading operations. the ‘‘clearly related’’ definition should will acquire in order to facilitate a be amended to permit a member to specific customer order that it has A. Application of NYSE Rule 92 to facilitate a trade if the first or last leg of received. Further, the Exchange stated Activities on Other Market Centers the hedge is effected ‘‘within one that the hedge exemption is not As originally submitted, the trading day,’’ which the commenter available to offset the risk of a position Exchange’s proposal was drafted in a proposed to define as the period that the member organization believes it very broad manner that cast a wide net between the time of the facilitation will acquire, absent having received a over many market participants and transaction and the same time on the specific customer order that the member transactions that were not connected to next subsequent or immediately organization will be facilitating. the NYSE. Several regional exchanges preceding trading day. The Exchange believed that the ‘‘same Finally, the commenter, while voiced their opposition to the Original trade date’’ condition to be an supporting the Exchange’s proposal to Proposal and the ensuing 56 appropriate limitation on the ability of use the definitions for ‘‘bona fide amendments. For example, in its letter member organizations to trade along hedge,’’ ‘‘bona fide arbitrage,’’ and ‘‘risk responding to Amendment No. 2, the with their customers. The Exchange arbitrage’’ that are found in the Section CSE argued that the proposed rule stated that it intended the hedge 11(a) Release, suggested that the ‘‘would establish an inappropriate exemption to be narrowly construed but Exchange consider a flexible approach precedent for the extension of NYSE’s noted that, while the initiation of a to their intepretation. Specifically, the regulatory jurisdiction beyond the hedge should be reasonably proximate commenter requested that the Exchange boundaries established by the national to the transaction precipitating the consider the definitions as capable of market system, section 17(d) of the hedge, a member organization is not being adapted to reflect changing market Act 57 and the ISG Agreement.’’ 58 strictly required to complete the hedge conditions and evolving trading This issue remained controversial on the same trade date as the practices. throughout the filing process until the NYSE withdrew the ‘‘other market precipitating transaction. However, the The Exchange responded that it was Exchange cautioned that a hedge started center’’ provision in Amendement No. not inclined to adopt a flexible 5.59 The Commission believes that the on the same trade date as the approach to defining these terms. precipitating transaction but not According to the Exchange, adopting 54 completed until several days later In approving this proposal, the Commission has flexible definitions could create considered its impact on efficiency, competition, would not be deemed to be ‘‘clearly enforcement and compliance problems. and capital formation. 15 U.S.C. 78c(f). related’’ unless there were unusual or Thus, the Exchange believes that its 55 15 U.S.C. 78f(b)(5). extenuating circumstances. approach would lead to better and more 56 See comment letters submitted by the BSE, CSE, CHX, Phlx, notes 7, 9, 11, and 13 supra. In addition to amending the ‘‘clearly even-handed enforcement of the rule.53 related’’ definition, the commenter 57 15 U.S.C. 78q(d). requested that NYSE classify the 58 See note 14 supra. 52 Telephone call between Brian McNamara and 59 For example, the Phlx reiterated its objection to definition as a safe harbor, and Don Siemer, NYSE, and Alton Harvey and Kelly the NYSE’s proposed jurisdiction over orders therefore, it a hedge transaction is Riley, Division, SEC, on June 26, 2000. entered on market other than the NYSE, as executed outside of the specified time 53 Id. Continued
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NYSE has sufficiently narrowed the C. Permitted Member and Member to assist them in making decisions about focus of Rule 92 to be consistent with Organization Transactions their broker’s order handling 62 the requirements of the Act and the Today, many member organizations practices. rules and regulations thereunder. engage in trading for their own accounts One commenter suggested that 60 members be permitted to trade along Specifically, section 6(b)(5) of the Act in order to facilitate their customers’ with thigh net worth customers, which requires that an exchange’s rules not be orders. These trading practices the Exchange declined to do.63 The designed to regulate matters not related potentially subject the member Commission believes that the Exchange to the purposes of the administration of organizations to significant market risks. has made a reasonable determination to the exchange. The Exchange believes that the limit a member’s or a member restrictions set forth in existing Rule 92 Rule 92, as amended, now applies organization’s ability to enter would prevent member organizations only to those situations in which one or proprietary orders to those instances from adequately minimizing these both trades (proprietary or agency) of a where the member or member market risks if the firm is representing customer facilitation is effected on the organization has obtained consent from customer orders for the same securities. NYSE. If neither segment of a customer a customer who is not an individual The Commission believes that the NYSE facilitation transaction occurs on the investor. The Commission believes that has struck an appropriate balance in the Exchange, proposed NYSE Rule 92 the Exchange has reasonably sought to rule by enabling its member would not apply. In Supplementary maximize investor protection by organizations to limit their risk Material .20, the Exchange proposes to limiting consent under Rule 92 to the exposure in narrow circumstances apply the rule’s restrictions to any type of customer that is more likely to involving informed institutional agency or proprietary transaction have the sophistication and market investors while maintaining the basic effected on the Exchange if the knowledge needed to fully appreciate principles of agency law and investor Exchange transaction is part of a group the implications of permitting, or not protections. related transactions that together have permitting, a broker-dealer to trade The member or member organization the effects prohibited by the rule, along with its order. regardless of whether one or more will be required to obtain its customer’s Once consent has been obtained, the transactions occur on other market consent to trade along with the Exchange has proposed to permit its centers or the Exchange transaction customer and such consent must members and member organizations to itself had such effects. The Commission include the customer’s understanding of enter four types of proprietary believes that this provision is a the relative price and size of the transactions while representing their reasonable measure to ensure that NYSE member’s or member organization’s customer orders. As described above, members and member organizations are allocated execution reports. In addition, members and member organizations not able to circumvent the restrictions of a member or member organization will will be permitted, subject to certain the rule. Further, the Commission notes be permitted to trade along with a restrictions, to (1) liquidate positions that the restriction regarding member customer with consent only if the held in proprietary facilitation accounts trading on other market centers is customer is not an individual investor 61 when their customer’s order is for at narrowly tailored to be applicable only as defined by NYSE Rule 80A. A least 10,000 shares; 64 (2) create bona to orders that have an adequate nexus to member or member organization will be fide hedges; (3) modify existing hedges; activities on the NYSE. required to ensure that each of these and (4) engage in bona fide arbitrage or conditions is satisfied before entering risk arbitrage transactions. B. Expansion of Rule To Cover Member the proprietary transactions permitted The Commission believes that the Organizations by the proposed rule. Exchange’s decision to allow members The Commission believes that these According to the Exchange, Rule 92 and member organizations to engage in conditions are reasonable and should these limited types of transactions, was originally adopted to express the preserve investor protections when a agency law principle that an agent must member or member organization 62 One commenter requested clarification with put the interests of its customer ahead proposes to trade along with its regards to the consent provision that requires the of its own proprietary interests. The customers. By requiring affirmative customer to understand the relative price and size Commission believes that the consent, the rule gives the customer the of allocated reports. See Solomon Zauderer Letter, Exchange’s proposal to expand the note 15 supra. The Exchange responded that a opportunity to decide whether or not to member may allocate executions to its own account applicability of Rule 92 to include permit its agent to trade for the agent’s before its customer so long as the customer consents member organizations is reasonably own accounts while representing the in advance to the allocation. The Commission designed to enhance investor protection customer’s order. The customer will not believes that the Exchange’s determination on this and is consistent with the requirements issue is reasonable but expects that the Exchange be required to give consent and a failure will monitor its members to ensure that they are of the Act. Today, member organizations to respond to the firm’s inquiry will not adequately explaining the allocation methods to are accepting customer orders and be deemed to be consent. Of course, if their customers to ensure that customers are readily facilitating their execution. The a customer does not consent, the informed and have a clear understanding upon customers of these member which to base their consent decisions. member or member organization may 63 organizations deserve the same types of See Solomon Zauderer Letter, note 15 supra. decide not to accept the customer’s 64 The Commission notes that the Exchange protections as customers whose orders order. On the other hand, the member proposed to permit limited proprietary trading, are represented by members on the floor or member organization may decide to except for arbitrage and risk arbitrage transactions, of the Exchange. accept its customer’s order and refrain to those instances where the member or member organization holds a block size order, which the from trading in the same security for its Exchange defined as an order for at least 10,000 submitted in Amendment No. 3. See note 11 supra. proprietary accounts while representing shares. One commenter suggested that the Exchange Later, the CSE restated its continued objection to its customer’s order. In either case, modify its definition to recognize orders for higher the NYSE’s proposal by arguing that the NYSE’s revised Rule 92 should provide priced securities that may not be for at least 10,000 proposal, submitted in Amendment No. 4, to shares, which the Exchange declined to accept. See impose its jurisdiction over CSE matters would be customer with the disclosure necessary Solomon Zauderer Letter, note 15 supra. The ‘‘overreaching.’’ See note 13 supra. Commission believes that the Exchange has limited 60 15 U.S.C. 78f(b)(5). 61 See note 31 supra. its definition for appropriate regulatory reasons.
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subject to their customers’ consent, consider their customers’ interest in its members to ensure that this should promote just and equitable every customer transaction. provision is not abused. principles of trade. Many of these The Commission notes that one E. Supplementary Material proprietary transactions will add commenter raised concerns that the liquidity to the market and help ‘‘clearly related’’ definition for bona fide In Supplemental Material .30, the investors receive efficient execution of hedges was unduly restrictive and Exchange clarified that floor members of their orders. Moreover, the Commission requested clarification that the a member organization will be restricted believes that members and member definition was intended as a safe in the same manner as their member organizations should be more willing to harbor.66 The Exchange has declined to organization when entering proprietary facilitate large transactions for broaden its definition along these lines orders. Thus, a floor member of a customers when they are able to or suggest that this provision was member organization may not enter a minimize their proprietary risk by designed to act as a safe harbor. Instead, proprietary order at the same or better entering trades for their proprietary the Exchange has indicated that its price as an unexecuted customer order, accounts.65 proposed interpretation should enable it except to the extent that the member The Commission also notes that the to enforce compliance in a fair and organization could do so under the rule. facilitation of block size orders is a reasonable manner. The Commission The Commission believes that this service needed by many institutional believes that the Exchange’s clarification should assist in the investors. Many orders of block size determination in this matter appears to enforcement of the rule by providing cannot be executed in the markets as a be reasonable and consistent with the clear notice of a floor member’s single order without significantly requirements of the Act. The prohibited activities. affecting the price of the security. Thus, Commission notes that, while the In Supplemental Material .40, the these services may contribute to definition requires that the initiation of Exchange has proposed definitions for stability in the markets and many the hedge must be reasonably proximate the terms ‘‘account of individual contribute to customers being afforded a to the trade precipitating the hedge, the investor,’’ ‘‘Proprietary facilitation fair and stable price for their order. hedge does necessarily need to be account,’’ ‘‘bona fide hedge,’’ ‘‘bona fide The Commission therefore believes completed on the same trade date. arbitrage,’’ and ‘‘risk arbitrage.’’ The that the proprietary trading exceptions Commission believes that these balance the interests of investor D. Other Transactions definitions should provide clarity to the protection with the interests of a free The Exchange proposed two new rule and should help in member and open market. Each type of exceptions to the trading restrictions in compliance and Exchange enforcement permitted proprietary transaction has proposed Rule 92(c). Specifically, in of the Rule. been narrowly drafted to allow only addition to the current exceptions F. Amendment No. 6 very specific types of member regarding odd lot transactions and The Commission finds good cause to transactions. Moreover, because orders with delivery terms other than approve Amendment No. 6 to the members and member organizations those specified in an unexecuted market proposed rule change prior to the will be required to obtain customer or limit order, the Exchange also thirtieth day after the date of consent before they enter a facilitation proposed to permit (1) transactions by publication of notice thereof in the transaction, customers should be members or member organizations that Federal Register. In addition to protected. In sum, the Exchange has are acting in the capacity of a specialist responding to the issues raised in the recognized the needs of its members to or market maker in a security listed on Solomon Zauderer Letter, the Exchange be able to facilitate their customers’ the Exchange that are executed off the amended the test of the rule to delete orders by minimizing their proprietary Exchange, and (2) transactions made to the reference to SEC Rule 19c–3 67 risks, while also reinforcing and correct bona fide errors. The securities. The Commission notes that, maintaining the paramount interests of Commission believes that these new since the rescission of NYSE Rule 390, the investor. The Commission notes that exceptions are appropriate and this provision is no longer relevant. these exceptions do not minimize the consistent with the requirements of the Therefore, because Amendment No. 6 importance of the broker-dealers’ duty Act. The Commission notes that merely made the rule accurate in light to their customers, which requires exception transactions by members of recent events and did not change the broker-dealers to place investors’ acting as specialists or market makers intent or substance of the proposed rule interests before their own. On the executed on markets other than the change, the Commission believes that contrary, members and member Exchange from coverage of the rule good cause exists, pursuant to sections organizations remain obligated to should ensure that the liquidity created 6(b)(5) 68 and 19(b) 69 of the Act, to and maintained by these market 65 accelerate approval of Amendment No. One commenter requested clarification participants on the regional exchanges regarding members’ responsibilities and obligations 6 to the proposed rule change. when handling program orders and component and the Nasdaq Intermarket is not stocks of program orders. See Solomon Zauderer compromised. Further, the Commission VI. Solicitation of Comments Letter, note 15 supra. As the Exchange noted, the notes that Exchange would not have the commenter’s issue could be resolved by the member Interested persons are invited to using the information barriers permitted in authority to enforce compliance with submit written data, views, and Supplemental Material .10, to restrict the flow of NYSE trading rules on members trading arguments concerning Amendment No. knowledge between a member’s program trading exclusively on other national securities 6, including whether it is consistent desk and those responsible for entering customer exchanges, the Nasdaq Intermarket, or with the Act. Persons making written orders. the over-the-counter market. Finally, the The commenter also requested guidance with submissions should file six copies respect to MOC and LOC orders. Because of the Commission believes that it is necessary thereof with the Secretary, Securities nature of these orders, the Exchange responded that to permit transactions to correct bona and Exchange Commission, 450 Fifth it did not believe that the rule would restrict MOC fide errors, but the Commission expects orders but would, in some cases, restrict proprietary the Exchange to monitor the activities of 67 LOC orders. The Commission believes that this 17 CFR 240.19c–3. interpretation is consistent with ensuring investor 68 15 U.S.C. 78f(b)(5). orders are handled appropriately. 66 See Solomon Zauderer Letter, note 15 supra. 69 15 U.S.C. 78s(b).
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Street, NW., Washington, DC 20549– rights. Pursuant to section 302(b)(2) of Under section 182(d)(2) of the Trade 0609. Copies of the submission, all the Trade Act, the Trade Representative Act, a foreign country is considered to subsequent amendments, all written has also initiated a section 302 be denying adequate and effective statements with respect to the proposed investigation of the acts, policies and protection of intellectual property rights rule change that are filed with the practices of the Government of Ukraine if it denies adequate and effective means Commission, and all written that resulted in the identification of under its laws for persons who are not communications relating to the Ukraine as a priority foreign country. citizens or nationals of the country to proposed rule change between the The Office of the United States Trade secure, exercise, and enforce rights Commission and any other person, other Representative (USTR) proposes relating to patents, process patents, than those that may be withheld from determinations that these acts, policies registered trademarks, copyrights and the public in accordance with the and practices are actionable under mask works. Under section 182(b), provisions of 5 U.S.C. 552, will be section 301(b) and that the appropriate countries that have the most onerous or available for inspection and copying at response includes a full or partial egregious acts, policies, or practices that the Commission’s Public Reference suspension of duty-free treatment have the greatest adverse impact (actual Room. Copies of such filings also will be accorded to products of Ukraine under or potential) on the relevant United available for inspection and copying at the Generalized System of Preferences States products must be identified as the principal office of the NYSE. All (GSP). USTR invites interested persons ‘‘priority foreign countries,’’ unless they submissions should refer to File No. to submit written comments and to are entering into good faith negotiations SR–NYSE–94–34 and should be participate in a public hearing or are making significant progress in submitted by April 27, 2001. concerning the proposed determinations bilateral or multilateral negotiations to and action. provide adequate and effective VII. Conclusion DATES: The identification was made, protection for intellectual property It Is Therefore Ordered, pursuant to and the investigation was initiated, on rights. In identifying countries in this section 19(b)(2) of the Act,70 that the March 12, 2001. Requests to appear at manner, USTR is directed to take into amended proposed rule change (SR– the public hearing are due April 13, account the history of intellectual NYSE–94–34) is approved. 2001; written testimony is due April 20, property laws and practices of the foreign country, including any previous For the Commission, by the Division of 2001; a public hearing will be held on Market Regulation, pursuant to delegated April 27, 2001; and written comments identifications as a priority foreign authority.71 and rebuttal comments are due by May country; and the history of efforts of the Margaret H. McFarland, 7, 2001. United States to achieve adequate and effective protection and enforcement of Deputy Secretary. ADDRESSES: Requests, comments, and intellectual property rights. In making testimony should be submitted to Sybia [FR Doc. 01–8508 Filed 4–5–01; 8:45 am] these determinations, USTR consults Harrison, Staff Assistant to the Section BILLING CODE 8010–01–M with the Register of Copyrights, the 301 Committee, ATTN: Docket 301–121, Commissioner of Patents and Office of the United States Trade Trademarks, and other appropriate Representative, 1724 F Street, NW, OFFICE OF THE UNITED STATES officials of the Federal Government, and Room 217, Washington, DC 20508. The TRADE REPRESENTATIVE takes into account information from public hearing will be held in the main [Docket No. 301–121] other sources such as information hearing room of the United States submitted by interested persons. International Trade Commission, 500 E Identification of Priority Foreign Street, SW, Washington, DC 20436. Identification of Ukraine as a Priority Country; Initiation of Section 302 FOR FURTHER INFORMATION CONTACT: Kira Foreign Country Investigation; Proposed Alvarez, Director for Intellectual Determinations and Action; and Enterprises in Ukraine are engaged in Property, (202) 395–6864; Richard Request for Public Comment: the large-scale production and export of Driscoll, Director for Central Europe and Intellectual Property Laws and unauthorized optical media (such as Ukraine, (202) 395–5190; William Busis, Practices of the Government of CDs, CD–Rs, DVDs, and V–CDs). The Associate General Counsel, (202) 395– Ukraine Recording Industry Association of 3150; or Stephen Kho, Assistant General America alleges that for each of the last AGENCY: Office of the United States Counsel, (202) 395–3581. Inquiries two years, Ukraine has produced and Trade Representative. regarding participation in the hearing or exported between 30 and 40 million ACTION: Notice of identification of the submission of comments should be pirated CDs. Ukraine reportedly has the priority foreign country; notice of directed to Sybia Harrison, Staff annual capacity to produce up to 70 initiation of investigation; proposed Assistant to the Section 301 Committee, million CDs, while annual domestic determination and action; request for (202) 395–3419. demand is only in the range of 1 to 5 written comments; invitation to SUPPLEMENTARY INFORMATION: million CDs. In short, Ukraine has participate in public hearing. become a world leader in pirated optical Section 182 of the Trade Act media production. SUMMARY: Pursuant to section Section 182 of the Trade Act of 1974, For over two years, the United States 182(c)(1)(B) of the Trade Act of 1974, as as amended (the Trade Act) (19 U.S.C. Government has requested that the amended (the Trade Act), the United 2242), authorizes the Trade Ukrainian Government close down the States Trade Representative (Trade Representative to identify foreign pirate CD production facilities and enact Representative) has identified Ukraine countries that deny adequate and legislation to adequately protect as a priority foreign country due to its effective protection of intellectual copyrights. The Ukrainian Government denial of adequate and effective property rights or that deny fair and has been unwilling to curtail such protection of intellectual property equitable market access to persons that activities or to enact necessary rely on intellectual property protection. legislation. During the annual Special 70 15 U.S.C. 78s(b)(2). Procedures under section 182 are 301 review in April 2000, the 71 17 CFR 200.30–3(a)(12). commonly referred to as ‘‘Special 301.’’ interagency Trade Policy Staff
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Committee recommended that ‘‘Ukraine is not in the national economic interest. (section 502(c)(5) of the Trade Act (19 would be designated a priority foreign Neither exception applies. U.S.C. 2462(c)(5))). country on August 1, 2000 unless the Accordingly, simultaneously with the Under sections 304(a)(1)(B) and Government of the Ukraine makes identification of Ukraine as a priority 301(c)(1)(C) of the Trade Act, USTR substantial progress in eliminating foreign country, on March 12, 2001 the proposes a determination that production of pirated optical media in Trade Representative initiated an appropriate and feasible action includes its territory.’’ investigation to determine whether the the suspension of duty-free treatment At a summit held in June 2000, the acts, policies, and practices of Ukraine accorded under GSP to some or all President of Ukraine endorsed a U.S.- that resulted in the priority foreign products of Ukraine. As a further step, Ukraine Joint Action Plan to Combat country identification are actionable USTR may also consider increased Optical Media Piracy. The three key under section 301(b) of the Trade Act. duties or other import restrictions on components of the Joint Action Plan are Matters actionable under section 301(b) Ukrainian goods. Ukraine’s leading (1) to suspend the pirate activities while include acts, policies, or practices of a exports to the United States are steel, putting necessary legislation in place, foreign country that are unreasonable chemical products, aircraft and parts, (2) to provide copyright protection to and burden or restrict U.S. commerce. textile products, fertilizers and foreign sound recordings, and (3) to Under section 301(d)(3)(B)(i)(II) of the aluminum. Before the imposition of adopt a strict optical media licensing Trade Act, unreasonable acts, policies or increased duties or other import regime. Given these commitments, the practices include any act, policy or restrictions on Ukrainian goods under United States deferred a decision on practice which denies fair and equitable section 301(c)(1)(B) of the Trade Act, priority foreign country identification provision of adequate and effective however, USTR would expect to publish until November 2000. The United States protection of intellectual property a second notice requesting comments subsequently extended the decision date rights. with regard to the possible imposition of until March 1, 2001 in order to allow As provided under section 303(a) of increased duties or other import the Trade Act, by letter dated March 12, Ukraine sufficient time to implement its restrictions on a specific list of 2001 USTR requested consultations anti-piracy commitments. products. At this time, the only product- with the Government of Ukraine specific comments requested by USTR As of March 1, 2001, however, the regarding the issues under investigation. are comments concerning the possible Ukrainian Government failed to make USTR will seek information and advice suspension of GSP benefits. any significant progress in meeting the from appropriate representatives critical components of the Joint Action provided for under section 135 of the Written Comments and Public Hearing Plan. Enterprises in Ukraine continue to Trade Act in preparing the U.S. In accordance with section 304(b) of produce and export unauthorized CDs presentations for such consultations. the Trade Act, USTR invites interested on a large scale, and necessary persons to provide comments on the legislation on the enforcement of Proposed Determinations and Action matters under investigation and the intellectual property rights remains Based on the acts, policies and proposed determinations. The requested unenacted. practices of the Government of Ukraine comments include comments on: (i) The As a result, on March 12, 2001 the that resulted in the identification of acts, policies and practices of the Trade Representative identified Ukraine Ukraine as a priority foreign country Government of Ukraine that are the as a priority foreign country under under section 182 of the Trade Act, subject of this investigation; (ii) the section 182 of the Trade Act. The USTR proposes determinations under amount of burden or restriction on U.S. identification was based on (1) sections 304(a)(1)(A) and 301(b) of the commerce caused by these acts, policies deficiencies in Ukraine’s acts, policies Trade Act that the acts, policies, and and practices; (iii) whether the acts and practices regarding the protection of practices of Ukraine with respect to the policies and practices of Ukraine are intellectual property rights, including protection of intellectual property rights actionable under section 301(b); and (iv) the lack of effective action enforcing are unreasonable and burden or restrict appropriate action under section 301 intellectual property rights, as United States commerce, and that action which could be taken in response. As evidenced by the alarming levels of by the United States is appropriate. noted, USTR proposes that appropriate compact disc piracy within the country; Section 301(b)(2) of the Trade Act action under section 301 should include and (2) the failure of the Government of authorizes the Trade Representative to the full or partial suspension of GSP Ukraine to enact adequate and effective take all appropriate and feasible action duty-free treatment for products of intellectual property legislation authorized under section 301(c) to Ukraine. USTR requests that comments addressed to enforcement and optical obtain the elimination of the actionable on the proposed action address the media piracy. acts, policies, or practices. Section degree to which suspension of GSP 301(c)(1)(B) authorizes the Trade duty-free treatment on particular Section 301 Investigation and Representative to impose duties or other products of Ukraine might have an Consultations import restrictions on the goods of the adverse effect on U.S. businesses— Under Section 302(b)(2) of the Trade foreign country subject to the including small-and medium-sized Act (19 U.S.C. 2412(b)(2)), the Trade investigation. Section 301(c)(1)(C) businesses—and on consumers. Representative shall initiate an provides that in a case in which the act, Written comments are due by May 7, investigation under Chapter 1 of Title III policy, or practice of the foreign country 2001. A public hearing addressed to of the Trade Act (commonly referred to also fails to meet the eligibility these same issues will be held on April as ‘‘section 301’’) with respect to any requirements for duty-free treatment 27, 2001 in the main hearing room of act, policy or practice that was the basis under the GSP, the Trade Representative the United States International Trade of the identification of a country as a may withdraw, limit or suspend such Commission, 500 E Street, SW., priority foreign country under section treatment. The GSP includes an Washington, DC 20436. Interested 182 of the Trade Act, unless such acts, eligibility requirement concerning the persons wishing to testify orally at the policies and practices are already extent to which the foreign country hearings must provide a written request subject to investigation or action under provides adequate and effective by April 13, 2001 to Sybia Harrison, section 301, or unless the investigation protection of intellectual property rights Staff Assistant to the Section 301
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Committee, ATTN: Docket 301–121, DEPARTMENT OF TRANSPORTATION submitted a noise exposure map may Office of the United States Trade submit to the FAA a noise compatibility Representative, 1724 F Street, NW., Federal Aviation Administration program which sets forth the measures Room 217, Washington, DC 20508. taken or proposed by the airport Requests to testify must include the FAA Approval of Noise Compatibility operator for the reduction of existing following information: (1) Name, Program, Port Columbus International non-compatible land uses and address, telephone number, fax number, Airport, Columbus, OH prevention of additional non-compatible and firm or affiliation of the person AGENCY: Federal Aviation land uses within the area covered by the wishing to testify; and (2) a brief Administration, DOT. noise exposure maps. The Act requires summary of the comments to be ACTION: Notice. such programs to be developed in presented. After the Chairman of the consultation with interested and Section 301 Committee considers the SUMMARY: The Federal Aviation affected parties including local request to present oral testimony, Ms. Administration (FAA) announces its communities, government agencies, Harrison will notify the applicant of the findings on the noise compatibility airport users, and FAA personnel. time of his or her testimony. In addition, program submitted by the Columbus Each airport noise compatibility persons presenting oral testimony must Municipal Airport Authority under the program developed in accordance with submit their complete written testimony provisions of Title I of the Aviation Federal Aviation Regulations (FAR) Part by April 20, 2001. In order to allow each Safety and Noise Abatement Act of 1979 150 is a local program, not a Federal interested party an opportunity to (Public Law 96–193) and 14 CFR Part program. The FAA does not substitute contest the information provided by 150. These findings are made in its judgment for that of the airport other parties at the hearing, USTR will recognition of the description of Federal proprietor with respect to which accept written rebuttal comments, and nonfederal responsibilities in measures should be recommended for which must be filed by May 7, 2001. Senate Report No. 96–52 (1980). On action. The FAA’s approval or Rebuttal comments should be limited to January 3, 2000, the FAA determined disapproval of FAR Part 150 program demonstrating errors of fact or analysis that the noise exposure maps submitted recommendations is measured not pointed out in the briefs or hearing by the Columbus Municipal Airport according to the standards expressed in and should be as concise as possible. Authority under Part 150 were in Part 150 and the Act, and is limited to All written comments must state clearly compliance with applicable the following determinations: the position taken, describe with requirements. On January 10, 2001, the a. The noise compatibility program particularity the supporting rationale, be FAA approved the Port Columbus was developed in accordance with the in English, and be provided in twenty International Airport noise provisions and procedures of FAR Part copies to: Sybia Harrison, Staff Assistant compatibility program. All of the 150; to the Section 301 Committee, ATTN: recommendations of the program were b. Program measures are reasonably Docket 301–121, Office of the United approved. A total of twenty-two (22) consistent with achieving the goals of States Trade Representative, 1724 F measures were included in the reducing existing non-compatible land Street, NW., Room 217, Washington, DC Columbus Municipal Airport Authority uses around the airport and preventing 20508. recommended program. Of the twenty- the introduction of additional non- Comments will be placed in a file two measures, five (5) are listed as compatible land uses; (Docket 301–121) open to public ‘‘Noise abatement Plan Measures’’, c. Program measures would not create inspection pursuant to 15 CFR 2006.13, eleven (11) are listed as ‘‘Land Use an undue burden on interstate or foreign except confidential business Management Plan’’, and six (6) are listed commerce, unjustly discriminate against information exempt from public as ‘‘Program Management Measures.’’ types or classes of aeronautical uses, inspection in accordance with 15 CFR The FAA has approved all twenty-two violate the terms of airport grant 2006.15. Confidential business (22) measures. agreements, or intrude into areas preempted by the Federal Government; information submitted in accordance EFFECTIVE DATE: The effective date of the with 15 CFR 2006.15 must be clearly and FAA’s approval of the Port Columbus d. Program measures relating to the marked ‘‘BUSINESS CONFIDENTIAL’’ International Airport noise in a contrasting color ink at the top of use of flight procedures can be compatibility program is January 10, implemented within the period covered each page on each of the 20 copies, and 2001. must be accompanied by a non- by the program without derogating confidential summary of the FOR FURTHER INFORMATION CONTACT: safety, adversely affecting the efficient confidential information. The non- Mary Jagiello, Federal Aviation use and management of the navigable confidential summary shall be placed in Administration, Great Lakes Region, airspace and air traffic control systems, the file that is open to public inspection. Detroit Airports District Office, DET or adversely affecting other powers and An appointment to review the docket ADO–670.1, Willow Run Airport, East, responsibilities of the Administrator may be made by calling Brenda Webb at 8820 Beck Road, Belleville, Michigan prescribed by law. (202) 395–6186. The USTR Reading 48111, (734) 487–7296. Documents Specific limitations with respect to Room is open to the public from 10 a.m. reflecting this FAA action may be the FAA’s approval of an airport noise to 12 noon and 1 p.m. to 4 p.m., reviewed at this same location. compatibility are delineated in FAR Part Monday through Friday, and is located SUPPLEMENTARY INFORMATION: This 150, section 150.5. Approval is not a in Room 3, First Floor, Office of the notice announces that the FAA has determination concerning the United States Trade Representative, given its overall approval to the noise acceptability of land uses under Federal, 1724 F Street, NW., Washington, DC compatibility program for Port state, or local law. Approval does not by 20508. Columbus International Airport, itself constitute an FAA implementing effective January 10, 2001. action. A request for Federal action or William Busis, Under section 104(a) of the Aviation approval to implement specific noise Chairman, Section 301 Committee. Safety and Noise Abatement Act of 1979 compatibility measures may be [FR Doc. 01–8510 Filed 4–5–01; 8:45 am] (hereinafter referred to as ‘‘the Act’’), an required, and an FAA decision on the BILLING CODE 3190–01–P airport operator who has previously request may require an environmental
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assessment of the proposed action. Runway 10L/28R; amend FAA Tower DEPARTMENT OF TRANSPORTATION Approval does not constitute a Order CMH ATCT 7110.1 and publish commitment by the FAA to financially an informal preferential runway use Federal Aviation Administration assist in the implementation of the system in the Airport Facilities program nor a determination that all Directory to maximize east flow; and Aging Transport Systems Rulemaking measures covered by the program are amend the language in the FAA Tower Advisory Committee; Meeting eligible for grant-in-aid funding from the Order CMH ATCT 7110.1 and FAA AGENCY: Federal Aviation FAA. Where Federal funding is sought, Notice CMH ATCT N7110.22 to comply Administration (FAA), DOT. requests for project grants must be with FAA requirements. Eleven (11) of ACTION: Notice of public meeting. submitted to the FAA Detroit Airports the twenty-two (22) measures are listed Districts Office in Belleville, Michigan. as ‘‘Land Use Measures.’’ These include SUMMARY: This notice announces a The Columbus Municipal Airport noise insulation of noncompatible public meeting of the FAA’s Aging Authority submitted to the FAA on June structures, residences, and churches Transport Systems Rulemaking 14, 1999, noise exposure maps, within the DNL 65+ dB contour of the Advisory Committee. descriptions, and other documentation Year 2003; seek cooperation from the produced during the noise compatibility DATES: The meeting will be held on City of Columbus and Franklin County planning study conducted from January April 25 and 26, 2001 and will begin at 1, 1997 through December 31, 1997. The to amend their Land Use Compatibility 9 a.m. on April 25. Port Columbus International Airport Standards and the boundaries of the ADDRESSES: The meeting will be held at noise exposure maps were determined Airport Environs Overlay (AEO) FAA in the Bessie Coleman Conference by the FAA to be in compliance with District; encourage Franklin County to Center, 800 Independence Avenue, SW., applicable requirements on January 3, amend their County Zoning Resolutions; Washington, DC 20591. encourage Jefferson Township and the 2000. Notice of this determination was FOR FURTHER INFORMATION CONTACT: City of Gahanna to adopt the AEO- published in the Federal Register on Shirley Stroman, Office of Rulemaking, February 4, 2000. Airport Environs Overlay District as part ARM–208, FAA, 800 Independence The Port Columbus International of their zoning regulations; encourage Avenue, SW., Washington, DC 20591; Airport study contains a proposed noise Franklin County, Jefferson Township, telephone (202) 267–7470; fax (202) compatibility program comprised of Mifflin Township, and the City of 267–5075; or e-mail actions designed for phased Gahanna to adopt subdivision codes and [email protected]. implementation by airport management building codes applicable to the AEO and adjacent jurisdictions from June 14, district; encourage the Board of Realtors SUPPLEMENTARY INFORMATION: Notice is 1999 to the year 2003. It was requested to participate in voluntary fair hereby given of a meeting of the Aging that the FAA evaluate and approve this disclosure program for property located Transport Systems Rulemaking material as a noise compatibility within the AEO District; periodically Advisory Committee, which will be program as described in section 104(b) place advertisements in the real estate held at FAA, the Bessie Coleman of the Act. The FAA began its review of sections of local newspapers delineating Conference Center, 800 Independence the program on July 14, 2000, and was the boundaries of the AEO District; Avenue, SW., Washington, DC 20591. required by a provision of the Act to purchase the Buckles property. Six (6) The meeting agenda will include the approve or disapprove the program of the twenty-two (22) measures are following: within 180 days (other than the use of listed as ‘‘Program Management April 25, 2001 new flight procedures for noise control). Measures.’’ These include maintaining Failure to approve or disapprove such • Review and Approve Minutes the noise abatement measure of the FAA • Present New Tasks program within the 180-day period shall ATCT Tower Order; maintaining the be deemed to be an approval of such • Review ATSRAC Rulemaking Process Noise Management Office, public • Review Tasking Schedule program. involvement program, and the noise and The submitted program contained • Begin Discussion of Tasks flight track monitoring system; routinely twenty-two (22) proposed actions for update the noise contours and April 26, 2001 noise mitigation on and/or off the periodically update the noise program; airport, as applicable. The FAA • Continue Discussion of Tasks completed its review and determined and establish a land use compatibility Attendance is open to the public but that the procedural and substantive task force. will be limited to the availability of requirements of the Act and FAR Part These determinations are set forth in meeting room space. The FAA will 150 have been satisfied. The overall detail in a Record of Approval signed by arrange teleconference capability for program therefore, was approved by the the Associate Administrator on January individuals who wish to participate by FAA effective January 10, 2001. 10, 2001. The Record of Approval, as teleconference if we receive notification Outright approval was granted for all well as other evaluation materials and before April 12. Callers from outside the twenty-two (22) of the specific program the documents comprising the Washington, DC metropolitan area will elements. Five (5) of the twenty-two (22) submittal, are available for review at the be responsible for paying long distance measures submitted are listed as ‘‘Noise FAA office listed above and at the charges. We can also provide sign and Abatement Plan Measures.’’ These administrative offices of the Columbus oral interpretation as well as a listening include an amendment to the Night Municipal Airport Authority. device if requests are made within 10 Time Aircraft Maintenance Runup calendar days before the meeting. You Issued in Belleville, Michigan, March 8, Policy to designate an additional run-up may arrange for these services by 2001. location at the north airfield; the contacting the person listed under the construction of a new run-up barrier at Irene Porter, FOR FURTHER INFORMATION CONTACT the north airfield; continue use of the Manager, Detroit Airports District Office, heading of this notice. informal Nighttime Preferential Runway Great Lakes Region. The public may present written Use program in effect at CMH with an [FR Doc. 01–8441 Filed 4–5–01; 8:45 am] statements to the Committee at any time amendment to increase nighttime use of BILLING CODE 4910–13–M by providing 20 copies to the
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Committee’s Executive Director or by tank safety standard. Insofar as a portion Rails, which requires specific remedial bringing the copies to the meeting. of APTA’s request relates to the internal actions for various types of rail flaws. Public statements will only be fuel tank safety standard specified in 49 The Guilford Rail System considered if time permits. CFR part 238.223, paragraph (b), FRA [Docket Number FRA–2000–8623] Issued in Washington, DC on March 29, will consider that portion of the request 2001. a request for a waiver of compliance to GRS states that it voluntarily Anthony F. Fazio, be evaluated under the requirements of instituted a program to perform continuous searches for internal defects Director, Office of Rulemaking. 49 CFR part 211. Otherwise, FRA will evaluate APTA’s request as a petition on certain lower speed branch lines [FR Doc. 01–8442 Filed 4–5–01; 8:45 am] for special approval of an alternative, when the Track Safety Standards do not BILLING CODE 4910–13–M external locomotive fuel tank safety mandate those inspections to be made. standard to be evaluated under the The standards require internal flaw inspections at various frequencies on DEPARTMENT OF TRANSPORTATION requirements of 49 CFR part 238. Interested parties are invited to Class 3 through 9 track. Federal Railroad Administration participate in this proceedings by In the event that rail defects are submitting written views, data, or located during the additional rail [Docket No. FRA–2001–8698] comments as to the safety of APTA’s inspections, which are not required by alternative fuel tank safety standard. the safety standards, GRS requests that Petition for Special Approval of FRA does not anticipate scheduling a the railroad be able to use its discretion Alternative Fuel Tank Safety Standard public hearing in connection with this to decide whether operational safety Petition for Waiver of Compliance proceeding. If any interested party would be protected by applying speed restrictions as the remedial action, or In accordance with Title 49 of the desires an opportunity for oral whether the specific remedial actions Code of Federal Regulations (CFR), part comment, he or she should notify FRA, required by Section 213.113 are 238 (Passenger Equipment Safety in writing, before the end of the warranted. According to GRS, the goal Standards), and 49 CFR part 211 (Rules comment period and specify the basis of the program is to discover and of Practice), notice is hereby given that for the request. All communications address defects in rails before those the Federal Railroad Administration concerning this proceeding should conditions reach a level that may affect (FRA) has received a request captioned identify the appropriate docket number, Docket Number FRA–2001–8698, and the safety of trains. as a petition for special approval to use GRS states that the effect of the an alternative fuel tank safety standard. must be submitted to the DOT Docket Management Facility, Room PL–401 program would be to promote safety by FRA is hereby providing the public an allowing it to perform more opportunity to comment on this (Plaza Level), 400 Seventh Street SW., Washington, DC. 20590. comprehensive rail inspections. GRS petition. expects the waiver to increase the safety As specified in 49 CFR part 238.223 Communications received within 30 days of the date of this notice will be on branch lines, with the expectation of (Locomotive fuel tanks), paragraph (a), fewer instances of derailments due to external passenger locomotive fuel tanks considered by FRA before final action is 3 taken. Comments received after that track conditions. must comply with safety requirements Interested parties are invited to date will be considered as far as contained in appendix D to 49 CFR part participate in this proceeding by practicable. All written communications 238, or an industry standard providing submitting written views, data, or concerning this proceeding are available at least an equivalent level of safety if comments. FRA does not anticipate for examination during regular business approved by FRA under 49 CFR part scheduling a public hearing in hours (9 a.m.–5 p.m.) at the above 238.21. The American Public connection with this proceeding, facility. All documents in the public Transportation Association (APTA) has however, if any interested party desires docket are also available for inspection petitioned FRA for special approval to an opportunity for oral comment, they and copying on the Internet at the use industry standard APTA SS–C&S– should notify FRA, in writing, before docket facility’s Web site at http:// 007–98 Rev. 1, Standard for Fuel Tank the end of the comment period and dms.dot.gov. Integrity on Non-Passenger Carrying specify the basis for their request. Passenger Locomotives, as an alternative Issued in Washington, DC on March 26, All communications concerning this standard to fulfill the requirements of 49 2001. proceeding should be identified with CFR part 238.223. APTA’s petition, Grady C. Cothen, Jr., Docket Number FRA–2000–8623 and including a copy of APTA SS–C&S– Deputy Associate Administrator for Safety must be submitted to the Docket Clerk, 007–98 Rev. 1 and a comparison of this Standards and Program Development. DOT Central Docket Management standard to FRA’s requirements [FR Doc. 01–8433 Filed 4–5–01; 8:45 am] Facility, Room PL–401, 400 7th Street, specified in 49 CFR part 238.223, is BILLING CODE 4910–06–P SW., Washington, DC 20590–0001. available for public examination as Communications received within 45 explained below. days of the date of this notice will be APTA’s petition for special approval DEPARTMENT OF TRANSPORTATION considered by FRA before final action is appears to encompass both the external taken. Comments received after that passenger locomotive fuel tank safety Federal Railroad Administration date will be considered to the extent standards in 49 CFR part 238.223, Petition for Waiver of Compliance possible. GRS’s petition and all written paragraph (a), and the internal communications concerning this passenger locomotive fuel tank safety In accordance with part 211 of Title proceeding are available for standards specified in 49 CFR part 49, Code of Federal Regulations (CFR), examination during regular business 238.223, paragraph (b). notice is hereby given that the Guilford hours (9 a.m.–5 p.m.) at the DOT Docket FRA notes that 49 CFR part 238.223, Rail System (GRS) has petitioned the Management Facility, Room PL–401 paragraph (b), does not expressly Federal Railroad Administration (FRA) (Plaza Level), 400 7th Street, SW., provide the opportunity to seek special for a waiver of the Federal Track Safety Washington, DC 20590. All documents approval of an alternative, internal fuel Standards, Section 213.113, Defective in the public docket are also available
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for inspection and copying on the Maryland, and provided the following Issued in Washington, DC on April 2, 2001. Internet at the docket facility’s web site summarized results: Grady C. Cothen, Jr., at http://dms.dot.gov. (1) With the brakes released and brake Deputy Associate Administrator for Safety Issued in Washington, DC, on April 2, pipe pressure at 90 psi, air flow from the Standards and Program Development. 2001. generator causes a 0.2-psi pressure drop [FR Doc. 01–8435 Filed 4–5–01; 8:45 am] Grady C. Cothen, Jr., at the rear of the train. This incremental BILLING CODE 4910–06–P Deputy Associate Administrator for Safety 0.2-psi drop is the same regardless of Standards and Program Development. the amount of gradient caused by other [FR Doc. 01–8432 Filed 4–5–01; 8:45 am] leaks. For example, a 15-psi gradient DEPARTMENT OF TRANSPORTATION was simulated by introducing a leak at BILLING CODE 4910–06–P Federal Railroad Administration car 145. When the air motor is cut-in, the pressure at car 150 drops by an DEPARTMENT OF TRANSPORTATION additional 0.2 psi. [Docket No. FRA–2000–7257, Notice No. 24] Federal Railroad Administration (2) Although Wabtec believes a Railroad Safety Advisory Committee; sudden blockage of the air nozzle is Notice of Meeting Petition for Waiver of Compliance unlikely, tests were performed to ensure that a sudden drop in air flow to the AGENCY: Federal Railroad In accordance with Part 211 of Title turbine would not cause the brakes to Administration (FRA), Department of 49 Code of Federal Regulations (CFR), release. With the air generator cut-in, no Transportation (DOT). notice is hereby given that the Federal additional simulated leaks, and brakes ACTION: Notice of Railroad Safety Railroad Administration (FRA) received released at 90 psi, a minimum Advisory Committee (‘‘RSAC’’) meeting. a request for a waiver of compliance application was initiated. Pressure was from certain requirements of its safety monitored every 20 cars along the rack. SUMMARY: FRA announces the next regulations. The individual petition is Thirty seconds after the minimum meeting of the RSAC, a Federal described below including, the party application was initiated, the air motor Advisory Committee that develops seeking relief, the regulatory provisions was cut-out. Brakes did not release. railroad safety regulations through a involved, the nature of the relief being (3) The test in item 2 was repeated consensus process. The meeting will requested, and the petitioner’s with delay times of 60 and 90 seconds address a wide range of topics, arguments in favor of relief. after the minimum brake application including possible adoption of specific Wabtec Railway Electronics was initiated. The brakes did not release recommendations for regulatory action. DATES: The meeting of the RSAC is [Docket Number FRA–2001–9270] in any case. scheduled to commence at 9:30 a.m. and Wabtec Railway Electronics (Wabtec) Interested parties are invited to participate in these proceedings by conclude at 4 p.m. on Monday, April 23, seeks a permanent waiver of compliance 2001. from certain provisions of the Railroad submitting written views, data, or Power Brake and Drawbars regulations, comments. FRA does not anticipate ADDRESSES: The meeting of the RSAC 49 CFR 232, regarding two-way end-of- scheduling a public hearing in will be held at the Mayflower, a train devices. Specifically, section connection with these proceedings since Renaissance Hotel, in the Colonial 232.23(f)(2) requires: the facts do not appear to warrant a Room, 1127 Connecticut Avenue, NW., hearing. If any interested party desires Washington, DC 20036, (202) 347–2000. The rear unit batteries shall be sufficiently an opportunity for oral comment, they The meeting is open to the public on a charged at the initial terminal or other points first-come, first-served basis and is where the device is installed and throughout should notify FRA in writing, before the the train’s trip to ensure that the end-of-train- end of the comment period and specify accessible to individuals with device will remain operative until the train the basis for their request. disabilities. Sign and oral interpretation reaches its destination. All communications concerning these can be made available if requested 10 Wabtec has recently developed an air proceedings should identify the calendar days before the meeting. generator for its TrainLink II End-of- appropriate docket number (e.g., Waiver FOR FURTHER INFORMATION CONTACT: Train units and plans to market the Petition Docket Number FRA–2001– Trish Paolella, or Lydia Leeds, RSAC product under the trade name of 9270) and must be submitted in Coordinators, FRA, 1120 Vermont TrainLink II–ATX. Wabtec states that triplicate to the Docket Clerk, DOT Avenue, NW., Stop 25, Washington, DC this new product eliminates the need for Central Docket Management Facility, 20590, (202) 493–6212/6213 or Grady separate battery packs by using brake Room PL–401, 3 Washington, DC Cothen, Deputy Associate Administrator pipe pressure to drive an air turbine and 20590–0001. Communications received for Safety Standards and Program associated electrical generator. The within 35 days of the date of this notice Development, FRA, 1120 Vermont generator provides sufficient electrical will be considered by FRA before final Avenue, NW., Mailstop 25, Washington, power for the EOT to perform all EOT action is taken. Comments received after DC 20590, (202) 493–6302. functions and to charge a small backup that date will be considered as far as SUPPLEMENTARY INFORMATION: Pursuant battery with brake pipe pressure as low practicable. All written communications to section 10(a)(2) of the Federal as 55 psi. Below 55 psi, the backup concerning these proceedings are Advisory Committee Act (Pub. L. 92– battery provides power for at least 5 available for examination during regular 463), FRA is giving notice of a meeting hours from a fully charged condition. business hours (9 a.m.–5 p.m.) at DOT of the Railroad Safety Advisory Air flow to the generator is filtered for Central Docket Management Facility, Committee (‘‘RSAC’’). The meeting is particulates and water to prevent Room PL–401 (Plaza Level), 400 scheduled to begin at 9:30 a.m. and clogging of the turbine nozzle. At 90 psi, Seventh Street SW., Washington, DC. conclude at 4 p.m. on Monday, April 23, the air flow is about 1.3 SCFM and All documents in the public docket are 2001. The meeting of the RSAC will be decreases to 1.0 SCFM at 55 psi. Wabtec also available for inspection and held at the Mayflower Hotel in the tested the product on a 150-car air brake copying on the Internet at the docket Colonial Room, 1127 Connecticut test rack at their facility in Germantown, facility’s web site at http://dms.dot.gov. Avenue, NW., Washington, DC 20036,
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(202) 347–7000. All times noted are group activities to reflect the current Machines NPRM was published 1/10/01 Eastern Standard Time. status of working group activities. (66 FR 1930). On January 31, 2001, FRA RSAC was established to provide FOR FURTHER INFORMATION CONTACT: published a notice extending the advice and recommendations to the Trish Paolella or Lydia Leeds, RSAC effective date of the GRMS amendment FRA on railroad safety matters. The Coordinators, FRA, 1120 Vermont to April 10, 2001 (66 FR 8372). On Committee consists of 48 individual Avenue, NW., Mailstop 25, Washington, February 8, 2001, FRA published a voting representatives and five associate DC 20590, (202) 493–6213 or Grady notice delaying the effective date until representatives drawn from among 32 Cothen, Deputy Associate Administrator June 9, 2001 in accordance with the organizations representing various rail for Safety Standards and Program Regulatory Review Plan (66 FR 9676). industry perspectives, two associate Development, FRA, 1120 Vermont Contact: Al MacDowell (202) 493–6236. representatives from the agencies with Avenue, NW., Mailstop 25, Washington, Task 96–3—Reviewing and railroad safety regulatory responsibility DC 20590, (202) 493–6302. recommending revisions to the Radio in Canada and Mexico and other diverse SUPPLEMENTARY INFORMATION: This Standards and Procedures (49 CFR Part groups. Staffs of the National notice serves to update FRA’s last 220). This Task was accepted on April Transportation Safety Board and Federal announcement of working group 2, 1996, and a Working Group was Transit Administration also participate activities and status reports on established. Consensus was reached on in an advisory capacity. December 17, 1999 (64 FR 70756). The recommended revisions and an NPRM The RSAC will be briefed on the sixteenth full Committee meeting was incorporating these recommendations current status of activities of RSAC held December 7, 2000, at the Wyndham was published in the Federal Register working groups and task forces Hotel in the Vista Ballroom in on June 26, 1997 (62 FR 34544). The responsible for carrying out tasks the Washington, DC. final rule was published on September RSAC has accepted involving blue Since its first meeting in April of 4, 1998 (63 FR 47182), and was effective signal protection, cab working 1996, the RSAC has accepted sixteen on January 2, 1999. Contact: Gene Cox conditions, and the definition of tasks. Status for each of the tasks is (202) 493–6319. reportable ‘‘train accident.’’ provided below: Task 96–4—Reviewing the There will be discussion about Task 96–1—Revising the Freight appropriateness of the agency’s current Training and Qualification of Safety Power Brake Regulations. This Task was policy regarding the applicability of Critical personnel, a presentation of a formally withdrawn from the RSAC on existing and proposed regulations to proposed task to conform the accident June 24, 1997. FRA published an NPRM tourist, excursion, scenic, and historic and incident regulations to new on September 9, 1998, reflective of what railroads. This Task was accepted on Occupational Safety and Health Act FRA had learned through the April 2, 1996, and a Working Group was requirements and to make necessary collaborative process. Two public established. The Working Group revisions to the reporting guide, and a hearings were conducted and a monitored the steam locomotive review and discussion of pending rule technical conference was held. The date regulations task. Planned future making petitions and pending tasks. activities involve the review of other Informational status briefings for submission of written comments was extended to March 1, 1999. The final regulations for possible adaptation to concerning the Safety Assurance the safety needs of tourist and historic Compliance Program efforts and the rule was published on 1/17/01 (66 FR 4104). An amendment extending the railroads. Contact: Grady Cothen (202) new RSAC website will be presented. 493–6302. Please refer to the notice published in effective date of the final rule until May Task 96–5—Reviewing and the Federal Register on March 11, 1996 31, 2001 was published on February 12, recommending revisions to Steam (61 FR 9740) for more information about 2001, (66 FR 9905). In addition, the Locomotive Inspection Standards (49 the RSAC. AAR has requested that OMB re-open the Paperwork approval on the rule. CFR Part 230). This Task was assigned Issued in Washington, DC on March 25, Contact: Thomas Hermann (202) 493– to the Tourist and Historic Working 2001. 6036. Group on July 24, 1996. Consensus was George A. Gavalla, Task 96–2—Reviewing and reached and an NPRM was published on Associate Administrator for Safety. recommending revisions to the Track September 25, 1998 (63 FR 51404). A [FR Doc. 01–8436 Filed 4–5–01; 8:45 am] Safety Standards (49 CFR Part 213). public hearing was held on February 4, BILLING CODE 4910–06–P This task was accepted April 2, 1996, 1999, and recommendations were and a Working Group was established. developed in response to comments Consensus was reached on received. The final rule was published DEPARTMENT OF TRANSPORTATION recommended revisions and an NPRM on November 17, 1999 (64 FR 62828). Contact: George Scerbo (202) 493–6349. Federal Railroad Administration incorporating these recommendations was published in the Federal Register Task 96–6—Reviewing and [Docket No. FRA–2000–7257, Notice No. 25] on July 3, 1997, (62 FR 36138). The final recommending revisions to rule was published in the Federal miscellaneous aspects of the regulations Railroad Safety Advisory Committee Register on June 22, 1998 (63 FR 33991). addressing Locomotive Engineer (‘‘RSAC’’); Working Group Activity The effective date of the rule was Certification (49 CFR Part 240). This Update September 21, 1998. A task force was Task was accepted on October 31, 1996, AGENCY: Federal Railroad established to address Gage Restraint and a Working Group was established. Administration (FRA), Department of Measurement System (GRMS) Consensus was reached and an NPRM Transportation (DOT). technology applicability to the Track was published on September 22, 1998. ACTION: Announcement of Railroad Safety Standards. A GRMS amendment The Working Group met to resolve Safety Advisory Committee (RSAC) to the Track Safety Standards was issues presented in public comments. working group activities. approved by the full RSAC in a mail The RSAC recommended issuance of a ballot during August. The GRMS final final rule with the Working Group SUMMARY: FRA is updating its rule amendment was published 1/10/01 modifications. The final rule was announcement of RSAC’s working (66 FR 1894) and Roadway Maintenance published November 8, 1999 (64 FR
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60966). Contact: John Conklin (202) scheduled a meeting April 3–5 to method can be used to calculate 493–6318. discuss Noise Standards. The Cab property damages. The report is Task 96–7—Developing Roadway Working Group has also considered scheduled for completion by the last Maintenance Machine (On-Track issues related to cab temperature, and is week of April, 2001. A meeting is Equipment) Safety Standards. This task expected to consider additional issues scheduled for May 21–23, 2001 to was assigned to the existing Track (such as vibration) in the future. review the report. Contact: Robert Standards Working Group on October Contact: Brenda Hattery (202) 493–6326. Finkelstein (202) 493–6280. 31, 1996, and a Task Force was Task 97–3—Developing event recorder Task 00–1—Determining the need to established. The Task Force finalized a data survivability standards. This Task amend regulations protecting persons proposed rule which was approved by was accepted on June 24, 1997. An who work on, under, or between rolling the full RSAC in a mail ballot in August. event Recorder Working Group and equipment and persons applying, The NPRM was published 1/10/01 (66 Task Force have been established and removing or inspecting rear end FR 1930). Contact: Al MacDowell (202) are actively meeting. A draft proposed markings devices (Blue Signal 493–6236. rule is being reviewed. Contact: Edward Protection). A working group has been Task 96–8—This Planning Task Pritchard (202) 493–6247. formed and held its first meeting on Evaluated the need for action Task 97–4 and Task 97–5—Defining October 16–18, 2000. A second meeting responsive to recommendations Positive Train Control (PTC) was held from February 27–March 1, contained in a report to Congress functionalities, describing available 2001. The next meeting is scheduled for entitled, Locomotive Crashworthiness & technologies, evaluating costs and March 19–21, 2001. Contact: Doug Working Conditions. This Planning Task benefits of potential systems, and Taylor (202) 493–6255. was accepted on October 31, 1996. A considering implementation Please refer to the notice published in Planning Group was formed and opportunities and challenges, including the Federal Register on March 11, 1996 reviewed the report, grouping issues demonstration and deployment. (61 FR 9740) for more information about into categories, and prepared drafts of Task 97–6—Revising various the RSAC. the task statements for Task 97–1 and regulations to address the safety implications of processor-based signal Issued in Washington, DC on March 25, 97–2. 2001. Task 97–1—Developing and train control technologies, crashworthiness specifications to including communications-based George A. Gavalla, promote the integrity of the locomotive operating systems. Associate Administrator for Safety. cab in accidents resulting from These three tasks were accepted on [FR Doc. 01–8437 Filed 4–5–01; 8:45 am] collisions. This Task was accepted on September 30, 1997, and assigned to a BILLING CODE 4910–06–M June 24, 1977. A Task Force on single Working Group. A Data and engineering issues was established by Implementation Task Force, formed to the Working Group on Locomotive address issues such as assessment of DEPARTMENT OF TRANSPORTATION Crashworthiness to review collision costs and benefits and technical Federal Railroad Administration history and design options and readiness, completed a report on the additional research was commissioned. future of PTC systems. The report was Notice of Application for Approval of The Working Group reviewed results of accepted as RSAC’s Report to the Discontinuance or Modification of a the research and is drafting Administrator at the September 8, 1999, Railroad Signal System or Relief From performance-based standards for freight meeting. The Standards Task Force, Requirements and passenger locomotives to present to formed to develop PTC standards, is the RSAC for consideration. An NPRM developing draft recommendations for Pursuant to Title 49 Code of Federal is being prepared, with the Working performance-based standards for Regulations (CFR) part 235 and 49 Group meeting to review the draft. processor-based signal and train control U.S.C. 20502(a), the following railroads Contact: Sean Mehrvazi (202) 493–6237. standards. The NPRM was approved by have petitioned the Federal Railroad Task 97–2—Evaluating the extent to consensus at the full RSAC meeting Administration (FRA) seeking approval which environmental, sanitary, and held on September 14, 2000. The NPRM for the discontinuance or modification other working conditions in locomotive will be published in the Federal of the signal system or relief from the cabs affect the crew’s health and the Register. Task forces on Human Factors requirements of 49 CFR part 236 as safe operation of locomotives, proposing and the Axiomatic Safety-Critical detailed below. standards where appropriate. This Task Assessment Process (risk assessment) Union Pacific Railroad Co. was accepted June 24, 1997. A draft continue to work. A meeting of the sanitation NPRM was circulated to the Working Group is scheduled for March [Docket No. FRA–2001–8962] Working Group on Cab Working 26, 2001, in Las Vegas to discuss Applicant: Union Pacific Railroad Conditions with ballot requested by 11/ updates on the projects. Contact: Grady Company, Mr. Phil Abaray, Chief 3/00. The NPRM on sanitation was Cothen (202) 493–6302. Engineer—Signals, 1416 Dodge Street, discussed during the full RSAC meeting Task 97–7—Determining damages Room 1000, Omaha, Nebraska 68179– on September 14, 2000 and published 1/ qualifying an event as a reportable train 1000. 02/01 (66 FR 136). A public hearing is accident. This Task was accepted on Union Pacific Railroad Company scheduled April 2, 2001, to discuss the September 30, 1997. A working group seeks approval of the proposed Locomotive Sanitation Standards. A was formed to address this task and discontinuance and removal of the two Task Force has assisted in identifying conducted their initial meeting on power-operated switches and 5 options for strengthening the February 8, 1999. The working group controlled signals, on the Mainline and occupational noise exposure standard, designed a survey form to collect Wye tracks, at the North End of and the Cab Working Group met in specific data about damages to railroad Osawatomie, Kansas, milepost V334 and October and November and reached equipment. The survey started on milepost V335, on the Coffeyville tentative agreement on most of the August 1 and ended January 31, 2001. Subdivision, associated with the significant issues related to the noise A statistical analysis, using the survey installation of replacement hand- NPRM. The Cab Working Group has data, is currently being done to see if a operated switches.
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The reason given for the proposed with requirements contained in Federal Two-bulb lens on one-bulb assembly: slight changes is that the branch track that Motor Vehicle Safety Standard (FMVSS) decrease in long range visibility, but within once served the Wye track has been No. 108, ‘‘Lamps, Reflective Devices, FMVSS performance requirements abandoned, and is now only and Associated Equipment,’’ and has One-bulb lens on two-bulb assembly: slight occasionally used to store cars and turn broadening of the beam pattern. Vertical filed an appropriate report pursuant to alignment specification variation does not equipment. 49 CFR part 573, ‘‘Defect and exceed 0.57 degrees plus/minus specified Any interested party desiring to Noncompliance Reports.’’ Subaru has aiming. protest the granting of an application also applied to be exempted from the There is a small possibility that consumers shall set forth specifically the grounds notification and remedy requirements of would purchase replacement bulbs for non- upon which the protest is made, and 49 U.S.C. chapter 301—‘‘Motor Vehicle dealer installation based on the incorrect contain a concise statement of the Safety’’ on the basis that the marking. However, the incorrect bulb will interest of the party in the proceeding. noncompliance is inconsequential to not install in the headlamp assembly Additionally, one copy of the protest motor vehicle safety. irrespective of the incorrect marking. Additionally, the owner’s manual provides shall be furnished to the applicant at the Notice of receipt of the application address listed above. the correct specification for replacement was published in the Federal Register bulbs required. All communications concerning this (65 FR 66584) on November 6, 2000. proceeding should be identified by the Opportunity was afforded for public Subaru also submitted data which show docket number and must be submitted comment until December 6, 2000. No the difference in beam patterns of the to the Docket Clerk, DOT Central Docket comments were received. four possible bulb combinations in the Management Facility, Room PI–401, Paragraph S7.5(g) of FMVSS No. 108 two lamp housings. The data are in the Washington, DC 20590–0001. states that ‘‘the lens of each replaceable docket. Communications received within 45 bulb headlamp shall bear permanent The petitioner states that the days of the date of this notice will be marking in front of each replaceable noncompliances will not result in any considered by the FRA before final light source with which it is equipped safety, reliability or serviceability action is taken. Comments received after that states the HB Type.’’ concern for the operator of a subject that date will be considered as far as Paragraph S7.8.5.3(f)(1) of FMVSS No. motor vehicle. practicable. All written communications We have reviewed the application and concerning these proceedings are 108 states that the lens shall have ‘‘a agree with Subaru that the available for examination during regular mark or markings identifying the optical noncompliance is inconsequential to business hours (9 a.m.–5 p.m.) at DOT axis of the headlamp visible from the motor vehicle safety. The lamps are Central Docket Management Facility, front of the headlamp when installed on fully compliant with the performance Room PI–401 (Plaza Level), 400 Seventh the vehicle, to assure proper horizontal requirements of the standard regardless Street, SW., Washington, DC 20590– and vertical alignment of the aiming of which lens is used. Further, the bulbs 0001. All documents in the public screen or optical aiming equipment with for the one-bulb assembly cannot be docket are also available for inspection the headlamp being aimed.’’ used in the two-bulb assembly and vice and copying on the internet at the Subaru installed approximately 87 versa. Therefore, even if a vehicle owner docket facility’s Web site at http:// headlamp lens assemblies on model purchases a bulb based on the incorrect dms.dot.gov. year 2000 Subaru Legacy and Outback FRA expects to be able to determine vehicles from October 5, 1999, through information given on the lens, it will not these matters without an oral hearing. December 5, 1999, which were fit. However, if a specific request for an oral incorrectly marked. Lenses marked for Regarding the marking of the optical hearing is accompanied by a showing two-bulb lamp assemblies were placed axis for aiming, because headlamp that the party is unable to adequately on one-bulb assemblies, while lenses aiming during the vehicle present his or her position by written marked for one-bulb lamp assemblies manufacturing process does not rely on statements, an application may be set were placed on two-bulb assemblies. this mark, the lamps will be correctly for public hearing. Subaru supports its application for aimed when the vehicle is delivered for inconsequential noncompliance with sale. Further, the service manual Issued in Washington, DC on March 26, procedure for aim alignment does not 2001. the following statements: rely on this mark. It references the Grady C. Cothen, Jr., Headlamp aiming performed during the manufacturing process does not rely on lens center of the bulb. If the lamps are Deputy Associate Administrator for Safety vertically aimed by consumers, Subaru Standards and Program Development. marking for beam pattern alignment. The result is proper alignment regardless of the states that there can be a 0.57 degree [FR Doc. 01–8434 Filed 4–5–01; 8:45 am] mismatch in headlamp assembly lens. error, given the unintended vertical BILLING CODE 4910–06–P The rate of replacement for headlamp displacement of the lens’ optical axis bulbs within the 3/36 warranty period is 0.6 mark. If a person attempts to aim a percent. The remaining parts demand for DEPARTMENT OF TRANSPORTATION subject headlamp using the incorrectly headlamp bulbs is due to collision which placed mark, the lamp will be aimed results in purchase and installation of new National Highway Traffic Safety headlamp assemblies not containing the upward or downward by that angular Administration noncompliance. amount, depending on which lamp and Installation of replacement headlamp bulbs which lens is installed. Because field [Docket No. NHTSA–2000–8201; Notice 2] is outlined in the Service Manual for Subaru aiming is more often done using the Legacy vehicles. The Service Manual Subaru of America, Inc.; Grant of Society of Automotive Engineers (SAE) procedure for alignment of the headlamp recommended aiming tolerance of ± 4 Application for Decision of does not rely on the markings found in Inconsequential Noncompliance inches at 25 feet (about 0.75 degree), the noncompliance, but rather references the misaim caused by the incorrect location Subaru of America, Inc. (Subaru) has center marking on the bulb. of the aiming mark on the lens should determined that certain headlamp Incorrect lens assembly installation be within the recommended field assemblies manufactured by North results in the following light aiming tolerance. As a result, there American Lighting, Inc., do not comply performance variations: should be no consequence to safety.
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In consideration of the foregoing, we condition adequately protects affected the authority to abandon will have decided that the applicant has met employees, a petition for partial automatically expire. its burden of persuasion that the revocation under 49 U.S.C. 10502(d) Board decisions and notices are noncompliance described above is must be filed. Provided no formal available on our website at http:// inconsequential to motor vehicle safety. expression of intent to file an offer of www.stb.dot.gov. Therefore, its application is granted, and financial assistance (OFA) has been Decided: March 29, 2001. received, this exemption will be the applicant is exempted from By the Board, David M. Konschnik, providing the notification of the effective on May 8, 2001, unless stayed Director, Office of Proceedings. pending reconsideration. Petitions to noncompliance that is required by 49 Vernon A. Williams, U.S.C. 30118 and 30119 and from stay that do not involve environmental Secretary. remedying the noncompliance as issues,1 formal expressions of intent to required by 49 U.S.C. 30120. file an OFA under 49 CFR [FR Doc. 01–8400 Filed 4–5–01; 8:45 am] 2 BILLING CODE 4915–00–P (49 U.S.C. 30118(d) and 30120(h); 1152.27(c)(2), and trail use/rail banking delegations of authority at 49 CFR 1.50 and requests under 49 CFR 1152.29 must be 501.8) filed by April 16, 2001. Petitions to reopen or requests for public use DEPARTMENT OF THE TREASURY Issued on: April 3, 2001. conditions under 49 CFR 1152.28 must Stephen R. Kratzke, be filed by April 26, 2001, with the Fiscal Service Surface Transportation Board, Office of Associate Administrator for Safety Surety Companies Acceptable on Performance Standards. the Secretary, Case Control Unit, 1925 K Federal Bonds: Name Change— Street, NW., Washington, DC 20423– [FR Doc. 01–8512 Filed 4–5–01; 8:45 am] America Alliance Insurance Company BILLING CODE 4910–59–P 0001. A copy of any petition filed with the AGENCY: Financial Management Service, Board should be sent to applicant’s Fiscal Service, Department of the DEPARTMENT OF TRANSPORTATION representative: William A. Mullins, Treasury. Esq., Troutman Sanders LLP, 401 9th ACTION: Notce. Surface Transportation Board Street, NW., Suite 1000, Washington, [STB Docket No. AB–468 (Sub–No. 4X)] DC 20004. If the verified notice contains SUMMARY: This is Supplement No. 14 to false or misleading information, the the Treasury Department Circular 570; Paducah & Louisville Railway, Inc.— exemption is void ab initio. 2000 Revision, published June 30, 2000, Abandonment Exemption—in Hopkins P&L has filed an environmental report at 65 FR 40868. County, KY which addresses the abandonment’s FOR FURTHER INFORMATION CONTACT: effects, if any, on the environment and Surety Bond Branch at (202) 874–6779. Paducah & Louisville Railway, Inc. historic resources. SEA will issue an SUPPLEMENTARY INFORMATION: American (P&L) has filed a verified notice of environmental assessment (EA) by April Alliance Insurance Company, an Ohio exemption under 49 CFR 1152 Subpart 11, 2001. Interested persons may obtain corporation, has formally changed its F—Exempt Abandonments to abandon a a copy of the EA by writing to SEA name to Great American Alliance line of railroad between milepost 154.5, (Room 500, Surface Transportation Insurance Company, effective August near St. Charles, and milepost 159.6, Board, Washington, DC 20423–0001) or 17, 2000. The Company was last listed near Ilsley, a distance of approximately by calling SEA, at (202) 565–1545. as an acceptable surety on Federal 5.1 miles in Hopkins County, KY (line). Comments on environmental and bonds at 65 FR 40870, June 30, 2000. The line traverses United States Postal historic preservation matters must be A Certificate of Authority as an Service Zip Codes 42442 and 42453. filed within 15 days after the EA acceptable surety on Federal bonds, P&L has certified that: (1) No local becomes available to the public. traffic has moved over the line for at Environmental, historic preservation, dated today, is hereby issued under least 2 years; (2) any overhead traffic on public use, or trail use/rail banking sections 9304 to 9308 of Title 31 of the the line can be rerouted over another conditions will be imposed, where United States Code, to Great American parallel line; (3) no formal complaint appropriate, in a subsequent decision. Alliance Insurance Company, filed by a user of rail service on the line Pursuant to the provisions of 49 CFR Cincinnati, Ohio. This new Certificate (or by a state or local government 1152.29(e)(2), P&L shall file a notice of replaces the Certificate of Authority agency acting on behalf of such user) consummation with the Board to signify issued to the Company under its former regarding cessation of service over the that it has exercised the authority name. The underwriting limitation of line is either pending with the Surface granted and fully abandoned the line. If $1,008,000 established for the Company Transportation Board (Board) or any consummation has not been effected by as of June 30, 2000, remains unchanged U.S. District Court or has been decided P&L’s filing of a notice of consummation until June 30, 2001. in favor of complainant within the 2- by April 6, 2002, and there are no legal Certificates of Authority expire on year period; and (4) the requirements at or regulatory barriers to consummation, June 30, each year, unless revoked prior 49 CFR 1105.7 (environmental reports), to that date. The Certificates are subject 49 CFR 1105.8 (historic reports), 49 CFR 1 The Board will grant a stay if an informed to subsequent annual renewal as long as 1105.11 (transmittal letter), 49 CFR decision on environmental issues (whether raised the Company remains qualified (31 CFR 1105.12 (newspaper publication), and by a party or by the Board’s Section of part 223). A list of qualified companies 49 CFR 1152.50(d)(1) (notice to Environmental Analysis (SEA) in its independent is published annually as of July 1, in the investigation) cannot be made before the governmental agencies) have been met. exemption’s effective date. See Exemption of Out- Department Circular 570, which As a condition to this exemption, any of-Service Rail Lines, 5 I.C.C.2d 377 (1989). Any outlines details as to underwriting employee adversely affected by the request for a stay should be filed as soon as possible limitations, areas in which licensed to abandonment shall be protected under so that the Board may take appropriate action before transact surety business and other the exemption’s effective date. Oregon Short Line R. Co.— 2 Each offer of financial assistance must be information. Federal bond-approving Abandonment—Goshen, 360 I.C.C. 91 accompanied by the filing fee, which currently is officers should annotate their reference (1979). To address whether this set at $1000. See 49 CFR 1002.2(f)(25). copies of the Treasury Circular 570,
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2000 Revision, at page 40884 to reflect ACTION: Notice. outlines details as to underwriting this change. limitations, areas in which licensed to This Circular may be viewed and SUMMARY: This is supplement No. 13 to transact surety business and other downloaded through the Internet at the Treasury Department Circular 570; information. Federal bond-approving http://www.fms.treas.gov/c570/ 2000 Revision, published June 30, 2000, officers should annotate their reference at 65 FR 40868. index.html. A hard copy may be copies of the treasury Circular 570, 2000 purchased from the Government FOR FURTHER INFORMATION CONTACT: Revision, at page 40884 to reflect this Printing Office (GPO), Subscription Surety Bond Branch at (202) 874–6779. change. Service, Washington, DC, telephone SUPPLEMENTARY INFORMATION: American This Circular may be viewed and (202) 512–1800. When ordering the National Fire Insurance Company, a downloaded through the Internet at Circular from GPO, use the following New York corporation, has formally stock number: 048–000–00536–5. changed its name to Great American http://www.fms.treas.gov/c570/ Questions concerning this notice may Insurance Company of New York, index.html. A hard copy may be be directed to the U.S. Department of effective November 11, 2000. The purchased from the Government the Treasury, Financial Management Company was last listed as an Printing Office (GPO), Subscription Service, Financial Accounting and acceptable surety on Federal bonds at 65 Service, Washington, DC, telephone Services Division, Surety Bond Branch, FR 40872, June 30, 2000. (202) 512–1800. When ordering the 3700 East-West Highway, Room 6A04, A Certificate of Authority as an Circular from GPO, use the following Hyattsville, MD 20782. acceptable surety on Federal bonds, stock number: 048–000–00536–5. Dated: March 28, 2001. dated today, is hereby issued under Questions concerning this notice may Wanda J. Rogers, sections 9304 to 9308 of Title 31 of the be directed to the U.S. Department of Director, Financial Accounting and Services United States Code, to Great American the Treasury, Financial Management Division, Financial Management Services. Insurance Company of New York, New Service, Financial Accounting and [FR Doc. 01–8544 Filed 4–5–01; 8:45 am] York, New York. This new Certificate Services Division, Surety Bond Branch, BILLING CODE 4810–35–M replaces the Certificate of Authority 3700 East-West Highway, Room 6A04, issued to the Company under its former Hyattsville, MD 20782. name. The underwriting limitation of DEPARTMENT OF THE TREASURY $2,777,000 established for the Company Dated: March 28, 2001. as of June 30, 2000, remains unchanged Wanda J. Rogers, Fiscal Service until June 30, 2001. Director, Financial Accounting and Services Surety Companies Acceptable on Certificates of Authority expire on Division, Financial Management Service. Federal Bonds: Name Change— June 30, each year, unless revoked prior [FR Doc. 01–8543 Filed 4–5–01; 8:45 am] to that date. The Certificates are subject American National Fire Insurance BILLING CODE 4810–35–M Company to subsequent annual renewal as long as the Company remains qualified (31 CFR AGENCY: Financial Management Service, part 223). A list of qualified companies Fiscal Service, Department of the is published annually as of July 1, in the Treasury. Department Circular 570, which
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Corrections Federal Register Vol. 66, No. 67
Friday, April 6, 2001
This section of the FEDERAL REGISTER in the second paragraph, in the 9th line 2. On page 17194, in the third contains editorial corrections of previously ‘‘February 12, 2001’’ should read ‘‘ column, in the first full paragraph, in published Presidential, Rule, Proposed Rule, February 21, 2001 ’’. the 8th line, ‘‘15%’’ should read and Notice documents. These corrections are 3. On the same page, in the third ‘‘150%’’. prepared by the Office of the Federal column, in the second paragraph, in the Register. Agency prepared corrections are [FR Doc. C1–7808 Filed 4–5–01; 8:45 am] 21st line ‘‘and ’’ should read ‘‘or ’’. issued as signed documents and appear in BILLING CODE 1505–01–D the appropriate document categories 4. On page 14826, in the first column, elsewhere in the issue. in the first paragraph, in the second line, ‘‘the MAFF ’’ should read ‘‘that MAFF ’’. DEPARTMENT OF THE TREASURY DEPARTMENT OF AGRICULTURE [FR Doc. C1–6403 Filed 4–5–01; 8:45 am] Internal Revenue Service BILLING CODE 1505–01–D Animal and Plant Health Inspection 26 CFR Part 1 Service [TD 8929] DEPARTMENT OF THE INTERIOR 9 CFR Part 94 RIN 1545–AQ30 [Docket No. 01–018–1] Bureau of Land Management Accounting for Long–Term Contracts Change in Disease Status of Great [OR–120–01–7122PB–9021:01–0129] Britain and Northern Ireland Because Correction of Foot-and-Mouth Disease Proposed Natural Gas Pipeline; Douglas County, OR In rule document 01–6 beginning on Correction page 2219 in the issue of Thursday, Correction January 11, 2001 make the following In rule document 01–6403 beginning correction: on page 14825 in the issue of In notice document 01–7808 Wednesday, March 14, 2001, make the beginning on page 17194 in the issue of §1.460–1 [Corrected] Thursday, March 29, 2001, make the following corrections: On page 2228, in the third column, in following corrections: 1. On page 14825, in the first column, §1.460–1(j), in Example 2, in the 29th 1. On page 17194, in the third under the heading SUMMARY, in the 14th line down, after ‘‘10,000,000’’ add ‘‘÷’’. line, ‘‘into ’’ should read ‘‘and ’’. column, in the first full paragraph, in 2. On the same page, in the second the 6th line, ‘‘100 psig’’ should read [FR Doc. C1–6 Filed 4–5–01; 8:45 am] column, under the heading Background, ‘‘1000 psig’’. BILLING CODE 1505–01–D
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Part II
Department of Education National Institute on Disability and Rehabilitation Research; Notice
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DEPARTMENT OF EDUCATION should take to reduce potential costs or Disability and Rehabilitation Research increase potential benefits while Projects and Centers Program National Institute on Disability and preserving the effective and efficient Rehabilitation Research The purpose of the DRRP and Centers administration of the program. program is to plan and conduct During and after the comment period, AGENCY: Office of Special Education and research, demonstration projects, you may inspect all public comments Rehabilitative Services, Department of training, and related activities to: about these priorities in Room 3414, Education. (a) Develop methods, procedures, and Switzer Building, 330 C Street SW., ACTION: rehabilitation technology that Notice of Proposed Funding Washington, DC, between the hours of Priorities for Fiscal Years (FYs) 2001– maximizes the full inclusion and 8 a.m. and 4 p.m., Eastern time, Monday integration into society, employment, 2003 for Community-based Research through Friday of each week except Projects on Technology for independent living, family support, and Federal holidays. Independence and Resource Center for economic and social self-sufficiency of Community-based Disability and Assistance to Individuals With individuals with disabilities; and Rehabilitation Research Projects on Disabilities in Reviewing the (b) Improve the effectiveness of Technology for Independence. Rulemaking Record services authorized under the Act. SUMMARY: We propose funding priorities On request, we will supply an Priorities for Community-based for Community-based Research Projects appropriate aid, such as a reader or Rehabilitation Projects on Technology on Technology for Independence and print magnifier, to an individual with a for Independence disability who needs assistance to Resource Center for Community-based Background Disability and Rehabilitation Research review the comments or other Projects on Technology for documents in the public rulemaking Issues in Involvement of Community- Independence under the National record for these proposed priorities. If based Organizations of People With Institute on Disability and you want to schedule an appointment Disabilities in Promoting Technology for Rehabilitation Research (NIDRR) for FYs for this type of aid, you may call (202) Independence. 205–8113 or (202) 260–9895. If you use 2001–2003. We take this action to focus As stated in the Plan, ‘‘It is the a TDD, you may call the Federal research attention on areas of national mission of NIDRR to generate, Information Relay Service at 1–800– need. We intend these priorities to disseminate, and promote the full use of 877–8339. improve the rehabilitation services and new knowledge that will improve outcomes for individuals with National Education Goals substantially the options for disabled disabilities. This notice contains These proposed priorities will address individuals to perform regular activities proposed priorities under the Disability the National Education Goal that every in the community, and the capacity of and Rehabilitation Research Projects adult American will be literate and will society to provide full opportunities and and Centers Program. possess the knowledge and skills appropriate supports for its disabled DATES: We must receive your comments necessary to compete in a global citizens.’’ Assistive Technology (AT) on or before May 7, 2001. economy and exercise the rights and and environmental access play key roles ADDRESSES: All comments concerning responsibilities of citizenship. in this mission. The Plan provides these proposed priorities should be The authority for the program to detailed definitions, examples, and addressed to Donna Nangle, U.S. establish research priorities by reserving research objectives for AT and Department of Education, 400 Maryland funds to support particular research environmental access, including Avenue, SW., room 3414, Switzer activities is contained in sections 202(g) universal design. Building, Washington, DC 20202–2645. and 204 of the Rehabilitation Act of According to a National Center for Comments may also be sent through the 1973, as amended (the Act) (29 U.S.C. Health Statistics report titled ‘‘Trends Internet: [email protected] 762(g) and 764(b)(4)). Regulations and Differential Use of Assistive FOR FURTHER INFORMATION CONTACT: governing this program are found in 34 Technology Devices: United States, Donna Nangle. Telephone: (202) 205– CFR part 350. 1994,’’ approximately 17 million people 5880. Individuals who use a We will announce the final priorities used at least one AT device. AT and telecommunications device for the deaf in a notice in the Federal Register. We related environmental access (TDD) may call the TDD number at (202) will determine the final priorities after approaches (environmental access 205–4475. considering responses to this notice and approaches include the concept of Individuals with disabilities may other information available to the universal design) help people with obtain this document in an alternative Department. This notice does not disabilities function on a more equal format (e.g., Braille, large print, preclude us from proposing or funding basis in society. For more information audiotape, or computer diskette) on additional priorities, subject to meeting on the contributions of AT and access request to the contact person listed in applicable rulemaking requirements. solutions, see the examples and links to relevant web sites provided by the the preceding paragraph. Note: This notice does not solicit SUPPLEMENTARY INFORMATION: applications. In any year in which we choose United States Architectural and to use these proposed priorities, we invite Transportation Barriers Compliance Invitation To Comment applications through a notice published in Board, also known as the Access Board We invite you to submit comments the Federal Register. When inviting (http://www.access-board.gov/), and the regarding these proposed priorities. applications we designate each priority as Doorway to Research on Technology for We invite you to assist us in absolute, competitive preference, or Access and Function at the National complying with the specific invitational. Center for the Dissemination of requirements of Executive Order 12866 The proposed priorities refer to Disability Research (NCDDR) (http:// and its overall requirement of reducing NIDRR’s Long Range Plan (the Plan). www.ncddr.org/rpp/techaf/index.html). regulatory burden that might result from The Plan can be accessed on the World The new paradigm of disability these proposed priorities. Please let us Wide Web at: (http://www.ed.gov/ embodied in the Plan requires analysis know of any further opportunities we offices/OSERS/NIDRR/#LRP). of the extent to which AT and
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environmental access helps individuals Center (RERC) program discussed the A number of private foundations and with disabilities in attaining full importance of improving access to the international agencies have identified participation in society. Much of environment through universal design. the value of investing in ‘‘grassroots’’, NIDRR’s work reflects the components For information on ongoing and consumer-directed organizations, of the Independent Living (IL) completed NIDRR-supported activities particularly in public health and philosophy: consumer control, self-help, in these areas, contact the National economic development. These advocacy, peer relationships and peer Rehabilitation Information Center at organizations aim at reducing poverty or role models, and equal access to society, http://www.naric.com/ or telephone 1– specific diseases such as HIV/AIDS, or programs, and activities. IL and 800–346–2742. they provide assistance to special needs achieving community integration to the This year, NIDRR anticipates groups such as people in troubled urban maximum extent possible are issues at awarding a number of projects related to and rural areas (see the World Wide the crux of NIDRR’s mission. AT and environmental access. For Web sites or publications of the Pew Furthermore, NIDRR is committed to the updates on the status of announcements Fund for Health and Human Services at creation of a theoretical framework with please see the Education Department http://www.pewtrusts.com/, the World measurable outcomes that is based upon Forecast of Funding Opportunities Health Organization at http:// the experiences of individuals with under Department of Education www.who.int/, and the Robert Wood disabilities. Discretionary Grant Programs for FY Johnson Foundation at http:// To improve ‘‘end-user’’ participation 2001 at http://ocfo.ed.gov/grntinfo/ www.rwjf.org/index.jsp for examples). in addressing AT problems, and related forecast/forecast.htm. Community-based research environmental access solutions, NIDRR According to the Rehab Act, the encompasses a broad set of research will support projects that involve purpose of IL programs is ‘‘to promote activities with differing, and sometimes community-based organizations in a philosophy of consumer control, peer competing, concepts and methods. researching AT related problems and support, self-help, self-determination, Sociology, anthropology, community needs. Two types of projects will be equal access, and individual psychology and public health, for example, use applied community supported. The first type includes empowerment, equal access, and system research projects that will investigate research methods. For the purpose of advocacy, in order to maximize the the use of, and need for, AT devices and these two proposed priorities, leadership, empowerment, services at the community level. The community-based research is intensive, independence, and productivity of second type of project is a community- systematic study directed toward new or individuals with disabilities, and the based research ‘‘Resource Center’’ that full scientific knowledge or integration and full inclusion of will develop, evaluate, and disseminate understanding of AT or environmental individuals with disabilities into the improved research and training methods access problems. In addition, the mainstream of American society.’’ The appropriate to AT and environmental research must be completed in the concepts in this philosophy of access involvement of community-based community under the direction of consumer control, peer support, and disability organizations. The Resource community-based disability Center will also provide AT and self-help place these Title VII organizations (Sclove, R.E, Scammell, environmental access technical independent living centers (CILs) within M.L. & Holland, B. (1998). Community- assistance to community-based a broader world-wide grouping known based Research in the U.S. Amherst, organizations and will foster as ‘‘community-based’’ organizations. MA: The Loka Institute http:// cooperation among the funded projects. The term ‘‘community-based’’ www.loka.org/). These community-based research organization has varying meanings in Community-based disability and projects will broaden the inclusion of disability and rehabilitation programs rehabilitation research puts primary persons with disabilities in developing and in social research. For the purpose emphasis on assisting persons with practical and affordable solutions to AT of these two priorities, a ‘‘community- disabilities by producing and and environmental access problems and based disability organization’’ is a disseminating knowledge and needs. consumer-directed community technology and promoting and In recent years, a number of NIDRR organization such as a CIL. Consumer advancing the rehabilitation and grant competitions have led to research control is the key. Some community integration process at the community projects and activities that aim at rehabilitation service organizations, for level. Community-based disability and improving access to AT and reducing example psychosocial rehabilitation rehabilitation research, according to environmental barriers. For many years, programs, also value consumer these two priorities, applies to the use NIDRR funded grants to States under the direction. Other disability-related of, or need for, AT devices and services Technology-Related Assistance for organizations are located in community by persons with disabilities in the Individuals with Disabilities Act of 1988 settings, but do not have significant community, and related issues of (Tech Act). In addition to research consumer direction. Section 7 of the environmental access. Such research programs under Title II of the Rehab Act, for example, identifies should be performed by qualified Rehabilitation Act of 1973, as amended community rehabilitation programs as researchers in cooperation with (29 U.S.C. 796) (Rehab Act), NIDRR now providers of AT devices and services for community-based disability has responsibility for AT programs persons with disabilities, but such organizations. NIDRR supports the under the Assistive Technology Act of organizations may or may not be notion that persons with disabilities 1998 (AT Act), which replaced the Tech consumer directed. Organizations with provide unique perspectives about Act. A June 5, 2000 notice (65 FR consumer direction, including CILs and living with disability and must be 35768–35774) for a new Alternative other organizations such as protection included in community-based research Financing Program under Title III of the and advocacy (P&A) agencies, are in a projects to the greatest possible extent. AT Act identified numerous issues unique position to help identify and Their experience with, and interest in, affecting access of people with study the specific needs for AT and finding practical solutions to problems disabilities to AT. An April 5, 1999 environmental access of individuals encountered in home, school, place of notice (64 FR 16531) under NIDRR’s from diverse populations and therefore work, and community make them Rehabilitation Engineering Research are the focus of this research effort. informed participants, if not particularly
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qualified researchers. To ensure that cultural, and social environments (63 disability and rehabilitation service technology-related problems relevant to FR 57189–57219). The Plan focuses on providers, researchers, planners, and persons with disabilities are studied, both individual and systemic factors policy makers. contributions from such persons are that have an impact on the ability of In carrying out these purposes, the encouraged. In addition, university- people to function. The elements of the project must: based research on disability needs to be Plan include employment outcomes, • Coordinate with appropriate complemented by community-based health and function, technology for federally funded projects. Coordination research to provide the community with access and function, and IL and responsibilities will be identified useful and immediate tools, community integration. To attain the through consultation with the NIDRR technologies, and knowledge for goals in these areas, the Plan also project officer and may include outreach overcoming barriers to access and includes capacity building for research to specific NIDRR DRRPs, RERCs, participation in economy and society. and training, and to ensure knowledge Rehabilitation Research and Training Community-based rehabilitation dissemination and utilization. Each area Centers (RRTCs), Disability Business research is particularly suited for of the Plan includes objectives at both Technical Assistance Centers (DBTACs) persons with disabilities. According to the individual and system levels. For and AT Projects; Office of Special the University of Washington School of example, the technology for access and Education technology projects and Public Health and Community function area of the Plan includes Parent Training and Information Medicine’s Principles of Community- research objectives to develop AT that Centers; and Rehabilitation Services Based Research, a research partnership supports people with disabilities to Administration training, special between a university and community- function and live independently and demonstration, and IL projects; based organizations should accomplish obtain better employment outcomes, • Involve individuals with the following: and research objectives to promote disabilities in key decision-making; • Community partners should be improved access to the built • Participate in a formative review involved at the earliest stages of the environment and concepts of universal session to be convened by the Resource project, helping to define research design. It is clear that the challenges and Center within six months of award, and objectives and having input into how opportunities for AT and improved cooperate with the Resource Center’s the project will be organized. environmental access reflect all of the capacity-building and evaluation • Community partners should have priority areas of the Plan. activities; and real influence on project direction—that • Participate in a state-of-the-science is, enough leverage to ensure that the Proposed Priority 1 conference in the third year of the grant. We proposes to establish research original goals, mission, and methods of Proposed Priority 2: Resource Center projects to involve community-based the project are adhered to. for Community-based Disability and • disability organizations in AT and Research processes and outcomes Rehabilitation Research Projects on environmental access research leading should benefit the community. Technology for Independence Community members should be hired to practical and affordable solutions to and trained whenever possible and identified problems and needs, and There is a need for capacity-building appropriate, and the research should building research capacity at the on conceptual and methodological help build and enhance community community level and in community- approaches to research on the assets; based organizations serving persons involvement of community-based • Community members should be with disabilities. organizations of people with disabilities part of the analysis and interpretation of In carrying out these purposes, a in promoting technology for data and should have input into how project must: independence. There is need for the results are distributed. This does not (a) From the examples of research training, technical assistance, and imply censorship of data or of objectives below, conduct a significant dissemination efforts to guide ongoing publication, but rather the opportunity and substantial research program on the efforts. Advice and strategies are needed to make clear the community’s views involvement of community-based in specific areas including, but not about the interpretation prior to final disability organizations in promoting limited to, research designs and publication; technology for access and function that methodologies, case studies, focus • Productive partnerships between will contribute to the advancement of group research, AT and environmental researchers and community members knowledge in accordance with the Plan assessment, small sample surveys, should be encouraged to last beyond the by: participant observation, ethnography, life of the project. This will make it • Investigating and developing and participatory action research. There more likely that research findings will research questions, methodologies, and is a need to develop ‘‘how-to-do’’ be incorporated into ongoing recommendations for use by other materials on disability-related AT and community programs and therefore research entities in solving technology- environmental access community-based provide the greatest possible benefit to related, engineering, psychosocial, research, reference resources, web-based the community from research; and economic and other problems at the access to materials, and other means of • Community members should be individual and systems levels, in the communicating knowledge about empowered to initiate their own United States (U.S.); and community-based rehabilitation research projects that address needs • Designing and testing models for research in the U.S. they identify themselves. partnership of community-based disability organizations in research, Proposed Priority 2 Proposed Priority 1: Community-based participant observation studies and We propose to establish a resource Disability and Rehabilitation Research other qualitative and quantitative center to assist Disability and Projects on Technology for research approaches to using technology Rehabilitation Research Projects on Independence in community-based settings; and Technology for Independence and other The Plan identifies disability in terms (b) Disseminate findings from related NIDRR activities under the Plan of the relationship between the community-based research to persons with capacity-building for improving individual and the natural, built, with disabilities, their representatives, the involvement of community-based
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organizations of people with disabilities through consultation with the NIDRR Electronic Access to This Document in promoting technology for project officer and may include outreach You may view this document, as well independence. to specific NIDRR DRRPs, RERCs, as all other Department of Education In carrying out these purposes, the RRTCs, DBTACs and AT Projects; Office documents published in the Federal project must: of Special Education technology Register, in text or Adobe Portable (a) Establish and conduct a significant projects and Parent Training and and substantial resource program on Document Format (PDF) on the Internet Information Centers; and Rehabilitation at the following site: http://www.ed.gov/ capacity-building in research, training, Services Administration training, and TA on the involvement of legislation/FedRegister special demonstration, and IL projects; community-based disability To use PDF you must have Adobe • organizations in promoting technology Convene a formative review session Acrobat Reader, which is available free for access and function that will within six months of project award with at the previous site. If you have contribute to the advancement of the DRRPs on Technology for questions about using PDF, call the U.S. knowledge in accordance with the Plan. Independence to assist these Government Printing Office (GPO), toll (b) Disseminate findings from the community-based rehabilitation free, at 1–888–293–6498; or in the Resource Center’s program on researchers in the finalization of their Washington, DC, area at (202) 512–1530. community-based research to DRRPs on research plans, and to help them with Note: The official version of this document Technology for Independence and other is published in the Federal Register. Free the commencement of their research Internet access to the official edition of the related NIDRR-funded activities under projects; and Federal Register and the Code of Federal the Plan. • Conduct a state-of-the-science Regulations is available on GPO Access at: In addition to the activities proposed http://www.access.gpo.gov/nara/index.html by the applicant to carry out these conference, including the DRRPs on purposes, the Resource Center must: Technology for Independence, in the (Catalog of Federal Domestic Assistance • Involve individuals with third year of the grant and publish a Number: 84.133A, Disability and disabilities and, if appropriate, their comprehensive report on the final Rehabilitation Research Project and Centers representatives, in planning and outcomes of the conference in the fourth Program) implementing the research, training, year of the grant. Dated: April 2, 2001. and dissemination activities, and in Applicable Program Regulations: 34 Andrew J. Pepin, evaluating the Center; CFR part 350. Executive Administrator for Special • Coordinate with appropriate Education and Rehabilitative Services. federally funded projects. Coordination Program Authority: 29 U.S.C. 762(g) and [FR Doc. 01–8462 Filed 4–5–01; 8:45 am] 764(b)(4). responsibilities will be identified BILLING CODE 4000–01–D
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Part III
Department of Education National Institute on Disability and Rehabilitation Research; Notice
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DEPARTMENT OF EDUCATION During and after the comment period, projects, training, and related activities you may inspect all public comments to: National Institute on Disability and about these priorities in Room 3414, (a) Develop methods, procedures, and Rehabilitation Research Switzer Building, 330 C Street SW., rehabilitation technology that Washington, DC, between the hours of maximizes the full inclusion and AGENCY: Office of Special Education and 8:00 a.m. and 4:00 p.m., Eastern time, integration into society, employment, Rehabilitative Services, Department of Monday through Friday of each week independent living, family support, and Education. except Federal holidays. economic and social self-sufficiency of ACTION: Notice of proposed funding individuals with disabilities; and priorities for fiscal years (FYs) 2001– Assistance to Individuals With (b) Improve the effectiveness of 2003 for two Disability and Disabilities in Reviewing the services authorized under the Act. Rehabilitation Research Projects. Rulemaking Record Proposed Priority 1: Assistive On request, we will supply an SUMMARY: Technology Outcomes and Impacts We propose funding priorities appropriate aid, such as a reader or for two Disability and Rehabilitation print magnifier, to an individual with a Background Research Projects and Centers Program disability who needs assistance to One of the greatest challenges facing (DRRP) one on Assistive Technology review the comments or other Outcomes and Impacts and the other on health care systems, social services documents in the public rulemaking providers and policymakers is to ensure Assistive Technology Research Projects record for these proposed priorities. If for Individuals with Cognitive that scarce resources are used you want to schedule an appointment efficiently. To a large extent, this Disabilities under the National Institute for this type of aid, you may call (202) on Disability and Rehabilitation challenge explains the growing interest 205–8113 or (202) 260–9895. If you use in outcomes research and evidence- Research (NIDRR) for FY 2001–2003. a TDD, you may call the Federal We may use these priorities for based medicine. Particular interest in Information Relay Service at 1–800– outcomes of assistive technology (AT) is competitions in FY 2001 and later years. 877–8339. We take this action to focus research related to the amount of dollars spent on attention on areas of national need. We National Education Goals developing and manufacturing AT, AT service delivery and to the need to intend these priorities to improve the These proposed priorities will address improve the functional independence rehabilitation services and outcomes for the National Education Goal that every and well-being of persons with individuals with disabilities. adult American will be literate and will disabilities of all ages. Yet, assessment DATES: We must receive your comments possess the knowledge and skills of the impact of technology on function on or before May 7, 2001. necessary to compete in a global and other productivity and quality of economy and exercise the rights and ADDRESSES: All comments concerning life outcomes lags behind outcomes responsibilities of citizenship. these proposed priorities should be measurement in other areas of The authority for the program to addressed to Donna Nangle, U.S. rehabilitation. establish research priorities by reserving Department of Education, 400 Maryland There are several factors that promote funds to support particular research Avenue, SW., room 3414, Switzer concern about the paucity of outcomes activities is contained in sections 202(g) Building, Washington, DC 20202–2645. research in AT including the: (a) Ability and 204 of the Rehabilitation Act of Comments may also be sent through the to demonstrate efficacy of new devices; _ 1973, as amended (29 U.S.C. 762(g) and Internet: donna [email protected] (b) need to examine effectiveness of 764(b)(4)). Regulations governing this FOR FURTHER INFORMATION CONTACT: devices over time; and (c) need to chart program are found in 34 CFR part 350. Donna Nangle. Telephone: (202) 205– future research and development to We will announce the final priorities 5880. Individuals who use a improve devices (Fuhrer, M. J., in a notice in the Federal Register. We telecommunications device for the deaf ‘‘Assistive technology outcomes will determine the final priorities after (TDD) may call the TDD number at (202) research: challenges met and yet considering responses to this notice and 205–4475. unmet,’’ American Journal of Physical other information available to the Individuals with disabilities may Medicine and Rehabilitation, 2001, In Department. This notice does not obtain this document in an alternative press). Outcomes research and analysis preclude us from proposing or funding format (e.g., Braille, large print, is also needed to guide decisionmaking additional priorities, subject to meeting audiotape, or computer diskette) on across multiple levels of policy and applicable rulemaking requirements. request to the contact person listed in program development, including: (a) the preceding paragraph. Note: This notice does not solicit Decisions on a societal level regarding applications. In any year in which we choose SUPPLEMENTARY INFORMATION: to use these proposed priorities, we invite types of public programs and services to fund; (b) decisions on a programmatic Invitation To Comment applications through a notice published in the Federal Register. When inviting level regarding what services to We invite you to submit comments applications we designate each priority as continue, enhance, modify or eliminate; regarding these proposed priorities. absolute, competitive preference, or (c) decisions on an individual level We invite you to assist us in invitational. regarding AT recommendations and complying with the specific The proposed priorities refer to interventions; and (d) decisions on a requirements of Executive Order 12866 NIDRR’s Long-Range Plan that can be research level regarding the comparative and its overall requirement of reducing accessed on the World Wide Web at: effectiveness of individual devices and regulatory burden that might result from (http://www.ed.gov/offices/OSERS/ the impact on future designs (Smith, R., these proposed priorities. Please let us NIDRR/#LRP). ‘‘Measuring the outcomes of assistive know of any further opportunities we technology: challenge and innovation’’, should take to reduce potential costs or Disability and Rehabilitation Research Assistive Technology, Vol. 8, No. 2, pgs. increase potential benefits while Projects and Centers Program 71–81, 1996). preserving the effective and efficient The purpose of the program is to plan In the face of a growing interest in administration of the program. and conduct research, demonstration outcomes, the inconsistent use of
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terminology contributes to the J. Fuhrer, ed., pgs. 1–42, 1997). outcomes and impacts is critical for confusion that exists in the application Regardless of how it is defined, accountability and to avoid wasteful of a generally accepted outcomes outcomes research is part of the larger outcomes. Is abandonment a negative or approach. In the field of rehabilitation, framework of program evaluation could it be a positive outcome? outcomes measurement has focused on (Fuhrer, op cit., 1997), and includes Abandonment has been viewed as the creating outcomes management systems both outcomes analysis and outcomes end result of fragmented service and measuring and communicating measurement also known as provision, poor assessment techniques, outcomes. Rehabilitation has led the performance measurement (Jennings, lack of consumer choice in device health care field in its emphasis on B.M. and Staggers, N., The language of selection, inattention to device use changes in function as an outcomes outcomes, Journal of Rehabilitation across environments, inadequate measure. Still, even in rehabilitation, Outcomes Measurement, Vol. 3, No.1, training, costly repairs, need to upgrade outcomes measurement systems have pgs. 59–64, 1999). and obsolete or inappropriate typically focused on process variables, Rehabilitation outcomes are changes technology. However, abandonment i.e., the outputs of products and produced by rehabilitation services in may be a natural phenomenon related to services, and not on gains to the the lives of service recipients and their improved physical or cognitive individual or society in either the short environments. Outcome indicators are function, the result of a technology or long term. Wilkerson posits that this measures of the amount and frequency upgrade or because different technology emphasis on process will change of those occurrences, and include is a better fit between the end-user and because of three factors: (a) The pressure service quality. Within this perspective, the environment. to cut costs; (b) growth of consumerism some analysts use the word ‘‘impacts’’ There are other reasons to account for leading to increased input from users to distinguish between longterm the lack of momentum in measurement and increased focus on the needs of the outcomes or end results that occur on a development and outcomes and impact end user; and (c) concerns about quality societal versus an individual level. Still research on AT. Most of the in relation to costs (Wilkerson, D., others use the term ‘‘impact’’ more endorsements of a particular device or ‘‘Outcomes and accreditation—The strictly to refer to estimates of the extent service are based on anecdotal paradigm is shifting toward outcome,’’ to which the program actually ‘‘caused’’ information (Fuhrer, 1999) rather than Rehab Management, August/September, particular outcomes (Hatry, H. et al., data generated from research. Frank pgs. 112–115, 1997). Customer Surveys for Agency Managers: DeRuyter (‘‘Evaluating outcomes in What Managers Need to Know, assistive technology: do we understand Outcomes research is defined in Washington, DC: Urban Institute, 1998). the commitment,’’ Assistive Technology, different ways across rehabilitation and Deconstructing these various definitions Vol. 7, No. 1, pgs. 3–16, 1995), observed health services research as well as in the and types of outcomes and impacts that historically, AT was considered a social services field. The Foundation for requires recognition of complexity on remedy to impairment or dysfunction, Health Services Research (Foundation many levels. and the urgency of consumer need was for Health Services Research, Health Although AT has grown as a of greater importance than relying upon Outcomes Research: A Primer, discipline and as an industry over the data to document the efficacy of a Washington, DC, 1994) characterized past two decades, there has not been a particular device. In addition, quality outcomes research as research focused corresponding maturity in developing or was perceived as too abstract and on the ‘‘end results of medical care—the assessing the outcomes or impacts of AT difficult to measure and define. Vendors effect of the health care process on the upon individuals with disabilities. AT and practitioners may feel threatened by health and well-being of patients and devices and services outcomes also may potential findings and accountability populations.’’ The Institute of Medicine be difficult to define because of the demands, which may also have (IOM) (Feasley, J.C., ed., Health ways AT is used. For example, AT is contributed to the lack of outcomes Outcomes for Older People: Questions used to increase participation in the studies (DeRuyter, op. cit, 1995). for the Coming Decade, Washington, environment, enhance normative social While the AT arena is complex and DC: National Academy Press, 1996) roles, promote and sustain employment, broad, several outcomes studies have expanded this definition to include ‘‘the and facilitate activities of daily living. focused on a discrete segment of the clinical signs and symptoms, well-being Some devices, such as computers, entire system. Smith says that there are or mental and emotional functioning; increase access to information and essentially two domains of outcome physical, cognitive, and social support life long learning. AT devices measurement: the performance of an functioning; satisfaction with care; vary significantly from highly complex individual using assistive technology health-related quality of life, and costs and sophisticated computer-operated and the cost of achieving the level of and appropriate use of resources.’’ systems to low tech approaches that can performance (Smith, R.O., Outcomes research has also been be easily purchased or built. ‘‘Accountability in assistive technology defined as research designed to discover Complicating the issue even further are interventions: measuring outcomes,’’ the sustained impact of rehabilitative the individual characteristics of the AT Volume I—RESNA Resource Guide of strategies and treatments in the user and the varied environments in Assistive Technology Outcomes: everyday lives of persons with which users live, work, and learn. Measurement Tools, pgs. 15–43, 1998). disabilities. ‘‘Outcomes research Approximately one-third of AT Minkel proposed that the primary attempts to build a bridge between devices will be abandoned by the user measure to determine the value of the interventions and long-term (Phillips, B. and Zhao, H. ‘‘Predictors of assistive technology is the basic formula improvements in the lives of persons assistive technology abandonment’’, of outcomes divided by cost (Minkel, J., served as they reenter the community’’ Assistive Technology, Vol. 5, pgs. 36–45, ‘‘Assistive technology and outcomes (Johnston, M., et al., ‘‘Outcomes 1995). There are many reasons why measurement: Where do we begin?’’ research in medical rehabilitation- individuals with disabilities choose to Technology and Disability, July, pgs. foundations from the past and accept or reject AT devices. Since 285–288, 1996). There are others within directions for the future,’’ Assessing public funds provide a major source for the AT community who operate under Medical Rehabilitation Practices: The purchasing AT devices and services, the assumption that improvements and Promise of Outcomes Research, Marcus useful and accurate measures of innovation in technology will
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‘‘naturally’’ lead to successful use and environmental and social identified through consultation with the implementation, and therefore do not considerations’’ (Turk, M. A., ‘‘Early NIDRR Project Officer. need to be evaluated. From this development-related condition,’’ Proposed Priority 2: Assistive perspective, technological solutions Assessing Medical Rehabilitation Technology Research Projects for have been viewed as a panacea without Practices—The Promise of Outcomes Individuals With Cognitive Disabilities the benefit of data to support prevailing Research, Marcus J. Fuhrer, ed., pgs. assumptions (De Ruyter, F., ‘‘Concepts 367–392, 1997). Background and rationale for accountability in Innovations in AT will continue to Technology and assistive devices assistive technology,’’ Volume I— evolve and many AT users, as they have have commonly been used to assist RESNA Resource Guide of Assistive in the recent past, will experience persons with mobility, communication Technology Outcomes: Measurement increases in independence, function, and sensory difficulties. Because of the Tools, pgs. 2–15, 1998). and general well being. Concurrently, positive impact that technology has At a minimum, the process of the gap between the promise of played in the lives of these individuals, evaluating AT outcomes must measure technology and the ability of there is now a strong push toward the and establish a baseline of what works, individuals and funding sources to development of such devices for people identify how well and for whom it afford them will continue to widen. works, and at what level of economy with cognitive disabilities. The This will result in a greater need for Assistive Technology Act of 1998 and efficiency. This process will knowledge about the cost-effectiveness necessitate taking information from defines an assistive technology device to and efficiency of particular devices and be any item, piece of equipment or several performance monitoring services (Fuhrer, M.J., ‘‘Assistive dimensions (De Ruyter, op. cit., 1998). product system whether acquired technology outcomes research: commercially off the shelf, modified or In approaching the challenges of AT challenges met and yet unmet,’’ outcomes measurement, it is important customized that is used to increase, American Journal of Physical Medicine maintain or improve functional to identify if the outcomes relate to the and Rehabilitation, 2001, In press). AT product or service, the user, or to the capabilities of individuals with environment in which the technology is Proposed Priority 1: Assistive disabilities. Rapid advances in being used. While not standardized or Technology Outcomes and Impacts technology provide great potential for widely endorsed, a variety of We propose to establish multiple development of new devices or measurement techniques and research projects on assistive technology adaptation of available devices to assist instruments are currently utilized. (AT) outcomes and impacts to individuals with cognitive disabilities to These measurement tools tend to be determine the efficacy and utility of AT develop and maintain skills. specific to a given practice area or interventions and the implications for Technology professionals, such as limited to a functional domain, (Volume abandonment of AT devices. In carrying computer scientists and rehabilitation I: RESNA—Resource Guide for Assistive out these purposes, the projects must: engineers, have limited experience Technology Outcomes: Measurement (a) Assess the current status of AT applying assistive technology solutions Tools, 1998). outcomes and impacts measurement to users with cognitive disabilities. Nor To proceed with assessing AT systems and approaches, identifying do they yet understand the mapping outcomes and impacts, the following measurement methodologies, between specific needs and equally questions need to be addressed. First, characteristics of key instruments specific design solutions. Most people what are the key gaps and weaknesses including utility to AT field, and critical with cognitive disabilities have a range in our knowledge of AT use and its gaps in measurement; of learning and processing capabilities. impacts? Are the key research questions (b) Based upon the findings of Wide variations in cognitive functioning related to a particular intervention at a paragraph (a), evaluate efficacy of make it difficult to develop generic particular point in time? How do device existing measurement instruments or solutions appropriate for all individuals. modifications and upgrades change the develop and evaluate new outcomes and Functional capabilities associated with intervention? How do characteristics of impacts measurement methodologies to these disabilities may include wide the population including severity of meet the needs of AT stakeholders; and ranges of ability in memory, reasoning, impairment, duration of disability, (c) Investigate and analyze the and language comprehension. Cognitive presence of co-morbidities, aging and complexity of factors contributing to the functioning also includes perception, other sociodemographic factors abandonment of AT, including age- problem-solving, conceptualizing, influence technology utilization and related changes, and identify how these reading, thinking and sequencing bias outcomes study? What is the role of factors are incorporated into outcomes (Electronic and Information Technology environmental, economic, awareness and impacts measurement instruments. Access Advisory Committee, ‘‘EITAAC and training barriers in AT use and In addition to activities proposed by Report, May 13, 1999,’’ A Report to the outcomes? These different levels of the applicants to carry out these Architectural and Transportation outcomes can look at impacts and purposes, each project must: Barriers Compliance Board). Common effects of technology at one point in • Develop and disseminate to AT strategies to improve functioning in time, more typically a clinical or stakeholders and other interested and activities of daily living across various functional outcome, or can be examined relevant audiences, as determined by cognitive disabilities need to be in terms of long-term impacts on NIDRR, materials on AT outcomes identified, as do, issues regarding individual quality of life, productivity studies and impacts analyses and, information processing that may be and social participation. As one periodic updates on the project’s unique to each of these groups. researcher expressed it, in addition to milestones, products and results; and Persons with cognitive disabilities longitudinal studies, ‘‘the research • Collaborate with relevant NIDRR- often have difficulty in carrying out agenda must consider lifelong use of sponsored projects, such as the AT/IT Instrumental Activities of Daily Living assistive technology, documenting Consumer Survey (University of (IADLs) because of problems with time effectiveness of that technology as an Michigan), the RESNA Technical management and information retrieval. intervention, identifying stages for Assistance projects, and the RRTC on Researchers are experimenting with the reconsideration of its use, and defining Medical Rehabilitation Outcomes, as use of electronic personal computers to
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compensate for memory problems. require fewer cognitive skills are easier and needs for persons with cognitive Other researchers are examining to operate for everyone (Vanderheiden, disabilities and make recommendations methods of matching individual G., 1992, ‘‘A brief look at technology for new technology and modifications to cognitive problems with compensatory and mental retardation in the 21st existing technology; (c) Identify features strategies provided by a variety of century,’’ in Mental Retardation in the that may be incorporated into existing, commercially available portable Year 2000, Louis Rowitz, ed., New York: commercially available technology that electronic devices. In traumatic brain Springer-Verlag). ‘‘Design guidelines’’ could benefit persons with cognitive injury treatment, researchers are must then be communicated to the disabilities; and investigating the use of virtual reality manufacturers of consumer products (d) Develop and explore strategies for technology to test visual acuity and and business information systems. strengthening partnerships with reaction times to stimulus. Research is Instructions for training on the use and developers and manufacturers of also being conducted on the use of text- maintenance of the device also need to devices in order to facilitate the based messages to enhance be part of this design process. It is development of new technologies and communication. important for designers to be aware of applications to incorporate cognitive Technology is often viewed as the real world tasks with which the user access. has difficulty; hence, research needs to facilitating employment of persons with In addition to the activities proposed include persons with cognitive disabilities. However, inaccessible by the applicants to carry out these disabilities at the front end of all technology can be a barrier to all purposes, the projects must: technology development. End product persons with disabilities. This is • particularly true for persons with affordability is important not only in Coordinate with the appropriate cognitive impairments who may have meeting consumer needs, but also in Federal agencies and privately-funded difficulty using telephones, computers, creating the market demand that will projects, such as the University of and other equipment that are staples of encourage manufacturers to enter Colorado’s Coleman Institute for most work environments. Developers production. Cognitive Disabilities, that are relevant and manufacturers of assistive The NIDRR Long-Range Plan to the applicants proposed activities as technology often do not consider issues discusses three objectives in developing identified through consultation with the of cognitive access and flexibility when technology to meet the needs of people NIDRR project officer; and • designing their products. with limitations in cognitive Involve individuals with cognitive While the congruence between the functioning: To assure that new disabilities in all aspects of the project. promise of assistive technology and the technologies are accessible and do not Applicable program regulations: 34 needs of many people attempting to exacerbate exclusion from mainstream CFR part 350. achieve community integration is activities; to assist people with cognitive limitations in the performance of daily Program Authority: 29 U.S.C. 762(g) and obvious, little has been written about 764(b)(4). the manner in which technology affects activities; and to develop technologies community adaptation or the service that can enhance or restore some Electronic Access to This Document cognitive functions (NIDRR, Long-Range needs of individuals with cognitive You may view this document, as well disabilities in community settings. Plan: 1999–2003, pg. 57). The University of Colorado recently as all other Department of Education While specific manifestations of accepted a gift of $250 million. The documents published in the Federal assistive technology have identifiable endowment will fund advanced Register, in text or Adobe Portable benefits, the central question needs to research and development of innovative Document Format (PDF) on the Internet be empirically addressed—how can technologies to enhance the lives of at the following site: www.ed.gov/ assistive technologies contribute to people with cognitive disabilities. The legislation/FedRegister. community integration and in what endowment, to be paid over five years, To use PDF you must have Adobe manner can the linkage be facilitated? will be used to establish the Coleman The state of knowledge about the use of Acrobat Reader, which is available free Institute for Cognitive Disabilities at the previous site. If you have assistive technology for persons with located at the University of Colorado. cognitive disabilities, as well as the questions about using PDF, call the U.S. Applicants for this project should Government Printing Office (GPO), toll outcomes of that use or lack of use and provide information on proposed the cost-effectiveness in achieving free, at 1–888–293–6498; or in the coordination with the Coleman Washington, DC, area at (202) 512–1530. community integration is limited. There Institute. are only a few large assessments of the Note: The official version of this document technology needs of persons with Proposed Priority 2: Assistive is published in the Federal Register. Free Internet access to the official edition of the cognitive disabilities and results are Technology Research Projects for Individuals With Cognitive Disabilities Federal Register and the Code of Federal ambiguous because of difficulties in Regulations is available on GPO Access at: identifying persons with low incidence We propose to establish multiple http://www.access.gpo.gov/nara/index.html. conditions and specific technology research projects on technology access needs within the study population for persons with cognitive disabilities (Catalog of Federal Domestic Assistance (Lakin, C. et al., NIDRR Long-Range Plan Number: 84.133A, Disability and leading to practical and affordable Rehabilitation Research Project and Centers Commissioned Paper on Community solutions to identified community and Program) Integration, 1996). workplace needs of this population. The In order to take advantage of any projects must: Dated: April 2, 2001. potential that technological advances (a) Conduct an assessment of state-of- Andrew J. Pepin, may have, it is important to define what the-art technology applications for Executive Administrator for Special makes a device easier or more difficult persons with cognitive disabilities; Education and Rehabilitative Services. for a person with a cognitive disability (b) Based on the assessment results of [FR Doc. 01–8464 Filed 4–5–01; 8:45 am] to use. Products that are simpler and paragraph (a), identify technology gaps BILLING CODE 4000–01–P
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Part IV
Department of Health and Human Services Administration for Children and Families
Fiscal Year 2001 Family Violence Prevention and Services Discretionary Funds Program; Availability of Funds and Request for Applications; Notice
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DEPARTMENT OF HEALTH AND Center; 1815 North Fort Myer Drive, FV–04–01—Collaborative Efforts HUMAN SERVICES Suite 300, Arlington, VA 22209; between Faith-Based Organizations and Attention: Application for Family Domestic Violence Organizations. Administration for Children and Violence Prevention and Services This program announcement consists Families Program. of four parts. [Program Announcement No. OCS–2001– Number of Copies Required: One Part I provides information on the 06] signed original application and four family violence prevention and services copies should be submitted at the time program and the statutory funding Fiscal Year 2001 Family Violence of initial submission. (OMB–0970–0062, authority applicable to this Prevention and Services Discretionary expiration date 10/31/2001.) announcement. Funds Program; Availability of Funds Acknowledgement of Receipt: An Part II describes the priority areas and Request for Applications acknowledgement will be mailed to all under which applications for FY 2001 applicants with an identification family violence funding are being AGENCY: Office of Community Services number that will be noted on the requested. (OCS), Administration for Children and acknowledgement. This number must be Part III describes the applicable Families (ACF) DHHS. referred to in all subsequent evaluation criteria. ACTION: Announcement of the communications with OCS concerning Part IV provides other information availability of funds and request for the application. If an acknowledgment and instructions for the development applications under the Office of is not received within three weeks after and submission of applications. Community Services’ Family Violence the application deadline, applicants Part I. Introduction Prevention and Services Discretionary may notify the Family Violence Title III of the Child Abuse Funds Program. Operations Center by telephone at (703) Amendments of 1984, (Pub. L. 98–457, 351–7676. Applicant should also submit SUMMARY: The Administration for 42 U.S.C. 10401, et seq.) is entitled the a mailing label for the Children and Families (ACF), Office of Family Violence Prevention and acknowledgement. Community Services (OCS), announces Services Act (the Act). The Act was first its Family Violence Prevention and Note: To facilitate receipt of this implemented in FY 1986, was Services discretionary funds program acknowledgement from ACF, applicant reauthorized and amended in 1992 by for fiscal year (FY) 2001. Funding for should include a cover letter with the Public Law 102–295, and was amended application containing an E-mail address and grants under this announcement is and reauthorized for fiscal years 1996 authorized by the Family Violence facsimile (FAX) number if these items are available to applicant. through 2000 by Public Law 103–322, Prevention and Services Act, Public the Violent Crime Control and Law Law 102–295, as amended, governing FOR FURTHER INFORMATION, CONTACT: Enforcement Act of 1994 and by Public discretionary programs for family Administration for Children and Law 104–235, the ‘‘Child Abuse violence prevention and services. Families, Office of Community Services, Prevention and Treatment Act Applicants should note that the award Division of State Assistance, 370 Amendment of 1996.’’ The Act was of grants under this program L’Enfant Promenade, SW., Washington, most recently amended by the announcement is subject to the DC 20447. Telephone Sunni Knight ‘‘Violence Against Women Act of 2000’’ availability of funds. This (202) 401–5319, James Gray (202) 401– (Pub. L. 106–386, 10/28/2000). announcement contains all forms and 5705, William Riley (202) 401–5529 or The purpose of this legislation is to instructions for submitting an Shena Russell (202) 205–5932. assist States in supporting the application. For a Copy of the Announcement, establishment, maintenance, and DATES: The closing date for submission Contact: Family Violence Operations expansion of programs and projects to of applications is May 21, 2001. Center: 1815 North Fort Myer Drive, prevent incidents of family violence and Applications postmarked after the Suite 300, Arlington, VA 22209; provide immediate shelter and related closing date will be classified as late. Attention: Application for Family assistance for victims of family violence Applicants are cautioned to request a Violence Prevention and Services and their dependents. legibly dated U.S. Postal Service Program. (703) 351–7676. We expect to fund four priority areas postmark or to obtain a legibly dated In addition, the announcement will be in FY 2001: receipt from a commercial carrier or accessible on the OCS website for 1. Specialized Outreach Projects for U.S. Postal Service. Private metered reading or printing at: http:// Services to Underserved and Diverse postmarks shall not be accepted as proof www.acf.dhhs.gov/programs/ocs under Populations—In order to further the of timely mailing. Detailed application ‘‘Funding Opportunities’’. commitment of bringing diverse voices submission instructions, including the SUPPLEMENTARY INFORMATION: The Office to the table, OCS intends to support a addresses where applications must be of Community Services, Administration minimum of two projects that convene received, are found in Part IV of this for Children and Families, announces researchers, activists, survivors, and announcement. that applications are being accepted for practitioners who have been advocates Hand delivered applications are funding for FY 2001 projects on: of a more culturally specific orientation accepted during the normal working FV–01–01—Specialized Outreach towards eliminating domestic violence. hours of 8:00 a.m. to 4:30 p.m. EST at Projects for Services to Underserved and 2. Minority Training Grant Stipends the Family Violence Operations Center: Diverse Populations; in Domestic Violence for Historically 1815 North Fort Myer Drive, Suite 300, FV–02–01—Minority Training Grant Black, Hispanic Serving, and Tribal Arlington, VA 22209 between Monday Stipends in Domestic Violence for Colleges and Universities—The and Friday (excluding Federal Historically Black, Hispanic-Serving, provision of training grant stipends to holidays). (Applicants are cautioned and Tribal Colleges and Universities; Historically Black, Hispanic-Serving that express/overnight mail services do FV–03–01—Public Information/ and Tribal Colleges and Universities not always deliver as agreed.) Community Awareness Campaign will assist in generating skill-building ADDRESSES: Applicants should be Projects for the Prevention of Family and training opportunities particularly mailed to Family Violence Operations Violence; and responsive to
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issues related to cultural context and the Eligible Applicants implementation of special projects extent to which individuals in some Public and private non-profit related to policy issues, training minority groups do or do not seek organizations and/or collaborations that curricula, service delivery models or services from the domestic violence focus primarily on issues of domestic other aspects of services, related to the system. violence in racial, ethnic, and prevention of domestic violence; 3. Public Information/Community underserved diverse communities. All The provision of a workplan and Awareness Campaign Projects for the applicants must have documented evaluation schedule, and a plan for a Prevention of Family Violence—The organizational experience in the areas of report on the effectiveness of the project public information/community domestic violence prevention and one-year after the effective date of the awareness projects will provide services, and experience related to the grant award; information on resources, facilities, and specific underserved population to The description of the Outreach service alternatives available to family whom assistance would be provided. Project Staff and supportive expertise violence victims and their dependents, Each applicant must have an advisory including; the steering committee, other individuals seeking assistance, board/steering committee that is organizational or institutional community organizations, local school reflective of the targeted underserved affiliations, capability, and domestic districts, and others. community. violence experience; and 3. Collaborative Efforts between Faith- A description of the organizational Based Spiritual Organizations and Minimum Requirements for Project and administrative structure, the Domestic Violence Organizations— Design management plan, and the cost structure Collaborative efforts between faith- The Office of Community Services within which the project will operate; based/spiritual organizations and the seeks to support specialized outreach describe the administrative, operational domestic violence community that will effort on behalf of underserved and and organizational relationships to be create additional points of entry and diverse communities. The OCS will established with other centers and assistance for persons in abusive support at least two projects each of technical assistance entities to establish relationships as they seek services. which will be staffed and/or supported an effective national network. Part II. Fiscal Year 2001 Family by expert and multi-disciplined teams Project Period Violence Projects that are culturally responsive and competent in regard to the issues of Awards, on a competitive basis, will 1. Priority Area Number FV–01–01: domestic violence in their particular be for a one-year budget period, Specialized Outreach Projects for community. although project periods may be for 3 Services to Underserved and Diverse Areas of emphasis to be developed in years. Applications for continuation Populations the applicants’ proposals are: grants funded under these awards A description of the immediacy of the beyond the one-year budget period will Background need(s) to be addressed as an outreach be entertained in subsequent years on a The Office of Community Services in Project; and the provision information non-competitive basis, subject to the the Administration for Children and on the specific services your availability of funds, satisfactory Families is aware of the importance of organization currently provides, and a progress of the grantee, and a moving beyond a ‘‘one size fits all’’ general description of services to be determination that continued funding approach in the development and provided as a demonstration; would be in the best interest of the implementation of Federal policies and The technical assistance, training and government. programs to address domestic violence consultations needed to improve the Budget Period and Federal Share in ethnically and racially diverse cultural relevancy of service delivery, communities. In order to further ACF’s resource utilization, and state-of-the-art- Total funds available for the first 12- commitment of bringing diverse voices techniques related to program months of each of the projects is to the table, OCS intends to support at implementation, service delivery, and estimated to be approximately $150,000 least two projects that will convene evaluation; subject to the availability of funds. researchers, activists, and practitioners The development of a network of Matching Requirement who have been advocating a more culturally competent professionals in culturally oriented response to the domestic violence and the coordination Grantees must provide at least 25 problems of domestic violence within of their input and expertise to assist percent of the total cost of the project. specific racial/ethnic communities. OCS persons, programs or agencies The total cost of the project is the sum believes that these projects will assist requesting assistance or information; of the ACF share and the non-Federal OCS, researchers, policy makers, The presentation of the technical share. The non-Federal share may be domestic violence organizations and approach and specific strategies for met by cash or in-kind contributions, organizations serving these assistance to the field that is national in although applicants are encouraged to communities nationwide to identify and scope, culturally specific in emphasis, meet their match through cash develop model programs and policies and includes the use of an expert panels contributions. If approved for funding, and improve services, particularly and/or working groups; the grantee will be held accountable for services that are respectful of cultural The description of efforts that will be commitments of non-Federal resources, and community characteristics. initiated with other national advocacy and failure to provide the required and domestic violence organizations, amounts will result in a disallowance of Program Purpose other national and technical assistance unmatched Federal funds. The expertise developed as a result of resource centers and clearinghouses and Therefore, a project requesting the Outreach projects will offer articulate how the initiation of or $150,000 in Federal funds (based on an assistance on resource information, continued coordination with them will award of $150,000 per budget period) policy analysis and review, and training enhance the project’s efforts; must include a match of at least $50,000 for public and private organizations in The provision of a detailed discussion (25% of the total project cost) for a total the domestic violence community. or plan which proposes the budget of $200,000.
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Anticipated Number of Projects To Be requires the provision of quality Placements must provide a structured Funded education and increased education and learning environment that enables It is anticipated that a minimum of increased opportunities to participate in students to compare their field two Outreach Demonstration projects and benefit from Federal programs. placement experiences, integrate knowledge from the classroom, and will be funded. Additional projects may Purpose be funded if awarded projects are for expand knowledge beyond the scope of lesser amounts. OCS/ACF plans to fund at least six the practicum setting (Council on Social CFDA 93.592—Family Violence projects to Historically Black Colleges Work Education, 1994, Baccalaureate Prevention and Services: Family and Universities; Hispanic/Latino and Master’s Program Evaluative Violence Prevention and Services Act, Institutes of Higher Education; and Standards, Interpretive Guidelines, as amended. American Indian Tribally controlled Curriculum Policy Statement, and the Community Colleges and Universities. Accreditation Standards and Self-Study 2. Priority Area Number FV–02–00: (Fiscal Year 1999 and 2000 recipients of Guides). Minority Training Grant Stipends in Family Violence Training Grant Stipend Proposals must include content about Domestic Violence for Historically awards are not eligible applicants.) The differences and similarities in the Black, Hispanic-Serving, and Tribal institution must be fully accredited by experiences, needs, and beliefs of the Colleges and Universities one of the regional institutional people being served. The proposals Background accrediting commissions recognized by must also include content about the U.S. Secretary of Education and the differential assessment and intervention Media coverage, court records, and Council on Social Work Education. skills that will enable practitioners to crime statistics suggest that a substantial The purposes of the projects are: serve diverse populations. The proportion of the domestic violence applicant must indicate the area of which occurs in the general population (a) To provide support for graduate interest, objectives, and goals of the involves underserved populations, and undergraduate students who show placement study. All field placements including populations that are promise and demonstrate serious will be at a minimum of 400 hours for underserved because of ethnic, racial, interest and commitment to working in the field of issues related to domestic a one-year period. cultural, language diversity or The field placements should focus on geographic isolation (Brachman & violence or in underserved populations. Historically Black, Hispanic, and the general and specific placement areas Saltzman, 1995). Official statistics on as indicated: child abuse and spouse abuse indicate American Indian colleges and that women, minorities, and the poor universities will be given special —Educational services to the are over-represented among victims of consideration in order to generate skill community on domestic violence domestic violence (Straus, Gelles, & building and training opportunities —Interventions with domestic violence Steinmetz, 1980). The scholars and particularly responsive to issues of victims practitioners who are responding to cultural content; —Batterer’s intervention services violence in underserved communities (b) To support the growth of college —Medical and/or social services to are currently few in number and work and university-based practice families experiencing family violence in isolation. The purpose of this effort knowledge about domestic violence; —Domestic violence and the court and priority area is to increase the encourage social work students to system capacity of HBCUs, Hispanic and Tribal pursue careers that address the issue of —Impact of domestic violence on Colleges and Universities to develop domestic violence; and stimulate the welfare reform services practice-based knowledge and provide training of new social workers in the —Legal services related to domestic stipends for students with a specialty in field; and violence working in the field of Family Violence. (c) To identify best practices regarding —Crisis intervention services There are three Executive Orders that critical issues in domestic violence —Community service centers support the provision of training grants prevention, identification, and —The Faith community to the educational institutions targeted treatment efforts in under-served —Prevention services with high-risk in this priority area: domestic violence populations. These youth (1) Executive Order 13021 of October grants will include an institutional —Prisons 19, 1969, Tribal Colleges and payment to cover the individual Faculty Involvement: Faculty must Universities that reaffirm the special student’s tuition and fees, and a stipend indicate the use of professional relationship of the Federal Government for the student. supervision to enhance the learning of students and must coordinate and to American Indians and identifies Minimum Requirements for Project monitor practicum placements of several purposes that support access to Design opportunities, resources, and student selected for stipends. educational opportunities for Field Placement: The grant will Proposals must define the social work economically disadvantaged students. provide stipends for qualified setting and practice, field instructor (2) Executive Order 12876 of individuals pursuing degrees in social assignments and activities, and student November 1, 1993, Historically Black work with a special interest in working learning expectations and Colleges and Universities which in the field of domestic violence. It will responsibilities. requires strengthening the capacity of provide one-year graduate and/or Individual faculty may organize their Historical Black Colleges and undergraduate stipends to support skill practicum-placements in different ways Universities to provide quality building and training of students but must ensure educationally directed, education and increased opportunities interested in domestic violence coordinated, and monitored practicum to participate in and benefit from treatment and intervention services to experiences are maintained for students Federal programs. underserved racial and ethnic minority and that these field experiences are (3) Executive Order 12900 of populations. Stipends to any one related to domestic violence. December 5, 1994, Educational student should not exceed a 12-month Faculty must articulate clear practice Excellence for Hispanic Americans that period. and evaluation goals for the field
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practicum. Each institutional proposal be entertained in subsequent years on a activities in elementary, middle, and must provide an orientation plan for the non-competitive basis, subject to the high school curricula. The continuation student to the practicum placement and availability of funds, satisfactory of these grant awards will help assure the agency’s policy. progress of the grantee, and a that individuals, particularly these determination that continued funding within minority communities, are aware Final Products/Results and Benefits would be in the best interest of the of available alternatives and resources Expected government. Stipends are awarded for for the intervention and prevention of • Practicum proposal/contract one year, not to exceed 12 months. family violence. between the student, the organization This priority area requires the Budget Period and Federal Share (agency), and the college or university development and implementation of an indicating defined objectives, goals, Total funds available for the first 12 effective public information campaign students performance, benefits to months budget period is estimated to be that may be used, for example, by public student, lessons learned, and approximately $100,000 subject to the and private agencies, schools, churches, recommendations for future placement availability of funds. The Federal share boys and girls clubs, community at agency; will fund up to five student candidates organizations, and individuals. • A Final Report focused on agency at a maximum of $11,250 each and will Accurate information is critical to any population served, difficulties fund one faculty coordinator for the community awareness strategy and encountered, outcomes, implications project at $43,750. activity. How information is and recommendations for future Matching Requirements communicated must be modified where placements. The report should be communication barriers may exist prepared and submitted to the Office of Successful applicants must provide at because of perceived or real language Community Services and submitted at least 25 percent of the total cost of the differences and cultural insensitivity. the end of the project period; and project. The total cost of the project is OCS seeks to continue to provide • A mid-year student performance the sum of the ACF share and the non- victims, their dependents, and evaluation will be provided to federal share. The non-federal share perpetrators, and others in the participating students. may be met by cash or by in-kind community with knowledge of the contributions, although applicants are service options available. Eligible Applicants encouraged to meet their match through Historically Black Colleges and cash contributions. Therefore, a project Purpose Universities; Hispanic Serving Colleges requesting $100,000 in Federal funds To assist in the continued and Universities; and Tribal Colleges (based on an award of $100,000 per development of state/local public and Universities. Hispanic serving budget period) must include a match of information and community awareness Colleges and Universities are defined as at least $33,333 (25% of the total project campaign projects and activities that those who student population is more cost) for a total budget of $133,333. assist in preventing family violence. than 25% Hispanic. Tribal Colleges and Anticipated Number of Projects To Be These projects should provide Universities are those institutions cited Funded information on resources, facilities, in section 532 of the Equity in other individuals seeking assistance, It is anticipated that a minimum of six Educational Land-Grant Status Act of and service alternatives available to projects will be funded. Applications for 1994 (7 U.S.C. 301 note), any other family violence victims and their institution that qualifies for funding lesser amounts of the Federal share will also be considered for this priority area. dependents, community organizations, under the Tribally Controlled CDFA 93.592—Family Violence local school districts, and others. Community College Assistance Act of Prevention and Services: Family 1978. (Fiscal Year 1999 and 2000 Eligible Applicants Violence Prevention and Services Act as recipients of Family Violence Training State and local public agencies, amended. Grant Stipend awards are not eligible Territories, and Native American Tribes applicants.) Applicant institutions must 3. Priority Area FV 03–01—Public and Tribal Organizations who are, or be fully accredited by one of the Information and/or Community have been, recipients of Family regional institutional accrediting Awareness Campaign Projects for the Violence Prevention and Services Act commissions recognized by the U.S. Prevention of Family Violence grants; State and local private non-profit agencies experienced in the field of Secretary of Education and the Council Background on Social Work Education. family violence prevention; and public Participants would include qualified Based on the positive response to and private non-profit educational undergraduate or graduate social work prior year public information and institutions, community organizations students. All students must be enrolled community awareness grants, ACF will and community-based coalitions, and in the institution. again make these grants available in FY other entities that have designed and • Recipients of student stipends must 2001. implemented family violence maintain satisfactory academic records Previous public information/ prevention information activities or and be full-time students. community awareness grants have community awareness strategies. • Awards will be made only to stimulated the development of a number eligible institutions on behalf of their of very effective informational programs Minimum Requirements for Project qualified candidates. and activities at the local levels. They Design have assisted community organizations In order to successfully compete Project Duration to focus on and emphasize prevention; under the priority area, the applicant Awards, on a competitive basis, will helped make available public service should: be for a one-year budget period, announcements and descriptive • Present a plan for community although the project periods may be for program brochures in several different awareness and public information two years. Application for continuation languages, including Russian and activities that clearly reflects how the grants funded under these awards Vietnamese; and assisted in the applicant will target the populations at beyond the one-year budget period will implementation of conflict resolution risk, including pregnant women;
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coordinate its implementation efforts contributions. Therefore, a project points of entry to services for victims of with public agencies and other requesting $35,000 in Federal funds family violence; and expand/strengthen community organizations; and must include a match of at least $11,666 the network of knowledgeable service communicate with institutions active in (25% of total project cost). If approved providers. the field of family violence prevention. for funding, grantees will be held Purpose • Describe the proposed approach to accountable for commitments of non- the development of a public information Federal resources and failure to provide The purpose of this priority area is to campaign and identify the specific the required amount will result in a support collaborative efforts that would audience(s), community(s), and groups disallowance of unmatched Federal enhance the response to a battered that will be targeted, including funds. woman whose initial point of contact communities and groups with the for help was with a member of a faith- Anticipated Number of Projects To Be highest prevalence of domestic violence. based organization. Further, this priority • Include, as critical elements in the Funded area seeks to support the development plan: It is anticipated that five projects will of credible and helpful information from A set of achievable objectives and a be funded at the maximum level. We faith based organizations in order to description of the population groups, may fund more than five projects if we increase the involvement and leverage relevant geographic area, and the receive acceptable applications for from this vital segment of the indicators to be used to measure lesser amounts. community. progress and the overall effectiveness of CFDA 93.592—Family Violence Some suggested activities applicable the campaign; Prevention and Services: Family under this priority area are: The intended strategies for test Violence Prevention and Services Act, (a) Plan and implement training and marketing the development plans and as amended. the development of training materials assurances that effectiveness criteria that enable leaders of faith-based 4. Priority Area FV–04–01— will be implemented prior to the organizations to increase the capacity of Collaborative Efforts Between Faith- completion of the final plan; the faith-based community to The development and use of non- Based/Spiritual Organizations and understand and appropriately respond traditional sources as community Domestic Violence Organizations to the complexities of domestic awareness or information providers Background violence. (applicants should present specific (b) Plan and implement a replicable Surveys indicate that approximately plans for the use of local organizations, domestic violence collaborative project one out of ten person avail themselves businesses and individuals in the that provides information on resources, of social services provided by distribution of information and facilities, and service alternatives to congregations and faith-based materials); The identification of the family violence victims and their organizations. Childcare was the service media to be used in the campaign and dependents for use by faith-based most often requested. The second most the geographic limits of the campaign; organizations. frequently requested service was How the applicant would be (c) Plan and implement a domestic counseling. Nearly one in every three responsive and sensitive to minority violence information and awareness survey respondents said that they communities and their cultural project related to specific population received some type of counseling from perspectives; and groups such as youth, elderly, disabled, A description of the kind, volume, spiritual leaders or a member of their or gay/lesbian/transgender individuals distribution, and timing of the proposed affiliated congregation. For many that provide information on the services information with assurances that the women across varying social and available to these groups for public information campaign activities economic strata, churches, synagogues intervention and prevention. or places of contemplation and spiritual will not supplant or lower the current Eligible Applicants frequency of current public service connection are the only sources of safe announcements. and confidential interaction. State and local private non-profit However, even in these settings of agencies experienced in the field of Project Duration assumed trust and confidentiality, many family violence prevention in The length of the project should not women who seek counseling are collaboration with private non-profit exceed 12 months. hesitant to expose the nature and extent faith-based organizations, public and of their abuse because of fear, shame, private non-profit educational/faith- Federal Share of the Project guilt, or feelings of human or spiritual based institutions, associations, or The maximum Federal share of the failure. Additionally, spiritual leaders, societies; and other entities that have project will not exceed $35,000 for the though dedicated to the principles of designed and implemented educational, 1-year project period. Applications for respect and human dignity for all informational material and activities lesser amounts also will be considered people, are sometimes unable to related to the prevention of domestic under this priority area. recognize the characteristics and results violence as a faith-based issue. of abusive relationships. Even when Matching Requirement recognized, they often lack the resources Minimum Requirements for Project Successful grantees must provide at and information available to provide Design least 25 percent of the total cost of the support that would ensure protection This project requires the collaboration project. The approved total cost of the and safety through the resolution of the between a recognized domestic violence project. Applications for lesser amounts problem. Establishing a collaborative service provider or state domestic also will be considered under this effort between faith-based organizations violence coalition with a church, priority area. Cash or in-kind and domestic violence intervention synagogue, mosque, faith-based or contributions may meet the non-Federal services will help provide organizations spiritually based organization. share, although applicants are with information about the availability The applicants’ proposals should encouraged to meet their match of domestic violence intervention address the following: Demonstrate that requirements through cash services, effectively create additional the required collaboration has occurred
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in the preparation and planned Anticipated Number of Projects to be timetable for completing each task, the implementation of the activities Funded: It is anticipated, subject to the lead person, and the time committed; specified in the grant application. availability of funds, that six projects cites factors which might accelerate or Demonstrate that the developed will be funded at the maximum level; decelerate the work, giving acceptable materials and/or training will more than six projects may be funded reasons for taking this approach as incorporate guiding principles similar to depending on the number of acceptable opposed to others; describes and the following: (1) The safety of victims applications for lesser amounts which supports any unusual features of the and children is a priority; (2) The are received. project, such as design or technological innovations, reductions in cost or time, integrity and authority of each battered Part III. Evaluation Criteria woman over her own life is to be or extraordinary social and community respected; (3) Perpetrators, not victims, Using the evaluation criteria below, a involvement; and provides for must be held responsible for the abuse panel of at least three reviewers projections of the accomplishments to and for stopping it; and (4) The (primarily experts from outside the be achieved. confidentiality of client information Federal government) will review each The extent to which, when applicable, must be ensured. application. Applicants should ensure the application describes the evaluation • Include, as critical elements in the that they address each minimum methodology that will be used to plan: requirement in the priority area determine if the needs identified and • A set of identified objectives for description under the appropriate discussed are being met and if the training, outreach, and the development Project Design section. results and benefits identified are being of training materials. Reviewers will determine the achieved. strengths and weaknesses of each • Development of an approach and 4. Results and Benefits (20 Points) application in terms of the appropriate strategy that is useful in providing evaluation criteria listed below and The extent to which the application sensitive and responsive services and/or provide comments and assign numerical identifies the results and benefits to be training which may incorporate the scores. The point value following each derived, the extent to which they are principles of faith-based organizations. consistent with the objectives of the • criterion heading indicates the A description of the type, maximum numerical weight that each application, the extent to which the distribution and timing of information section may be given in the review application indicates the anticipated to be developed and distributed. process. contributions to policy, practice, and • A description of any non-traditional theory, and the extent to which the informational sources, counseling 1. Need for the Project (10 Points) proposed project costs are reasonable in practices, programs, or organizational The extent to which the need for the view of the expected results. Identify, in linkages that might be utilized in the project and the problems it will address specific terms, the results and benefits, provision of services and information to have national and local significance; the for target groups and human service persons in abusive situations who applicability of the project to providers, to be derived from contact faith-based organizations. coordination efforts by national, Tribal, implementing the proposed project. Describe how the expected results and Project Duration State and local governmental and non- profit agencies, and its ultimate impact benefits will relate to previous The length of the project should not on domestic violence prevention demonstration efforts; and exceed 12 months. services and intervention efforts, 5. Level of Effort (30 Points) Federal Share of the Project policies and practice; the relevance of other documentation as it relates to the Staffing Pattern The maximum Federal share of the applicant’s knowledge of the need for Describe the staffing pattern for the project is not to exceed $37,500 for the the project; and the identification of the proposed project, clearly linking 1-year project period. Applications for specific topic or program area to be responsibilities to project tasks and lesser amounts also will be considered served by the project. Maps and other specifying the contributions to be made under this priority area. graphic aids should not be included. by key staff. Matching Requirements 2. Goals and Objectives (10 Points) Competence of Staff Successful grantees must provide at The extent to which the specific goals Describe the qualifications of the least 25 percent of the total cost of the and objectives have national or local project team including any experiences project. The approved total cost of the significance, the clarity of the goals and working on similar projects. Also, project is the sum of the ACF share and objectives as they relate to the identified describe the variety of skills to be used, non-Federal share. Cash or in-kind need for and the overall purpose of the relevant educational background and contributions may meet the non-Federal project, and their applicability to policy the demonstrated ability to produce share although applicants are and practice. The provision of a detailed final results that are comprehensible encouraged to meet their match discussion of the objectives and the and usable. One or two pertinent requirements through cash extent to which the objectives are paragraphs on each key member are contributions. If approved for funding, realistic, specific, and achievable. preferred to resumes. However, resumes grantees will be held accountable for may be included in the ten pages 3. Approach (30 Points) commitments of non-Federal resources allowed for attachments/appendices. and failure to provide the required The extent to which the application amount will result in a disallowance of outlines a sound and workable plan of Adequacy of Resources unmatched Federal funds. Therefore, a action pertaining to the scope of the Specify the adequacy of the available project requesting $37,500 in Federal project, and details how the proposed facilities, resources and organizational funds (based on an award of $37,500 per work will be accomplished; relates each experience with regard to the tasks of budget period) must include a match of task to the objectives and identifies the the proposed project. List the financial, at least $12,500 (25% of the total project key staff member who will be the lead physical and other resources to be cost) for a total budget of $50,000. person; provides a chart indicating the provided by other profit and nonprofit
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organizations. Explain how these Kansas, Louisiana, Massachusetts, An agency may not conduct or sponsor organizations will participate in the day Minnesota, Montana, Nebraska, New and a person is not required to respond to day operations of the project. Jersey, New York, Ohio, Oklahoma, to, a collection of information unless it Oregon, Pennsylvania, South Dakota, Budget displays a currently valid OMB control Tennessee, Vermont, Virginia, number. Relate the proposed budget to the Washington, Wyoming, American level of effort required obtaining project Samoa and Palau have elected to C. Deadline for Submittal of objectives and providing a cost/benefit participate in the Executive Order Applications analysis. Demonstrate that the project’s process and have established a Single The closing date and time for costs are reasonable in view of the Point of Contact (SPOCs). Applicants anticipated results. from these twenty-eight jurisdictions submittal of applications under this need take no action regarding E.O. program announcement is found at the Collaborative efforts 12372. Applicants for projects to be beginning of this program Discuss in detail and provide administered by Federally-recognized announcement under ‘‘Closing Dates.’’ documentation for any collaborative or Indian Tribes are also exempt from the Mailed applications shall be coordinated efforts with other agencies requirements of E.O. 12372. Otherwise, considered as meeting an announced or organizations. Identify these agencies applicants should contact their SPOCs deadline if they are either received on or organizations and explain how their as soon as possible to alert them of the or before the deadline date or sent on or participation will enhance the project. prospective applications and receive before the deadline date and received by Letters from these agencies and any necessary instructions. Applicants ACF in time for the independent review organizations discussing the specifics of must submit any required material to to: Family Violence Operations Center: their commitment must be included in the SPOCs as soon as possible so that 1815 North Myer Drive, Suite 300, the application. the program office can obtain and Arlington, VA 22209; Attention: Authorship review SPOC comments as part of the Application for Family Violence award process. It is imperative that the Prevention and Services Program. The authors of the application must applicant submit all required materials, be clearly identified together with their if any, to the SPOC and indicate the date Applications handcarried by current relationship to the applicant of this submittal (or indicate ‘‘not applicants, applicant couriers, or organization and any future project role applicable’’ if no submittal is required) overnight/express mail couriers shall be they may have if the project is funded. on the Standard Form 424, item 16a. considered as meeting an announced Part IV. Other Information and Under 45 CFR 100.8(a)(2), a SPOC has deadline if they are received on or Instructions for the Development and 60 days from the application deadline to before the deadline date, between the Submission of Applications comment on proposed new or hours of 8:00 a.m. and 4:30 p.m., at the competing continuation awards. Family Violence Operations Center: Applicants should note that non- SPOCs are encouraged to eliminate 1815 North Fort Myer Drive, Suite 300, responsiveness to the section designated the submission of routine endorsements Arlington, VA 22209, between Monday as ‘‘Minimum Requirements for Project as official recommendations. and Friday, (excluding Federal Design,’’ in the applicable priority areas, Additionally, SPOCs are requested to holidays). (Applicants are cautioned would result in a low evaluation score clearly differentiate between mere that express/overnight mail services do by the panel of expert reviewers. advisory comments and those official not always deliver as agreed.) Applicants must clearly identify the State process recommendations that specific priority area under which they may trigger the ‘‘accommodate or ACF cannot accommodate wish to have their applications explain’’ rule. transmission of applications by fax or considered, and tailor their applications When comments are submitted through other electronic media. accordingly. Previous experience has directly to ACF, they should be Therefore, applications transmitted to shown that an application which is addressed to: Department of Health and ACF electronically will not be accepted broad and more general in concept than Human Services, Administration for regardless of the date or time of outlined in the priority area description Children and Families, OCSE Office of submission and time of receipt. is less likely to score as well as one Grants Management, 370 L’Enfant Late Applications which is more clearly focused and Promenade, SW., 4th Floor East, directly responsive to the concerns of Washington, DC 20447. Applications, which do not meet the that specific priority area. A list of the Single Point of Contact criteria above, are considered late for each State and Territory is included A. Required Notification of the State applications. The ACF shall notify each at the end of this announcement as Single Point of Contact late applicant that its application will Attachment G. not be considered in the current This program is covered under competition. Executive Order 12372, B. Paperwork Reduction Act of 1995 ‘‘Intergovernmental Review of Federal Under the Paperwork Reduction Act Extension of Deadlines Programs,’’ and 45 CFR Part 100, of 1995, Public Law 104–13, the ‘‘Intergovernmental Review of Department is required to submit to the ACF may extend the deadline for all Department of Health and Human Office of Management and Budget applicants due to acts of God, such as Services Program and Activities.’’ Under (OMB) for review and approval any floods, hurricanes or earthquakes; the order, States may design their own reporting and recordkeeping widespread disruption of the mails; or processes for reviewing and requirements in regulations, including if ACF determines a deadline extension commenting on proposed Federal program announcements. This program to be in the best interest of the assistance under covered programs. announcement does not contain Government. A determination to waive All States and territories, except information requirements beyond those or extend deadline requirements rests Alabama, Alaska, Arizona, Colorado, approved for ACF grant applications with the Chief Grants Management Connecticut, Hawaii, Idaho, Indiana, under OMB Control Number 0970–0062. Officer.
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D. Instructions for Preparing the additional object class categories for equipment, such as ‘‘tangible personal Application and Completing included under the object class other, property $500 or more’’, the applicant shall Application Forms identify the additional object class(es) use the definition used by the cognizant and provide supporting calculations. agency in determining the rate(s). However, 1. SF 424 consistent with the applicant’s equipment Supporting narratives and policy, lower limits may be set. The SF 424 and certifications have justifications are required for each Justification—Equipment to be been reprinted for your convenience in budget category, with emphasis on preparing the application. You should purchased with Federal funds must be unique/special initiatives; large dollar required to conduct the project, and the reproduce single-sided copies of these amounts; local, regional, or other travel; forms from the reprinted forms in the applicant organization or its subgrantees new positions; major equipment must not already have the equipment or announcement, typing your information purchases; and training programs. onto the copies. a reasonable facsimile available to the A detailed itemized budget with a project. At the top of the Cover Page of the SF separate budget justification for each 424, enter the single priority area major item should be included as Line 6e number under which the application is indicated below: Supplies—Enter the total costs of all being submitted. An application should Line 6a tangible personal property other than be submitted under only one priority that included on line 6d. area. Personnel—Enter the total costs of Justification—Provide a general 2. SF 424A—Budget Information—Non- salaries and wages. description of what is being purchased Construction Programs Justification—Identify the project such as type of supplies: office, director and staff. Specify by title or classroom, medical, etc. Include With respect to the 424A, Budget name the percentage of time allocated to equipment costing less than $5,000 per Information—Non-Construction the project, the individual annual item. Programs, Sections A, B, C, E, and F are salaries and the cost to the project (both to be completed. Section D does not Federal and non-Federal) of the Line 6f need to be completed. organization’s staff who will be working Contractual—Costs of all contracts for In order to assist applicants in on the project. services and goods except for those correctly completing the SF 424 and which belong under other categories Line 6b 424A, detailed instructions for such as equipment, supplies, completing these forms are contained on Fringe Benefits—Enter the total costs construction, etc. Third-party evaluation the forms themselves. See the of fringe benefits unless treated as part contracts (if applicable) and contracts Instructions accompanying the attached of an approved indirect cost rate, which with secondary recipient organizations, SF 424A, as well as the instructions set is entered on Line 6j. including delegate agencies and specific forth below. Justification—Enter the total costs of project(s) or businesses to be financed Section A—Budget Summary fringe benefits, unless treated as part of by the applicant, should be included an approved indirect cost rate. Provide under this category. Lines 1–4 a breakdown of amounts and Justification—All procurement Column (a) Line 1—Enter OCS FVPS percentages that comprise fringe benefit transactions shall be conducted in a Program. costs. manner to provide, to the maximum Column (b) Line 1—Enter 93.592. extent practical, open and free Line 6c Columns (c) and (d)—Not Applicable. competition. Recipients and Columns (e), (f) and (g)—For lines 1 Travel—Enter total cost of all travel subrecipients, other than States that are through 4, enter in appropriate amounts by employees of the project. Do not required to use Part 92 procedures, must needed to support the project for the enter costs for consultant’s travel. justify any anticipated procurement entire project period. Justification—Include the name(s) of action that is expected to be awarded Line 5 traveler(s), total number of trips, without competition and exceed the destinations, length of stay, mileage simplified acquisition threshold fixed at Enter the figures from Line 1 for all rate, transportation costs and 41 USC 403(11) currently set at columns completed, (e), (f), and (g). subsistence allowances. Traveler must $100,000. Recipients might be required Section B—Budget Categories be a person listed under the personnel to make available to ACF pre-award line or employee being paid under non- review and procurement documents, This section should contain entries federal share. such as request for proposals or for OCS funds only. For all projects, the invitations for bids, independent cost first budget period will be entered in Note: Local transportation and Consultant estimates, etc. Column (1). travel costs are entered on Line 6h. Note: Whenever the applicant intends to Allocability of costs is governed by Line 6d applicable cost principles set forth in delegate part of the project to another agency, the Code of Federal Regulations (CFR), Equipment—Enter the total costs of the applicant must provide a detailed budget and budget narrative for each delegate Title 45, Parts 74 and 92. all equipment to be acquired by the project. Equipment means an article of agency, by agency title, along with the Budget estimates for administrative required supporting information referred to costs must be supported by adequate non-expendable, tangible personal in these instructions. detail for the grant officer to perform a property having a useful life of more cost analysis and review. Adequately than one year and an acquisition cost Line 6g detailed calculations for each budget which equals or exceeds the lesser of (a) Construction—Not applicable. object class are those which reflect the capitalization level established by estimation methods, quantities, unit the organization for financial statement Line 6h costs, salaries, and other similar purposes, or (b) $5,000. Other—Enter the total of all other quantitative detail sufficient for the Note: If an applicant’s current rate costs. Such costs, where applicable, may calculation to be duplicated. For any agreement was based on another definition include, but are not limited to,
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insurance, food, medical and dental Column (d)—Enter the amount of cash constitute the project ‘‘abstract.’’ It is the costs (non-contractual), fees and travel and third party in-kind contributions to major source of information about the paid directly to individual consultants, be made from all other sources. proposed project and is usually the first local transportation (all travel which Column (e)—Enter the total of part of the application that the does not require per diem is considered columns (b), (c), and (d). reviewers read in evaluating the local travel), space and equipment Lines 9, 10 and 11 application. rentals, printing and publication, computer use training costs including Leave Blank. 4. Program Narrative Statement tuition and stipends, training service Line 12 The Program Narrative Statement is a costs including wage payments to very important part of an application. It individuals and supportive service Carry the total of each column of Line should be clear, concise, and address payments, and staff development costs. 8, (b) through (e). The amount in the specific requirements mentioned Column (e) should be equal to the under the priority area description in Line 6j amount on Section A, Line 5, Column Part II. The narrative should also Indirect Charges—Enter the total (f). provide information concerning how the amount of indirect costs. This line Justification—Describe third party in- application meets the evaluation criteria should be used only when the applicant kind contributions, if included. using the following headings: currently has an indirect cost rate Section F—Other Budget Information (a) Need for the Project; approved by DHHS or other Federal (b) Goals and Objectives; agencies. Line 21 (c) Approach; (d) Results and Benefits; and Line 6k Direct Charges—Include narrative justification required under Section B (e) Level of effort. Totals—Enter the total amount of for each object class category for the The specific information to be Lines 6i and 6j. total project period. included under each of these headings Line 7 is described in Part III, Evaluation Line 22 Criteria. Program Income—Enter the estimated Indirect Charges—Enter the type of The narrative should be typed double- amount of income, if any, expected to be DHHS or other Federal agency approved spaced on a single-side of an 81⁄2″ × 11″ generated from this project. Separately indirect cost rate (provisional, plain white paper, with 1″ margins on show expected program income predetermined, final or fixed) that will all sides. All pages of the narrative generated from OCS support and be in effect during the funding period, (including charts, references/footnotes, income generated from other mobilized the estimated amount of the base to tables, maps, exhibits, etc.) must be funds. Do not add or subtract this which the rate is applied and the total sequentially numbered, beginning with amount from the budget total. Show the indirect expense. Also, enter the date ‘‘Objectives and Need for the Project’’ as nature and source of income in the the rate was approved, where page number one. Applicants should program narrative statement. applicable. Attach a copy of the not submit reproductions of larger size Justification—Describe the nature, approved rate agreement. paper, reduced to meet the size source and anticipated use of program requirement. income in the Program Narrative Line 23 The length of the application, Statement. Provide any other explanations and including the application forms and all Section C—Non-Federal Resources continuation sheets required or deemed attachments, should not exceed 60 pages. A page is a single side of an 81⁄2″ This section is to record the amounts necessary to justify or explain the × 11″ sheet of paper. Applicants are of Non-Federal resources that will be budget information. requested not to send pamphlets, maps, used to support the project. Non-Federal 3. Project Summary Description resources mean other than OCS funds brochures or other printed material Clearly mark this separate page with for which the applicant has received a along with their application as these the applicant name as shown in item 5 commitment. Provide a brief pose photocopy difficulties. These of the SF 424, and the title of the project explanation, on a separate sheet, materials, if submitted, will not be as shown in item 11 of the SF 424. The showing the type of contribution, included in the review process if they summary description should not exceed broken out by Object Class Category, exceed the 60-page limit. Each page of 300 words. These 300 words become (See SF–424A, Section B.6) and whether the application will be counted to part of the computer database on each it is cash or third party in-kind. The determine the total length. project. firm commitment of these required Care should be taken to produce a 5. Organizational Capability Statement funds must be documented and summary description that accurately The Organizational Capability submitted with the application in order and concisely reflects the application. It Statement should consist of a brief (two to be given credit in the Criterion. Except in unusual situations, this should describe the objectives of the to three pages) background description documentation must be in the form of project, the approaches to be used and of how the applicant organization (or letters of commitment or letters of intent the outcomes expected. The description the unit within the organization that from the organization(s)/individuals should also include a list of major will have responsibility for the project) from which funds will be received. products that will result from the is organized, the types and quantity of proposed project, such as software services it provides, and/or the research Line 8 packages, materials, management and management capabilities it Column (a)—Enter the project title. procedures, data collection instruments, possesses. This description should Column (b)—Enter the amount of cash training packages, or videos (please note cover capabilities not included in the or donations to be made by the that audiovisual materials should be Program Narrative Statement. It may applicant. closed captioned). The project summary include descriptions of any current or Column (c)—Enter the State description, together with the previous relevant experience, or contribution. information on the SF 424, will describe the competence of the project
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team and its demonstrated ability to application. If acknowledgement of organizations. Current and prospective produce a final product that is readily receipt of your application is not recipients (and their sub-tier contractors comprehensible and usable. An received within three weeks after the and/or grantees) are prohibited from organization chart showing the deadline date, please notify the Family using Federal funds, other than profits relationship of the project to the current Violence Operations Center at (703) from a Federal contract, for lobbying organization should be included. 351–7676. Congress or any Federal agency in connection with the award of a contract, 6. Assurances/Certifications F. Post-Award Information and grant, cooperative agreement or loan. In Reporting Requirements Applicants are required to file an SF addition, for each award action in 424B, Assurances—Non-Construction Following approval of the excess of $100,000 (or $150,000 for Programs, and the Certification applications selected for funding, notice loans) the law requires recipients and Regarding Lobbying. Both must be of project approval and authority to their sub-tier contractors and/or sub- signed and returned with the draw down project funds will be made grantees (1) To certify that they have application. In addition, applicants in writing. The official award document neither used nor will use any must certify their compliance with: (1) is the Financial Assistance Award appropriated funds for payment to Drug-Free Workplace Requirements; and which provides the amount of Federal lobbyists; (2) to disclose the name, (2) Debarment and Other funds approved for use in the project, address, payment details, and the Responsibilities; and (3) Certification the project and budget periods for purpose of any agreements with Regarding Environmental Tobacco which support is provided, the terms lobbyists whom recipients or their sub- Smoke. These certifications are self- and conditions of the award, the total tier contractors or sub-grantees will pay explanatory. Copies of these assurances/ project period for which support is with profits or non-appropriated funds certifications are reprinted at the end of contemplated, and the total required on or after December 22, 1989 and (3) this Application Kit and should be financial grantee participation. to file quarterly updates about the use reproduced as necessary. A duly General Conditions and Special of lobbyists if material changes occur in authorized representative of the Conditions (where the latter are their use. The law establishes civil applicant organization must certify that warranted) which will be applicable to penalties for noncompliance. the applicant is in compliance with grants, grantees will be subject to the (Catalog of Federal Domestic Assistance these assurances/certifications. A provisions of 45 CFR part 74 or 92. number 93.592, Family Violence Prevention signature on the SF 424 indicates Grantees will be required to submit and Services) compliance with the Drug Free semi-annual progress and semi-annual Dated: April 2, 2001. financial reports (SF 269) throughout Workplace Requirements, and Robert Mott, Debarment and Other Responsibilities, the project period, as well as a final Acting Director, Office of Community and Environmental Tobacco Smoke progress and financial report within 90 Services. certifications. days of the termination of the project. Audit requirements are prescribed in Family Violence Prevention and Services E. The Application Package OMB Circular A–133, ‘‘Audits of State, Program; List of Attachments Each application package must Local Governments and Non-Profit Attachment B–1 Application for Federal include an original and four copies of Organizations.’’ This circular establishes Assistance the complete application. Each copy uniform audit requirements for non- Attachment B–2 Budget Information—Non- should be stapled securely (front and Federal entities that administer Federal Construction Programs back if necessary) in the upper left-hand awards. The revised circular became Attachment B–3 Assurances—Non- corner. All pages of the narrative effective July 30, 1997 and applies to Construction Programs (including charts, tables, maps, exhibits, audits of fiscal years beginning after Attachment C Certification Regarding Drug- etc.) must be sequentially numbered, June 30, 1996. If an applicant does not Free Workplace Requirements beginning with page one. In order to request indirect costs, it should Attachment D Certification Regarding Debarment, Suspension, and other facilitate handling, please do not use anticipate in its budget request the cost Responsibility Matters (Primary Covered covers, binders or tabs. Do not include of having an audit performed at the end Transactions) extraneous materials as attachments, of the grant period. Attachment E Certification Regarding such as agency promotion brochures, Section 319 of Public Law 101–121, Environmental Tobacco Smoke slides, tapes, film clips, minutes of signed into law on October 23, 1989, Attachment F–1 Certification Regarding meetings, survey instruments or articles imposes prohibitions and requirements Lobbying of incorporation. for disclosure and certification related Attachment F–2 Disclosure of Lobbying Applicants should include a self- to lobbying on recipients of Federal Activities addressed stamped acknowledgement contracts, grants, cooperative Attachment G State Single Point of Contact card. All applicants will be notified agreements, and loans. It provides Listing automatically about the receipt of their exemptions or Indian Tribes and Tribal BILLING CODE 4184–01–P
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INSTRUCTIONS FOR THE SF–424 4. If this application is to continue or 12. List only the largest political entities revise an existing award, enter present affected (e.g., State, counties, cities). Attachment B–1 Page 2 Federal identifier number. If for a new 13. Self-explanatory. Public reporting burden for this collection project, leave blank. 14. List the applicant’s Congressional of information is estimated to average 45 5. Legal name of applicant, name of District and any District(s) affected by the minutes per response, including time for primary organizational unit which will program or project. undertake the assistance activity, complete reviewing instructions, searching existing 15. Amount requested or to be contributed address of the applicant, and name and data sources, gathering and maintaining the during the first funding/budget period by data needed, and completing and reviewing telephone number of the person to contact on matters related to this application. each contributor. Value of in-kind the collection of information. Send contributions should be included on comments regarding the burden estimate or 6. Enter Employer Identification Number (EIN) as assigned by the Internal Revenue appropriate lines as applicable. If the action any other aspect of this collection of Service. will result in a dollar change to an existing information, including suggestions for 7. Enter the appropriate letter in the space award, indicate only the amount of the reducing this burden, to the Office of provided. change. For decreases, enclose the amounts Management and Budget, Paperwork 8. Check appropriate box and enter in parentheses. If both basic and Reduction Project (0348–0043), Washington, appropriate letter(s) in the space(s) provided: supplemental amounts are included, show DC 20503. —‘‘New’’ means a new assistance award. breakdown on an attached sheet. For Please do not return your completed form —‘‘Continuation’’ means an extension for an multiple program funding, use totals and to the Office of Management and Budget. additional funding/budget period for a show breakdown using same categories as Send it to the address provided by the project with a projected completion date. item 15. sponsoring agency. —‘‘Revision’’ means any change in the 16. Applicants should contact the State This is a standard form used by applicants Federal Government’s financial obligation Single Point of Contact (SPOC) for Federal as a required facesheet for preapplications or contingent liability form an existing Executive Order 12372 to determine whether and applications submitted for Federal obligation. the application is subject to the State assistance. It will be used by Federal agencies 9. Name of Federal agency from which intergovernmental review process. to obtain applicant certification that States assistance is being requested with this 17. This question applies to the applicant which have established a review and application. organization, not the person who signs as the comment procedure in response to Executive 10. Use the Catalog of Federal Domestic authorized representative. Categories of debt Order 12372 and have selected the program Assistance number and title of the program include delinquent audit disallowances, to be included in their process, have been under which assistance is requested. loans and taxes. given an opportunity to review the 11. Enter a brief descriptive title of the 18. To be signed by the authorized applicant’s submission. project. If more than one program is involved, you should append an explanation representative of the applicant. A copy of the Item and Entry on a separate sheet. If appropriate (e.g., governing body’s authorization for you to 1. Self-explanatory. construction or real property projects), attach sign this application as official representative 2. Date application submitted to Federal a map showing project location. For must be on file in the applicant’s office agency (or State if applicable) and applicant’s preapplications, use a separate sheet to (Certain Federal agencies may require that control number (if applicable). provide a summary description of this this authorization be submitted as part of the 3. State use only (if applicable). project. application.)
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BILLING CODE 4184–01–C
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INSTRUCTIONS FOR THE SF–424A Lines 1–4, Columns (c) through (g) Column (a)—Enter the program titles identical to Column (a), Section A. A Attachment B–2, Page 3 For new applications, leave Column (c) and (d) blank. For each line entry in Columns breakdown by function or activity is not Public reporting burden for this collection (a) and (b), enter in Columns (e), (f), and (g) necessary. of information is estimated to average 180 the appropriate amounts of funds needed to Column (b)—Enter the contribution to be minutes per response, including time for made by the applicant. reviewing instructions, searching existing support the project for the first funding period usually a year). Column (c)—Enter the amount of the data sources, gathering and maintaining the State’s cash and in-kind contribution if the data needed, and completing and reviewing For continuing grant program applications, applicant is not a State or State agency. the collection of information. Send submit these forms before the end of each Applicants which are a State or State comments regarding the burden estimate or funding period as required by the grantor any other aspect of this collection of agency. Enter in Columns (c) and (d) the agencies should leave this column blank. information, including suggestions for estimated amounts of funds which will Column (d)—Enter the amount of cash and reducing this burden, to the Office of remain unobligated at the end of the grant in-kind contributions to be made from all Management and Budget, Paperwork funding period only if the Federal grantor other sources. Reduction Project (0348–0044), Washington, agency instructions provide for this. Column (e)—Enter total of Columns (b), (c), DC 20503. Otherwise, leave these columns blank. Enter and (d). Please do not return your completed form in columns (e) and (f) the amounts of funds Line 12—Enter the total for each of to the Office of Management and Budget. needed for the upcoming period. The Columns (b)–(e). The amount in Column (e) Send to the address provided by the amount(s) in Column (g) should be the sum should be equal to the amount on Line 5, sponsoring agency. of amounts in Columns (e) and (f). Column (f), Section A. General Instructions For supplemental grants and changes to Section D. Forecasted Cash Needs existing grants, do not use Columns (c) and This form is designed so that application (d). Enter in Column (e) the amount of the Line 13—Enter the amount of cash needed can be made for funds from one or more grant increase or decrease of Federal funds and by quarter from the grantor agency during the programs. In preparing the budget, adhere to enter in Column (f) the amount of the first year. any existing Federal grantor agency increase or decrease of non-Federal funds. In Line 14—Enter the amount of cash from all guidelines which prescribe now and whether Column (g) enter the new total budgeted other sources needed by quarter during the budgeted amounts should be separately amount (Federal and non-Federal) which first year. shown for different functions or activities includes the total previous authorized Line 15—Enter the totals of amounts on within the program. For some programs, budgeted amounts plus or minus, as Lines 13 and 14. grantor agencies may require budgets to be separately shown by function or activity. For appropriate, the amounts shown in Columns Section E. Budget Estimates of Federal Funds other programs, grantor agencies may require (e) and (f). The amount(s) in Column (g) Needed for Balance of the Project should not equal the sum of amounts in a breakdown by function or activity. Sections Lines 16–19—Enter in Column (a) the same Columns (e) and (f). A, B, C, and D should include budget grant program titles shown in Column (a), estimates for the whole project except when Line 5—Show the total for all columns used. Section A. A breakdown by function or applying for assistance which requires activity is not necessary. For new Federal authorization in annual or other Section B. Budget Categories applications and continuation grant funding period increments. In the latter case, In the column headings (1) through (4), applications, enter in the proper columns Sections A, B, C, and D should provide the enter the titles of the same programs, amounts of Federal funds which will be budget for the first budget period (usually a functions, and activities shown on Lines 1– needed to complete the program or project year) and Section E should present the need 4, Column (a), Section A. When additional over the succeeding funding periods (usually for Federal assistance in the subsequent sheets are prepared for Section A, provide budget periods. All applications should in years). This section need not be completed similar column headings on each sheet. For contain a breakdown by the object class for revisions (amendments, changes, or each program, function or activity, fill in the categories shown in Lines a–k of Section B. supplements) to funds for the current year of total requirements for funds (both Federal existing grants. Section A. Budget Summary Lines 1–4 and non-Federal) by object class categories. If more than four lines are needed to list Columns (a) and (b) Lines 6a–j—Show the totals of Lines 6a to the program titles, submit additional For applications pertaining to a single 6h in each column. schedules as necessary. Federal grant program (Federal Domestic Line 6j—Show the amount of indirect cost. Line 20—Enter the total for each of the Assistance Catalog number) and not requiring Line 6k—Enter the total amounts on Lines Columns (b)–(3). When additional schedules a functional or activity breakdown, enter on 6i and 6j. For all applications for new grants are prepared for this Section, annotate Line 1 under Column (a) the Catalog program and continuation grants the total amount in accordingly and show the overall totals on title and the Catalog number in Column (b). column (5), Line 6k, should be the same as this lines. For applications pertaining to a single the total amount shown in Section A, program requiring budget amounts by Column (g), Line 5. For supplemental grants Section F. Other Budget Information multiple functions or activities, enter the and changes to grants, the total amount of the Line 21—Use this space to explain name of each activity or function on each increase or decrease as shown in Columns amounts for individual direct object class line in Column (a), and enter the Catalog (1)–(4), Line 6k should be the same as the cost categories that may appear to be out of number in Column (b). For applications sum of the amounts in Section A, Columns the ordinary or to explain the details as pertaining to multiple programs where none (e) and (f) on Line 5. required by the Federal grantor agency. of the programs require a breakdown by Line 7—Enter the estimated amount of Line 22—Enter the type of indirect rate function or activity, enter the Catalog income, if any, expected to be generated from (provisions, predetermined, final or fixed) program title on each line in Column (a) and this project. Do not add or subtract this that will be in effect during the funding the respective Catalog number on each line amount from the total project amount. Show period, the estimated amount of the base to in Column (b). under the program narrative statement the which the rate is applied, and the total For applications pertaining to multiple nature and source of income. The estimated indirect expense. programs where one or more programs amount of program income may be Line 23—Provide any other explanations or require a breakdown by function or activity, considered by the Federal grantor agency in comments deemed necessary. prepare a separate sheet for each program determining the total amount of the grant. requiring the breakdown. Additional sheets Attachment B–3, Page 1 should be used when one form does not Section C. Non-Federal Resources provide adequate space for all breakdown of Lines 8–11 Enter amounts of non-Federal Assurances—Non-Construction Programs data required. However, when more than one resources that will be used on the grant. If Public reporting burden for this collection sheet is used, the first page should provide in-kind contributions are included, provide a of information is estimated to average 15 the summary totals by programs. brief explanation on a separate sheet. minutes per response, including time for
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reviewing instructions, searching existing Comprehensive Alcohol Abuse and endangered species under the Endangered data sources, gathering and maintaining the Alcoholism Prevention, Treatment and Species Act of 1973, as amended (P.L. 93– data needed, and completing and reviewing Rehabilitation Act of 1970 (P.L. 91–616), as 205). the collection of information. Send amended, relating to nondiscrimination on 12. Will comply with the Wild and Scenic comments regarding the burden estimate or the basis of alcohol abuse or alcoholism; (g) Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.) any other aspect of this collection of §§ 523 and 527 of the Public Health service related to protecting components or potential information, including suggestions for Act of 1912 (42 U.S.C. §§ 290 dd–3 and 290 components of the national wild and scenic reducing this burden, to the Office of ee 3), as amended, relating to confidentiality rivers system. Management and Budget, Paperwork of alcohol and drug abuse patient records; (h) 13. Will assist the awarding agency in Reduction Project (0348–0040) Washington, Title VII of the Civil Rights Act of 1968 (42 assuring compliance with Section 106 of the DC 20503. U.S.C. §§ 3601 et seq.), as amended, relating Please do not return your completed form to nondiscrimination in the sale, rental or National Historic Preservation Act of 1966, as to the Office of Management and Budget. financing of housing; (i) any other amended (16 U.S.C. § 470), EO 11593 Send it to the address provided by the nondiscrimination provisions in the specific (identification and protection of historic sponsoring agency. statute(s) under which application for properties), and the Archaeological and Note: Certain of these assurances may not Federal assistance is being made; and (j) the Historic Preservation Act of 1974 (16 U.S.C. be applicable to your project or program. If requirements of any other nondiscrimination §§ 469a–1 et seq.). you have questions, please contact the statute(s) which may apply to the 14. Will comply with P.L. 93–348 awarding agency. Further, certain Federal application. regarding the protection of human subjects awarding agencies may require applicants to 7. Will comply, or has already complied, involved in research, development, and certify to additional assurances. If such is the with the requirements of Titles II and III of related activities supported by this award of case, you will be notified. the Uniform Relocation Assistance and Real assistance. As the duly authorized representative of Property Acquisition Policies Act of 1970 15. Will comply with the Laboratory the applicant, I certify that the applicant: (P.L. 91–646) which provide for fair and Animal Welfare Act of 1966 (P.L. 89–544, as 1. Has the legal authority to apply for equitable treatment of persons displaced or amended, 7 U.S.C. §§ 2131 et seq.) pertaining Federal assistance and the institutional, whose property is acquired as a result of to the care, handling, and treatment of warm managerial and financial capability Federal or federally-assisted programs. These blooded animals held for research, teaching, (including funds sufficient to pay the non- requirements apply to all interests in real or other activities supported by this award of Federal share of project cost) to ensure property acquired for project purposes assistance. regardless of Federal participation in proper planning, management and 16. Will comply with the Lead-Based Paint purchases. completion of the project described in this Poisoning Prevention Act (42 U.S.C. §§ 4801 8. Will comply, as applicable, with application. et seq.) which prohibits the use of lead-based provisions of the Hatch Act (5 U.S.C. 2. Will give the awarding agency, the paint in construction or rehabilitation of Comptroller General of the Untied States and, §§ 1501–1508 and 7324–7328) which limit the political activities of employees whose residence structures. if appropriate, the State, through any 17. Will cause to be performed the required authorized representative, access to and the principal employment activities are funded financial and compliance audits in right to examine all records, books, papers, in whole or in part with Federal funds. accordance with the Single Audit Act or documents related to the award; and will 9. Will comply, as applicable with the establish a proper accounting system in provisions of the Davis-Bacon Act (40 U.S.C. Amendments of 1996 and OMB Circular No. accordance with generally accepted §§ 276a to 276a–7), the Copeland Act (40 A–133, ‘‘Audits of States, Local accounting standards or agency directives. U.S.C. § 276c and 18 U.S.C. § 874), and the Governments, and Non-Profit Organizations.’’ 3. Will establish safeguards to prohibit Contract Work Hours and Safety Standards 18. Will comply with all applicable employees from using their positions for a Act (40 U.S.C. §§ 327–333), regarding labor requirements of all other Federal laws, purpose that constitutes or presents the standards for federally-assisted construction executive orders, regulations, and policies appearance of personal or organizational subagreements. governing this program. conflict of interest, or personal gain. 10. Will comply, if applicable, with flood lllllllllllllllllllll 4. Will initiate and complete the work insurance purchase requirements of Section Signature of Authorized Certifying Official within the applicable time frame after receipt 102(a) of the Flood Disaster Protection Act of lllllllllllllllllllll of approval of the awarding agency. 1973 (P.L. 93–234) which requires recipients Title 5. Will comply with the intergovernmental in a special flood hazard area to participate lllllllllllllllllllll Personnel Act of 1970 (42 U.S.C. §§ 4728– in the program and to purchase flood Applicant Organization 4763) relating to prescribed standards for insurance if the total cost of insurable lllllllllllllllllllll merit systems for programs funded under one construction and acquisition is $10,000 or Date Submitted of the 19 statutes or regulations specified in more. Appendix A of OPM’s Standards for a Merit 11. Will comply with environmental Attachment C, Page 1 System of Personnel Administration (5 C.F.R. standards which may be prescribed pursuant Developing ACF Program Announcements 900, Subpart F). to the following: (a) institution of 6. Will comply with all Federal statutes environmental quality control measures Certification Regarding Drug-Free relating to nondiscrimination. These include under the National Environmental Policy Act Workplace Requirements but are not limited to: (a) Title VI of the Civil of 1969 (P.L. 91–190) and Executive Order This certification is required by the Rights Act of 1964 (P.L. 88–352) which (EO) 11514; (b) notification of violating regulations implementing the Drug-Free prohibits discrimination on the basis of race, facilities pursuant to EO 11738; (c) protection color or national origin; (b) Title IX of the of wetlands pursuant to EO 11990; (d) Workplace Act of 1988: 45 CFR Part 76, Education Amendments of 1972, as amended evaluation of flood hazards in floodplains in Subpart, F. Sections 76.630(c) and (d)(2) and (20 U.S.C. §§ 1681–1683, and 1685–1686), accordance with EO 11988; (e) assurance of 76.645(a)(l) and (b) provide that a Federal which prohibits discrimination on the basis project consistency with the approved State agency may designate a central receipt point of sex; (c) Section 504 of the Rehabilitation management program developed under the for STATE-WIDE AND STATE AGENCY- Act of 1973, as amended (29 U.S.C. § 794), Coastal Zone Management Act of 1972 (16 WIDE certifications, and for notification of which prohibits discrimination on the basis U.S.C. §§ 1451 et seq;): (f) conformity of criminal drug convictions. For the of handicaps; (d) the Age Discrimination Act Federal actions to State (Clean Air) Department of Health and Human Services, of 1975, as amended (42 U.S.C. §§ 6101– Implementation Plans under Section 176(c) the central pint is: Division of Grants 6107), which prohibits discrimination on the of the Clean Air Act of 1955, as amended (42 Management and Oversight, Office of basis of age; (e) the Drug Abuse Office and U.S.C. §§ 7401 et seq.): (g) protection of Management and Acquisition, Department of Treatment Act of 1972 (P.L. 92–255), as underground sources of drinking water under Health and Human Services, Room 517–D, amended, relating to nondiscrimination on the Safe Drinking Water Act of 1974, as 200 Independence Avenue, SW Washington, the basis of drug abuse; (f) the amended (P.L. 93–523); and, (h) protection of DC 20201.
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Certification Regarding Drug-Free Workplace performance of work under the grant and purposes by a Federal, State, or local health, Requirements (Instructions for Certification) who are on the grantee’s payroll. This law enforcement, or other appropriate 1. By signing and/or submitting this definition does not include workers not on agency; application or grant agreement, the grantee is the payroll of the grantee (e.g., volunteers, (g) Making a good faith effort to continue providing the certification set out below. even if used to meet a matching requirement; to maintain a drug-free workplace through 2. The certification set out below is a consultants or independent contractors not implementation of paragraphs (a), (b), (c), (d), material representation of fact upon which on the grantee’s payroll; or employees of (e) and (f). reliance is placed when the agency awards subrecipients or subcontractors in covered (B) The grantee may insert in the space the grant. If it is later determined that the workplaces). provided below the site(s) for the grantee knowingly rendered a false performance of work done in connection Certification Regarding Drug-Free Workplace with the specific grant: certification, or otherwise violates the Requirements Place of Performance (Street address, city, requirements of the Drug-Free Workplace county, state, zip code) Act, the agency, in addition to any other Alternate 1. (Grantees Other Than Individuals) lllllllllllllllllllll remedies available to the Federal lllllllllllllllllllll Government, may take action authorized The grantee certifies that it will or will Check b if there are workplaces on file that under the Drug-Free Workplace Act. continue to provide a drug-free workplace by: are not identified here. 3. For grantees other than individuals, (a) Publishing a statement notifying Alternate I applies. employees that the unlawful manufacture, Alternate II. (Grantees Who Are Individuals) 4. For grantees who are individuals, distribution, dispensing, possession, or use of (a) The grantee certifies that, as a condition Alternate II applies. a controlled substance is prohibited in the of the grant, he or she will not engage in the 5. Workplaces under grants, for grantees grantee’s workplace and specifying the unlawful manufacture, distribution, other than individuals, need not be identified actions that will be taken against employees dispensing, possession, or use of a controlled on the certification. If known, they may be for violation of such prohibition; substance in conducting any activity with the identified in the grant application. If the (b) Establishing an ongoing drug-free grant; grantee does not identify the workplaces at awareness program to inform employees (b) If convicted of a criminal drug offense the time of application, or upon award, if about— resulting from a violation occurring during there is no application, the grantee must keep (1) The dangers of drug abuse in the the conduct of any grant activity, he or she the identity of the workplace(s) on file in its workplace: will report the conviction, in writing, within office and make the information available for (2) The grantee’s policy of maintaining a 10 calendar days of the conviction, to every Federal inspection. Failure to identify all drug-free workplace; grant officer or other designee, unless the known workplaces constitutes a violation of (3) Any available drug counseling, Federal agency designates a central point for the grantee’s drug-free workplace rehabilitation, and employee assistance the receipt of such notices. When notice is requirements. programs; and made to such a central point, it shall include 6. Workplace identifications must include (4) The penalties that may be imposed the identification number(s) of each affected the actual address of buildings (or parts of upon employees for drug abuse violations grant. buildings) or other sites where work under occurring in the workplace; [55 FR 21690, 21702, May 25, 1990] the grant takes place. Categorical descriptions (c) Making it a requirement that each may be used (e.g., all vehicles of a mass employee to be engaged in the performance Attachment D, Page 1 of the grant be given a copy of the statement transit authority or State highway department Developing ACF Program Announcements while in operation, State employees in each required by paragraph (a); local unemployment office, performers in (d) Notifying the employee in the statement Certification Regarding Debarment, concert halls or radio studios). required by paragraph (a) that, as a condition Suspension and Other Responsibility 7. If the workplace identified to the agency of employment under the grant, the employ Matters changes during the performance of the grant, will— the grantee shall inform the agency of the (1) Abide by the terms of the statement; Certification Regarding Debarment, change(s), if it previously identified the and Suspension, and Other Responsibility workplaces in question (see paragraph five). (2) Notify the employer in writing of his or Matters—Primary Covered Transactions 8. Definitions of terms in the her conviction for a violation of a criminal Instructions for Certification Nonprocurement Suspension and Debarment drug statute occurring in the workplace no 1. By signing and submitting this proposal, common rule and Drug-Free Workplace later than five calendar days after such the prospective primary participant is common rule apply to this certification. conviction; providing the certification set out below. Grantees’ attention is called, in particular, to (e) Notifying the agency in writing, within 2. The inability of a person to provide the the following definitions from these rules: ten calendar days after receiving notice under certification required below will not Controlled substance means a controlled paragraph (d)(2) from an employee or necessarily result in denial of participation in substance in Schedules I through V of the otherwise receiving actual notice of such this covered transaction. The prospective Controlled Substances Act (21 U.S.C. 812) conviction. Employers of convicted participant shall submit an explanation of and as further defined by regulation (21 CFR employees must provide notice, including why it cannot provide the certification set 1308.11 through 1308.15); position title, to every grant officer or other out below. The certification or explanation Conviction means a finding of guilt designee on whose grant activity the will be considered in connection with the (including a plea of nolo contendere) or convicted employee was working, unless the department or agency’s determination imposition of sentence, or both, by an Federal agency has designated a central point whether to enter into this transaction. judicial body charged with the responsibility for the receipt of such notices. Notice shall However, failure of the prospective primary to determine violations of the Federal or include the identification number(s) of each participant to furnish a certification or an State criminal drug statues; affected grant; explanation shall disqualify such person Criminal drug statute means a Federal or (f) Taking one of the following actions, from participation in this transaction. non-Federal criminal statute involving the within 30 calendar days of receiving notice 3. The certification in this clause is a manufacture, distribution, dispensing, use, or under paragraph (d)(2), with respect to any material representation of fact upon which possession of any controlled substance: employee who is so convicted— reliance was placed when the department or Employee means the employee of a grantee (1) Taking appropriate personnel action agency determined to enter into this directly engaged in the performance of work against such an employee, up to and transaction. If it is later determined that the under a grant, including: (i) All direct charge including termination, consistent with the prospective primary participant knowingly employees; (ii) All indirect charge employees requirements of the Rehabilitation Act of rendered an erroneous certification, in unless their impact or involvement is 1973, as amended; or addition to other remedies available to the insignificant to the performance of the grant; (2) Requiring such employee to participate Federal Government, the department or and, (iii) Temporary personnel and satisfactorily in a drug abuse assistance or agency may terminate this transaction for consultants who are directly engaged in the rehabilitation program approved for such cause or default.
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4. The prospective primary participant remedies available to the Federal voluntarily excluded, as used in this clause, shall provide immediate written notice to the Government, the department or agency may have the meaning set out in the Definitions department or agency to which this proposal terminate this transaction for cause or and Coverage sections of rules implementing is submitted if at any time the prospective default. Executive Order 12549. You may contact the primary participant learns that its * * * * * person to which this proposal is submitted certification was erroneous when submitted for assistance in obtaining a copy of those or has become erroneous by reason of Certification Regarding Debarment, regulations. changed circumstances. Suspension, and Other Responsibility 5. The prospective lower tier participant 5. The terms covered transaction, debarred, Matters—Primary Covered Transactions agrees by submitting this proposal that, suspended, ineligible, lower tier covered (1) The prospective primary participant [[Page 33043]] should the proposed covered transaction, participant, person, primary certifies to the best of its knowledge and transaction be entered into, it shall not covered transaction, principal, proposal, and belief, that it and its principals: knowingly enter into any lower tier covered voluntarily excluded, as used in this clause, (a) Are not presently debarred, suspended, transaction with a person who is proposed have the meanings set out in the Definitions proposed for debarment, declared ineligible, for debarment under 48 CFR part 9, subpart and Coverage sections of the rules or voluntarily excluded by any Federal 9.4, debarred, suspended, declared ineligible, implementing Executive Order 12549. You department or agency; or voluntarily excluded from participation in may contact the department or agency to (b) Have not within a three-year period this covered transaction, unless authorized which this proposal is being submitted for preceding this proposal been convicted of or by the department or agency with which this assistance in obtaining a copy of those had a civil judgment rendered against them transaction originated. regulations. for commission of a fraud or a criminal 6. The prospective lower tier participant 6. The prospective primary participant offense in connection with obtaining, further agrees by submitting this proposal agrees by submitting this proposal that, attempting to obtain, or performing a public that it will include this clause titled should the proposed covered transaction be (Federal, State or local) transaction or ‘‘Certification Regarding Debarment, entered into, it shall not knowingly enter into contract under a public transaction; violation Suspension, Ineligibility and Voluntary any lower tier covered transaction with a of Federal or State antitrust statutes or Exclusion-Lower Tier Covered Transaction,’’ person who is proposed for debarment under commission of embezzlement, theft, forgery, without modification, in all lower tier 48 CFR part 9, subpart 9.4, debarred, bribery, falsification or destruction of covered transactions and in all solicitations suspended, declared ineligible, or voluntarily records, making false statements, or receiving for lower tier covered transactions. excluded from participation in this covered stolen property; 7. A participant in a covered transaction transaction, unless authorized by the (c) Are not presently indicated for or may rely upon a certification of a prospective department or agency entering into this otherwise criminally or civilly charged by a participant in a lower tier covered transaction. governmental entity (Federal, State or local) transaction that it is not proposed for 7. The prospective primary participant with commission of any of the offenses debarment under 48 CFR part 9, subpart 9.4, further agrees by submitting this proposal enumerated in paragraph (1)(b) of this debarred, suspended, ineligible, or that it will include the clause titled certification; and voluntarily excluded from covered ‘‘Certification Regarding Debarment, (d) Have not within a three-year period transactions, unless it knows that the Suspension, Ineligibility and Voluntary preceding this application/proposal had one certification is erroneous. A participant may Exclusion—Lower Tier Covered or more public transactions (Federal, State or decide the method and frequency by which Transaction,’’ provided by the department or local) terminated for cause or default. it determines the eligibility of its principals. agency entering into this covered transaction, (2) Where the prospective primary Each participant may, but is not required to, without modification, in all lower tier participant is unable to certify to any of the check the List of Parties Excluded from covered transactions and in all solicitations statements in this certification, such Federal Procurement and Nonprocurement for lower tier covered transactions. prospective participants shall attach an Programs. 8. A participant in a covered transaction explanation to this proposal. 8. Nothing contained in the foregoing shall may rely upon a certification of a prospective be construed to require establishment of a Certification Regarding Debarment, participant in a lower tier covered system of records in order to render in good Suspension, Ineligibility and Voluntary transaction that it is not proposed for faith the certification required by this clause. Exclusion—Lower Tier Covered Transactions debarment under 48 CFR part 9, subpart 9.4, The knowledge and information of a debarred, suspended, ineligible, or Instructions for Certification participant is not required to exceed that voluntarily excluded from the covered 1. By signing and submitting this proposal, which is normally possessed by a prudent transaction, unless it knows that the the prospective lower tier participant is person in the ordinary course of business certification is erroneous. A participant may providing the certification set out below. dealings. decide the method and frequency by which 2. The certification in this clause is a 9. Except for transactions authorized under it determines the eligibility of its principals. material representation of fact upon which paragraph 5 of these instructions, if a Each participant may, but is not required to, reliance was placed when this transaction participant in a covered transaction check the List of Parties Excluded from was entered into. If it is later determined that knowingly enters into a lower tier covered Federal Procurement and Nonprocurement the prospective lower tier participant transaction with a person who is proposed Programs. knowingly rendered an erroneous for debarment under 48 CFR part 9, subpart 9. Nothing contained in the foregoing shall certification, in addition to other remedies 9.4, suspended, debarred, ineligible, or be construed to require establishment of a available to the Federal Government the voluntarily excluded from participation in system of records in order to render in good department or agency with which this this transaction, in addition to other faith the certification required by this clause. transaction originated may pursue available remedies available to the Federal The knowledge and information of a remedies, including suspension and/or Government, the department or agency with participant is not required to exceed that debarment. which this transaction originated may pursue which is normally possessed by a prudent 3. The prospective lower tier participants available remedies, including suspension person in the ordinary course of business shall provide immediate written notice to the and/or debarment. dealings. person to which this proposal is submitted if * * * * * 10. Except for transactions authorized at any time the prospective lower tier under paragraph 6 of these instructions, if a participants learns that its certification was Certification Regarding Debarment, participant in a covered transaction erroneous when submitted or had become Suspension, Ineligibility and Voluntary knowingly enter into a lower tier covered erroneous by reason of changed Exclusion—Lower Tier Covered Transactions transaction with a person who is proposed circumstances. (1) The prospective lower tier participant for debarment under 48 CFR part 9, subpart 4. The terms covered transaction, debarred, certifies, by submission of this proposal, that 9.4, suspended, debarred, ineligible, or suspended, ineligible, lower tier covered neither it nor its principals is presently voluntarily excluded from participation in transaction, participant, person, primary debarred, suspended, proposed for this transaction, in addition to other covered transaction, principal, proposal, and debarment, declared ineligible, or voluntarily
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excluded from participation in this Attachment F–1 accordingly. This certification is a material transaction by any Federal department or representation of fact upon which reliance Developing ACF Program Announcements agency. was placed when this transaction was made (2) Where the prospective lower tier Certification Regarding Lobbying or entered into. Submission of this certification is a prerequisite for making or participant is unable to certify to any of the Certification for Contracts, Grants, Loans, entering into this transaction imposed by statements in this certification, such and Cooperative Agreements section 1352, title 31, U.S. Code. Any person prospective participant shall attach an The undersigned certifies, to the best of his explanation to this proposal. who fails to file the required certification or her knowledge and belief, that: shall be subject to a civil penalty of not less Certification Regarding Environmental (1) No Federal appropriated funds have than $10,000 and not more than $100,000 for Tobacco Smoke been paid or will be paid by or on behalf of each such failure. the undersigned, to any person for Public Law 103227, Part C Environmental influencing or attempting to influence an Statement for Loan Guarantees and Loan Tobacco Smoke, also known as the Pro officer or employee of an agency, a Member Insurance Children Act of 1994, requires that smoking of Congress, an officer or employee of The undersigned states, to the best of his not be permitted in any portion of any indoor Congress, or an employee of a Member of or her knowledge and belief, that: routinely owned or leased or contracted for Congress in connection with the awarding of If any funds have been paid or will be paid by an entity and used routinely or regularly any Federal contract, the making of any to any person for influencing or attempting for provision of health, day care, education, Federal grant, the making of any Federal to influence an officer or employee of any loan, the entering into of any cooperative or library services to children under the age agency, a Member of Congress, an officer or agreement, and the extension, continuation, of 18, if the services are funded by Federal employee of Congress, or an employee of a renewal amendment, or modification of any programs either directly or through State or Member of Congress in connection with this Federal contract, grant, loan, or cooperative local governments, by Federal grant, contract commitment providing for the United States agreement. to insure or guarantee a loan, the loan, or loan guarantee. The law does not (2) If any funds other than Federal undersigned shall complete and submit apply to children’s services provided in appropriated funds have been paid or will be private residences, facilities funded solely by paid to any person for influencing or Standard Form–LLL. ‘‘Disclosure Form to Medicare or Medicaid funds, and portions of attempting to influence an officer or Report Lobbying,‘‘ in accordance with its facilities used for inpatient drug or alcohol employee of any agency, a Member of instructions. Submission of this statement is treatment. Failure to comply with the Congress, an officer or employee of Congress, a prerequisite for making or entering into this transaction imposed by section 1352, title 31, provisions of the law may result in the or an employee of a Member of Congress in U.S. Code. Any person who fails to file the imposition of a civil monetary penalty of up connection with this Federal contract, grant, required statement shall be subject to a civil to $1000 per day and/or the imposition of an loan, or cooperative agreement, the penalty of not less than $10,000 and not more administrative compliance order on the undersigned shall complete and submit Standard Form–LLL, ‘‘Disclosure Form to than $100,000 for each such failure. responsible entity. By signing and submitting Report Lobbying,’’ in accordance with its lllllllllllllllllllll this application the applicant/grantee instructions. Signature certifies that it will comply with the (3) The undersigned shall require that the lllllllllllllllllllll requirements of the Act. language of this certification be included in Title The applicant/grantee further agrees that it the award documents for all subawards at all lllllllllllllllllllll will require the language of this certification tiers (including subcontracts, subgrants, and Organization be included in any subawards which contain contracts under grants, loans, and lllllllllllllllllllll provisions for the children’s services and that cooperative agreements) and that all Date all subgrantees shall certify accordingly. subrecipients shall certify and disclose BILLING CODE 4184–01–P
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BILLING CODE 4184–01–C that apply for both the initial filing and 4. Enter the full name, address, city, State Attachment F–2, Page 2 material change report. Refer to the and zip code of the reporting entity. Include implementing guidance published by the Congressional District, if known. Check the Instructions for Completion of SF–LLL, Office of Management and Budget for appropriate classification of the reporting Disclosure of Lobbying Activities additional information. entity that designates if it is, or expects to be, This disclosure form shall be completed by 1. Identify the type of covered Federal a prime or subward recipient. Identify the the reporting entity, whether subawardee or action for which lobbying activity is and/or tier of the subawardee, e.g., the first prime Federal recipient, at the initiation or has been secured to influence the outcome of subawardee of the prime is the 1st tier. receipt of a covered Federal action, or a a covered Federal action. Subawards include but are not limited to material change to a previous filing, pursuant 2. Identify the status of the covered Federal subcontracts, subgrants and contract awards to title 31 U.S.C. section 1352. The filing of action. under grants. a form is required for each payment or 3. Identify the appropriate classification of 5. If the organization filing the report in agreement to make payment to any lobbying this report. If this is a followup report caused Item 4 checks ‘‘Subawardee,’’ then enter the entity for influencing or attempting to by a material change to the information full name, address, city, State and zip code influence an officer or employee of any previously reported, enter the year and of the prime Federal recipient. Include agency, a Member of Congress, or officer or quarter in which the change occurred. Enter Congressional District, if known. employee of Congress, or an employee of a the date of the last previously submitted 6. Enter the name of the Federal agency Member of Congress in connection with a report by this reporting entity for this making the award or loan commitment. covered Federal action. Complete all items covered Federal action. Include at least one organizational level
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below agency name, if known. For example, chosen not to participate in the 287–3261, (207) 287–1461 (direct), Fax: Department of Transportation, United States intergovernmental review process, and (207) 287–6489, [email protected] Coast Guard. therefore do not have a SPOC. If you are Maryland 7. Enter the Federal program name or located within one of these States, you may description for the covered Federal action still send application materials directly to a Linda Janey, Manager, Clearinghouse and (item 1). If known, enter the full Catalog of Federal awarding agency. Plan Review Unit, Maryland Office of Federal Domestic Assistance (CFDA) number Arkansas Planning, 301 West Preston Street—Room for grants, cooperative agreements, loans, and 1104, Baltimore, Maryland 21201–2305, loan commitments. Tracy L. Copeland, Manager, State Telephone: (410) 767–4490, Fax: (410) 8. Enter the most appropriate Federal Clearninghouse, Office of 767–4480, [email protected] Intergovernmental Services, Department of identifying number available for the Federal Michigan action identified in item 1 (e.g., Request for Finance and Administration, 1515 W. 7th Proposal (RFP) number; Invitation for Bid St., Room 412, Little Rock, Arkansas Richard Pfaff, Southeast Michigan Council of (IFB) number; grant announcement number; 72203, Telephone: (501) 682–1074, Fax: Governments, 535 Griswold, Suite 300, the contract, grant, or loan award number; (501) 682–5206, [email protected] Detroit Michigan 48226, Telephone: (313) the application/proposal control number California 961–4266, Fax: (313) 961–4869, assigned by the Federal agency). Include Grants Coordination, State Clearninghouse, [email protected] prefixes, e.g. ‘‘RFP–DE–90–001.’’ Office of Planning and Research, P.O. Box Mississippi 9. For a covered Federal action where there 3044, Room 222, Sacramento, California Cathy Mallette, Clearinghouse Officer, has been an award or loan commitment by 95812–3044, Telephone: (916) 445–0613, the Federal agency, enter the Federal amount Department of Finance and Fax: (916) 323–3018, Administration, 550 High Street, 303 of the award/loan commitment for the prime [email protected] entity identified in item 4 or 5. Walters Sillers Building, Jackson, 10. (a) Enter the full name, address, city, Delaware Mississippi 39201–3087, Telephone: (601) State and zip code of the lobbying registrant Charles H. Hopkins, Executive Department, 359–6762, Fax: (601) 359–6758 under the Lobbying Disclosure Act of 1995 Office of the Budget, 540 S. Dupont Missouri engaged by the reporting entity identified in Highway, 34rd Floor, Dover, Delaware Lois Pohl, Federal Assistance Clearinghouse, item 4 to influence the covered Federal 19901, Telephone: (302) 739–3323, Fax: Office of Administration, P.O. Box 809, action. (302) 739–5661, [email protected] Jefferson Building, Room 915, Jefferson (b) Enter the full names of the individual(s) District of Columbia performing services, and include full address City, Missouri 65102, Telephone: (573) Ron Seldon, Office of Grants Management 751–4834, Fax: (573) 522–4395, if different from 10(a). Enter Last Name, First _ Name, and Middle Initial (MI) and Development, 717 14th Street, NW., pohll @mail.oa.state.mo.us 11. The certifying official shall sign and Suite 1200, Washington, DC 20005, Nevada date the form, print his/her name, title, and Telephone: (202) 727–1705, Fax: (202) 727–1617, [email protected] Heather Elliott, Department of telephone number.. Administration, State Clearinghouse, 209 According to the Paperwork Reduction Florida E. Musser Street, Room 200, Carson City, Act, as amended, no persons are required to Cherie L. Trainor, Florida State Nevada 89701, Telephone: (775) 684–0209, respond to a collection of information unless Clearinghouse, Department of Community Fax: (775) 684–0260, it displays a valid OMB Control Number. The Affairs, 2555 Shumard Oak Blvd., [email protected] valid OMB control number for this Tallahassee, Florida 32399–2100, information collection is OMB No. 0348– Telephone (850) 922–5438, (850) 414–5495 New Hampshire 0046. Public reporting burden for this (direct), Fax: (850) 414–0479, Jeffrey H. Taylor, Director, New Hampshire collection of information is estimated to [email protected], Office of State Planning, Attn: average 10 minutes per response, including Georgia Intergovernmental Review Process, Mike time for reviewing instructions, searching Blake, 21⁄2 Beacon Street, Concord, New existing data sources, gathering and Georgia State Clearinghouse, 270 Washington Hampshire 03301, Telephone: (603) 271– maintaining the data needed, and completing Street, SW., Atlanta, Georgia 30334, 2155, Fax: (603) 271–1728, Telephone: (404) 656–3855, Fax: (404) and reviewing the collection of information. [email protected] Send comments regarding the burden 656–7901, [email protected] New Mexico estimate or any other aspect of this collection Illinois of information, including suggestions for Ken Hughes, Local Government Division, Virginia Bova, Department of Commerce and reducing this burden, to the Office of Room 201 Bataan Memorial Building, Community Affairs, James R. Thompson Management and Budget, Paperwork Santa Fe, New Mexico 87503, Telephone: Center, 100 West Randolph, Suite 3–400, Reduction Project (0348–0046), Washington, (505) 827–4370, Fax: (505) 827–4948, DC 20503. Chicago, Illinois 60601, Telephone: (312) 814–6028, Fax (312) 814–8485, [email protected] Attachment G, Page 1 [email protected] North Carolina Office of Management and Budget Iowa Jeanette Furney, Department of Administration, 1302 Mail Service Center, It is estimated that in 2001 the Federal Steven R. McCann, Division of Community Raleigh, North Carolina 27699–1302, Government will outlay $305.6 billion in and Rural Development, Iowa Department Telephone: (919) 807–2323, Fax: (919) grants to State and local governments. of Economic Development, 200 East Grand 733–9571, [email protected] Executive Order 12372, ‘‘Intergovernmental Avenue, Des Moines, Iowa 50309, Review of Federal Programs,’’ was issued Telephone: (515) 242–4719, Fax: (515) North Dakota with the desire to foster the 242–4809, [email protected] Jim Boyd, Division of Community Services, intergovernmental partnership and Kentucky 600 East Boulevard Ave, Dept 105, strengthen federalism by relying on State and Ron Cook, Department for Local Government, Bismarck, North Dakota 58505–0170, local processes for the coordination and 1024 Capital Center Drive, Suite 340, Telephone: (701) 328–2094, Fax: (701) review of proposed Federal financial Frankfort, Kentucky 40601, Telephone: 328–2308, [email protected] assistance and direct Federal development. (502) 573–2382, Fax: (502) 573–2512, Rhode Island The Order allows each State to designate an [email protected] entity to perform this function. Below is the Kevin Nelson, Department of Administration, official list of those entities. For those States Maine Statewide Planning Program, One Capitol that have a home page for their designated Joyce Benson, State Planning Office, 184 Hill, Providence, Rhode Island 02908– entity, a direct link has been provided below. State Street, 38 State House Station, 5870, Telephone: (401) 222–2093, Fax: States that are not listed on this page have Augusta, Maine 04333, Telephone: (207) (401) 222–2083, [email protected]
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South Carolina Telephone: (304) 558–4010, Fax: (304) Budget, Office of the Governor, Saipan, MP Omeagia Burgess, Budget and Control Board, 558–3248, [email protected] 96950, Telephone: (670) 664–2289, Fax: Office of State Budget, 1122 Ladies Street, Wisconsin (670) 664–2272, [email protected] 12th Floor, Columbia, South Carolina Jeff Smith, Section Chief, Federal/State Virgin Islands 29201, Telephone: (803) 734–0494, Fax: Relations, Wisconsin Department of Ira Mills, Director, Office of Management and (803) 734–0645, Administration, 101 East Wilson Street— Budget, #41 Norre Gade Emanicpation [email protected] 6th Floor, P.O. Box 7868, Madison, Garden Station, Second Floor, Saint Texas Wisconsin 53707, Telephone: (608) 266– Thomas, Virgin Islands 00802, Telephone: 0267, Fax: (608) 267–6931, (340) 774–0750, Fax: (340) 776–0069, Denise S. Francis, Director, State Grants [email protected] [email protected] Team, Governor’s Office of Budget and Guam Planning, P.O. Box 12428, Austin, Texas Changes to this list can be made only after 78711, Telephone: (512) 305–9415, Fax: (512) Director, Bureau of Budget and Management OMB is notified by a State’s officially 936–2681, [email protected] Research, Office of the Governor, P.O. Box designated representative. E-mail messages 2950, Agana, Guam 96910, Telephone: can be sent to [email protected]. If you Utah 011–671–472–2285, Fax: 011–472–2825, prefer, you may send correspondence to the Carolyn Wright, Utah State Clearinghouse, [email protected] following postal address: Attn: Grants Governor’s Office of Planning and Budget, Puerto Rico Management, Office of Management and Budget, New Executive Office Building, Suite State Capitol, Room 114, Salt Lake City, Jose Caballero/Mayra Silva, Puerto Rico Utah 84114, Telephone: (801) 538–1535, Planning Board, Federal Proposals Review 6025, 725 17th Street, NW, Washington, DC Fax: (801) 538–1547, Office, Minillas Government Center, P.O. 20503. [email protected] Box 41119, San Juan, Puerto Rico 00940– Please note: Inquiries about obtaining a West Virginia 1119, Telephone: (787) 723–6190, Fax: Federal grant should not be sent to the OMB (787) 722–6783 e-mail or postal address shown above. The Fred Cutlip, Director, Community best source for this information is the CFDA. Development Division, West Virginia North Mariana Islands Development Office, Building #6, Room Ms. Jacoba T. Seman, Federal Programs [FR Doc. 01–8455 Filed 4–5–01; 8:45 am] 553, Charleston, West Virginia 25305, Coordinator, Office of Management and BILLING CODE 4184–01–P
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Reader Aids Federal Register Vol. 66, No. 67 Friday, April 6, 2001
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING APRIL
Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–523–5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since the revision date of each title. Laws 523–5227 27 CFR 3 CFR 25...... 17809 Presidential Documents Proclamations Executive orders and proclamations 523–5227 7420...... 18035 28 CFR 7421...... 18183 The United States Government Manual 523–5227 16...... 17809 7 CFR Proposed Rules: Other Services 868...... 17775 16...... 28 Electronic and on-line services (voice) 523–4534 916...... 17479 29 CFR Privacy Act Compilation 523–3187 917...... 17479 Public Laws Update Service (numbers, dates, etc.) 523–6641 Proposed Rules: 1910...... 18191 TTY for the deaf-and-hard-of-hearing 523–5229 800...... 17817 Proposed Rules: 4902...... 17518 9 CFR ELECTRONIC RESEARCH 30 CFR 94...... 18357 World Wide Web Proposed Rules: 12 CFR 904...... 18216 Full text of the daily Federal Register, CFR and other publications: 201...... 18185 31 CFR 202...... 17779 http://www.access.gpo.gov/nara 205...... 17786 1...... 18192 Federal Register information and research tools, including Public 230...... 17795 33 CFR Inspection List, indexes, and links to GPO Access: 337...... 17621 100...... 18193 http://www.nara.gov/fedreg 1701...... 18037 1780...... 18040 117 ...... 17512, 17810, 17811, E-mail Proposed Rules: 18193 PENS (Public Law Electronic Notification Service) is an E-mail 8...... 17821 Proposed Rules: service for notification of recently enacted Public Laws. To 100...... 18056, 18219 14 CFR subscribe, send E-mail to 117...... 18221 23...... 18186 165...... 17829, 17832 [email protected] 25...... 17804 38 CFR with the text message: 39 ...... 17487, 17490, 17492, subscribe PUBLAWS-L your name 17495, 17498, 17499, 17506, 3...... 18194, 18195 17508, 17806, 18045, 18047 Proposed Rules: Use [email protected] only to subscribe or unsubscribe to 71...... 18050, 18187 3...... 17834 PENS. We cannot respond to specific inquiries. Proposed Rules: 19...... 17840 Reference questions. Send questions and comments about the 25...... 18214 20...... 17840 Federal Register system to: 39...... 17641 40 CFR [email protected] 71 ...... 17825, 17826, 17827 73...... 18055 51...... 18156 The Federal Register staff cannot interpret specific documents or 52 ...... 17634, 17811, 18198 regulations. 16 CFR 60...... 17599 2...... 17622 70...... 17512 FEDERAL REGISTER PAGES AND DATE, APRIL 3...... 17622 180...... 18201 4...... 17622 761...... 17602 17479–17620...... 2 85...... 18156 17621–17774...... 3 21 CFR Proposed Rules: 17775–18034...... 4 172...... 17508 52 ...... 17641, 17842, 18223 18035–18184...... 5 510...... 17510 81...... 17647 18185–18394...... 6 529...... 17510 194...... 18058 Proposed Rules: 420...... 17842 192...... 17517 42 CFR 592...... 17517 411...... 17813 22 CFR 424...... 17813 41...... 17511 Proposed Rules: 36...... 17657 26 CFR 447...... 17657 Proposed Rules: 1 ...... 17517, 17518, 18187, 47 CFR 18190, 18357 73 ...... 17638, 17814, 17815 301...... 17518 Proposed Rules: 602...... 17518 Ch. 1 ...... 18059
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73...... 17843, 17844 1823...... 18051 49 CFR 224...... 17659 101...... 18061 1842...... 18053 533...... 17513 600...... 17668 1852...... 18051, 18053 571...... 18208 622...... 17519 48 CFR Proposed Rules: 635...... 17520 50 CFR 648...... 17673 Ch. 1 ...... 17757 9...... 17758 660...... 17681 9...... 17754 14...... 17758 17...... 18002 14...... 17754 660...... 17639 15...... 17758 50 CFR 15...... 17754 679...... 17815 31...... 17758 31...... 17754 Proposed Rules: 80...... 18210 52...... 17758 52...... 17754 17...... 18062 Proposed Rules: 1812...... 18051 223...... 17659, 17845 17...... 18223
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REMINDERS Signature by mark; Retained water in raw meat cleaning facilities; The items in this list were published 4-6-01¶ and poultry products; comments due by 4-11- editorially compiled as an aid poultry chilling 01; published 3-12-01 to Federal Register users. RULES GOING INTO requirements; comments Air programs: due by 4-9-01; published Inclusion or exclusion from EFFECT APRIL 7, 2001 Stratospheric ozone this list has no legal 1-9-01 protection— significance. TRANSPORTATION COMMERCE DEPARTMENT Laboratory essential uses DEPARTMENT National Oceanic and (2001 CY); de minimis RULES GOING INTO Coast Guard Atmospheric Administration exemption; comments due by 4-12-01; EFFECT APRIL 6, 2001 Regattas and marine parades: Fishery conservation and management: published 3-13-01 San Diego Crew Classic; Laboratory essential uses COMMERCE DEPARTMENT published 4-6-01¶ Atlantic highly migratory (2001 CY); de minimis National Oceanic and species— exemption; comments Atmospheric Administration Pelagic longline RULES GOING INTO due by 4-12-01; Fishery conservation and management; comments EFFECT APRIL 8, 2001 published 3-13-01 management: due by 4-9-01; Alaska; fisheries of published 3-30-01 Air quality implementation Exclusive Economic EDUCATION DEPARTMENT Magnuson-Stevens Act plans; approval and Zone— Postsecondary education: provisions— promulgation; various States ; air quality planning Western Alaska Developing Hispanic-Serving Domestic fisheries; purposes; designation of Community Institutions Program exempted fishing areas: Development Quota Effective date delay; permits; comments due Program; published 3-7- published 2-1-01 by 4-11-01; published Utah; comments due by 4- 9-01; published 3-9-01 01 TRANSPORTATION 3-27-01 Air quality implementation Western Alaska DEPARTMENT Foreign fishing vessels; plans; approval and Community fee schedule; comments Federal Highway promulgation; various Development Quota Administration due by 4-9-01; Program; correction; States; air quality planning Intelligent Transportation published 3-8-01 published 3-22-01 purposes; designation of System architecture and Northeastern United States areas: CONSUMER PRODUCT standards fisheries— SAFETY COMMISSION Minnesota; comments due Effective date delay; Tilefish; comments due by Dive sticks; published 3-7-01 by 4-9-01; published 3-9- published 2-7-01 4-13-01; published 2-12- 01 Correction; published 3-22- 01 01 Minnesota; correction; COMMENTS DUE NEXT COMMODITY FUTURES comments due by 4-9-01; HEALTH AND HUMAN TRADING COMMISSION SERVICES DEPARTMENT WEEK published 3-30-01 Commodity Exchange Act: Health Care Financing Utah; comments due by 4- Administration AGRICULTURE Futures commission 9-01; published 3-9-01 Medicare and Medicaid: DEPARTMENT merchants; customers’ Washington; comments due Physicians’ referrals to Animal and Plant Health funds; opting out of by 4-12-01; published 3- health care entities with Inspection Service segregation; comments 13-01 which they have financial Exportation and importation of due by 4-12-01; published FEDERAL relationships animals and animal 3-13-01 COMMUNICATIONS Effective date delay and products: Commodity Futures COMMISSION technical amendment; Rinderpest and foot-and- Modernization Act of 2000; Common carrier services: implementation: published 2-2-01 mouth disease; disease Commercial mobile radio LABOR DEPARTMENT status change— Trading facilities, services— Occupational Safety and South Africa; comments intermediaries, and clearing organizations; Spectrum aggregation Health Administration due by 4-10-01; limits; biennial Safety and health standards: published 2-9-01 new regulatory framework; comments due by 4-9-01; regulatory review; Cotton dust; occupational AGRICULTURE published 3-9-01 comments due by 4-13- exposure; published 12-7- DEPARTMENT 01; published 2-12-01 00 Food and Nutrition Service DEFENSE DEPARTMENT Spectrum aggregation TRANSPORTATION Child nutrition programs: Civilian health and medical limits; biennial DEPARTMENT Special milk, summer food program of uniformed regulatory review; Federal Aviation service, child and adult services (CHAMPUS): correction; comments Administration care food, free and TRICARE program— due by 4-13-01; Airworthiness directives: reduced price meals and Pharmacy Benefits published 2-15-01 British Aerospace; published free milk in schools Program, partial Digital television 2-21-01 programs— implementation; and broadcasting— Dornier Luftfahrt GmbH; State Medicaid and State National Defense 740-806 MHz band; published 2-21-01 Children’s Health Authorization Act for conversion to digital Pratt & Whitney; published Insurance Program; Fiscal Year 2001; television; comments 3-2-01 children’s eligibility implementation; due by 4-10-01; TREASURY DEPARTMENT information disclosure; comments due by 4-10- published 4-3-01 01; published 2-9-01 Privacy Act; implementation; comments due by 4-11- Digital television stations; table published 4-6-01 01; published 1-11-01 ENVIRONMENTAL of assignments: VETERANS AFFAIRS AGRICULTURE PROTECTION AGENCY Arkansas; comments due by DEPARTMENT DEPARTMENT Air pollutants, hazardous; 4-13-01; published 2-28- Adjudication; pensions, Food Safety and Inspection national emission standards: 01 compensation, dependency, Service Washington; California; comments due by etc.: Meat and poultry inspection: perchloroethylene dry 4-9-01; published 2-21-01
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Mississippi; comments due Florida manatees; Bell; comments due by 4-9- renewability by 4-13-01; published 2- comments due by 4-11- 01; published 2-6-01 requirements— 28-01 01; published 3-12-01 Boeing; comments due by Bona fide wellness Texas; comments due by 4- LABOR DEPARTMENT 4-9-01; published 2-21-01 programs; comments 13-01; published 2-28-01 Employment and Training Cessna; comments due by due by 4-9-01; Radio stations; table of Administration 4-13-01; published 2-12- published 1-8-01 assignments: Welfare-to-work grants; 01 Nondiscrimination in Missouri; comments due by governing provisions General Electric Co.; health coverage in 4-9-01; published 3-1-01 Effective date delay; comments due by 4-11- group market; cross- Texas; comments due by 4- comments due by 4-11- 01; published 3-12-01 reference; comments 9-01; published 3-1-01 01; published 2-12-01 McDonnell Douglas; due by 4-9-01; published 1-8-01 Television stations; table of LABOR DEPARTMENT comments due by 4-9-01; assignments: Pension and Welfare published 2-21-01 Nondiscrimination in Benefits Administration Pilatus Aircraft Ltd.; health coverage in Kansas; comments due by group market; 4-13-01; published 2-28- Group health plans; access, comments due by 4-12- portability, and renewability 01; published 3-5-01 comments due by 4-9- 01 01; published 1-8-01 requirements: Pratt & Whitney; comments FEDERAL HOUSING Bona fide wellness Nondiscrimination FINANCE BOARD due by 4-9-01; published programs; comments due 2-6-01 requirements for certain Federal home loan bank grandfathered church by 4-9-01; published 1-8- Valentin GmbH; comments system: plans; exception; 01 due by 4-13-01; published comments due by 4-9- Capital structure Nondiscrimination in health 3-23-01 requirements; comments coverage in group market; 01; published 1-8-01 due by 4-9-01; published comments due by 4-9-01; TRANSPORTATION Income taxes: DEPARTMENT 3-9-01 published 1-8-01 Annuity contracts; debt Federal Motor Carrier Safety HEALTH AND HUMAN NUCLEAR REGULATORY instruments with original Administration SERVICES DEPARTMENT COMMISSION issue discount; comments Motor carrier safety standards: Food and Drug Spent nuclear fuel and high- due by 4-12-01; published Administration level radioactive waste; Small passenger-carrying 1-12-01 independent storage; commercial motor vehicles Food for human consumption: Cafeteria plans; tax licensing requirements: used in interstate treatment; cross-reference; Imported food products that Approved spent fuel storage commerce; operator safety comments due by 4-10- have been refused casks; list additions; requirements; comments 01; published 1-10-01 admission into U.S.; comments due by 4-12- due by 4-11-01; published Procedure and administration: marking requirements and 01; published 3-13-01 1-11-01 reimportation prohibitions; Returns and return TRANSPORTATION comments due by 4-9-01; POSTAL SERVICE information disclosure to DEPARTMENT published 1-22-01 Domestic Mail Manual: taxpayer designee; cross- First-class mail, standard Research and Special reference; comments due HEALTH AND HUMAN mail, and bound printed Programs Administration by 4-11-01; published 1- SERVICES DEPARTMENT matter flats; changes; Hazardous materials: 11-01 Health Care Financing comments due by 4-13- Carriage by rail and TREASURY DEPARTMENT Administration 01; published 3-16-01 carriage by public Practice before Internal Group health plans; access, International Mail Manual: highway; Regulatory Revenue Service: portability, and renewability International Customized Flexibility Act and plain requirements: Mail service; comments Regulations modifications; language reviews; comments due by 4-12- Bona fide wellness due by 4-9-01; published comments due by 4-12- 01; published 1-12-01 programs; comments due 3-8-01 01; published 1-12-01 Privacy Act; implementation; by 4-9-01; published 1-8- SECURITIES AND TREASURY DEPARTMENT 01 EXCHANGE COMMISSION comments due by 4-9-01; Customs Service published 3-8-01 Nondiscrimination in health Public utility holding Articles conditionally free, coverage in group market; companies: subject to reduced rates, comments due by 4-9-01; Foreign utility companies; etc.: LIST OF PUBLIC LAWS published 1-8-01 acquisition and ownership; Beverages made wuth INTERIOR DEPARTMENT comments due by 4-9-01; This is a continuing list of published 2-7-01 Caribbean rum; duty-free Fish and Wildlife Service treatment; comments due public bills from the current TRANSPORTATION Endangered and threatened by 4-10-01; published 2-9- session of Congress which DEPARTMENT species: 01 have become Federal laws. It Coast Guard may be used in conjunction Drawback: Appalachian elktoe; Drawbridge operations: with ‘‘PLUS’’ (Public Laws comments due by 4-9-01; Unused merchandise Washington; comments due Update Service) on 202–523– published 2-8-01 drawback; merchandise by 4-13-01; published 2- 6641. This list is also processing fee; comments Critical habitat 12-01 available online at http:// due by 4-10-01; published designations— Vessel documentation and www.nara.gov/fedreg. 2-9-01 Quino checkerspot measurement: butterfly; comments due TREASURY DEPARTMENT The text of laws is not Undocumented barges; published in the Federal by 4-9-01; published 2- numbering; comments due Internal Revenue Service 7-01 Register but may be ordered by 4-11-01; published 1- Excise taxes: in ‘‘slip law’’ (individual Spruce-fir moss spider; 11-01 Excess benefit transactions; pamphlet) form from the comments due by 4-13- TRANSPORTATION cross-reference; Superintendent of Documents, 01; published 2-12-01 DEPARTMENT comments due by 4-10- U.S. Government Printing Marine mammals: Federal Aviation 01; published 1-10-01 Office, Washington, DC 20402 Incidental take during Administration Group health plans; access, (phone, 202–512–1808). The specified activities— Airworthiness directives: portability, and text will also be made
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available on the Internet from relating to ergonomics. (Mar. enacted public laws. To laws. The text of laws is not GPO Access at http:// 20, 2001; 115 Stat. 7) subscribe, go to http:// available through this service. www.access.gpo.gov/nara/ Last List March 20, 2001 hydra.gsa.gov/archives/ PENS cannot respond to index.html. Some laws may publaws-l.html or send E-mail specific inquiries sent to this not yet be available. to [email protected] address. Public Laws Electronic with the following text S.J. Res. 6/P.L. 107–5 message: Providing for congressional Notification Service SUBSCRIBE PUBLAWS-L disapproval of the rule (PENS) Your Name. submitted by the Department of Labor under chapter 8 of PENS is a free electronic mail Note: This service is strictly title 5, United States Code, notification service of newly for E-mail notification of new
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