FR-1996-06-19.pdf - US Government Publishing Office

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WednesdayJune 19, 1996Vol. 61 No. 119

Pages 31003–31386

6–19–96

Briefings on How To Use the Federal RegisterFor information on briefings in Washington, DC, seeannouncement on the inside cover of this issue.

II

FEDERAL REGISTER Published daily, Monday through Friday,(not published on Saturdays, Sundays, or on official holidays), bythe Office of the Federal Register, National Archives and RecordsAdministration, Washington, DC 20408, under the Federal RegisterAct (49 Stat. 500, as amended; 44 U.S.C. Ch. 15) and theregulations of the Administrative Committee of the Federal Register(1 CFR Ch. I). Distribution is made only by the Superintendent ofDocuments, U.S. Government Printing Office, Washington, DC20402.The Federal Register provides a uniform system for makingavailable to the public regulations and legal notices issued byFederal agencies. These include Presidential proclamations andExecutive Orders and Federal agency documents having generalapplicability and legal effect, documents required to be publishedby act of Congress and other Federal agency documents of publicinterest. Documents are on file for public inspection in the Officeof the Federal Register the day before they are published, unlessearlier filing is requested by the issuing agency.The seal of the National Archives and Records Administrationauthenticates this issue of the Federal Register as the official serialpublication established under the Federal Register Act. 44 U.S.C.1507 provides that the contents of the Federal Register shall bejudicially noticed.

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Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996

WASHINGTON, DC

[Two Sessions]WHEN: July 9, 1996 at 9:00 am, and

July 23, 1996 at 9:00 am.WHERE: Office of the Federal Register Conference

Room, 800 North Capitol Street, NW.,Washington, DC (3 blocks north of UnionStation Metro)

RESERVATIONS: 202–523–4538

Contents Federal Register

III

Vol. 61, No. 119

Wednesday, June 19, 1996

Agricultural Marketing ServiceRULESLimes and avocados grown in Florida, 31004–31006Nectarines and peaches grown in California, 31006Potatoes (Irish) grown in—

Washington, 31006–31007Specialty crops; import regulations:

Peanuts, 31306–31322

Agriculture DepartmentSee Agricultural Marketing ServiceSee Animal and Plant Health Inspection ServiceSee Food and Consumer ServiceSee Rural Utilities Service

Air Force DepartmentNOTICESMeetings:

Scientific Advisory Board, 31090

Alcohol, Tobacco and Firearms BureauRULESAlcoholic beverages:

Wine and other liquors; miscellaneous amendmentsMiscellaneous amendments, 31029–31035

NOTICESOrganization, functions, and authority delegations:

Chief, Product Compliance Branch, et al., 31223–31224

Animal and Plant Health Inspection ServiceRULESPlant-related quarantine, domestic:

Mediterranean fruit fly, 31003–31004

Architectural and Transportation Barriers ComplianceBoard

NOTICESMeetings:

Americans with Disabilities Act Accessibility GuidelinesReview Advisory Committee, 31089

Centers for Disease Control and PreventionNOTICESGrants and cooperative agreements; availability, etc.:

Emerging infections; genetics of antimicrobial resistanceand novel methods for detection of antiviralresistance; applied research, 31121–31124

Human immunodeficiency virus (HIV)—Innovative interventions; outcome evaluations, 31128–

31131National system of integrated activities for prevention

among students, especially postsecondary studentsand those in high-risk situations, 31124–31128

Microbiology; resident postdoctoral research associatesprogram, 31131–31133

Violence prevention programs, 31133–31137Longitudinal evaluations, 31137–31140

Children and Families AdministrationNOTICESAgency information collection activities:

Submission for OMB review; comment request, 31140–31141

Coast GuardPROPOSED RULESMerchant marine officers and seamen:

Towing vessels; manning and licensing for officers,31332–31347

Commerce DepartmentSee International Trade AdministrationSee National Oceanic and Atmospheric Administration

Consumer Product Safety CommissionNOTICESMeetings; Sunshine Act, 31090

Defense DepartmentSee Air Force DepartmentSee Defense Information Systems AgencyNOTICESFederal Acquisition Regulation (FAR):

Agency information collection activities:Submission for OMB review; comment request, 31090

Defense Information Systems AgencyNOTICESSenior Executive Service:

Performance Review Board; membership, 31090–31091

Education DepartmentRULESBilingual education:

Graduate fellowship program, 31350–31355Postsecondary education:

Student assistance general provisions—Tests for determining student eligibility; approval and

administration; reporting and recordkeepingrequirements, 31035

William D. Ford Federal direct student loan program,31358–31362

NOTICESAgency information collection activities:

Proposed collection; comment request, 31091, 31092Grants and cooperative agreements; availability, etc.:

Indian vocational education program, 31364–31382Meetings:

President’s Advisory Commission on EducationalExcellence for Hispanic Americans; correction, 31225

Employment and Training AdministrationNOTICESAdjustment assistance:

Carter-Wallace, Inc., 31164Casablanca Fan Co., 31164Chevron Overseas Petroleum, Inc., 31165Controlled Power Corp., 31165Cranston Print Works Co., 31165Eagle Garment Finishing, Inc., 31166Joe Benbasset, Inc., 31166Norminjil Sportswear Corp., 31166Roseburg Forest Product, 31166Sea Isle Sportswear, 31166–31167Toymax, Inc., 31167United Technologies Automotive, Inc., 31167

IV Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Contents

Agency information collection activities:Proposed collection; comment request, 31167

NAFTA transitional adjustment assistance:Burlington Industries, Inc., 31168Cambridge Industries, Inc., 31168Crown Pacific L.P., 31168Eagle Garment Finishing, Inc., 31168Pope & Talbot, Inc., 31168–31169

Energy DepartmentSee Federal Energy Regulatory CommissionNOTICESElectricity export and import authorizations, permits, etc.:

Enron Power Marketing, Inc., 31092–31093Grants and cooperative agreements; availability, etc.:

Sorbent development/commercialization; partneringopportunities, 31093–31094

Environmental Protection AgencyRULESAir quality implementation plans; approval and

promulgation; various States; air quality planningpurposes; designation of areas:

Ohio; correction, 31225Air quality implementation plans; approval and

promulgation; various States:Louisiana, 31035–31037

Pesticides; tolerances in food, animal feeds, and rawagricultural commodities:

1,1,1,2-Tetrafluoroethane, 31042–31044Aluminum tris (O-ethylphosphonate), 31039–31041Oxidized pine lignin, sodium salt, 31037–31039Quizalofop ethyl, 31041–31042

PROPOSED RULESAir quality implementation plans; approval and

promulgation; various States:Louisiana, 31073

Pesticides; tolerances in food, animal feeds, and rawagricultural commodities:

3-Dichloroacetyl-5-(2-furanyl)-2,2-dimethyloxazolidine,31077–31079

Chlorothalonil, 31073–31075Quizalofop ethyl, 31079–31081Sodium salt of fomesafen, 31075–31077Triadimefon, 31081–31083



Confidential business information and data transfer, 31102National Response Team’s integrated contingency plan

guidance; availability; correction, 31103–31104Pesticide registration, cancellation, etc.:

Bedoukian Research, Inc., et al., 31104–31105DuPont Diuron Technical Herbicide, etc., 31105–31108

Pesticides; emergency exemptions, etc.:Metalaxyl, etc., 31108–31109

Research and Development Office; strategic plan;correction, 31109–31110

Superfund; response and remedial actions, proposedsettlements, etc.:

Indiana Woodtreating Corp. Site, IN, 31110

Equal Employment Opportunity CommissionNOTICESAgency information collection activities:

Proposed collection; comment request, 31110–31111

Federal Aviation AdministrationRULESAirworthiness directives:

AlliedSignal Inc., 31007–31009McDonnell Douglas, 31009–31013

Airworthiness standards:Aircraft engines; new one-engine-inoperative ratings;

definitions and type certification standards;rulemaking petition, 31324–31329

Class E airspace, 31013–31020Restricted areas, 31021–31022VOR Federal airways, 31020–31021PROPOSED RULESAirworthiness directives:

Boeing, 31061–31063McDonnell Douglas, 31059–31061

Class D airspace, 31063–31064Class E airspace, 31064–31070NOTICESAcquisition Management System; availability, 31210Airport noise compatibility program:

Scottsdale Airport, AZ, 31210–31211Passenger facility charges; applications, etc.:

Alexander Hamilton Airport, U.S. Virgin Islands, 31211Wichita Mid-Continent Airport, KA, 31211–31212

Federal Communications CommissionRULESCommunications equipment:

Radio frequency devices—Personal computers and peripherals; equipment

authorization procedures streamlining, 31044–31051

Radio services, special:Signal boosters (one-way or two-way) use by licensees

without separate Commision authorization, 31051–31053

PROPOSED RULESRadio stations; table of assignments:

Arkansas, 31084–31085California, 31083Hawaii, 31083–31084Mississippi, 31085New York, 31084



Reporting and recordkeeping requirements, 31112

Federal Emergency Management AgencyNOTICESAgency information collection activities:


Federal Energy Regulatory CommissionNOTICESElectric rate and corporate regulation filings:

Illinois Power Co. et al., 31096–31099Natural gas certificate filings:

Tennessee Gas Pipeline Co. et al., 31100–31101Applications, hearings, determinations, etc.:

Distrigas of Massachusetts Corp., 31094EnerConnect, Inc., 31094–31095Gas Research Institute, 31095Lisco, Inc., 31095National Fuel Gas Supply Corp., 31095–31096

VFederal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Contents

Olympic Natural Gas Co., 31096Pacific Power Solutions, LLC, 31096

Federal Highway AdministrationNOTICESSpeed limit enforcement certification:

National maximum speed limit repeal; study ofassociated State costs and benefits, 31212–31216

Federal Mine Safety and Health Review CommissionNOTICESMeetings; Sunshine Act, 31169

Federal Prison IndustriesNOTICESAgency information collection activities:


Federal Railroad AdministrationPROPOSED RULESRailroad workplace safety:

Roadway worker protectionAdvisory committee meetings, 31085–31086Hearing, 31085

Federal Reserve SystemNOTICESBanks and bank holding companies:

Change in bank control, 31115Formations, acquisitions, and mergers, 31115–31116Permissible nonbanking activities, 31116

Meetings; Sunshine Act, 31116–31117

Federal Trade CommissionNOTICESProhibited trade practices:

American Stores Co. et al., 31117BBDO Worldwide, Inc., 31117California Medical Association, 31117Eli Lilly & Co., Inc., 31117–31118Food Service Equipment Industry Inc. et al., 31118Genetus Alexandria, Inc., et al., 31118Harley-Davidson Motor Co., 31118–31119Latronica, Frank A., Jr., et al., 31119Local Health System, Inc., et al., 31119–31120Papermakers Felt Association et al., 31120Santa Clara County Motor Car Dealers Association, 31120Supermarket Development Corp. et al., 31120Upjohn Co. et al., 31120–31121

Financial Management ServiceSee Fiscal Service

Fiscal ServicePROPOSED RULESMarketable book-entry Treasury bills, notes, and bonds; sale

and issue; uniform offering circular; amendments,31072–31073

Fish and Wildlife ServiceRULESEndangered and threatened species:

Maguire daisy, 31054–31058NOTICESEndangered and threatened species permit applications,

31144

Food and Consumer ServiceNOTICESAgency information collection activities:


Food and Drug AdministrationRULESAnimal drugs, feeds, and related products:

New drug applications—Neomycin sulfate soluble powder, 31027Oxytetracycline injecion, 31027–31028Spectinomycin injection, 31028

NOTICESFood additive petitions:

General Electric Co., 31141

General Accounting OfficeNOTICESMeetings:

Federal Accounting Standards Advisory Board, 31121

General Services AdministrationNOTICESFederal Acquisition Regulation (FAR):


Health and Human Services DepartmentSee Centers for Disease Control and PreventionSee Children and Families AdministrationSee Food and Drug AdministrationSee Health Care Financing AdministrationSee Health Resources and Services Administration

Health Care Financing AdministrationNOTICESAgency information collection activities:

Proposed collection; comment request, 31141–31142Submission for OMB review; comment request, 31142

Health Resources and Services AdministrationNOTICESAgency information collection activities:

Proposed collection; comment request, 31143

Housing and Urban Development DepartmentNOTICESOrganization, functions, and authority delegations:

Native American Programs Field Office Administrators,31143–31144

Interior DepartmentSee Fish and Wildlife ServiceSee Land Management BureauSee National Park ServiceSee Surface Mining Reclamation and Enforcement OfficeRULESAcquisition regulations:

Forms; CFR part removed, 31053–31054Solicitation provisions and contract clauses, 31053

International Trade AdministrationNOTICESInternational buyer program; domestic trade shows support,

31384–31385

VI Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Contents

International Trade CommissionNOTICESImport investigations:

Agricultural tractors under 50 power take-off horsepower,31148

Dynamic random access memory controllers, multi-layerintegrated circuits, chipsets and products containingsame, 31148–31149

Flash memory circuits and products containing same,31149

Hardware logic emulation systems and components,31149

Justice DepartmentSee Federal Prison Industries

Labor DepartmentSee Employment and Training AdministrationNOTICESAgency information collection activities:


Grants and cooperative agreements; availability, etc.:Women in Apprenticeship and Nontraditional

Occupations Act; demonstration program, 31152–31163

Organization, functions, and authority delegations:Deputy Assistant Secretary, 31164

Land Management BureauNOTICESAlaska Native claims selection:

Cook Inlet Area, Inc., 31144–31145Environmental statements; availability, etc.:

Expanded Moxa Arch Area, WY; natural gas developmentproject, 31145

Realty actions; sales, leases, etc.:Arizona, 31145–31146

Mine Safety and Health Federal Review CommissionSee Federal Mine Safety and Health Review Commission

National Aeronautics and Space AdministrationNOTICESFederal Acquisition Regulation (FAR):


Meetings:International Space Station Advisory Committee, 31169

National Highway Traffic Safety AdministrationPROPOSED RULESMotor vehicle safety standards:

School bus manufacturers and school transportationproviders; public meeting, 31086–31087

NOTICESMotor vehicle safety standards:

Nonconforming vehicles—Importation eligibility; determinations, 31216–31222

Speed limit enforcement certification:National maximum speed limit repeal; study of

associated State costs and benefits, 31212–31216

National Oceanic and Atmospheric AdministrationRULESFishery conservation and management:

Alaska; fisheries of Exclusive Economic Zone; Federalregulatory reform, 31228–31304

National Park ServiceNOTICESEnvironmental statements; availability, etc.:

Denali National Park and Preserve, AK, 31146–31147

Nuclear Regulatory CommissionNOTICESMetric system conversion; policy statement, 31169–31171Operating licenses, amendments; no significant hazards

considerations; biweekly notices, 31171–31192

Occupational Safety and Health Review CommissionNOTICESMeetings; Sunshine Act, 31192

Public Health ServiceSee Centers for Disease Control and PreventionSee Food and Drug AdministrationSee Health Resources and Services Administration

Railroad Retirement BoardNOTICESMeetings; Sunshine Act, 31192

Rural Utilities ServiceNOTICESElectric loans:

Quarterly municipal interest rates, 31089

Securities and Exchange CommissionNOTICESAgency information collection activities:

Proposed collection; comment request, 31192–31193Submission for OMB review; comment request, 31193

Self-regulatory organizations:Clearing agency registration applications—

Cedel Bank; exemption, 31201–31207Self-regulatory organizations; proposed rule changes:

Municipal Securities Rulemaking Board, 31207–31208New York Stock Exchange, Inc., 31208–31209

Applications, hearings, determinations, etc.:Fortis Benefits Insurance Co. et al., 31193–31197Medicore, Inc., 31197Sirrom Capital Corp., 31197–31200Templeton Global Utilities, Inc., 31200–31201

Small Business AdministrationNOTICESMeetings; district and regional advisory councils:

Connecticut, 31209

Social Security AdministrationRULESSupplemental security income:

Aged, blind, and disabled—Vocational rehabilitation services payments, 31022–

31027

Surface Mining Reclamation and Enforcement OfficePROPOSED RULESPermanent program and abandoned mine land reclamation

plan submissions:Virginia, 31071–31072


Proposed collection; comment request, 31147

VIIFederal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Contents

Surface Transportation BoardNOTICESRailroad operation, acquisition, construction, etc.:

Sheffield Station Junction Railway, 31222Railroad services abandonment:

Missouri Pacific Railroad Co., 31222–31223

Transportation DepartmentSee Coast GuardSee Federal Aviation AdministrationSee Federal Highway AdministrationSee Federal Railroad AdministrationSee National Highway Traffic Safety AdministrationSee Surface Transportation BoardNOTICESCommittees; establishment, renewal, termination, etc.:

Commercial Space Transportation Advisory Board,31209–31210

Treasury DepartmentSee Alcohol, Tobacco and Firearms BureauSee Fiscal ServiceNOTICESOrganization, functions, and authority delegations:

Director, Tax Advisory Program for Central and EasternEurope and Former Soviet Union, et al., 31223

United States Institute of PeaceNOTICES‘rants and cooperative agreements; availability, etc.:

Peaceful resolution of international conflict, projects topromote, 31224

Separate Parts In This Issue

Part IIDepartment of Commerce, National Oceanic and

Atmospheric Administration, 31228–31304

Part IIIDepartment of Agriculture, Agricultural Marketing Service,

31306–31322

Part IVDepartment of Transportation, Federal Aviation

Administration, 31324–31329

Part VDepartment of Transportation, Coast Guard, 31332–31347

Part VIDepartment of Education, 31350–31355

Part VIIDepartment of Education, 31358–31362

Part VIIIDepartment of Education, 31364–31382

Part IXDepartment of Commerce, International Trade

Administration, 31384–31385

Reader AidsAdditional information, including a list of public laws,telephone numbers, reminders, and finding aids, appears inthe Reader Aids section at the end of this issue.

Electronic Bulletin BoardFree Electronic Bulletin Board service for Public Lawnumbers, Federal Register finding aids, and a list ofdocuments on public inspection is available on 202–275–1538 or 275–0920.

CFR PARTS AFFECTED IN THIS ISSUE

A cumulative list of the parts affected this month can be found in theReader Aids section at the end of this issue.

VIII Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Contents

7 CFR301...................................31003911...................................31004915...................................31004916...................................31006917...................................31006946...................................31006999...................................3100614 CFR1.......................................3132433.....................................3132439 (2 documents) ...........31007,

3100971 (10 documents) .........31013,

31014, 31015, 31016, 31017,31018, 31019, 31020

73 (2 documents) ...........31021,31022

Proposed Rules:39 (2 documents) ...........31059,

3106171 (7 documents) ...........31063,

31064, 31066, 31067, 31068,31069

15 CFR902...................................3122820 CFR404...................................31022416...................................3102221 CFR520...................................31027522 (2 documents) .........31027,

31028556...................................3102827 CFR24.....................................3102970.....................................31029170...................................3102930 CFRProposed Rules:946...................................3107131 CFRProposed Rules:356...................................3107234 CFR535...................................31350562...................................31350668...................................31035685...................................3135840 CFR52 (2 documents) ............31035180 (3 documents) .........31037,

31039, 31041, 31042Proposed Rules:52.....................................31073180 (6 documents) .........31073,

31075, 31077, 31079, 31081185...................................3108146 CFRProposed Rules:10.....................................3133215.....................................3133247 CFR0.......................................310442.......................................3104415.....................................3104422.....................................3105190.....................................31051101...................................31051Proposed Rules:73 (5 documents) ...........31083,

31084, 31085

48 CFR1452.................................310531453.................................31053

49 CFRProposed Rules:214 (2 documents) ..........31085571...................................31086

50 CFR17.....................................31054671...................................31228672...................................31228673...................................31228675...................................31228676...................................31228677...................................31228679...................................31228

This section of the FEDERAL REGISTERcontains regulatory documents having generalapplicability and legal effect, most of whichare keyed to and codified in the Code ofFederal Regulations, which is published under50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold bythe Superintendent of Documents. Prices ofnew books are listed in the first FEDERALREGISTER issue of each week.

Rules and Regulations Federal Register

31003

Vol. 61, No. 119


DEPARTMENT OF AGRICULTURE

Animal and Plant Health InspectionService

7 CFR Part 301

[Docket No. 91–155–19]

Mediterranean Fruit Fly; Removal ofQuarantined Areas

AGENCY: Animal and Plant HealthInspection Service, USDA.ACTION: Interim rule and request forcomments.

SUMMARY: We are amending theMediterranean fruit fly regulations byremoving the quarantined areas in LosAngeles, Orange, and San BernardinoCounties, CA, from the list ofquarantined areas. We have determinedthat the Mediterranean fruit fly has beeneradicated from these areas and thatrestrictions on the interstate movementof regulated articles from these areas areno longer necessary. As a result of thisaction, there are no longer any areas inthe continental United Statesquarantined because of theMediterranean fruit fly.DATES: Interim rule effective June 14,1996. Consideration will be given onlyto comments received on or before July19, 1996.ADDRESSES: Please send an original andthree copies of your comments toDocket No. 91–155–19, RegulatoryAnalysis and Development, PPD,APHIS, Suite 3C03, 4700 River RoadUnit 118, Riverdale, MD 20737–1238.Please state that your comments refer toDocket No. 91–155–19. Commentsreceived may be inspected at USDA,room 1141, South Building, 14th Streetand Independence Avenue SW.,Washington, DC, between 8 a.m. and4:30 p.m., Monday through Friday,except holidays. Persons wishing toinspect comments are requested to call

ahead on (202) 690–2817 to facilitateentry into the comment reading room.FOR FURTHER INFORMATION CONTACT: Mr.Michael B. Stefan, Operations Officer,Domestic and Emergency Operations,PPQ, APHIS, 4700 River Road Unit 134,Riverdale, MD 20737–1236, (301) 734–8247; or e-mail:[email protected].

SUPPLEMENTARY INFORMATION:

Background

The Mediterranean fruit fly, Ceratitiscapitata (Wiedemann), is one of theworld’s most destructive pests ofnumerous fruits and vegetables. TheMediterranean fruit fly (Medfly) cancause serious economic losses. Heavyinfestations can cause complete loss ofcrops, and losses of 25 to 50 percent arenot uncommon. The short life cycle ofthis pest permits the rapid developmentof serious outbreaks.

In the continental United States,California is the only State whereMedfly has been present in recent years.The Mediterranean fruit fly regulations(contained in 7 CFR 301.78 through301.78–10 and referred to below as theregulations) restrict the interstatemovement of regulated articles fromquarantined areas to prevent the spreadof Medfly to noninfested areas of theUnited States. Since the establishmentof the regulations in 1991, thequarantined areas have included certainportions of Los Angeles, Santa Clara,Orange, Riverside, San Bernardino, SanDiego, and Ventura Counties, CA.Currently, the regulations designateonly portions of Los Angeles, Orange,and San Bernardino Counties, CA, asquarantined for Medfly.

We have determined, based ontrapping surveys conducted by theAnimal and Plant Health InspectionService (APHIS) and California Stateand county agency inspectors, that theMedfly has been eradicated from thequarantined areas in Los Angeles,Orange, and San Bernardino Counties,CA. The last finding of the Medflythought to be associated with theinfestation in these areas was in July1994. Since then, no evidence ofinfestation has been found in theseareas. We are, therefore, removing theseareas from the list of areas in § 301.78–3(c) quarantined because of the Medfly.As a result of this action, there are nolonger any areas in the continental

United States quarantined because ofthe Medfly.

Immediate ActionThe Administrator of the Animal and

Plant Health Inspection Service hasdetermined that there is good cause forpublishing this interim rule withoutprior opportunity for public comment.The areas in California affected by thisdocument were quarantined to preventthe Medfly from spreading tononinfested areas of the United States.Because the Medfly has been eradicatedfrom these areas, and because thecontinued quarantined status of theseareas would impose unnecessaryregulatory restrictions on the public,immediate action is warranted to relieverestrictions.

Because prior notice and other publicprocedures with respect to this actionare impracticable and contrary to thepublic interest under these conditions,we find good cause under 5 U.S.C. 553to make this rule effective less than 30days after publication. We will considercomments that are received within 60days of publication of this rule in theFederal Register. After the commentperiod closes, we will publish anotherdocument in the Federal Register. Itwill include a discussion of anycomments we receive and anyamendments we are making to the ruleas a result of the comments.

Executive Order 12866 and RegulatoryFlexibility Act

This interim rule has been reviewedunder Executive Order 12866. For thisaction, the Office of Management andBudget has waived the review processrequired by Executive Order 12866.

This interim rule affects the interstatemovement of regulated articles fromportions of Los Angeles, Orange, andSan Bernardino Counties, CA. There areapproximately 8,016 small entities thatcould be affected, including 4,449 fruitsellers, 790 nurseries, 1,917 vendors, 32markets, 29 community gardens, 153growers, 14 air cargo warehouses, 19caterers, 112 yard maintenancecompanies, 46 swap meets, 9 packers, 6processors, 399 distributors andwholesalers, and 41 food banks.

These small entities comprise lessthan 1 percent of the total number ofsimilar small entities operating in theState of California. In addition, most ofthese small entities sell regulatedarticles primarily for local intrastate, not

31004 Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Rules and Regulations

interstate, movement, and the sale ofthese articles would not be affected bythis interim regulation.

Therefore, termination of thequarantine in Los Angeles, Orange, andSan Bernardino Counties should have aminimal economic effect on the smallentities operating there. We anticipatethat the economic impact of lifting thequarantine, though positive, will be nomore significant than was the minimalimpact of its imposition.

Under these circumstances, theAdministrator of the Animal and PlantHealth Inspection Service hasdetermined that this action will nothave a significant economic impact ona substantial number of small entities.

Executive Order 12372This program/activity is listed in the

Catalog of Federal Domestic Assistanceunder No. 10.025, and is subject toExecutive Order 12372, which requiresintergovernmental consultation withState and local officials. (See 7 CFR part3015, subpart V.)

Executive Order 12778This rule has been reviewed under

Executive Order 12778, Civil JusticeReform. This rule: (1) Preempts all Stateand local laws and regulations that areinconsistent with this rule; (2) has noretroactive effect; and (3) does notrequire administrative proceedingsbefore parties may file suit in courtchallenging this rule.

Paperwork Reduction ActThis rule contains no new

information collection or recordkeepingrequirements under the PaperworkReduction Act of 1995 (44 U.S.C. 3501et seq.).

List of Subjects in 7 CFR Part 301Agricultural commodities, Plant

diseases and pests, Quarantine,Reporting and recordkeepingrequirements, Transportation.

Accordingly, 7 CFR part 301 isamended as follows:

PART 301—DOMESTIC QUARANTINENOTICES

1. The authority citation for 7 CFRpart 301 continues to read as follows:

Authority: 7 U.S.C. 150bb, 150dd, 150ee,150ff, 161, 162, and 164–167; 7 CFR 2.22,2.80, and 371.2(c).

2. In § 301.78–3, paragraph (c) isrevised to read as follows:

§ 301.78–3 Quarantined areas.

* * * * *(c) The areas described below are

designated as quarantined areas:

Mediterranean fruit fly is not known toexist in the continental United States.

Done in Washington, DC, this 14th day ofJune 1996.Lonnie L. King,Administrator, Animal and Plant HealthInspection Service.[FR Doc. 96–15582 Filed 6–18–96; 8:45 am]BILLING CODE 3410–34–P

Agricultural Marketing Service

7 CFR Parts 911 and 915

[Docket No. FV96–911–4IFR]

Limes and Avocados Grown in Florida;Relaxation of Container MarkingRequirements

AGENCY: Agricultural Marketing Service,USDA.ACTION: Interim final rule with requestfor comments.

SUMMARY: This interim final rule relaxesthe container marking requirements forlimes and avocados packed under theFederal marketing orders for limes andavocados grown in Florida. Thisrelaxation reduces the number of limeand avocado containers required to bemarked with the lot stamp number. Thisrule reduces handling costs andprovides more flexibility in lime andavocado packing operations.DATES: Effective June 20, 1996;comments received by July 19, 1996 willbe considered prior to issuance of a finalrule.ADDRESSES: Interested persons areinvited to submit written commentsconcerning this rule. Comments must besent in triplicate to the Docket Clerk,Fruit and Vegetable Division, AMS,USDA, room 2525–S, P.O. Box 96456,Washington, DC 20090–6456, Fax #(202) 720–5698. All comments shouldreference the docket number and thedate and page number of this issue ofthe Federal Register and will be madeavailable for public inspection in theOffice of the Docket Clerk during regularbusiness hours.FOR FURTHER INFORMATION CONTACT:Aleck Jonas, Marketing Specialist,Southeast Marketing Field Office,Marketing Order AdministrationBranch, F&V, AMS, USDA, P.O. Box2276, Winter Haven, Florida 33883;telephone: (941) 299–4770; or BritthanyBeadle, Marketing Specialist, MarketingOrder Administration Branch, F&V,AMS, USDA, room 2522–S, P.O. Box96456, Washington, DC 20090–6456:telephone: (202) 720–3923.SUPPLEMENTARY INFORMATION: This ruleis issued under Marketing Order Nos.

911 and 915 (7 CFR parts 911 and 915),as amended, regulating the handling oflimes and avocados grown in Florida,hereinafter referred to as the ‘‘orders.’’These orders are effective under theAgricultural Marketing Agreement Actof 1937, as amended (7 U.S.C. 601–674),hereinafter referred to as the ‘‘Act.’’

The Department of Agriculture(Department) is issuing this rule inconformance with Executive Order12866.

This rule has been reviewed underExecutive Order 12778, Civil JusticeReform. This rule is not intended tohave retroactive effect. This rule willnot preempt any State or local laws,regulations, or policies, unless theypresent an irreconcilable conflict withthis rule.

The Act provides that administrativeproceedings must be exhausted beforeparties may file suit in court. Undersection 608c(15)(A) of the Act, anyhandler subject to an order may filewith the Secretary a petition stating thatthe order, any provision of the order, orany obligation imposed in connectionwith the order is not in accordance withlaw and request a modification of theorder or to be exempted therefrom. Ahandler is afforded the opportunity fora hearing on the petition. After thehearing the Secretary would rule on thepetition. The Act provides that thedistrict court of the United States in anydistrict in which the handler is aninhabitant, or has his or her principalplace of business, has jurisdiction toreview the Secretary’s ruling on thepetition, provided an action is filed notlater than 20 days after date of the entryof the ruling.

Pursuant to requirements set forth inthe Regulatory Flexibility Act (RFA), theAgricultural Marketing Service (AMS)has considered the economic impact ofthis action on small entities.

The purpose of the RFA is to fitregulatory actions to the scale ofbusiness subject to such actions in orderthat small businesses will not be undulyor disproportionately burdened.Marketing orders issued pursuant to theAct, and rules issued thereunder, areunique in that they are brought aboutthrough group action of essentiallysmall entities acting on their ownbehalf. Thus, both statutes have smallentity orientation and compatibility.

There are approximately 10 handlersof limes and 65 handlers of avocadoswho are subject to regulation under therespective marketing order andapproximately 40 lime and 100 avocadoproducers in the regulated areas. Smallagricultural service firms are defined bythe Small Business Administration (13CFR 121.601) as those having annual

31005Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Rules and Regulations

receipts of less than $5,000,000, andsmall agricultural producers are definedas those whose annual receipts are lessthan $500,000. The majority of thesehandlers and producers may beclassified as small entities.

Under the terms of the marketingorders, fresh market shipments ofFlorida limes and avocados are requiredto be inspected and are subject to grade,size, maturity, pack and containerrequirements. Current requirementsinclude specifications that allauthorized containers of limes andavocados shall be plainly marked witha Federal-State Inspection lot stampnumber corresponding to the lotinspection conducted by an authorizedinspector.

This rule changes the containermarking requirements currently issuedunder the orders. This rule relaxes thelot stamping requirements on containersof limes and avocados that have beenpalletized prior to block inspections.The Florida Lime and AvocadoAdministrative Committees(committees), the agencies responsiblefor local administration of the marketingorders, met on March 13, 1996, andrecommended this action by unanimousvote.

The marketing orders authorize under§ 911.48 and § 915.51 the establishmentof container marking requirements.Sections 911.311(b) and 915.306(a)(4)(5)of the rules and regulations outline thelot stamp number container markingrequirements for fresh limes andavocados packed under the orders.

There are two basic types ofinspection in the industry; in-line andblock. In-line inspection is performedduring the packing process, prior topalletization and storage. In blockinspection, the inspection occurs afterthe pallets have been packed, strapped,and placed in storage. Large handlingfacilities tend to have inspectors on sitewhen they are packing. These facilitiesuse in-line inspection which allows thecontainers to be lot stamped prior tobeing palletized. Smaller handlingfacilities do not run enough fruit tojustify the continuous presence of aninspector. Therefore, they call for ablock inspection after a lot is run,palletized and ready to ship. Requiringthe inspector to lot stamp eachcontainer necessitates tearing down allthe pallets. This results in significantcost and loss of time.

The committees recommendedrelaxing the number of containersrequired to be marked with the lotstamp number to assist small handlers.This relaxation revises the lot stampingrequirements for containers that havebeen palletized prior to inspection.

Under this change, all exterior, exposedboxes, on all four sides of a pallet, willbe lot stamped, rather than each box.The committees anticipate that thisrecommended relaxation would avoidprohibitive costs to small handlers.

Less than 25 percent of all lime andavocado shipments are shipped by smallpacking houses using block inspection.Under this revised procedure, most ofthe containers they pack would be lotstamp numbered. The center tiers ofrandomly selected pallets are inspectedby the Federal-State Inspection Servicefor all marketing order requirements.The committees’ recommendation torelax the container marking requirementwould not lower the number ofcontainers being inspected.

Several other alternatives weresuggested during the public meeting.One alternative discussed by thecommittees was to require all containersto continue to be lot stamp numbered.Maintaining the requirement for lotstamp numbers to be placed on allcontainers would not address theburden placed on small handlers. Thatburden includes higher handler laborcosts, slower handler operations,increased handler restrapping costs, aswell as increased inspection costs. Itwas the consensus of the committeesthat the current requirement is costprohibitive as each block-inspectedpallet needs to be manually pulled apartto enable the lot stamp number to beplaced on the center tier containers.

Another alternative suggested was toeliminate the block-inspection methodand require all handlers to use the in-line inspection method. During in-lineinspection, containers would bestamped with the lot stamp numberprior to being stacked on the pallet. Thiswould have a serious financial impacton the industry, especially among smallhandlers, due to a large increase ininspection costs. This suggestion wasunacceptable to the industry as it wouldbe cost prohibitive and could forcesmall handlers out of business.

This rule relaxes the lot stampingrequirements on containers of limes andavocados that have been palletized priorto block inspection. Smaller handlingfacilities are the primary users of blockinspection and will benefit from the costsavings of this relaxation. Therefore, theAMS has determined that this actionwill not have a significant economicimpact on a substantial number of smallentities.

Section 8(e) of the Act requires thatwhenever grade, size, quality ormaturity requirements are in effect forcertain commodities under a domesticmarketing order, including limes andavocados, imports of that commodity

must meet the same or comparablerequirements. This rule changes thecontainer marking requirementscurrently issued under the orders.Therefore, no change is necessary in thelime and avocado import regulations asa result of this action to relax the lotstamp number requirement.

After consideration of all relevantmaterial presented, including thecommittees’ recommendation, and otheravailable information, it is found thatthis interim final rule, as hereinafter setforth, will tend to effectuate thedeclared policy of the Act.

Pursuant to 5 U.S.C. 553, it is alsofound and determined upon good causethat it is impracticable, unnecessary,and contrary to the public interest togive preliminary notice prior to puttingthis rule into effect and that good causeexists for not postponing the effectivedate of this rule until 30 days afterpublication in the Federal Registerbecause: (1) Handlers are currentlyshipping limes and avocados; (2) thecommittees unanimously recommendedthis rule at public meetings and allinterested persons had an opportunityto provide input; (3) this rule relaxescontainer marking requirements; (4)Florida lime and avocado handlers areaware of this rule and need noadditional time to comply with therelaxed requirements; and (5) this ruleprovides a 30-day comment period andany comments received will beconsidered prior to finalization of thisrule.

List of Subjects

7 CFR Part 911Marketing agreements, Limes,

Reporting and recordkeepingrequirements.

7 CFR Part 915Marketing agreements, Avocados,

Reporting and recordkeepingrequirements.

For the reasons set forth in thepreamble, 7 CFR Parts 911 and 915 areamended as follows:

1. The authority citation for both 7CFR parts 911 and 915 continues to readas follows:

Authority: 7 U.S.C. 601–674.

PART 911—LIMES GROWN INFLORIDA

2. Section 911.311 is amended byrevising paragraph (b) to read as follows:

§ 911.311 Florida lime pack and containermarking regulation.

* * * * *(b) No handler shall handle any limes

grown in the production area in any


container specified in § 911.329 unlesssuch container is marked with aFederal-State Inspection Service lotstamp number showing that the limeshave been inspected in accordance withregulations issued under § 911.48 of themarketing order: Provided, That wheninspection occurs after palletization,only all exposed or outside containers oflimes must be plainly marked with thelot stamp number corresponding to thelot inspection conducted by anauthorized inspector.* * * * *

PART 915—AVOCADOS GROWN INSOUTH FLORIDA

3. In § 915.306, paragraph (a)(4) isrevised to read as follows:

§ 915.306 Florida avocado grade, pack,and container marking regulation.

(a) * * *(4) Such avocados are in containers

marked with a Federal-State InspectionService lot stamp number, whenhandled in containers authorized under§ 915.305: Provided, That wheninspection occurs after palletization,only all exposed or outside containers ofavocados must be plainly marked withthe lot stamp number corresponding tothe lot inspection conducted by anauthorized inspector.* * * * *

Dated: June 13, 1996.Sharon Bomer Lauritsen,Acting Director, Fruit and Vegetable Division.[FR Doc. 96–15627 Filed 6–18–96; 8:45 am]BILLING CODE 3410–02–P


[Docket No. FV95–916–4C]

Nectarines and Peaches Grown inCalifornia; Revision of HandlingRequirements for Fresh Nectarinesand Peaches

AGENCY: Agriculutural MarketingService, USDA.ACTION: Interim final rule; correction.

SUMMARY: This document contains acorrection to the interim final rulepublished on March 27, 1996,concerning nectarines and peachesgrown in California.EFFECTIVE DATE: April 1, 1996.FOR FURTHER INFORMATION CONTACT:Kenneth Johnson, Marketing Specialist,Marketing Order AdministrationBranch, Fruit and Vegetable Division,AMS, USDA, P.O. Box 96456, Room2523–S, Washington, DC 20090–6456;telephone: (202) 720–2861; or TerryVawter, Marketing Specialist, California

Marketing Field Office, Marketing OrderAdministration Branch, Fruit andVegetable Division, AMS, USDA, 2202Monterey Street, Suite 102B, Fresno,California, 93721; telephone: (209) 487–5901.


BackgroundThis rule revises handling

requirements for California nectarinesand peaches under Marketing Orders916 and 917 for the 1996 season. Thisinterim final rule enables handlers tocontinue shipping fresh nectarines andpeaches meeting consumer needs in theinterest of producers, handlers, andconsumers of these fruits.

Need for CorrectionIn the interim final rule, FR Doc. 96–

7438, published March 27, 1996, theRoyal Glo nectarine variety wasinadvertently placed under the incorrectminimum size requirement and is inneed of correction.

Correction of PublicationAccordingly, in FR Doc. 96–7438,

page 13392, first column, the words‘‘Royal Glo’’, are removed from§ 916.356(a)(6) and added to§ 916.356(a)(4) immediately followingthe words ‘‘Rose Diamond.’’

Dated: June 12, 1996.Robert C. Keeney,Director, Fruit and Vegetable Division.[FR Doc. 96–15519 Filed 6–18–96; 8:45 am]BILLING CODE 3410–02–M

7 CFR Part 946

[FV96–946–1FR]

Irish Potatoes Grown in Washington;Modification of the Minimum SizeRequirements

AGENCY: Agricultural Marketing Service,USDA.ACTION: Final rule.

SUMMARY: This final rule reduces theminimum diameter requirement from 2–1/8 inches to 2 inches for Russet typevarieties of Washington potatoesshipped during the July 15 throughAugust 31 period each season. Potatovarieties currently being grown forshipment during this period are similarin shape to those grown for marketingduring the balance of the season.Reducing the minimum diameterrecognizes this similarity and enableshandlers to market a larger portion ofthe crop in fresh outlets. This changeshould improve the marketing ofWashington potatoes and increase

returns to producers as well as provideconsumers with increased supplies ofpotatoes.EFFECTIVE DATE: July 15, 1996.FOR FURTHER INFORMATION CONTACT:Dennis L. West, Northwest MarketingField Office, Marketing OrderAdministration Branch, Fruit andVegetable Division, AMS, USDA, 1220SW Third Avenue, room 369, Portland,Oregon 97204–2807; telephone: (503)326–2724 or FAX (503) 326–7440; orRobert F. Matthews, Marketing OrderAdministration Branch, Fruit andVegetable Division, AMS, USDA, P.O.Box 96456, room 2523–S, Washington,D.C. 20090–6456; telephone: (202) 690–0464 or FAX (202) 720–5698.SUPPLEMENTARY INFORMATION: This finalrule is issued under MarketingAgreement No. 113 and MarketingOrder No. 946 (7 CFR part 946), both asamended, regulating the handling ofIrish potatoes grown in Washington,hereinafter referred to as the ‘‘order.’’The order is authorized by theAgricultural Marketing Agreement Actof 1937, as amended, (7 U.S.C. 601–674), hereinafter referred to as the‘‘Act.’’ The State of Washington PotatoCommittee (Committee) is the agencyresponsible for local administration ofthe marketing order program in thedesignated production area.

The Department of Agriculture(Department) is issuing this rule inconformance with Executive Order12866.

This final rule has been reviewedunder Executive Order 12778, CivilJustice Reform. This rule is not intendedto have retroactive effect. This final rulewill not preempt any State or local laws,regulations, or policies, unless theypresent an irreconcilable conflict withthis rule.

The Act provides that administrativeproceedings must be exhausted beforeparties may file suit in court. Undersection 608c(15)(A) of the Act, anyhandler subject to an order may filewith the Secretary a petition stating thatthe order, any provision of the order, orany obligation imposed in connectionwith the order is not in accordance withlaw and request a modification of theorder or to be exempted therefrom. Ahandler is afforded the opportunity fora hearing on the petition. After thehearing the Secretary will rule on thepetition. The Act provides that thedistrict court of the United States in anydistrict in which the handler is aninhabitant, or has his or her principalplace of business, has jurisdiction toreview the Secretary’s ruling on thepetition, provided an action is filed not


later than 20 days after the date of theentry of the ruling.

Pursuant to requirements set forth inthe Regulatory Flexibility Act (RFA), theAgricultural Marketing Service (AMS)has considered the economic impact ofthis action on small entities.

The purpose of the RFA is to fitregulatory actions to the scale ofbusiness subject to such actions in orderthat small businesses will not be undulyor disproportionately burdened.Marketing orders issued pursuant to theAct, and rules issued thereunder, areunique in that they are brought aboutthrough group action of essentiallysmall entities acting on their ownbehalf. Thus, both statutes have smallentity orientation and compatibility.

There are approximately 40 handlersof Washington potatoes that are subjectto regulation under the order andapproximately 450 producers in theregulated production area. Smallagricultural service firms, whichinclude handlers of Washingtonpotatoes, have been defined by theSmall Business Administration (13 CFR121.601) as those whose annual receiptsare less than $5,000,000, and smallagricultural producers are defined asthose whose annual receipts are lessthan $500,000. The majority of potatohandlers and producers regulated underthe marketing agreement and order maybe classified as small entities.

This final rule reduces the minimumdiameter requirement from 21⁄8 inchesto 2 inches for Russet type varieties ofWashington potatoes shipped during theJuly 15 through August 31 period eachseason. This change will enablehandlers to market a larger portion ofthe crop in fresh market outlets. Thisaction is expected to improve themarketing of Washington potatoes andincrease returns to producers. Therefore,the AMS has determined that this actionwill not have a significant economicimpact on a substantial number of smallentities.

Section 946.52 (7 CFR 946.52)authorizes the issuance of regulationsfor grade, size, quality, maturity, andpack for any variety or varieties ofpotatoes grown in different portions ofthe production area during any period.

Size regulations are currently in effectunder section 946.336 in terms ofminimum diameter and minimumweight. All Russet types must be 21⁄8inches minimum diameter or 4 ouncesminimum weight during the period July15 through August 31 each season, and2 inches or 4 ounces during theremainder of the season. This ruleamends section 946.336 by reducing theminimum diameter requirement forRusset type varieties from 21⁄8 inches to

2 inches during the July 15 throughAugust 31 period each season. Thus, the2 inch minimum diameter or 4 ounceminimum weight will apply to Russettype potatoes throughout the entireseason.

At its meeting on February 15, 1996,the Committee unanimouslyrecommended reducing the minimumdiameter requirement for Russet typevarieties to 2 inches during the periodJuly 15 through August 31, when earlycrop shipments are made.

When the current minimum diameterrequirement for Russet type varietieswas established, the Norgold Russet wasthe primary variety being grown for theearly market, i.e., the months of July andAugust. This variety is more round inshape than those varieties grown forshipment later in the season. The newervarieties grown for the early market,such as the Norkotah Russet, are shapedthe same as the varieties traditionallymarketed later in the season. Thus, thereis no need for a larger diameterrequirement for earlier varieties.Therefore, the Committee recommendedthat all Russet type varieties be subjectto the same minimum diameterrequirement throughout the entiremarketing season.

Reducing the minimum diameter willenable handlers to market a largerportion of the crop in fresh marketoutlets. This change is expected toimprove the marketing of Washingtonpotatoes and increase returns toproducers.

The proposed rule concerning thisaction was published in the April 22,1996, Federal Register (61 FR 17587),with a 30-day comment period endingMay 22, 1996. No comments werereceived.

After consideration of all relevantmaterial presented, including theinformation and recommendationssubmitted by the Committee and otheravailable information, it is hereby foundthat this rule, as hereinafter set forth,will tend to effectuate the declaredpolicy of the Act.

Pursuant to 5 U.S.C 553, it is furtherfound that good cause exists for notpostponing the effective date of thisaction until 30 days after publication inthe Federal Register because: (1) Thisaction relaxes size requirements onhandlers and must be effective on July15, 1996, for the handlers to take fulladvantage of the relaxed requirements;(2) a 30-day period for writtencomments was provided on this actionand no comments were received; and (3)delaying the effective date of this actionwill serve no useful purpose.

List of Subjects in 7 CFR Part 946

Marketing agreements, Potatoes,Reporting and recordkeepingrequirements.

For the reasons set forth in thepreamble, 7 CFR part 946 is herebyamended as follows:

PART 946—IRISH POTATOES GROWNIN WASHINGTON


Authority: 7 U.S.C. 601–674.

2. Section 946.336 is amended byrevising paragraph (a)(2)(ii) to read asfollows:

§ 946.336 Handling regulation.

* * * * *(a) * * *(2) * * *(ii) All Russet types, 2 inches (54.0

mm) minimum diameter, or 4 ouncesminimum weight.* * * * *

Dated: June 13, 1996.Sharon Bomer Lauritsen,Acting Director, Fruit and Vegetable Division.[FR Doc. 96–15629 Filed 6–18–96; 8:45 am]BILLING CODE 3410–02–P

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. 93–ANE–64; Amendment 39–9668; AD 96–12–27]

RIN 2120–AA64

Airworthiness Directives; AlliedSignalInc. (formerly Textron Lycoming) LTS101 Series Turboshaft and LTP 101Series Turboprop Engines

AGENCY: Federal AviationAdministration, DOT.ACTION: Final rule.

SUMMARY: This amendment adopts anew airworthiness directive (AD),applicable to AlliedSignal Inc. (formerlyTextron Lycoming) LTS 101 seriesturboshaft and LTP 101 series turbopropengines, that requires removal fromservice of suspect disks for a one-timeinspection of the disk tenon area of thegas generator turbine disk. Thisamendment is prompted by a report ofa gas generator turbine disk tenonfailure. The actions specified by this ADare intended to prevent total loss ofengine power, inflight engine shutdown,and possible damage to the aircraft.DATES: Effective August 19, 1996.


The incorporation by reference ofcertain publications listed in theregulations is approved by the Directorof the Federal Register as of August 19,1996.ADDRESSES: The service informationreferenced in this AD may be obtainedfrom AlliedSignal Engines, 111 South34th Street, Phoenix, AZ 85072;telephone (602) 365–2493, fax (602)365–2210. This information may beexamined at the Federal AviationAdministration (FAA), New EnglandRegion, Office of the Assistant ChiefCounsel, 12 New England ExecutivePark, Burlington, MA; or at the Office ofthe Federal Register, 800 North CapitolStreet, NW., suite 700, Washington, DC.

FOR FURTHER INFORMATION CONTACT:Eugene Triozzi, Aerospace Engineer,Engine Certification Office, FAA, Engineand Propeller Directorate, 12 NewEngland Executive Park, Burlington, MA01803–5299; telephone (617) 238–7148,fax (617) 238–7199.SUPPLEMENTARY INFORMATION: Aproposal to amend part 39 of the FederalAviation Regulations (14 CFR part 39) toinclude an airworthiness directive (AD)that is applicable to AlliedSignal Inc.(formerly Textron Lycoming) LTS 101series turboshaft and LTP 101 seriesturboprop engines was published in theFederal Register on May 15, 1995 (60FR 25869). That action proposed torequire a one-time inspection of the disktenon area of the gas generator turbinedisk in accordance with TextronLycoming Service Bulletin (SB) No. LT101–72–50–0150, dated September 1,1993.

Interested persons have been affordedan opportunity to participate in themaking of this amendment. Nocomments were received on theproposal or the FAA’s determination ofthe cost to the public. The FAA hasdetermined that air safety and thepublic interest require the adoption ofthe rule as proposed.

The FAA estimates that 618 enginesinstalled on aircraft of U.S. registry willbe affected by this AD, that it will takeapproximately 6.5 work hours perengine to accomplish the requiredactions, and that the average labor rateis $60 per work hour. AlliedSignal Inc.has advised that they will supply disksor rotors on an exchange basis at no costto the operator. Based on these figures,the total cost impact of the AD on U.S.operators is estimated to be $229,896.

The regulations adopted herein willnot have substantial direct effects on theStates, on the relationship between thenational government and the States, oron the distribution of power and

responsibilities among the variouslevels of government. Therefore, inaccordance with Executive Order 12612,it is determined that this final rule doesnot have sufficient federalismimplications to warrant the preparationof a Federalism Assessment.

For the reasons discussed above, Icertify that this action (1) is not a‘‘significant regulatory action’’ underExecutive Order 12866; (2) is not a‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034, February 26, 1979); and (3)will not have a significant economicimpact, positive or negative, on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act. A final evaluation hasbeen prepared for this action and it iscontained in the Rules Docket. A copyof it may be obtained from the RulesDocket at the location provided underthe caption ADDRESSES.

List of Subjects in 14 CFR Part 39Air Transportation, Aircraft, Aviation

safety, Incorporation by reference,Safety.

Adoption of the AmendmentAccordingly, pursuant to the

authority delegated to me by theAdministrator, the Federal AviationAdministration amends part 39 of theFederal Aviation Regulations (14 CFRpart 39) as follows:

PART 39—AIRWORTHINESSDIRECTIVES

1. The authority citation for part 39continues to read as follows:

Authority: 49 U.S.C. 106(g), 40113, 44701.

§ 39.13 [Amended]2. Section 39.13 is amended by

adding the following new airworthinessdirective:96–12–27 AlliedSignal Inc.: Amendment

39–9668. Docket 93–ANE–64.Applicability: AlliedSignal Inc. (formerly

Textron Lycoming) LTS 101 series turboshaftand LTP 101 series turboprop enginesinstalled on but not limited to AerospatialeAS 350 and SA366G, Bell 222, andMesserschmitt-Bolkow-Blohm (MBB) BK117helicopters; and Piaggio P166–DL3 andAirtractor AT302 airplanes.

Note: This airworthiness directive (AD)applies to each engine identified in thepreceding applicability provision, regardlessof whether it has been modified, altered, orrepaired in the area subject to therequirements of this AD. For engines thathave been modified, altered, or repaired sothat the performance of the requirements ofthis AD is affected, the owner/operator mustuse the authority provided in paragraph (b)to request approval from the Federal Aviation

Administration (FAA). This approval mayaddress either no action, if the currentconfiguration eliminates the unsafecondition, or different actions necessary toaddress the unsafe condition described inthis AD. Such a request should include anassessment of the effect of the changedconfiguration on the unsafe conditionaddressed by this AD. In no case does thepresence of any modification, alteration, orrepair remove any engine from theapplicability of this AD.

Compliance: Required as indicated, unlessaccomplished previously.

To prevent total loss of engine power,inflight engine shutdown, and possibledamage to the aircraft, accomplish thefollowing:

(a) Remove from service suspect disks andperform a one-time inspection of the disktenon area of the gas generator turbine disk,and replace, if necessary, with a serviceablepart, in accordance with Textron LycomingService Bulletin (SB) No. LT 101–72–50–0150, dated September 1, 1993, as follows:

(1) For disks with greater than 5,000 cyclessince new (CSN) on the effective date of thisAD, remove within 235 cycles in service(CIS).

(2) For disks with 4,501 to 5,000 CSN onthe effective date of this AD, remove within285 CIS.




(6) For disks with 2,501 to 3,000 CSN onthe effective date of this AD, remove within800 CIS, or prior to accumulating 3,400 CSN,whichever occurs later.

(7) For disks with 2,001 to 2,500 CSN onthe effective date of this AD, remove within1,100 CIS, or prior to accumulating 3,400CSN, whichever occurs later.

(8) For disks with less than 2,000 CSN onthe effective date of this AD, remove prior toaccumulating 3,400 CSN.

(b) An alternative method of compliance oradjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager, EngineCertification Office. The request should beforwarded through an appropriate FAAPrincipal Maintenance Inspector, who mayadd comments and then send it to theManager, Engine Certification Office.

Note: Information concerning the existenceof approved alternative methods ofcompliance with this airworthiness directive,if any, may be obtained from the EngineCertification Office.

(c) Special flight permits may be issued inaccordance with sections 21.197 and 21.199of the Federal Aviation Regulations (14 CFR21.197 and 21.199) to operate the aircraft toa location where the requirements of this ADcan be accomplished.

(d) The actions required by this AD shallbe done in accordance with the following SB:


Docu-mentNo.

Pagesrevision Date

Textron Lycoming, SB No. LT 101–72–50–0150 ......................................................................................... 1–6 Original .... September 1,1993.

Total Pages: 6.

This incorporation by reference wasapproved by the Director of the FederalRegister in accordance with 5 U.S.C.552(a) and 1 CFR part 51. Copies maybe obtained from AlliedSignal Engines,111 South 34th Street, Phoenix, AZ85072; telephone (602) 365–2493, fax(602) 365–2210. Copies may beinspected at the FAA, New EnglandRegion, Office of the Assistant ChiefCounsel, 12 New England ExecutivePark, Burlington, MA; or at the Office ofthe Federal Register, 800 North CapitolStreet NW., suite 700, Washington, DC.

(e) This amendment becomes effectiveon August 19, 1996.

Issued in Burlington, Massachusetts, onJune 3, 1996.James C. Jones,Acting Manager, Engine and PropellerDirectorate, Aircraft Certification Service.[FR Doc. 96–15383 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–U

14 CFR Part 39

[Docket No. 94–NM–195–AD; Amendment39–9671; AD 96–13–03]

RIN 2120–AA64

Airworthiness Directives; McDonnellDouglas Model DC–9 and C–9 (Military)Series Airplanes

AGENCY: Federal AviationAdministration, DOT.ACTION: Final rule.

SUMMARY: This amendment supersedesan existing airworthiness directive (AD),applicable to McDonnell Douglas ModelDC–9 and C–9 (military) seriesairplanes, that currently requires theimplementation of a program ofstructural inspections to detect andcorrect fatigue cracking in order toensure the continued airworthiness ofthese airplanes as they approach themanufacturer’s original fatigue designlife goal. This amendment requires,among other things, revision of theexisting program to require additionalvisual inspections of additionalstructure. This amendment is promptedby new data submitted by themanufacturer indicating that certainrevisions to the program are necessaryin order to increase the confidence levelof the statistical program to ensure

timely detection of cracks in variousairplane structures. The actionsspecified by this AD are intended toprevent fatigue cracking that couldcompromise the structural integrity ofthese airplanes.DATES: Effective July 24, 1996.

The incorporation by reference ofMcDonnell Douglas Report No. L26–008, ‘‘DC–9 Supplemental InspectionDocument (SID),’’ Volume III–95, datedSeptember 1995, as listed in theregulations is approved by the Directorof the Federal Register as of July 18,1996.

The incorporation by reference ofMcDonnell Douglas Report No. L26–008, ‘‘DC–9 Supplemental InspectionDocument (SID),’’ Volume III–92, datedJuly 1992, was approved previously bythe Director of the Federal Register inaccordance with 5 U.S.C. 552(a) and 1CFR part 51 as of March 14, 1994 (59 FR6538, February 11, 1994).ADDRESSES: The service informationreferenced in this AD may be obtainedfrom McDonnell Douglas Corporation,3855 Lakewood Boulevard, Long Beach,California 90846, Attention: TechnicalPublications Business Administration,Department C1–L51 (2–60). Thisinformation may be examined at theFederal Aviation Administration (FAA),Transport Airplane Directorate, RulesDocket, 1601 Lind Avenue, SW.,Renton, Washington; or at the FAA, LosAngeles Aircraft Certification Office,Transport Airplane Directorate, 3960Paramount Boulevard, Lakewood,California; or at the Office of the FederalRegister, 800 North Capitol Street, NW.,suite 700, Washington, DC.FOR FURTHER INFORMATION CONTACT: SolDavis or David Hsu, AerospaceEngineers, Airframe Branch, ANM–120L, FAA, Transport AirplaneDirectorate, Los Angeles AircraftCertification Office, 3960 ParamountBoulevard, Lakewood, California90712–4137; telephone (310) 627–5233for Mr. Davis, or (310) 627–5323 for Mr.Hsu; fax (310) 627–5210.SUPPLEMENTARY INFORMATION: Aproposal to amend part 39 of the FederalAviation Regulations (14 CFR part 39)by superseding AD 94–03–01,amendment 39–8807 (59 FR 6538,February 11, 1994), which is applicableto certain McDonnell Douglas Model

DC–9 and C–9 (military) seriesairplanes, was published as asupplemental notice of proposedrulemaking (NPRM) in the FederalRegister on January 9, 1996 (61 FR 637).The action proposed to requireadditional visual inspections of certainPrincipal Structural Elements (PSE’s) oncertain airplanes listed in the StructuralInspection Document (SID) planningdata; a revision of the reportingrequirements; an increase in the samplesize for one PSE; and deletion of therequirement to perform certain visualinspections of the Fleet Leader OperatorSampling (FLOS) Principal StructuralElements (PSE).

Interested persons have been affordedan opportunity to participate in themaking of this amendment. Dueconsideration has been given to thecomments received.

Support for the ProposalOne commenter supports the

proposed rule.

Request To Extend the ComplianceTime

One commenter requests that thecompliance time for incorporating theSID revision into the FAA-approvedmaintenance inspection program beextended from the proposed 6 months to1 year. This commenter also requests acorresponding increase in thecompletion end dates for each PSEinspection. The commenter states that itwould have to special schedule its fleetof airplanes to accomplish this programwithin the proposed compliance time;this would entail considerableadditional expenses and scheduledisruptions. Further, this commenterpoints out that the SID program isbecoming a larger and larger burden toairlines.

The FAA does not concur with thecommenter’s request to extend thecompliance time. The FAA finds thatchanges in the program that aredescribed in Volume III–92 and VolumeIII–95 of McDonnell Douglas Report No.L26–008, and required by this AD,introduce relatively minor changes tothe overall scope of the DC–9 SIDprogram. In addition, the FAA pointsout that Volume III–95 deletes the FLOSvisual inspections that were previouslyrequired by AD 94–03–01 and, thereby,


reduces the number of inspectionsrequired to be performed under theprogram. With regard to these changes,the FAA cannot agree with thecommenters assertion the SID and, thus,this AD are becoming a ‘‘larger burden’’for operators.

Further, the proposed compliancetime of 6 months was arrived at with theprevious concurrence of affectedoperators, manufacturers, and the FAA.In light of these items, and inconsideration of the amount of time thathas already elapsed since issuance ofthe original notice, the FAA hasdetermined that further delay of theimplementation of the requirements ofthis final rule action is not appropriate.However, paragraph (d) of the final ruledoes provide affected operators theopportunity to apply for an adjustmentof the compliance time if adequate dataare presented to the FAA to justify suchan adjustment.

Request To Revise Inspections to 100Percent

One commenter requests that the PSEinspections be changed from samplingto 100 percent inspections. Thecommenter considers that this wouldeliminate the continual changes everyyear; thus, the program would be moremanageable and straightforward. Inaddition, the commenter states that thiswould simplify scheduling of the SIDinspections, which would streamlinethe program by reducing the workloadfor all parties concerned.

The FAA does not concur that arevision to the AD is necessary. Theinspections in the McDonnell DouglasSID programs were established usingspecific criteria for determining whethera PSE should be defined as FLOS, FleetLeader Sample (FLS), or 100 percent.The manufacturer established thesecriteria only after extensive and detailedconsultations with large numbers ofoperators and with the FAA. The FAAfinds that the 100 percent inspectionsare only necessary if an insufficientnumber of samples exists in theoperator’s sample size to use samplingconcepts. However, if an operator has asufficient number of samples and electsto accomplish 100 percent inspections,it is the operator’s prerogative to do so.

Request To Permit Repairs inAccordance With SRM or DERApproval

Two commenters request thatproposed paragraph (c) be revised topermit repair of any cracked structure ina PSE found during any inspection (i.e.,a non-mandated or unscheduledinspection) to be accomplished inaccordance with the FAA-approved

Structural Repair Manual (SRM) or theDesignated Engineering Representatives(DER) of the McDonnell DouglasCorporation. One of these commentersstates that the current procedure foraccomplishing the repair in accordancewith a method ‘‘approved by the FAA’’takes too long, adversely impacts workscheduling, and delays scheduleddeparture of airplanes.

The FAA does not concur with thecommenters’ request to revise paragraph(c) of this AD. While DER’s areauthorized to determine whether adesign or repair method complies witha specific requirement, they are notauthorized to make the discretionarydetermination as to what the applicablerequirement is. Further, the SIDprogram is based upon cooperationbetween aircraft operators, the FAA, andthe manufacturer. The SID programfunctions most effectively in detectingfatigue cracks if all findings of fatiguecracking are reported to McDonnellDouglas as required by this AD. It iscrucial that the FAA, as well asMcDonnell Douglas, be aware of allrepairs made to PSE’s.

Further, every repair of PSE structurerequires a damage tolerance assessment(DTA) to be performed (of the repair) inorder to establish its effect on the fatiguelife of the affected structure. The DTAprocess involves the review and use oftype design data that are proprietary andmay not be available to those persons(such as a DER) who are generallyauthorized to approve routine repairs.For this reason, it is appropriate that theManager of the Los Angeles AircraftCertification Office (ACO) be the focalpoint in the DTA approval process.

In some cases, repairs are made toPSE structure as a result of cracking thatwas found during an opportunityinspection (i.e., non-mandated orunscheduled inspection), and theapproval of the repair is made withoutthe coordination of the manufacturer orthe Los Angeles ACO. When the timearrives for that PSE to be inspected inaccordance with the AD, the PSEbecomes a ‘‘discrepant PSE.’’ If a DTAwere not accomplished on the‘‘discrepant PSE’’ at the time of therepair, compliance with the AD couldrequire that the repair be removed orreworked at a later time. In either case,the Manager of the Los Angeles ACO istasked to ensure that all repairs tocracked PSE’s comply with the AD.

The FAA considers that any repair tocracked PSE’s without the required DTAcan only be classified as ‘‘interim’’ or‘‘temporary,’’ and will eventuallyrequire coordination with the Managerof the Los Angeles ACO. Most methodsof repair specified in the DC–9

Structural Repair Manual, the relevantservice bulletins, or DER-designedrepairs do not include a continuinginspection program to ensure that therepair is inspected at an acceptable levelof safety. A DTA can be done mosteasily at the time of repair, rather thanat a later date when the details of therepair may be hard to obtain and,undoubtedly, would be more costly.Currently, the Manager and staff of theLos Angeles ACO are working veryclosely with the manufacturer toexpedite interim repair approvalrequests. Such requests may be madeunder the provisions of paragraph (d) ofthe final rule.

Request for Clarification of RepairRequirements

One commenter requests clarificationas to what area of the subject structureis required to be repaired in accordancewith a method approved by the FAA.The commenter notes that McDonnellDouglas maintains that the secondarystructure in the general area of the PSEis not part of the PSE inspection;therefore, repair of this area does notrequire FAA approval if the area isfound cracked during a SID inspection.McDonnell Douglas also indicates thatits DER’s have been given authority bythe FAA to approve repairs forlongerons 16 and 17 over the forwardand aft cargo doors (PSE 53.09.001 and53.09.035).

The FAA finds that clarification ofthis point is necessary. The FAA pointsout that the SID program and this AD donot use the term ‘‘secondary’’ structurewhen referring to the PSE’s. Volume 1,Section 1, of MDC Report No. L26–008defines a PSE as structure whose failure,if it remained undetected, could lead tothe loss of the airplane. The physicalboundaries of PSE’s are clearly definedin Volume 1, Sections 2 and 3, of theSID, MDC Report No. L26–008.Accordingly, the FAA considers that therepair requirements of paragraph (c) ofthe AD are not limited only to certainparts of the PSE’s, as implied by thecommenter, but rather to any crack thatis found within the physical boundariesof any PSE. Therefore, the FAA findsthat any cracked structure, including thefollowing cracks, must be repaired inaccordance with a method approved bythe Manager, Los Angeles ACO.

• Any crack that is found inlongerons 16 and 17 within the shadedarea between STA. 362.500 and STA.434.500 of PSE 53.09.001 (for ModelDC–9–30, –40, and –50 series airplanes)

• Any crack that is found inlongerons 16 and 17 within the shadedarea between STA. 710.500 and STA.


766.000 of PSE 53.09.035 (for ModelDC–9–10, and –20 series airplanes)

Request To Eliminate Duplication ofReporting of Existing Repairs

This same commenter requests thatthe proposed rule be revised toeliminate the duplication of reporting ofexisting repairs from one inspectioninterval to the next. The commenterpoints out that the proposed rule wouldrequire that all existing repairs in thePSE area must be reported to McDonnellDouglas, along with details of eachrepair.

The FAA does not consider that anyaction is necessary since the rule doesnot require reporting relevant to existingrepairs. However, paragraphs (a)(3) and(b)(3) of the AD do require that allinspection results (negative or positive)be reported to McDonnell Douglas.

Request To Refer to ‘‘or Later FAA-Approved Revisions’’ of the SID

One commenter requests that theproposed rule be revised to include thephrase, ‘‘or later FAA-approvedrevisions,’’ when referring to the SIDdocument. The commenter states thatthis would allow operators to revisetheir programs whenever a new revisionto the SID is released, and wouldeliminate the FAA’s need to supersedethe existing AD time and again as newrevisions of the SID are issued.

The FAA does not concur. To use thephrase, ‘‘or later FAA-approvedrevisions,’’ in an AD when referring tothe service document, violates Office ofthe Federal Register (OFR) regulationsregarding approval of materials‘‘incorporated by reference’’ in rules. Ingeneral terms, these OFR regulationsrequire that either the service documentcontents be published as part of theactual AD language; or that the servicedocument be submitted for approval bythe OFR as ‘‘referenced’’ material, inwhich case it may be only referred to inthe text of an AD. The AD may onlyrefer to the service document that wassubmitted and approved by the OFR for‘‘incorporation by reference.’’ In orderfor operators to use later revisions of thereferenced document (issued after thepublication of the AD), either the ADmust be revised to reference the specificlater revisions, or operators mustrequest the approval to use them as analternative method of compliance withthis AD [under the provisions ofparagraph (d)].

Conclusion

After careful review of the availabledata, including the comments notedabove, the FAA has determined that air

safety and the public interest require theadoption of the rule as proposed.

Cost ImpactThere are approximately 889 Model

DC–9 and C–9 (military) series airplanesof the affected design in the worldwidefleet. The FAA estimates that 568airplanes of U.S. registry and 38 U.S.operators will be affected by this AD.

Incorporation of the SID program intoan operator’s maintenance program, asrequired by AD 94–03–01, takesapproximately 1,062 work hours (peroperator) to accomplish, at an averagelabor rate of $60 per work hour. Basedon these figures, the cost to the 38affected U.S. operators of incorporatingthe revised procedures into themaintenance program is estimated to be$2,421,360, or $63,720 per operator.

The incorporation of the revisedprocedures in this AD action willrequire approximately 20 additionalwork hours per operator to accomplish,at an average labor rate of $60 per workhour. Based on these figures, the cost tothe 38 affected U.S. operators toincorporate these revised proceduresinto the SID program is estimated to be$45,600, or $1,200 per operator.

The recurring inspection costs, asrequired by AD 94–03–01, take 362work hours per airplane per year toaccomplish, at an average labor rate of$60 per work hour. Based on thesefigures, the recurring inspection costsrequired by AD 94–01–03 are estimatedto be $12,336,960, or $21,720 perairplane.

The recurring inspection proceduresadded to the program by this AD actionwill not add any new economic burdenon affected operators, since certaininspections are added while others aredeleted.

Based on the figures discussed above,the cost impact of this AD is estimatedto be $12,382,560 for the first year, and$12,336,960 for each year thereafter.These cost impact figures discussedabove are based on assumptions that nooperator has yet accomplished any ofthe requirements of this AD action.However, it can reasonably be assumedthat the majority of the affectedoperators have already initiated the SIDprogram (as required by AD 94–03–01).

Additionally, the number of requiredwork hours for each required inspection(and for the SID program revision), asindicated above, is presented as if theaccomplishment of those actions wereto be conducted as ‘‘stand alone’’actions. However, in actual practice,these actions for the most part will beaccomplished coincidentally or incombination with normally scheduleairplane inspections and other

maintenance program tasks. Therefore,the actual number of necessaryadditional work hours will be minimalin many instances. Further, any costassociated with special airplanescheduling can be expected to beminimal.

Regulatory Impact

The regulations adopted herein willnot have substantial direct effects on theStates, on the relationship between thenational government and the States, oron the distribution of power andresponsibilities among the variouslevels of government. Therefore, inaccordance with Executive Order 12612,it is determined that this final rule doesnot have sufficient federalismimplications to warrant the preparationof a Federalism Assessment.

For the reasons discussed above, Icertify that this action (1) Is not a‘‘significant regulatory action’’ underExecutive Order 12866; (2) is not a‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034, February 26, 1979); and (3)will not have a significant economicimpact, positive or negative, on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act. A final evaluation hasbeen prepared for this action and it iscontained in the Rules Docket. A copyof it may be obtained from the RulesDocket at the location provided underthe caption ADDRESSES.


Air transportation, Aircraft, Aviationsafety, Incorporation by reference,Safety.

Adoption of the Amendment

Accordingly, pursuant to theauthority delegated to me by theAdministrator, the Federal AviationAdministration amends part 39 of theFederal Aviation Regulations (14 CFRpart 39) as follows:



Authority: 49 U.S.C. 106(g), 40113, 44701.

§ 39.13 [Amended]

2. Section 39.13 is amended byremoving amendment 39–8807 (59 FR6538, February 11, 1994), and by adding


a new airworthiness directive (AD),amendment 39–9671, to read as follows:96–13–03 McDonnell Douglas: Amendment

39–9671. Docket 94–NM–195–AD.Supersedes AD 94–03–01, Amendment39–8807.

Applicability: Model DC–9–10, –20, –30,–40, –50, and C–9 (military) series airplanes;certificated in any category.


To ensure the continuing structuralintegrity of these airplanes, accomplish thefollowing:

(a) Within 6 months after March 14, 1994(the effective date of AD 94–03–01,amendment 39–8807), incorporate a revisioninto the FAA-approved maintenanceinspection program which provides forinspection(s) of the Principal StructuralElements (PSE) defined in McDonnellDouglas Report No. L26–008, ‘‘DC–9Supplemental Inspection Document (SID),’’Section 2 of Volume I of Revision 3, datedApril 1991, in accordance with Section 2 ofVolume III–92, dated July 1992, of the SID.

(1) Visual inspections of all PSE’s onairplanes listed in Volume III–92, dated July1992, of the SID planning data, are requiredby the fleet leader-operator sampling (FLOS)program at least once during the intervalbetween the start date (SDATE) and the enddate (EDATE) established for each PSE.These visual inspections are defined inSection 3 of Volume II, dated April 1991, ofthe SID, and are required only for thoseairplanes that have not been inspectedpreviously in accordance with Section 2 ofVolume II, dated April 1991, of the SID.

(2) The Non Destructive Inspection (NDI)techniques set forth in Section 2 of VolumeII, dated April 1991, of the SID provideacceptable methods for accomplishing theinspections required by this paragraph.

(3) All inspection results (negative orpositive) must be reported to McDonnellDouglas, in accordance with the instructionscontained in Section 2 of Volume III–92,dated July 1992, of the SID. Informationcollection requirements contained in thisregulation have been approved by the Officeof Management and Budget (OMB) under theprovisions of the Paperwork Reduction Act of1980 (44 U.S.C. 3501 et seq.) and have beenassigned OMB Control Number 2120–0056.

Note 1: Volume II, dated April 1991, of theSID is comprised of the following:

Volume designation

Revisionlevel

shown onvolume

Volume II–10/20 ............................ 3Volume II–20/30 ............................ 4Volume II–40 ................................. 3Volume II–50 ................................. 3

Note 2: NDI inspections accomplished inaccordance with the following Volume II ofthe SID provide acceptable methods foraccomplishing the inspections required bythis paragraph:

Volume designa-tion

Revi-sionlevel

Date of revision

Volume II–10/20 3 April 1991.Volume II–10/20 2

12April 1990.

Volume II–10/20 1 June 1989.Volume II/20 ....... (1) November 1987.Volume II–20/30 4 April 1991.Volume II–20/30 3 April 1990.Volume II–20/30 2 June 1989.Volume II–20/30 1 November 1987.Volume II–40 ...... 3 April 1991.Volume II–40 ...... 2 April 1990.Volume II–40 ...... 1 June 1989.Volume II–40 ...... (1) November 1987.Volume II–50 ...... 3 April 1991.Volume II–50 ...... 2 April 1990.Volume II–50 ...... 1 June 1989.Volume II–50 ...... (1) November 1987.

1 Original.

(b) Within 6 months after the effective dateof this AD, replace the revision of the FAA-approved maintenance inspection programrequired by paragraph (a) of this AD, with arevision that provides for inspection(s) of thePSE’s defined in McDonnell Douglas ReportNo. L26–008, ‘‘DC–9 SupplementalInspection Document (SID),’’ Section 2 ofVolume I of McDonnell Douglas Report No.L26–008, ‘‘DC–9 Supplemental InspectionDocument (SID),’’ Revision 4, dated July1993, in accordance with Section 2 ofVolume III–95, dated September 1995, of theSID.

Note 3: Operators should note that certainvisual inspections of FLOS PSE’s that werepreviously specified in earlier revisions ofVolume III of the SID are no longer specifiedin Volume III–95 of the SID.

(1) Prior to reaching the threshold (Nth), butno earlier than one-half of the threshold (Nth/2), specified for all PSE’s listed in VolumeIII–95, dated September 1995, of the SID,inspect each PSE sample in accordance withthe NDI procedures set forth in Section 2 ofVolume II, dated July 1993. Thereafter, repeatthe inspection for that PSE at intervals not toexceed DNDI/2 of the NDI procedure that isspecified in Volume III–95, dated September1995, of the SID.

(2) The NDI techniques set forth in Section2 of Volume II, dated July 1993, of the SIDprovide acceptable methods foraccomplishing the inspections required bythis paragraph.

(3) All inspection results (negative orpositive) must be reported to McDonnellDouglas, in accordance with the instructionscontained in Section 2 of Volume III–95,dated September 1995, of the SID.Information collection requirementscontained in this regulation have beenapproved by the Office of Management andBudget (OMB) under the provisions of thePaperwork Reduction Act of 1980 (44 U.S.C.3501 et seq.) and have been assigned OMBControl Number 2120–0056.

Note 4: Volume II, dated July 1993, of theSID is comprised of the following:

Volume designation

Revisionlevel

shown onvolume

Volume II–10/20 ............................ 4Volume II–20/30 ............................ 5Volume II–40 ................................. 4Volume II–50 ................................. 4

Note 5: NDI inspections accomplished inaccordance with the following Volume II ofthe SID provide acceptable methods foraccomplishing the inspections required bythis paragraph:

Volume designa-tion

Revi-sionlevel

Date of revision

Volume II–10/20 4 July 1993.Volume II–10/20 3 April 1991.Volume II–10/20 2 April 1990.Volume II–10/20 1 June 1989.Volume II/20 ....... (1) November 1987.Volume II–20/30 5 July 1993.Volume II–20/30 4

14April 1991.

Volume II–20/30 3 April 1990.Volume II–20/30 2 June 1989.Volume II–20/30 1 November 1987.Volume II–40 ...... 4 July 1993.Volume II–40 ...... 3 April 1991.Volume II–40 ...... 2 April 1990.Volume II–40 ...... 1 June 1989.Volume II–40 ...... (1) November 1987.Volume II–50 ...... 4 July 1993.Volume II–50 ...... 3 April 1991.Volume II–50 ...... 2 April 1990.Volume II–50 ...... 1 June 1989.Volume II–50 ...... (1) November 1987.

1 Originals.

(c) Any cracked structure detected duringthe inspections required by either paragraph(a) or (b) of this AD must be repaired beforefurther flight, in accordance with a methodapproved by the Manager, Los AngelesAircraft Certification Office (ACO), FAA,Transport Airplane Directorate.

Note 6: Requests for approval of any PSErepair that would affect the FAA-approvedmaintenance inspection program that isrequired by this AD should include a damagetolerance assessment for that PSE.

(d)(1) An alternative method of complianceor adjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager, LosAngeles Aircraft Certification Office (ACO),FAA, Transport Airplane Directorate.Operators shall submit their requests throughan appropriate FAA Principal MaintenanceInspector, who may add comments and thensend it to the Manager, Los Angeles ACO.

(d)(2) Alternative methods of compliance,approved in accordance with AD 94–03–01,amendment 39–8807, are approved asalternative methods of compliance with thisAD.

Note 7: Information concerning theexistence of approved alternative methods ofcompliance with this AD, if any, may beobtained from the Los Angeles ACO.

(e) Special flight permits may be issued inaccordance with sections 21.197 and 21.199


of the Federal Aviation Regulations (14 CFR21.197 and 21.199) to operate the airplane toa location where the requirements of this ADcan be accomplished.

(f) The actions shall be done in accordancewith McDonnell Douglas Report No. L26–008, ‘‘DC–9 Supplemental InspectionDocument (SID),’’ Volume III–92, dated July1992; or McDonnell Douglas Report No. L26–008, ‘‘DC–9 Supplemental InspectionDocument (SID),’’ Volume III–95, datedSeptember 1995; as applicable. (NOTE: Theissue/publication date of Volume III–95 isindicated on the Record of Revisions page.)The incorporation by reference of McDonnellDouglas Report No. L26–008, ‘‘DC–9Supplemental Inspection Document (SID),’’Volume III–95, dated September 1995, isapproved by the Director of the FederalRegister in accordance with 5 U.S.C. 552(a)and 1 CFR part 51. The incorporation byreference of McDonnell Douglas Report No.L26–008, ‘‘DC–9 Supplemental InspectionDocument (SID),’’ Volume III–92, dated July1992, was approved previously by theDirector of the Federal Register in accordancewith 5 U.S.C. 552(a) and 1 CFR part 51 as ofMarch 14, 1994 (59 FR 6538, February 11,1994). Copies may be obtained fromMcDonnell Douglas Corporation, 3855Lakewood Boulevard, Long Beach, California90846, Attention: Technical PublicationsBusiness Administration, Department C1–L51 (2–60). Copies may be inspected at theFAA, Transport Airplane Directorate, 1601Lind Avenue, SW., Renton, Washington; or atthe FAA, Los Angeles Aircraft CertificationOffice, Transport Airplane Directorate, 3960Paramount Boulevard, Lakewood, California;or at the Office of the Federal Register, 800North Capitol Street, NW., suite 700,Washington, DC.

(g) This amendment becomes effective onJuly 24, 1996.

Issued in Renton, Washington, on June 12,1996.James V. Devany,Acting Manager, Transport AirplaneDirectorate, Aircraft Certification Service.[FR Doc. 96–15498 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–U

14 CFR Part 71

[Airspace Docket No. 96–ASW–01]

Revision of Class E Airspace; Zuni, NM

AGENCY: Federal AviationAdministration (FAA), DOT.ACTION: Final rule.

SUMMARY: This action revises the ClassE airspace extending upward from 700feet above ground level (AGL) at Zuni,NM. The development of a GlobalPositioning System (GPS) standardinstrument approach procedure (SIAP)to Runway (RWY) 07 at Zuni Pueblo,Black Rock Airport has made this actionnecessary. This action is intended toprovide adequate Class E airspace tocontain instrument flight rule (IFR)

operations for aircraft executing the GPSSIAP to RWY 07 at Zuni Pueblo, BlackRock Airport, Zuni, NM.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch, AirTraffic Division, Southwest Region,Federal Aviation Administration, FortWorth, TX 76193–0530, telephone: (817)222–5593.


HistoryOn January 31, 1996, a proposal to

amend part 71 of the Federal AviationRegulations (14 CFR part 71) to revisethe Class E airspace at Zuni, NM, waspublished in the Federal Register (61FR 3352). A GPS SIAP to RWY 07developed for Black Rock Airport, Zuni,NM, requires the revision of Class Eairspace at this airport. The proposalwas to establish controlled airspaceextending upward from 700 fee AGL tocontain IFR operations in controlledairspace during portions of the terminaloperation and while transitioningbetween the enroute and terminalenvironments.

Interested parties were invited toparticipate in this rulemakingproceeding by submitting writtencomment on the proposal to the FAA.No comment to the proposal werereceived. Therefore, the rule is adoptedas proposed.

The coordinates for this airspacedocket are based on North AmericanDatum 83. Class E airspace designationsfor airspace areas extending upwardfrom 700 feet or more AGL arepublished in Paragraph 6005 of FAAOrder 7400.9C dated August 17, 1995,and effective September 16, 1995, whichis incorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document will bepublished subsequently in the Order.

The RuleThis amendment to part 71 of the

Federal Aviation Regulations (14 CFRpart 71) revises the Class E airspacelocated at Zuni, NM, to providecontrolled airspace extending upwardfrom 700 feet AGL for aircraft executingthe GPS SIAP to RWY 07 at Black RockAirport, Zuni, NM.

The FAA has determined that thisregulation only involves an establishedbody of technical regulations that needfrequent and routine amendments tokeep them operationally current. It,therefore—(1) is not a ‘‘significantregulatory action’’ under ExecutiveOrder 12866; (2) is not a ‘‘significantrule’’ under DOT Regulatory Policies

and Procedures (44 FR 11034; February26, 1979); and (3) does not warrantpreparation of a regulatory evaluation asthe anticipated impact is so minimal.Since this is a routine matter that willonly affect air traffic procedures and airnavigation, it is certified that this rulewill not have a significant economicimpact on a substantial number of smallentities under the criteria of theRegulatory Flexibility Act.


Airspace, Incorporation by reference,Navigation (air).


In consideration of the foregoing, theFederal Aviation Administrationamends 14 CFR part 71 as follows:

PART 71—[AMENDED]

1. The authority citation for 14 CFRpat 71 continues to read as follows:

Authority: 49 U.S.C. 40103, 40113, 40120;E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963Comp., p. 389; 49 U.S.C. 106(g); 14 CFR11.69.

§ 71.1 [Amended]

2. The incorporation by reference in14 CFR 71.1 of the Federal AviationAdministration Order 7400.9C, AirspaceDesignations and Reporting Points,dated August 17, 1995, and effectiveSeptember 16, 1995, is amended asfollows:

Paragraph 6005: Class E Airspace areasextending upward from 700 feet or moreabove the surface of the earth.

* * * * *

ASW NM E5 Zuni, NM [Revised]

Zuni Pueblo, Black Rock Airport, NM(lat. 35°05′00′′ N., long. 108°47′30′′ W.)

Zuni VORTAC(lat. 34°57′57′′ N., long. 109°09′16′′ W.)That airspace extending upward from 700

feet above the surface within a 6.4-mileradius of Black Airport and within 1.8 mileseach side of the 252° bearing from the airportextending from the 6.4-mile radius to 8.4miles southwest of the airport and thatairspace extending upward from 8,200 feetMSL within 6 miles north and 8.5 milessouth of Zuni VORTAC 248° and 068° radialsextending from 10.2 miles east to 17 mileswest of the VORTAC, excluding that airspacein the state of New Mexico.

* * * * *Issued in Forth Worth, TX, on June 11,

1996.Albert L. Viselli,Acting Manager, Air Traffic Division,Southwest Region.[FR Doc. 96–15646 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M


14 CFR Part 71

[Airspace Docket No. 95–ASW–33 ]

Revision of Class E Airspace;Tucumcari, NM


SUMMARY: This action revises the ClassE airspace extending upward from 700feet above ground level (AGL) atTucumcari, NM. The development of aGlobal Positioning System (GPS)Standard Instrument ApproachProcedure (SIAP) to Runway (RWY) 03at Tucumcari Municipal Airport hasmade this action necessary. This actionis intended to provide adequate Class Eairspace to contain instrument flightrule (IFR) operations for aircraftexecuting the GPS SIAP to RWY 03 atTucumcari Municipal Airport,Tucumcari, NM.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch AirTraffic Division, Southwest Region,Federal Aviation Administration, FortWorth, TX 76193–0530, telephone: 817–222–5593.



amend part 71 of the Federal AviationRegulations (14 CFR part 71) to revisethe Class E airspace at Tucumcari, NM,was published in the Federal Register(61 FR 3351). A GPS SIAP to RWY 03developed for Tucumcari MunicipalAirport, Tucumcari, NM, requires therevision of Class E airspace at thisairport. The proposal was to establishcontrolled airspace extending upwardfrom 700 feet AGL to contain IFRoperations in controlled airspace duringportions of the terminal operation andwhile transitioning between the enrouteand terminal environments. Interestedparties were invited to participate inthis rulemaking proceeding bysubmitting written comments on theproposal to the FAA. No comments tothe proposal were received. Therefore,the rule is adopted as proposed.

The coordinates for this airspacedocket are based on North AmericanDatum 83. Class E airspace designationsfor airspace areas extending upwardfrom 700 feet or more AGL arepublished in Paragraph 6005 of FAAOrder 7400.9C dated August 17, 1995,and effective September 16, 1995, whichis incorporated by reference in 14 CFR71.1. The Class E airspace designation

listed in this document will bepublished subsequently in the Order.

The Rule

This amendment to part 71 of theFederal Aviation Regulations (14 CFRpart 71) revises the Class E airspacelocated at Tucumcari, NM, to providecontrolled airspace extending upwardfrom 700 feet AGL for aircraft executingthe GPS to RWY 03 at TucumcariMunicipal Airport.

The FAA has determined that thisregulation only involves an establishedbody of technical regulations that needfrequent and routine amendments tokeep them operationally current. It,therefore—(1) is not a ‘‘significantregulatory action’’ under ExecutiveOrder 12866; (2) is not a ‘‘significantrule’’ under DOT Regulatory Policiesand Procedures (44 FR 110334; February26, 1979); and (3) does not warrantpreparation of a regulatory evaluation asthe anticipated impact is so minimal.Since this is a routine matter that willonly affect air traffic procedures and airnavigation, it is certified that this rulewill not have a significant economicimpact on a substantial number of smallentities under the criteria of theRegulatory Flexibility Act.





PART 71—[AMENDED]


Authority: 49 U.S.C. 40103, 40113, 40120;E.O. 10854; 24 FR 9565, CFR, 1959–1963Comp., p. 389; 49 U.S.C. 106(g); 14 CFR11.69.

§ 71.1 [Amended]



* * * * *

ASW NM E5 Tucumcari, NM [Revised]Tucumcari Municipal Airport, NM(lat. 35°10′58′′ N., long. 103°36′12′′ W.)Tucumcari VORTAC(lat. 35°10′56′′ N., long. 103°35′55′′ W.)

That airspace extending upward from 700feet above the surface within a 6.7-mileradius of Tucumcari Municipal Airport andwithin 2.4 miles each side of the 033° radialof the Tucumcari VORTAC extending fromthe 6.7-mile radius to 7.1 miles northeast ofthe airport and within 2.4 miles each side ofthe 078° radial of the Tucumcari VORTACextending from the 6.7-mile radius to 7.4miles east of the airport and within 1.9 mileseach side of the 225° bearing from the airportextending from the 6.7-mile radius to 9 milessouthwest of the airport.* * * * *

Issued in Fort Worth, TX, on June 11, 1996.Albert L. Viselli,Acting Manager, Air Traffic Division,Southwest Region.[FR Doc. 96–15645 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

14 CFR Part 71


Revision of Class E Airspace; Portales,NM


SUMMARY: This action revises the ClassE airspace extending upward from 700feet above ground level (AGL) atPortales, NM. The development of aGlobal Positioning System (GPS)standard instrument approachprocedure (SIAP) to Runway (RWY) 01at Portales Municipal Airport has madethis action necessary. This action isintended to provide adequate Class Eairspace to contain instrument flightrule (IFR) operations for aircraftexecuting the GPS SIAP to RWY 01 atPortales Municipal Airport, Portales,NM.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch, AirTraffic Division, Southwest Region,Federal Aviation Administration, FortWorth, TX 76193–0530, telephone: (817)222–5593.


History

On January 31, 1996, a proposal toamend part 71 of the Federal AviationRegulations (14 CFR part 71) to revisethe Class E airspace at Portales, NM,was published in the Federal Register(61 FR 3348). A GPS SIAP to RWY 01developed for Portales MunicipalAirport, Portales, NM, requires therevision of the Class E airspace at thisairport. The proposal was to revise thecontrolled airspace extending upward


from 700 feet AGL to contain IFRoperations in controlled airspace duringportions of the terminal operation andwhile transitioning between the enrouteand terminal environments.

Interested parties were invited toparticipate in this rulemakingproceeding by submitting writtencomments on the proposal to the FAA.No comments to the proposals werereceived. However, the proposal waspublished with an incorrect coordinatefor the location of the Cannon Air ForceBase. The correct coordinates for theairport should have been (Lat.34°22′58′′N, long. 103°19′20′′W). Thedescription of the Class E airspace inthis rule has been revised to reflect thischange. The FAA has determined thatthis change is editorial in nature andwill not increase the scope of this rule.Except for the non-substantive changejust discussed, the rule is adopted asproposed.


The Rule

This amendment to part 71 of theFederal Aviation Regulations (14 CFRpart 71) revises the Class E airspacelocated at Portales Municipal Airport,Portales, NM, to provide controlledairspace extending upward from 700feet AGL for aircraft executing the GPSSIAP to RWY 30.


List of Subjects in 14 CFR Part 71Airspace, Incorporation by reference,

Navigation (air).

Adoption of the AmendmentIn consideration of the foregoing, the

Federal Aviation Administrationamends 14 CFR part 71 as follows:

PART 71—[AMENDED]


Authority: 49 U.S.C. 40103, 40113, 40120;E.O. 10854; 24 FR 9565, 3 CFR, 1959–1963Comp., p. 389; 49 U.S.C. 106(g); 14 CFR11.69.

§ 71.1 [Amended]2. The incorporation by reference in

14 CFR 71.1 of the Federal AviationAdministration Order 7400.9C, AirspaceDesignations and Reporting Points,dated August 17, 1995, and effectiveSeptember 16, 1995, is amended asfollows:


* * * * *

ASW NM E5 Clovis, NM [Revised]Clovis, Cannon AFB, NM

(lat. 34°22′58′′N., long. 103°19′20′′W.)Portales Municipal Airport, NM

(lat. 34°08′43′′N., long. 103°24′37′′W.)Texico VORTAC

(lat. 34°29′42′′N., long. 102°50′23′′W.)That airspace extending upward from 700

feet above the surface within a 20-mile radiusof Cannon AFB and within an 8-mile radiusof Portales Municipal Airport and within 8miles north and 4 miles south of the 072°radial of the Texico VORTAC extending fromthe 20-mile radius to 16 miles east of theVORTAC.* * * * *


14 CFR Part 71


Revision of Class E Airspace; Truth orConsequences, NM


SUMMARY: This action revises the ClassE airspace extending upward from 700feet above ground level (AGL) at Truthor Consequences, NM. The developmentof a Global Positioning System (GPS)

Standard Instrument ApproachProcedure (SIAP) to Runway (RWY) 31at Truth or Consequences MunicipalAirport has made this action necessary.This action is intended to provideadequate Class E airspace to containinstrument flight rule (IFR) operationsfor aircraft executing the GPS SIAP toRWY 31 at Truth or ConsequencesMunicipal Airport, Truth orConsequences, NM.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch, AirTraffic Division, Southwest Region,Federal Aviation Administration, FortWorth, TX 76193–0530, telephone: 817–222–5593.



amend part 71 of the Federal AviationRegulations (14 CFR part 71) to revisethe Class E airspace at Truth orConsequences, NM, was published inthe Federal Register (61 FR 3350). AGPS SIAP to RWY 31 developed forTruth or Consequences MunicipalAirport, Truth or Consequences, NM,requires the revision of the Class Eairspace at this airport. The proposalwas to revise the controlled airspaceextending upward from 700 feet AGL tocontain IFR operations in controlledairspace during portions of the terminaloperation and while transitioningbetween the enroute and terminalenvironments.

Interested parties were invited toparticipate in this rulemakingproceeding by submitting writtencomments on the proposal to the FAA.No comments to the proposal werereceived. However, the proposal waspublished with incorrect coordinates forthe location of the Truth orConsequences Municipal Airport. Thecorrect coordinates for the airportshould have been (Lat. 33°14′10′′N,long. 107°16′15′′W). The description ofthe Class E airspace in this rule has beenrevised to reflect this change. The FAAhas determined that this change iseditorial in nature and will not increasethe scope of this rule. Therefore, therule is adopted as written.

The coordinates for this airspacedocket are based on North AmericanDatum 83. Class E airspace designationsfor airspace areas extending upwardfrom 700 feet or more AGL arepublished in Paragraph 6005 of FAAOrder 7400.9C dated August 17, 1995,and effective September 16, 1995, whichis incorporated by reference in 14 CFR71.1. The Class E airspace designation


listed in this document will bepublished subsequently in the Order.

The Rule

This amendment to part 71 of theFederal Aviation Regulations (14 CFRpart 71) amends the Class E airspacelocated at Truth or ConsequencesMunicipal Airport, Truth orConsequences, NM, to providecontrolled airspace extending upwardfrom 700 feet AGL for aircraft executingthe GPS SIAP to RWY 31.

The FAA has determined that thisregulation only involves an establishedbody of technical regulations that needfrequent and routine amendments tokeep them operationally current. It,therefore—(1) Is not a ‘‘significantregulatory action’’ under ExecutiveOrder 12866; (2) is not a ‘‘significantrule’’ under DOT regulatory Policies andProcedures (44 FR 11034; February 26,1979); and (3) does not warrantpreparation of a regulatory evaluation asthe anticipated impact is so minimal.Since this is a routine matter that willonly affect air traffic procedures and airnavigation, it is certified that this rulewill not have a significant economicimpact on a substantial number of smallentities under the criteria of theRegulatory Flexibility Act.





PART 71—[AMENDED]



§ 71.1 [Amended]

The incorporation by reference in 14CFR 71.1 of the Federal AviationAdministration Order 7400.9C, AirspaceDesignations and Reporting Points,dated August 17, 1995, and effectiveSeptember 16, 1995, is amended asfollows:


* * * * *

ASW NM E5 Truth or Consequences, NM[Revised]Truth or Consequences Municipal Airport,

NM

(lat. 33°14′10′′N., long. 107°16′15′′W.)Truth or Consequences VORTAC


feet above the surface within a 6.7-mileradius of Truth or Consequences MunicipalAirport and within 1.4 miles each side of the013° radial of the Truth or ConsequencesVORTAC extending from the 6.7-mile radiusto 7.5 miles northeast of the airport andwithin 1.6 miles each side of the 145° bearingfrom the airport extending from the 6.7-mileradius to 8.4 miles southeast of the airport.* * * * *

Issued in Fort Worth, TX, June 11, 1996.Albert L. Viselli,Acting Manager, Air Traffic Division,Southwest Region.[FR Doc. 96–15643 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

14 CFR Part 71


Revision of Class E Airspace;Arkadelphia, AR


SUMMARY: This action revises the ClassE airspace extending upward from 700feet above ground level (AGL) atArkadelphia, AR. The development of aGlobal Positioning System (GPS)Standard Instrument ApproachProcedure (SIAP) to Runway (RWY) 04at Arkadelphia Municipal Airport hasmade this action necessary. This actionis intended to provide adequate Class Eairspace to contain instrument flightrule (IFR) operations for aircraftexecuting the GPS SIAP to RWY 04 atArkadelphia Municipal Airport,Arkadelphia, AR.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch, AirTraffic Division, Southwest Region,Federal Aviation Administration, FortWorth, TX 76193–0530, telephone 817–222–5593.



amend part 71 of the Federal AviationRegulations (14 CFR part 71) to revisethe Class E airspace at Arkadelphia, AR,was published in the Federal Register(61 FR 3347). A GPS SIAP to RWY 04developed for Arkadelphia MunicipalAirport, Arkadelphia, AR, requires therevision of the Class E airspace at thisairport. The proposal was to revise thecontrolled airspace extending upward

from 700 feet AGL to contain IFRoperations in controlled airspace duringpositions of the terminal operation andwhile transitioning between the enrouteand terminal environments.

Interested parties were invited toparticipate in this rulemakingproceeding by submitting writtencomments on the proposal to the FAA.No comments to the proposal werereceived. Therefore, the rule is adoptedas proposed.

The coordinates for this airspacedocket are based on North AmericanDatum 93. Class E airspace designationsfor airspaces areas extending upwardfrom 700 feet or more AGL arepublished in Paragraph 6005 of FAAOrder 7400.9C dated August 17, 1995,and effective September 16, 1996, whichis incorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document will bepublished subsequently in the Order.


Federal Aviation Regulations (14 CFRpart 71) amends the Class E airspacelocated at Arkadelphia MunicipalAirport, Arkadelphia, AR, to providecontrolled airspace extending upwardfrom 700 feet AGL for aircraft executingthe GPS SIAP to RWY 04.

The FAA has determined that thisregulation only involves an establishedbody of technical regulations that needfrequent and routine amendments tokeep them operationally current. It,therefore—(1) is not a ‘‘significantregulatory action’’ under Executiveorder 12866; (2) is not a ‘‘significantrule’’ under DOT Regulatory Policiesand Procedures (44 FR 11034; February26, 1979); and (3) does not warrantpreparation of a regulatory evaluation asthe anticipated impact is so minimal.Since this is a routine matter that willonly affect air traffic procedures and airnavigation, it is certified that this rulewill not have a significant economicimpact on a substantial number of smallentities under the criteria of theRegulatory Flexibility Act.


Navigation (air).



PART 71—[AMENDED]


Authority: 49 U.S.C. 40103, 40113, 40120;E.O. 10854; 24 FR 9565, 3 CFR, 1959–1963


Comp., p. 389; 49 U.S.C. 106(g); 14 CFR11.69.



Paragraph 6005: Class E Airspace areasextending upward from 700 feet or moreabove the surface of the earth.* * * * *

ASW AR E5 Arkadelphia, AR [Revised]Arkadelphia Municipal Airport, AR

(lat. 35°05′59′′ N., long. 93°03′58′′ W.)Arkadelphia RBN

(lat. 34°03′19′′ N., long. 93°06′18′′ W.)That airspace extending upward from 700

feet above the surface within a 6.6-mileradius of Arkadelphia Municipal Airport andwithin 2.6 miles each side of the 222° bearingfrom the Arkadelphia RBN extending fromthe 6.6-mile radius to 10.7 miles southwestof the airport.* * * * *


14 CFR Part 71


Revision of Class E Airspace; BurnsFlat, OK


SUMMARY: This action revises the ClassE airspace extending upward from 700feet above ground level (AGL) at BurnsFlat, OK. The development of a GlobalPositioning System (GPS) standardinstrument approach procedure (SIAP)to Runway (RWY) 17 at Clinton-Sherman Municipal Airport has madethis action necessary This action isintended to provide adequate Class Eairspace to contain instrument flightrule (IFR) operations for aircraftexecuting the GPS SIAP to RWY 17 atClinton-Sherman Airport, Burns Flat,OK.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch, AirTraffic Division, Southwest Region,Federal Aviation Administration, FortWorth, TX 76193–0530, telephone: (817)222–5593.


History

On January 31, 1996, a proposal toamend part 71 of the Federal AviationRegulations (14 CFR part 71) to revisethe Class E airspace at Burns Flat, OK,was published in the Federal Register(61 FR 3353). A GPS SIAP to RWY 17developed for Clinton-Sherman Airport,Burns Flat, OK, requires the revision ofClass E airspace at this airport. Theproposal was to establish controlledairspace extending upward from 700feet AGL to contain IFR operations incontrolled airspace during portions ofthe terminal operation and whiletransitioning between the enroute andterminal environments.

Interested parties were invited toparticipate in this rulemakingproceeding by submitting writtencomments on the proposal to the FAA.No comments to the proposal werereceived. Therefore, the rule is adoptedas proposed.


The Rule

This amendment to part 71 of theFederal Aviation Regulations (14 CFRpart 71) revises the Class E airspacelocated at Burns Flat, OK, to providecontrolled airspace extending upwardfrom 700 feet AGL for aircraft executingthe GPS SIAP to RWY 17 at Clinton-Sherman Airport.






PART 71—[AMENDED]



§ 71.1 [Amended]

2. The incorporation by reference in14 CFR 71.1 of the Federal AviationAdministration Order 7400.9C, AirsapceDesignations and Reporting Points,dated August 17, 1995, and effectiveSeptember 16, 1995, is amended asfollows:


* * * * *

ASW OK E5 Burns Flat, OK [Revised]Clinton-Sherman Airport, OK

(lat. 35°20′23′′ N., long. 99°12′02′′ W.)Burns Flat VORTAC

(lat. 35°14′13′′ N., long. 99°12′22′′ W.)That airspace extending upward from 700

feet above the surface within a 8.2-mileradius of Clinton-Sherman Airport andwithin 8 miles west and 4 miles east of the183° radial of the Burns Flat VORTAC fromthe 8.2-mile radius to 22.3 miles south of theairport and within 1.8 miles each side of the360° bearing from the airport extending fromthe 8.2-mile radius to 10 miles north of theairport; excluding that airspace within theElk City, OK, and the Hobart, OK, Class Eairspace areas.* * * * *

Issued in Forth Worth, TX, on June 11,1996.Albert L. Viselli,Acting Manager, Air Traffic Division,Southwest Region.[FR Doc. 96–15638 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

14 CFR Part 71


Revision of Class E Airspace; Alice, TX


SUMMARY: This action revises the ClassE airspace extending upward from 700feet above ground level (AGL) at Alice,


TX. The development of a GlobalPositioning System (GPS) standardinstrument approach procedure (SIAP)to Runway (RWY) 31 at AliceInternational Airport has made thisaction necessary. This action isintended to provide adequate Class Eairspace to contain instrument flightrule (IFR) operations for aircraftexecuting the GPS SIAP to RWY 31 atAlice International Airport, Alice, TX.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch, AirTraffic Division, Southwest Region,Federal Aviation Administration, FortWorth, TX 76193–0530, telephone: (817)222–5593.



amend part 71 of the Federal AviationRegulations (14 CFR part 71) to revisethe Class E airspace at Alice, TX, waspublished in the Federal Register (61FR 3355). A GPS SIAP to RWY 31developed for Alice InternationalAirport, Alice, TX, requires the revisionof Class E airspace at this airport. Theproposal was to establish controlledairspace extending upward from 700feet AGL to contain IFR operations incontrolled airspace during portions ofthe terminal operation and whiletransitioning between the en route andterminal environments.

Interested parties were invited toparticipate in this rulemakingproceeding by submitting writtencomments on the proposal to the FAA.No comments to the proposal werereceived. However, the proposal waspublished with an incorrect descriptionof the extension of Class E airspacewithin 2 miles each side of the 135°bearing from Alice International Airportextending from the 7 mile radius to 9.8miles southeast of the airport. Thisextension should have been written asextending from the 7.5-mile radius to9.8 miles southeast of the airport. TheFAA has determined that this change iseditorial in nature and will not increasethe scope of the rule.

Therefore, except for this non-substantive change, the rule is adoptedas written.

The coordinates for this airspacedocket are based on North AmericanDatum 83. Class E airspace designationsfor airspace areas extending upwardfrom 700 feet or more AGL arepublished in Paragraph 6005 of FAAOrder 7400.9C dated August 17, 1995,and effective September 16, 1995, whichis incorporated by reference in 14 CFR

71.1. The Class E airspace designationlisted in this document will bepublished subsequently in the Order.

The Rule

This amendment to part 71 of theFederal Aviation Regulations (14 CFRpart 71) revises the Class E airspacelocated at Alice, TX, to providecontrolled airspace extending upwardfrom 700 feet AGL for aircraft executingthe GPS SIAP to RWY 31 at AliceInternational Airport.

The FAA has determined that thisregulation only involves an establishedbody of technical regulations that needfrequent and routine amendments tokeep them operationally current. It,therefore)—(1) is not a ‘‘significantregulatory action’’ under ExecutiveOrder 12866; (2) is not a significantrule’’ under DOT Regulatory Policiesand Procedures (44 FR 11034; February26, 1979); and (3) does not warrantpreparation of a regulatory evaluation asthe anticipated impact is so minimal.Since this is a routine matter that willonly affect air traffic procedures and airnavigation, it is certified that this rulewill not have a significant economicimpact on a substantial number of smallentities under the criteria of theRegulatory Flexibility Act.


Airspace, Incorporation by referenceNavigation (air).



PART 71—[AMENDED]



§ 71.1 [Amended]



* * * * *

ASW TX E5 Alice, TX [Revised]Alice International Airport, TX

(lat. 27°44′27′′N., long. 98°01′38′′W.)range Grove NALF, TX

(lat. 27°54′04′′N., long. 98°03′06′′W.)Navy Orange Grove TACAN

(lat. 27°53′43′′N., long. 98°02′33′′W.)Kingsville, Kleberg County Airport, TX


feet above the surface within a 7.5-mileradius of Alice International Airport andwithin 2 miles each side of the 135° bearingfrom Alice International Airport extendingfrom the 7.5-mile radius to 9.8 milessoutheast of the airport and within a 7.2-mileradius of Orange Grove NALF and within 1.6miles each side of the 129° radial of the NavyOrange Grove TACAN extending from the7.2-mile radius to 11.7 miles southeast of theairport and within 1.5 miles each side of the320° radial of the Navy Orange GroveTACAN extending from the 7.2-mile radiusto 9.7 miles northwest of the airport andwithin a 6.5-mile radius of Kleberg CountyAirport.* * * * *


14 CFR Part 71

[Airspace Docket No. 96–AEA–04]

Establishment of Class E Airspace;Mitchellville, MD

AGENCY: Federal AviationAdministration (FAA) DOT.ACTION: Final rule.

SUMMARY: This action establishes ClassE airspace at Freeway Airport,Mitchellville, MD. The development ofa Very High Frequency Omni-Directional Range (VOR) StandardInstrument Approach Procedure (SIAP)to Runway (RWY) 36 at Freeway Airporthas made this action necessary. Theintended effect of this action is toprovide adequate controlled airspace forInstrument Flight Rules (IFR) operationsat Freeway Airport.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Mr. Frances T. Jordan, AirspaceSpecialist, Operations Branch, AEA–530, Air Traffic Division, EasternRegion, Federal AviationAdministration, Federal Building #111,John F. Kennedy International Airport,Jamaica, New York 11430, telephone:(718) 553–4521.


HistoryOn April 30, 1996, the FAA proposed

to amend Part 71 of the Federal AviationRegulations (14 CFR Part 71) by


establishing a Class E airspace area atFreeway Airport, Mitchellville, MD (61FR 18999). The development of a VORSIAP at Freeway Airport has made thisaction necessary.

Interested parties were invited toparticipate in this rulemakingproceeding by submitting writtencomments on the proposal to the FAA.No comments objecting to the proposalwere received. Class E airspace areasdesignations are published in paragraph6005 of FAA Order 7400.9C, datedAugust 17, 1995, and effectiveSeptember 16, 1995, which isincorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document will bepublished subsequently in the Order.

The Rule

This amendment to Part 71 of theFederal Aviation Regulations (14 CFRPart 71) establishes a Class E airspacearea at Mitchellville, MD. Thedevelopment of a VOR SIAP at FreewayAirport has made this action necessary.The intended effect of this action is toprovide adequate Class E airspace foraircraft executing the VOR RWY 36SIAP at the airport.

The FAA has determined that thisregulation only involves an establishedbody of technical regulations for whichfrequent and routine amendments arenecessary to keep them operationallycurrent. Therefore, this regulation—(1)is not a ‘‘significant regulatory action’’under Executive Order 12866; (2) is nota ‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 10034; February 26, 1979); and (3)does not warrant preparation of aregulatory evaluation as the anticipatedimpact is so minimal. Since this is aroutine matter that will only affect airtraffic procedures and air navigation, itis certified that this rule will not havesignificant economic impact on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act.




In consideration of the foregoing, theFederal Aviation Administrationamends 14 CFR Part 71 as follows:

PART 71—[AMENDED]

1. The authority citation for 14 CFRPart 71 continues to read as follows:

Authority: 49 U.S.C. 106(g), 40103, 40113,40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 Comp., P. 389; 14 CFR 11.69.


14 CFR 71.1 of Federal AviationAdministration Order 7400.9C, AirspaceDesignations and Reporting Points,dated August 17, 1995 and effectiveSeptember 16, 1995, is amended asfollows:

Paragraph 6005 Class E airspace areasextending upward from 700 feet or moreabove the surface of the earth.* * * * *

AEA MD E5 Mitchellville, MD [New]Freeway Airport, MD

(Lat. 38°56′25′′N, Long. 76°46′19′′W)That airspace extending upward from 700

feet above the surface within a 6-mile radiusof the Freeway Airport excluding that portionwithin the College Park, MD and theWashington, DC 700 foot Class E AirspaceArea.* * * * *

Issued in Jamaica, New York on June 11,1996.John S. Walker,Manager, Air Traffic Division, Eastern Region.[FR Doc. 96–15630 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

14 CFR Part 71


Revocation of Class E Airspace;Johnson City, TX

AGENCY: Federal AviationAdministration (FAA), DOT.ACTION: Final rule; request forcomments.

SUMMARY: This action revokes the ClassE airspace at Johnson City, TX. Thisrevocation of Class E airspace resultsfrom the decommissioning of thestandard instrument approachprocedures (SIAP’s) at Johnson CityAirport, Johnson City, TX. This action isintended to revoke the Class E airspaceat Johnson City, TX, that was previouslyneeded to protect aircraft operatingunder instrument flight rules (IFR) atJohnson City Airport.DATES: Effective date. 0901 UTC, July 5,1996.

Comment date. Comments must bereceived on or before August 19, 1996.ADDRESSES: Send comments on the rulein triplicate to Manager, OperationsBranch, Air Traffic Division, FederalAviation Administration, SouthwestRegion, Docket No. 96–ASW–14, FortWorth, TX 76193–0530.

The official docket may be examinedin the Office of the Assistant ChiefCounsel, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Room 663, Fort

Worth, TX, between 9:00 a.m. and 3:00p.m., Monday through Friday, exceptFederal holidays. An informal docketmay also be examined during normalbusiness hours at the OperationsBranch, Air Traffic Division, FederalAviation Administration, SouthwestRegion, Room 414, Fort Worth, TX.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch, AirTraffic Division, Southwest Region,Federal Aviation Administration, FortWorth, TX 76193–0530, Telephone:817–222–5593.


Request for Comments on the RuleAlthough this action is a final rule,

which involves the revocation of ClassE airspace at Johnson City, TX, and wasnot preceded by notice and publicprocedure, comments are invited on therule. However, after the review of anycomments and, if the FAA finds thatfurther changes are appropriate, it willinitiate rulemaking proceedings toextend the effective date or to amendthe regulation.

Interested parties are invited toparticipate in this rulemakingproceeding by submitting writtencomments on the proposal to the FAA.Comments that provide the factual basissupporting the views and suggestionspresented are particularly helpful inevaluating the effects of the rule, and indetermining whether additionalrulemaking is required.

Class E airspace designations arepublished in Paragraph 6005 of FAAOrder 7400.9C dated August 17, 1995,and effective September 16, 1995, whichis incorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document will bepublished subsequently in the Order.


Federal Aviation Regulations (14 CFRpart 71) revokes the Class E airspaceproviding controlled airspace for IFRoperations at Johnson City Airport,Johnson City, TX. The current Class Eairspace description includes airspaceto protect aircraft operating under IFR atthe airport. The SIAP to Johnson CityAirport was decommissioned, and thereis no longer a published IFR approachto that airport. Therefore, Class Eairspace is no longer needed.

Since this action merely revokes ClassE airspace as a result of the eliminationof IFR approach and departurerequirements at Johnson City Airport,notice and public procedure under 5U.S.C. 553(b) are unnecessary. The ClassE airspace must be revoked to avoid


confusion on the part of the pilots flyingin the vicinity of the airport, and topromote the safe and efficient handlingof air traffic in the area.

Therefore, we find that notice andpublic procedure under 5 U.S.C. 553(d)are unnecessary and good cause existsfor making this amendment effective inless than thirty days.






PART 71—[AMENDED]



§ 71.1 [Amended]


Paragraph 6005 Class E airspace areas from700 feet or more above the surface of theearth.

* * * * *

ASW TX E5 Johnson City, TX [Revoked]* * * * *

Issued in Fort Worth, TX, on June 11, 1996.Albert L. Viselli,Acting Manager, Air Traffic Division, South.[FR Doc. 96–15641 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

14 CFR Part 71

[Airspace Docket No. 95–ANE–22]

Alteration of V–268


SUMMARY: This rule extends FederalAirway V–268 from the BURDYintersection in Rhode Island to theAugusta, ME, Very High FrequencyOmnidirectional Range (VOR). Thisaction simplifes air traffic proceduresand enhances air traffic service. Inaddition, the airspace designationincluded a reference to Restricted Area4001 (R–4001), which is corrected to R–4001B.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT:Patricia P. Crawford, Airspace and RulesDivision, ATA–400, Office of Air TrafficAirspace Management, Federal AviationAdministration, 800 IndependenceAvenue, SW., Washington, DC 20591;telephone: (202) 267-8783.


HistoryOn October 5, 1995, the FAA

proposed to amend Title 14 of the Codeof Federal Regulations part 71 (14 CFRpart 71) to extend V–268 (60 FR 52134).Interested parties were invited toparticipate in this rulemakingproceeding by submitting writtencomments on the proposal to the FAA.No comments objecting to the proposalwere received. Except for editorialchanges, this amendment is the same asthat proposed in the notice. DomesticVOR Federal airways are published inparagraph 6010(a) of FAA Order7400.9C dated August 17, 1995, andeffective September 16, 1995, which isincorporated by reference in 14 CFR71.1. The airway listed in this documentwill be published subsequently in theOrder.

The RuleThis amendment to 14 CFR part 71

extends V–268 from the BURDYintersection in Rhode Island to theAugusta, ME, VOR. Extending V–268will provide a transition route tosupport the approach at the PortlandInternational Jetport Airport, ME,thereby, simplifying air trafficprocedures and enhancing air trafficservice. In addition, the airspacedesignation included a reference to R–4001, which is corrected to R–4001B.

The FAA has determined that thisregulation only involves an established

body of technical regulations for whichfrequent and routine amendments arenecessary to keep them operationallycurrent. It, therefore—(1) is not a‘‘significant regulatory action’’ underExecutive Order 12866; (2) is not a‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034; February 26, 1979); and (3)does not warrant preparation of aregulatory evaluation as the anticipatedimpact is so minimal. Since this is aroutine matter that will only affect airtraffic procedures and air navigation, itis certified that this rule will not havea significant economic impact on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act.





PART 71—[AMENDED]


Authority: 49 U.S.C. 106(g), 40103, 40113,40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959–1963 Comp., p. 389; 14 CFR 11.69.

§ 71.1 [Amended]


Paragraph 6010(a)—Domestic VOR FederalAirways

* * * * *

V–268 [Revised]

From INT Morgantown, WV, 010° andJohnstown, PA, 260° radials; Indian Head,PA; Hagerstown, MD; Westminster, MD;Baltimore, MD; INT Baltimore 093° andSmyrna, DE, 262° radials; Smyrna; INTSmyrna 086° and Sea Isle, NJ, 050° radials;INT Sea Isle 050° and Hampton, NY, 223°radials; Hampton; Sandy Point, RI; to INTSandy Point 031° and Kennebunk, ME, 180°radials; INT Kennebunk 180° and Boston,MA, 032° radials; INT Boston 032° andAugusta, ME, 195° radials; to Augusta. Theairspace within R–4001B and the airspacebelow 2,000 feet MSL outside the UnitedStates is excluded.

* * * * *


Issued in Washington, DC, on June 12,1996.Harold W. Becker,Acting Program Director for Air Traffic,Airspace Management.[FR Doc. 96–15637 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–P

14 CFR Part 73

[Airspace Docket No. 96–ASO–4]

Subdivision of Restricted Areas R–2104A and R–2104C, Huntsville, AL


SUMMARY: This action subdividesRestricted Areas 2104A (R–2104A) andR–2104C, Huntsville, AL, into two areasto permit more efficient use of theairspace. Specifically, the altitudes ofsubareas R–2104A and R–2104C, areredesignated from the current ‘‘surfaceto FL 300’’ to ‘‘surface to 12,000 feetmean sea level (MSL).’’ Additionally,the remaining restricted airspace, from12,000 feet MSL to FL 300, is redefinedas subareas R–2104D and R–2104E. Nonew restricted airspace is established bythis amendment and the existingsubarea R–2104B is not affected by thisaction.EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT: PaulGallant, Airspace and Rules Division,ATA–400, Office of Air Traffic AirspaceManagement, Federal AviationAdministration, 800 IndependenceAvenue, SW., Washington, DC 20591;telephone: (202) 267–8783.



subdivides R–2104A and R–2104C,Huntsville, AL, to enable more efficientutilization of airspace. Currently, R–2104A and R–2104C extend from thesurface to Flight Level 300 (FL 300). Theusing agency frequently conductsactivities within R–2104A and R–2104Cwhich require restricted airspace onlyup to 12,000 feet MSL. However, due tothe current configuration of the areas,airspace is actually restricted up to FL300 whenever R–2104A and/or R–2104Care activated. This unnecessarily limitspublic access to a portion of theairspace. This amendment subdividesR–2104A and R–2104C by redesignatingtheir altitudes to extend from thesurface to 12,000 feet MSL, and byredefining the remaining restrictedairspace, between 12,000 feet MSL and

FL 300, as new subareas R–2104D andR–2104E. The time of designation forsubareas R–2104D and R–2104E is ‘‘ByNotice to Airmen (NOTAM) 6 hours inadvance. This amendment enables theusing agency to accomplish its missionwhile improving the capability toactivate only the minimum amount ofrestricted airspace necessary for thatmission. No additional restrictedairspace is designated by this action.Further, the existing R–2104B is notaffected by this amendment. This actioninvolves the further subdivision ofexisting restricted areas and enhancesefficient airspace utilization. Therefore,I find that notice and public procedureunder 5 U.S.C. 553(b) are unnecessarysince this action is a minor amendmentin which the public would not beparticularly interested. The coordinatesfor this airspace docket are based onNorth American Datum 83. Section73.21 of part 73 of the Federal AviationRegulations was republished in FAAOrder 7400.8C dated June 19, 1995.

The FAA has determined that thisregulation only involves an establishedbody of technical regulations for whichfrequent and routine amendments arenecessary to keep them operationallycurrent. It, therefore—(1) is not a‘‘significant regulatory action’’ underExecutive Order 12866; (2) is not a‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034; February 26, 1979); and (3)does not warrant preparation of aregulatory evaluation as the anticipatedimpact is so minimal. Since this is aroutine matter that will only affect airtraffic procedures and air navigation, itis certified that this rule will not havea significant economic impact on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act.

Environmental ReviewThis action further subdivides

existing restricted airspace to permitmore efficient airspace utilization.There are no changes to air trafficcontrol procedures or routes as a resultof this action. Therefore, this action isnot subject to environmentalassessments and procedures under FAAOrder 1050.1D, ‘‘Policies andProcedures for ConsideringEnvironmental Impacts,’’ and theNational Environmental Policy Act.

List of Subjects in 14 CFR Part 73Airspace, Navigation (air).



PART 73—[AMENDED]



§ 73.21 [Amended]

2. Section 73.21 is amended asfollows:

R–2104A Huntsville, AL [Amended]

By removing the current ‘‘Designatedaltitudes. Surface to FL 300’’ andsubstituting the following:

‘‘Designated altitudes. Surface to12,000 feet MSL.’’

R–2104C Huntsville, AL [Amended]

By removing the current ‘‘Designatedaltitudes. Surface to FL 300’’ andsubstituting the following:

‘‘Designated altitudes. Surface to12,000 feet MSL.’’

R–2104D Huntsville, AL [New]

Boundaries. Beginning at lat.34°38′40′′ N., long. 86°43′00′′ W.; to lat.34°38′40′′ N., long. 86°41′00′′ W.; to lat.34°38′00′′ N., long. 86°40′53′′ W.; to lat.34°37′35′′ N., long. 86°37′40′′ W.; to lat.34°37′00′′ N., long. 86°37′00′′ W.; to lat.34°36′27′′ N., long. 86°36′38′′ W.; to lat.34°34′50′′ N., long. 86°36′38′′ W.; thencewest along the Tennessee River to lat.34°35′02′′ N., long. 86°43′25′′ W.; to lat.34°37′19′′ N., long. 86°43′20′′ W.; to lat.34°37′19′′ N., long. 86°43′05′′ W.; thenceto the point of beginning.

Designated altitudes. 12,000 feet MSLto FL 300.

Time of designation. By NOTAM 6hours in advance.

Controlling agency. FAA, MemphisARTCC.

Using agency. Commanding General,U.S. Army Missile Command, RedstoneArsenal, AL.

R–2104E Huntsville, AL [New]

Boundaries. Beginning at lat.34°41′25′′ N., long. 86°42′57′′ W.; to lat.34°42′00′′ N., long. 86°41′35′′ W.; to lat.34°38′40′′ N., long. 86°41′00′′ W.; to lat.34°38′40′′ N., long. 86°43′00′′ W.; thenceto the point of beginning.

Designated altitudes. 12,000 feet MSLto FL 300.

Time of designation. By NOTAM 6hours in advance.

Controlling agency. FAA, MemphisARTCC.

Using agency. Commanding General,U.S. Army Missile Command, RedstoneArsenal, AL.


Issued in Washington, DC, on June 11,1996.Harold W. Becker,Acting Program Director for Air TrafficAirspace Management.[FR Doc. 96–15635 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–P

14 CFR Part 73

[Airspace Docket No. 96–ASO–8]

Change in Using Agency for RestrictedArea R–2905A and R–2905B, TyndallAFB, FL


SUMMARY: This action changes the usingagency for Restricted Area 2905A (R–2905A) and R–2905B, Tyndall Air ForceBase (AFB), FL, from ‘‘Air DefenseWeapons Center, Tyndall AFB, FL’’ to‘‘325 Fighter Wing (FW), Tyndall AFB,FL.’’EFFECTIVE DATE: 0901 UTC, August 15,1996.FOR FURTHER INFORMATION CONTACT: PaulGallant, Airspace and Rules Division,ATA–400, Office of Air Traffic AirspaceManagement, Federal AviationAdministration, 800 IndependenceAvenue, SW., Washington, DC 20591;telephone: (202) 267–8783.



changes the using agency for R–2905Aand R–2905B, Tyndall AFB, FL, from‘‘Air Defense Weapons Center, TyndallAFB, FL’’ to ‘‘325 FW, Tyndall AFB,FL.’’ This is an administrative change toreflect a reorganization ofresponsibilities within the United StatesAir Force. There are no changes to theboundaries, designated altitudes, timesof designation, or activities conductedwithin the affected restricted areas.Because this action is a minor technicalamendment in which the public wouldnot be particularly interested, I find thatnotice and public procedure under 5U.S.C. 553(b) are unnecessary. Section73.29 of part 73 of the Federal AviationRegulations was republished in FAAOrder 7400.8C dated June 29, 1995.

The FAA has determined that thisregulation only involves an establishedbody of technical regulations for whichfrequent and routine amendments arenecessary to keep them operationallycurrent. It, therefore—(1) is not a‘‘significant regulatory action’’ underExecutive Order 12866; (2) is not a‘‘significant rule’’ under DOT

Regulatory Policies and Procedures (44FR 11034; February 26, 1979); and (3)does not warrant preparation of aregulatory evaluation as the anticipatedimpact is so minimal. Since this is aroutine matter that will only affect airtraffic procedures and air navigation, itis certified that this rule will not havea significant economic impact on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act.

Environmental Review

This action changes the using agencyof the affected restricted areas. There areno changes to the boundaries,designated altitudes, times ofdesignation, or activities conductedwithin these restricted areas. Further,this action will not require any changesto existing air traffic procedures.Accordingly, this action is not subject toenvironmental assessments andprocedures as set forth in FAA Order1050.1D, ‘‘Policies and Procedures forConsidering Environmental Impacts.’’


Airspace, Navigation (air).



PART 73—[AMENDED]



§ 73.29 [Amended]

2. R–2905A Tyndall AFB, FL[Amended]

By removing ‘‘Using agency. AirDefense Weapons Center, Tyndall AFB,FL’’ and substituting the following:

‘‘Using agency. 325 FW, Tyndall AFB,FL.’’

3. R–2905B Tyndall AFB, FL[Amended]

By removing ‘‘Using agency. AirDefense Weapons Center, Tyndall AFB,FL’’ and substituting the following:

‘‘Using agency. 325 FW, Tyndall AFB,FL.’’

Issued in Washington, DC, on June 11,1996.Harold W. Becker,Acting Program Director for Air Traffic,Airspace Management.[FR Doc. 96–15634 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–P

SOCIAL SECURITY ADMINISTRATION


[Regulations Nos. 4 and 16]

RIN 0960–AD39

Payment for Vocational RehabilitationServices Furnished Individuals DuringCertain Months of Nonpayment ofSupplemental Security IncomeBenefits

AGENCY: Social Security Administration(SSA).ACTION: Final rules.

SUMMARY: We are amending ourregulations relating to payment forvocational rehabilitation (VR) servicesprovided to recipients of supplementalsecurity income (SSI) benefit paymentsbased on disability or blindness undertitle XVI of the Social Security Act (theAct). These regulations reflect section5037 of the Omnibus BudgetReconciliation Act of 1990 (OBRA1990). Section 5037 of OBRA 1990added section 1615(e) to the Act whichauthorizes the Commissioner of SocialSecurity (the Commissioner) to pay aState VR agency for costs incurred infurnishing VR services to an individualduring certain months for which theindividual did not receive SSI paymentsbased on disability or blindness as wellas during months for which theindividual did receive such payments.We also are amending our regulationson VR payments to clarify certain rulesand remove some outdated rules.EFFECTIVE DATE: These regulations areeffective June 19, 1996.FOR FURTHER INFORMATION CONTACT:Regarding this Federal Registerdocument—Richard M. Bresnick, LegalAssistant, Division of Regulations andRulings, Social Security Administration,6401 Security Boulevard, Baltimore, MD21235, (410) 965–1758; regardingeligibility or filing for benefits—ournational toll-free number, 1–800–772–1213.SUPPLEMENTARY INFORMATION: We areamending our regulations on paymentfor VR services provided to individualsreceiving SSI benefits based ondisability or blindness. These amendedregulations reflect section 5037 of OBRA1990, Public Law (Pub. L.) 101–508,which added paragraph (e) to section1615 of the Act. Our existing regulationsconcerning payment for such servicescarry out the provisions of section1615(d) of the Act.

In general, section 1615(d) of the Actauthorizes the Commissioner toreimburse a State VR agency for thecosts incurred in providing VR services


to individuals receiving SSI benefitsunder title XVI of the Act based ondisability or blindness in threecategories of cases. Specifically, section1615(d) permits payment for VRservices furnished to such individualsonly in cases where: (1) The furnishingof such services results in theindividual’s performance of substantialgainful activity (SGA) for a continuousperiod of nine months; (2) theindividual is continuing to receivebenefits, despite his or her medicalrecovery, under section 1631(a)(6) of theAct because of his or her participationin a VR program; or (3) the individual,without good cause, refuses to continueto accept VR services or fails tocooperate in such a manner as topreclude his or her successfulrehabilitation. (In such a case of refusalto continue or cooperate in a VRprogram, payments are authorized onlyfor the VR services provided prior to thecessation of VR participation. If theindividual resumes participation, thenpayments are authorized for the VRservices provided after participation isresumed only if all requirements forpayment are met.) These cases aredescribed in sections 1615(d) (1), (2)and (3) of the Act, respectively, and in§§ 416.2211–416.2213 of ourregulations.

Under section 1615(d) of the Act,payment may be made for VR servicesfurnished by a State VR agency, i.e., anagency administering a State plan forVR services approved under title I of theRehabilitation Act of 1973, as amended.However, in the case of a State whichis unwilling to participate or does nothave such a plan for VR services, ourregulation at § 416.2204 provides thatwe may arrange for VR services for anSSI recipient who is disabled or blindthrough an alternative VR serviceprovider (alternate participant) and paysuch provider for the costs of servicesunder the same terms and conditionsthat apply to State VR agencies. Thisregulation is based in part on section222(d)(2) of the Act, which provides forthe use of alternate participants in theVR payment program under title II ofthe Act (relating to the rehabilitation ofSocial Security disability beneficiaries),and on the authority provided to theCommissioner under section 1633(a) ofthe Act to make such administrative andother arrangements as may be necessaryor appropriate to carry out title XVI ofthe Act, including making arrangementsunder title XVI in the same manner asthey are made under title II.

Prior to the enactment of OBRA 1990,SSA was authorized to pay a State VRagency under section 1615(d) of the Actonly for VR services that were provided

to an individual during months forwhich the individual received SSIbenefits based on disability orblindness, including benefits payableunder section 1611 or 1619(a) of the Actor, for cases under section 1615(d)(2),discussed above, continued payment ofsuch benefits under section 1631(a)(6) ofthe Act. This is reflected in our existingregulations at §§ 416.2201, 416.2203 and416.2215(a)(2).

Section 5037 of OBRA 1990 addedsection 1615(e) to the Act to provide usthe authority to pay a State VR agencyunder section 1615(d) for the costsdescribed in that section that areincurred in providing VR services to anindividual during certain months forwhich the individual was not receivingSSI benefits based on disability orblindness as well as during months forwhich the individual was receivingsuch benefits. Under section 1615(e) ofthe Act, payment may be made for VRservices in a case described in section1615(d)(1), (2) or (3) of the Act whichare provided to an individual in amonth for which the individualreceives, i.e., is eligible for—

• SSI cash benefits under section1611 or special SSI cash benefits undersection 1619(a) of the Act (this is thesame as under prior law);

• A special status for Medicaid undersection 1619(b) of the Act; or

• A federally administered Statesupplementary payment under section1616 of the Act or section 212(b) of Pub.L. 93–66.

In addition, section 1615(e) of the Actpermits payment for VR servicesprovided in a month for which anindividual was ineligible for the benefitsor special status described above for areason other than cessation of disabilityor blindness, if such month occurredprior to the 13th consecutive month ofsuch ineligibility following a month forwhich the individual was eligible forsuch benefits or special status. Thismeans that payment may be made forVR services furnished during a monthfor which an individual’s benefitpayment or special status for Medicaidunder section 1619(b) was suspended.

Section 1615(e) of the Act becameeffective November 5, 1990, the date ofthe enactment of OBRA 1990, andapplies to claims for reimbursementpending on or after that date. Thisamendment to the Act, which allows usto reimburse a State VR agency oralternate participant for VR servicesfurnished during certain months forwhich an individual was not receivingSSI benefits, responds to arecommendation in the March 1988Report of the Disability AdvisoryCouncil that the Congress amend the

Act to permit SSA to pay for VR servicesprovided in months when an individualis in suspension status.

Changes to the VR Payment RegulationsThese final rules amend the existing

regulations concerning the SSI VRpayment program under title XVI of theAct to take account of the provisions ofsection 1615(e) of the Act which permitpayment for VR services furnishedduring certain months for which adisabled or blind individual does notreceive SSI benefits. These rules alsomake some other changes in the existingVR payment regulations to clarifycertain rules and delete some obsoleterules. These changes affect theregulations governing the SocialSecurity VR payment program undertitle II of the Act as well as theregulations concerning the SSI VRpayment program under title XVI. Theexisting Social Security VR paymentregulations carry out section 222(d) ofthe Act which contains provisions thatare similar to the provisions of section1615(d) of the Act, except that theyapply to payment for VR servicesprovided to individuals entitled toSocial Security benefits based ondisability under title II.

Changes to the Regulations toImplement Section 1615(e) of the Act

We are amending § 416.2201 toexplain that, in general, sections 1615(d)and (e) of the Act authorize payment forcosts of VR services provided to certaindisabled or blind individuals who areeligible for SSI benefits, special SSIeligibility status, or federallyadministered State supplementarypayments. In the amendment to§ 416.2201, we also explain that for thepurpose of the SSI VR paymentregulations, we refer to SSI benefits,special SSI eligibility status, or federallyadministered State supplementarypayments as ‘‘disability or blindnessbenefits.’’ Additionally, we are adding acorresponding definition of ‘‘disabilityor blindness benefits’’ for this purposein § 416.2203, discussed below.

The amendment to § 416.2201 furtherexplains that, subject to the otherrequirements and conditions forpayment prescribed in the regulations,payment may be made for VR serviceswhich are furnished during a month(s)for which an individual is eligible fordisability or blindness benefits orcontinues to receive such benefits undersection 1631(a)(6) of the Act, or whichare furnished during a month(s) forwhich the individual’s disability orblindness benefits are suspended. Thisrule also is reflected in the revised§ 416.2215, discussed below.


In § 416.2203, ‘‘Definitions,’’ we aredeleting the paragraph defining‘‘eligible,’’ which discusses eligibilityfor SSI benefits only, and adding a newparagraph to explain the meaning of‘‘disability or blindness benefits’’ whenused in the SSI VR payment regulations.These final rules provide that‘‘disability or blindness benefits,’’ asdefined for the SSI VR paymentregulations only, refer to regular SSIbenefits under section 1611 of the Act,special SSI cash benefits under section1619(a) of the Act, special SSI eligibilitystatus under section 1619(b) of the Act,and/or a federally administered Statesupplementary payment under section1616 of the Act or section 212(b) of Pub.L. 93–66, for which an individual iseligible based on disability or blindness,as appropriate. Thus, in these final VRpayment regulations, when we use theterms ‘‘disability or blindness benefits’’with reference to the SSI program, wemean the benefits, status, or paymentsreferred to in section 1615(e) of the Act.As used in this preamble, ‘‘disability orblindness benefits’’ has the samemeaning as in the final rules. Further, in§ 416.2203, we are defining the phrase‘‘special SSI eligibility status’’ to refer tothe special status for Medicaid undersection 1619(b) of the Act since this isthe phrase we use to describe thespecial status in our other SSIregulations, e.g., §§ 416.260 and416.264.

We are also amending several sectionsof the SSI VR payment regulations toreplace phrases such as ‘‘disability orblindness payment’’ with the phrase‘‘disability or blindness benefits’’ and tosubstitute the term ‘‘benefits’’ for‘‘payment’’ or ‘‘payments’’ as thecontext requires. We are making thesechanges to §§ 416.2201(b), 416.2209 (b)and (c), 416.2212, 416.2213(c), 416.2215(a) and (b), and 416.2216(c)(2).

Section 416.2215(a) of our existingregulations provides that in order for theState VR agency or alternate participantto be paid, the VR services must havebeen provided—(1) after September 30,1981; (2) during months the individualis eligible for SSI disability or blindnesspayments; and (3) before completion ofa continuous 9-month period of SGA.We are revising paragraph (a)(2) of§ 416.2215 to provide that to be payable,the VR services must have beenprovided during a month or months forwhich—(i) the individual is eligible fordisability or blindness benefits orcontinues to receive such benefits undersection 1631(a)(6) of the Act; or (ii) thedisability or blindness benefits of theindividual are suspended due to his orher ineligibility for the benefits. We arealso revising paragraph (a)(3) of

§ 416.2215 to provide that the VRservices must have been provided priorto the completion of a continuous 9-month period of SGA or termination ofdisability or blindness benefits,whichever occurs first.

The revisions to § 416.2215 (a)(2) and(a)(3) provide cross-references to theregulations in Subpart M of 20 CFR Part416 which contain our rules onsuspension and termination of benefitsunder the SSI program. In general, theseregulations provide that unless atermination of an individual’s eligibilityfor benefits is required, an individual’sbenefits will be suspended for anymonth for which the individual nolonger meets the requirements foreligibility for benefits under the SSIprogram. Termination of eligibility isrequired when benefits have beensuspended for a period of 12consecutive months, i.e., the individualremains ineligible for SSI benefits,special status for Medicaid, and/orfederally administered Statesupplementary payments for acontinuous 12-month period. Eligibilityfor SSI benefits based on disability orblindness also terminates if theindividual’s disability or blindnessceases, unless the individual isparticipating in an approved VRprogram and the other requirements forthe continuation of benefits undersection 1631(a)(6) of the Act are met.

The revisions to §§ 416.2215 (a)(2)and (a)(3) are consistent with theprovisions of sections 1615 (d) and (e)of the Act. They permit payment for VRservices which are provided eitherduring a month(s) for which anindividual is eligible for disability orblindness benefits, including thecontinuation of such benefits undersection 1631(a)(6) of the Act, or duringa month(s) for which the individual isineligible for disability or blindnessbenefits, for a reason other thancessation of disability or blindness, ifsuch month(s) occurs prior to the 13thconsecutive month of such ineligibility,i.e., a month(s) for which benefits aresuspended but not terminated.

We are also amending theintroductory paragraph of § 416.2217 toadd a reference to section 1615(e) of theAct. In addition, we are changing theregulations governing the SocialSecurity VR payment program undertitle II of the Act to reflect the expandedscope of the SSI VR payment programunder title XVI resulting from section1615(e) of the Act. We are amending§ 404.2115(b) of the title II regulations toexplain that if VR services are providedto an individual who is entitled to titleII disability benefits and who also is orhas been receiving disability or

blindness benefits under the SSIprogram, the determination as to whenVR services must have been providedmay be made under either § 404.2115 or§ 416.2215, whichever is advantageousto the State VR agency or alternateparticipant that is participating in bothVR programs.

Other Changes to the VR PaymentRegulations

In addition to the changes to theregulations discussed above, we areamending the Social Security and SSIVR payment regulations to clarifycertain rules relating to payment for VRservices provided to an individual in acase where the individual, without goodcause, refuses to continue or cooperatein a VR program. Additionally, we aredeleting some obsolete rules relating tothe time periods within which claimsfor payment for VR services must befiled. Further, we are making a fewother nonsubstantive changes to certainprovisions of the regulations affected bythe changes described above.

We are amending §§ 404.2113(c) and416.2213(c) to indicate that ifdeductions are imposed against anindividual’s Social Security disabilitybenefits because of VR refusal, or if anindividual’s disability or blindnessbenefits under the SSI program aresuspended because of VR refusal, theservices for which payment may bemade in such a case are those VRservices which were provided to theindividual prior to his or her VR refusal.If the individual thereafter resumesparticipation in a VR program and againreceives VR services, payment may bemade for those services only if thecriteria for payment in § 404.2113 or§ 416.2213 are again met, or if theservices qualify for payment under oneof the other provisions of the regulationspermitting payment, i.e., §§ 404.2111,404.2112, 416.2211, or 416.2212.

We are also deleting the parentheticalphrase ‘‘(suspension of benefits in casesdescribed in § 404.2113)’’ in existing§ 404.2115(a)(3). This change isappropriate since under section 222(b)of the Act and § 404.422 of the title IIregulations, a determination by us thata Social Security disability beneficiaryhas refused, without good cause, toaccept VR services available to theindividual results in our imposingdeductions against Social Securitybenefits, rather than suspendingbenefits. This is reflected in existing§§ 404.2109(c) and 404.2113(c). To beconsistent with these sections, we areamending § 404.2116(c)(2) to clarify thata beneficiary’s VR refusal results indeductions against Social Security


disability benefits, rather than asuspension of benefits.

Existing §§ 404.2116 (b)(2) and (c)(2)and 416.2216 (b)(2) and (c)(2) containprovisions which provide for the filingof claims for payment for VR services incertain cases within 12 months after themonth of the initial publication of thesesections in the Federal Register, 55 FR8449 (March 8, 1990). This 12-monthperiod ended March 31, 1991, the closeof the 12th month following the monthof publication in the Federal Register.Since this time period for filing a claimis no longer in effect, we are deletingthese provisions from the regulations.

We are amending §§ 404.2116(c)(2)and 416.2216(c)(2) to clarify that theother 12-month period described inthese sections for filing a claim forpayment in the case of an individual’sVR refusal begins after the first monthfor which deductions are imposedagainst Social Security disabilitybenefits, or after the first month forwhich disability or blindness benefitsunder the SSI program are suspended,because of such VR refusal.

On September 11, 1995, we publishedthese final rules as proposed rules in theFederal Register at 60 FR 47126 with a60-day comment period. We receivedcomments from two sources, but onecommenter simply stated factually thatthe proposed regulations would amendcertain regulatory provisions. Thiscommenter offered no further commentor opinion about the nature or effect ofthe proposed regulations. The othercommenter generally was supportive ofthe proposed rules, but did suggest abetter description of the issues and ashort explanation of the statutoryrequirements. In the absence of othercomments, we believe the explanationof the proposed rules as published isadequate. Therefore, we are publishingthe final rules essentially unchangedfrom the proposed rules.

Regulatory ProceduresPursuant to section 702(a)(5) of the

Social Security Act, 42 U.S.C. 902(a)(5),as amended by section 102 of Pub. L.103–296, SSA follows theAdministrative Procedure Act (APA)rulemaking procedures specified in 5U.S.C. 553 in the development of itsregulations. The APA provides in 5U.S.C. 553(d) that a substantive rule willbe published at least 30 days before itseffective date, with certain exceptions.We find good cause for dispensing withthe 30-day delay in the effective date ofthis rule, as provided for by 5 U.S.C.553(d)(3). As explained above, we areamending our regulations to reflectcurrent provisions of the law. It wouldbe contrary to the public interest to

delay making our regulations consistentwith current law. Therefore, we findthat it is in the public interest to makethis rule effective upon publication.

Executive Order 12866

We have consulted with the Office ofManagement and Budget (OMB) anddetermined that these rules do not meetthe criteria for a significant regulatoryaction under Executive Order 12866.Thus, they were not subject to OMBreview.

Regulatory Flexibility Act

We certify that these regulations willnot have a significant economic impacton a substantial number of smallentities. Therefore, a regulatoryflexibility analysis as provided in Pub.L. 96–354, the Regulatory FlexibilityAct, is not required.

These final regulations carry outsection 1615(e) of the Act which allowspayment for VR services under section1615(d) of the Act provided duringcertain months for which an individualdoes not receive SSI benefits based ondisability or blindness. They apply toStates and certain alternate providers ofVR services which are willing toprovide services to disabled or blind SSIrecipients, or Social Security disabilitybeneficiaries, under our VR paymentprograms under the conditions specifiedin the regulations.

Paperwork Reduction Act

These final regulations impose noadditional reporting or recordkeepingrequirements subject to clearance byOMB.(Catalog of Federal Domestic AssistanceProgram Nos. 96.001, Social Security-Disability Insurance; 96.006, SupplementalSecurity Income)

List of Subjects

20 CFR Part 404

Administrative practice andprocedure, Blind, Disability benefits,Old-Age, Survivors and DisabilityInsurance, Reporting and recordkeepingrequirements, Social Security.

20 CFR Part 416

Administrative practice andprocedure, Aged, Blind, Disabilitybenefits, Public assistance programs,Supplemental Security Income (SSI),Reporting and recordkeepingrequirements.

Dated: June 4, 1996.Shirley S. Chater,Commissioner of Social Security.

For the reasons set out in thepreamble, we are amending subpart V of

part 404 and subpart V of part 416 of 20CFR chapter III as follows:

PART 404—FEDERAL OLD-AGE,SURVIVORS AND DISABILITYINSURANCE (1950– )

Subpart V—[Amended]

1. The authority citation for subpart Vof part 404 continues to read as follows:

Authority: Secs. 205(a), 222, and 702(a)(5)of the Social Security Act (42 U.S.C. 405(a),422, and 902(a)(5)).

2. Section 404.2113 is amended byrevising the last sentence of paragraph(c) to read as follows:

§ 404.2113 Payment for VR services in acase of VR refusal.

* * * * *(c) * * * A State VR agency or

alternate participant may be paid,subject to the provisions of this subpart,for the costs of VR services provided toan individual prior to his or her VRrefusal if deductions have been imposedagainst the individual’s monthlydisability benefits for a month(s) afterOctober 1984 because of such VRrefusal.

3. Section 404.2115 is amended byrevising paragraphs (a)(3) and (b) to readas follows:

§ 404.2115 When services must have beenprovided.

(a) * * *(3) Before completion of a continuous

9-month period of SGA or terminationof entitlement to disability benefits,whichever occurs first.

(b) If an individual who is entitled todisability benefits under this part also isor has been receiving disability orblindness benefits under part 416 of thischapter, the determination as to whenservices must have been provided maybe made under this section or§ 416.2215 of this chapter, whichever isadvantageous to the State VR agency oralternate participant that is participatingin both VR programs.

4. Section 404.2116 is amended byrevising paragraphs (b)(2) and (c)(2) toread as follows:

§ 404.2116 When claims for payment forVR services must be made (filingdeadlines).

* * * * *(b) * * *(2) If no written notice was sent to the

State VR agency or alternate participant,a claim must be filed within 12 monthsafter the month in which VR servicesend.

(c) * * *(2) If no written notice was sent to the

State VR agency or alternate participant,


a claim must be filed within 12 monthsafter the first month for whichdeductions are imposed againstdisability benefits because of such VRrefusal.

PART 416—SUPPLEMENTALSECURITY INCOME FOR THE AGED,BLIND, AND DISABLED

Subpart V—[Amended]

5. The authority citation for subpart Vof part 416 is revised to read as follows:

Authority: Secs. 702(a)(5), 1615, 1631(d)(1)and (e), and 1633(a) of the Social SecurityAct (42 U.S.C. 902(a)(5), 1382d, 1383(d)(1)and (e), and 1683b(a)).

6. Section 416.2201 is amended byrevising the introductory text andparagraph (b) to read as follows:

§ 416.2201 General.In general, sections 1615 (d) and (e) of

the Social Security Act (the Act)authorize payment from the generalfund for the reasonable and necessarycosts of vocational rehabilitation (VR)services provided certain disabled orblind individuals who are eligible forsupplemental security income (SSI)benefits, special SSI eligibility status, orfederally administered Statesupplementary payments. In thissubpart, such benefits, status, orpayments are referred to as disability orblindness benefits (see § 416.2203).Subject to the provisions of this subpart,payment may be made for VR servicesprovided an individual during amonth(s) for which the individual iseligible for disability or blindnessbenefits, including the continuation ofsuch benefits under section 1631(a)(6) ofthe Act, or for which the individual’sdisability or blindness benefits aresuspended (see § 416.2215). Paragraphs(a), (b) and (c) of this section describethe cases in which the State VR agenciesand alternate participants can be paidfor the VR services provided such anindividual under this subpart. Thepurpose of sections 1615 (d) and (e) ofthe Act is to make VR services morereadily available to disabled or blindindividuals, help State VR agencies andalternate participants to recover some oftheir costs in VR refusal situations, asdescribed in § 416.2213, and ensure thatsavings accrue to the general fund.Payment will be made for VR servicesprovided on behalf of such anindividual in cases where—* * * * *

(b) The individual continues toreceive disability or blindness benefits,even though his or her disability orblindness has ceased, under section1631(a)(6) of the Act because of his or

her continued participation in anapproved VR program which we havedetermined will increase the likelihoodthat he or she will not return to thedisability or blindness rolls (see§ 416.2212); or* * * * *

7. Section 416.2203 is amended byremoving the definition of ‘‘Eligible’’and adding 2 new definitions inalphabetical order to read as follows:

§ 416.2203 Definitions.

* * * * *Disability or blindness benefits, as

defined for this subpart only, refers toregular SSI benefits under section 1611of the Act (see § 416.202), special SSIcash benefits under section 1619(a) ofthe Act (see § 416.261), special SSIeligibility status under section 1619(b)of the Act (see § 416.264), and/or afederally administered Statesupplementary payment under section1616 of the Act or section 212(b) ofPublic Law 93–66 (see § 416.2001), forwhich an individual is eligible based ondisability or blindness, as appropriate.* * * * *

Special SSI eligibility status refers tothe special status described in§§ 416.264 through 416.269 relating toeligibility for Medicaid.* * * * *

§ 416.2209 [Amended]8. Section 416.2209 is amended in

paragraph (b) by removing ‘‘payments’’and adding ‘‘benefits’’ in its place andin paragraph (c) by removing ‘‘payment’’and adding ‘‘benefits’’ in its place.

9. Section 416.2212 is amended byrevising the section heading and thefirst and second sentences to read asfollows:

§ 416.2212 Payment for VR services in acase where an individual continues toreceive disability or blindness benefitsbased on participation in an approved VRprogram.

Section 1631(a)(6) of the Act containsthe criteria we will use in determiningif an individual whose disability orblindness has ceased should continue toreceive disability or blindness benefitsbecause of his or her continuedparticipation in an approved VRprogram. A VR agency or alternateparticipant can be paid for the cost ofVR services provided to an individual ifthe individual was receiving benefitsbased on this provision in a month(s)after October 1984 or, in the case of ablindness recipient, in a month(s) afterMarch 1988. * * *

10. Section 416.2213 is amended byrevising the last sentence of paragraph(c) to read as follows:

§ 416.2213 Payment for VR services in acase of VR refusal.

* * * * *(c) * * * A State VR agency or

alternate participant may be paid,subject to the provisions of this subpart,for the costs of VR services provided toan individual prior to his or her VRrefusal if the individual’s disability orblindness benefits have been suspendedfor a month(s) after October 1984because of such VR refusal.

11. Section 416.2215 is revised to readas follows:

§ 416.2215 When services must have beenprovided.

(a) In order for the VR agency oralternate participant to be paid, theservices must have been provided—

(1) After September 30, 1981;(2) During a month(s) for which—(i) The individual is eligible for

disability or blindness benefits orcontinues to receive such benefits undersection 1631(a)(6) of the Act (see§ 416.2212); or

(ii) The disability or blindnessbenefits of the individual are suspendeddue to his or her ineligibility for thebenefits (see subpart M of this partconcerning suspension for ineligibility);and

(3) Before completion of a continuous9-month period of SGA or terminationof disability or blindness benefits,whichever occurs first (see subpart M ofthis part concerning termination ofbenefits).

(b) If an individual who is receivingdisability or blindness benefits underthis part, or whose benefits under thispart are suspended, also is entitled todisability benefits under part 404 of thischapter, the determination as to whenservices must have been provided maybe made under this section or§ 404.2115 of this chapter, whichever isadvantageous to the State VR agency oralternate participant that is participatingin both VR programs.

12. Section 416.2216 is amended byrevising paragraphs (b)(2) and (c)(2) toread as follows:

§ 416.2216 When claims for payment forVR services must be made (filingdeadlines).

* * * * *(b) * * *(2) If no written notice was sent to the

State VR agency or alternate participant,a claim must be filed within 12 monthsafter the month in which VR servicesend.

(c) * * *(2) If no written notice was sent to the

State VR agency or alternate participant,a claim must be filed within 12 months


after the first month for which disabilityor blindness benefits are suspendedbecause of such VR refusal.

§ 416.2217 [Amended]

13. Section 416.2217 is amended inthe introductory text of the section byadding ‘‘and (e)’’ after ‘‘section1615(d).’’

[FR Doc. 96–15407 Filed 6–18–96; 8:45 am]BILLING CODE 4190–29–P

DEPARTMENT OF HEALTH ANDHUMAN SERVICES

Food and Drug Administration

21 CFR Part 520

Oral Dosage Form New Animal Drugs;Neomycin Sulfate Soluble Powder

AGENCY: Food and Drug Administration,HHS.ACTION: Final rule.

SUMMARY: The Food and DrugAdministration (FDA) is amending theanimal drug regulations to reflectapproval of an abbreviated new animaldrug application (ANADA) filed byWade Jones Co., Inc. The ANADAprovides for the use of a genericneomycin sulfate soluble powder indrinking water and milk for cattle(excluding veal calves), swine, sheep,and goats for the treatment and controlof colibacillosis.EFFECTIVE DATE: June 19, 1996.FOR FURTHER INFORMATION CONTACT:Melanie R. Berson, Center for VeterinaryMedicine (HFV–135), Food and DrugAdministration, 7500 Standish Pl.,Rockville, MD 20855, 301–594–1643.SUPPLEMENTARY INFORMATION: WadeJones Co., Inc., Hwy. 71 North, Lowell,AK 72745, filed ANADA 200–130,which provides for the use of neomycinsulfate soluble powder in drinkingwater and milk for cattle (excluding vealcalves), swine, sheep, and goats for thetreatment and control of colibacillosis(bacterial enteritis) caused byEscherichia coli susceptible toneomycin sulfate. ANADA 200–130 isapproved as a generic copy of theUpjohn Co.’s NADA 11–315. TheANADA is approved as of May 8, 1996,and the regulations are amended in 21CFR 520.1484(b) and (c)(3) to reflect theapproval. The basis for approval isdiscussed in the freedom of informationsummary.

In accordance with the freedom ofinformation provisions of part 20 (21CFR part 20) and § 514.11(e)(2)(ii) (21CFR 514.11(e)(2)(ii)), a summary of

safety and effectiveness data andinformation submitted to supportapproval of this application may be seenin the Dockets Management Branch(HFA–305), Food and DrugAdministration, 12420 Parklawn Dr.,rm. 1–23, Rockville, MD 20857, between9 a.m. and 4 p.m., Monday throughFriday.

The agency has determined under 21CFR 25.24(d)(1)(i) that this action is ofa type that does not individually orcumulatively have a significant effect onthe human environment. Therefore,neither an environmental assessmentnor an environmental impact statementis required.

List of Subjects in 21 CFR Part 520Animal drugs.Therefore, under the Federal Food,

Drug, and Cosmetic Act and underauthority delegated to the Commissionerof Food and Drugs and redelegated tothe Center for Veterinary Medicine, 21CFR part 520 is amended as follows:

PART 520—ORAL DOSAGE FORMNEW ANIMAL DRUGS


Authority: Sec. 512 of the Federal Food,Drug, and Cosmetic Act (21 U.S.C. 360b).

2. Section 520.1484 is amended byrevising paragraph (b) and the lastsentence of paragraph (c)(3) to read asfollows:

§ 520.1484 Neomycin sulfate solublepowder.* * * * *

(b) Sponsors. See Nos. 000009,000069, 047864, 050604, and 059130 in§ 510.600(c) of this chapter.

(c) * * *(3) * * * Discontinue treatment prior

to slaughter as follows: For sponsors000009, 000069, 047864, and 050604—cattle (not for use in veal calves), 1 day;sheep, 2 days; swine and goats, 3 days.

Dated: June 10, 1996.Stephen F. Sundlof,Director, Center for Veterinary Medicine.[FR Doc. 96–15466 Filed 6–18–96; 8:45 am]BILLING CODE 4160–01–F

21 CFR Part 522

Implantation or Injectable DosageForm New Animal Drugs;Oxytetracycline Injection


SUMMARY: The Food and DrugAdministration (FDA) is amending the

animal drug regulations to reflectapproval of an abbreviated new animaldrug application (ANADA) filed byPennfield Oil Co. The ANADA providesfor the use of a generic oxytetracyclineinjection for beef cattle, non-lactatingdairy cattle, and swine.EFFECTIVE DATE: June 19, 1996.FOR FURTHER INFORMATION CONTACT:Melanie R. Berson, Center for VeterinaryMedicine (HFV–135), Food and DrugAdministration, 7500 Standish Pl.,Rockville, MD 20855, 301–594–1643.SUPPLEMENTARY INFORMATION: PennfieldOil Co., 14040 Industrial Rd., Omaha,NE 68137, filed ANADA 200–154,which provides for use of 200 milligramper milliliter (mg/mL) oxytetracyclineinjection for intramuscular andintravenous use in beef cattle and non-lactating dairy cattle and intramuscularuse in swine for control or treatment ofdiseases caused by oxytetracyclinesusceptible diseases. The drug is used inbeef cattle and non-lactating dairy cattlefor treatment of pneumonia andshipping fever complex associated withPasteurella spp. and Hemophilus spp.;infectious bovine keratoconjunctivitis(pinkeye) caused by Moraxella bovis;foot rot and diphtheria caused byFusobacterium necrophorum; bacterialenteritis (scours) caused by Escherichiacoli; wooden tongue caused byActinobacillus lignieresi; leptospirosiscaused by Leptospira pomona; andwound infections and metritis causedby strains of staphylococci andstreptococci organisms sensitive tooxytetracycline. The drug is used inswine for the treatment of bacterialenteritis (scours, colibacillosis) causedby E. coli; pneumonia caused by P.multocida; and leptospirosis caused byL. pomona; and in sows as an aid in thecontrol of infectious enteritis (baby pigscours, colibacillosis) in suckling pigscaused by E. coli.

ANADA 200–154 for Pennfield OilCo.’s oxytetracycline injection isapproved as a generic copy of Pfizer’sNADA 113–232 Liquamycin LA–200(oxytetracycline) Injection. The ANADAis approved as of May 8, 1996, and theregulations are amended in 21 CFR522.1660 to reflect the approval. Thebasis for approval is discussed in thefreedom of information summary.

In accordance with the freedom ofinformation provisions of part 20 (21CFR part 20) and § 514.11(e)(2)(ii) (21CFR 514.11(e)(2)(ii)), a summary ofsafety and effectiveness data andinformation submitted to supportapproval of this application may be seenin the Dockets Management Branch(HFA–305), Food and DrugAdministration, 12420 Parklawn Dr.,


rm. 1–23, Rockville, MD 20857, between9 a.m. and 4 p.m., Monday throughFriday.

The agency has determined under 21CFR 25.24(d)(l)(i) that this action is ofa type that does not individually orcumulatively have a significant effect onthe human environment. Therefore,neither an environmental assessmentnor an environmental impact statementis required.

List of Subjects in 21 CFR Part 522Animal drugs.Therefore, under the Federal Food,

Drug, and Cosmetic Act and underauthority delegated to the Commissionerof Food and Drugs and redelegated tothe Center for Veterinary Medicine, 21CFR part 522 is amended as follows:

PART 522—IMPLANTATION ORINJECTABLE DOSAGE FORM NEWANIMAL DRUGS



§ 522.1660 [Amended]2. Section 522.1660 Oxytetracycline

injection is amended in paragraphs (b)and (c)(2)(iii) by adding ‘‘053389,’’ after‘‘000069,’’.



Animal Drugs, Feeds, and RelatedProducts; Spectinomycin Injection


SUMMARY: The Food and DrugAdministration (FDA) is amending theanimal drug regulations to reflectapproval of an abbreviated new animaldrug application (ANADA) filed by TheUpjohn Co. The ANADA provides forsubcutaneous use of a genericspectinomycin sterile solution in turkeypoults and newly-hatched chicks as anaid in the control of bacterial respiratoryinfections, airsacculitis, and mortality.The regulations are also amended to adda tolerance for spectinomycin residuesin turkey tissues.EFFECTIVE DATE: June 19, 1996.FOR FURTHER INFORMATION CONTACT:Melanie R. Berson, Center for VeterinaryMedicine (HFV–135), Food and Drug

Administration, 7500 Standish Pl.,Rockville, MD 20855, 301–594–1643.SUPPLEMENTARY INFORMATION: TheUpjohn Co., Agricultural Division,Kalamazoo, MI 49001–0199, is thesponsor of ANADA 200–127 whichprovides for the use of a genericspectinomycin dihydrochloridepentahydrate sterile solution (500milliliter (mL) vial; 100 milligrams ofspectinomycin activity per mL). Thegeneric drug product is administeredsubcutaneously to 1- to 3-day-old turkeypoults as an aid in the control of chronicrespiratory disease (CRD) andairsacculitis and 1- to 3-day-old chicksas an aid in the control of mortality andto lessen the severity of respiratoryinfections, caused by certain microbialspecies sensitive to spectinomycin.

Approval of ANADA 200–127 for TheUpjohn Co.’s spectinomycindihydrochloride pentahydrate sterilesolution is as a generic copy of RhoneMerieux’s (formerly Sanofi AnimalHealth) NADA 040–040 for SpectamInjectable. The ANADA is approved asof May 9, 1996, and the regulations areamended in 21 CFR 522.2120 to reflectthe approval. The basis for approval isdiscussed in the freedom of informationsummary.

Spectinomycin was originallyapproved based on the negligibletolerance concept. A negligibletolerance has been applied to animaldrug residues when the supportingtoxicological data are of subchronic (90-day) duration. The ‘‘negligibletolerance’’ concept is based on twoprecepts: (1) The residue present is at alevel of insignificance and (2) the safetyof the residue is supported by limitedtoxicological data. The upper level for adrug residue to qualify for ‘‘negligibletolerance’’ is considered customarily tobe 0.1 part per million (ppm) residue intissue. Therefore, the tolerance forspectinomycin residues in edible tissuesis the same for all species in which thedrug is approved. Accordingly, 21 CFR556.600 is amended to apply thetolerance of 0.1 ppm to edible turkeytissues.

In accordance with the freedom ofinformation provisions of part 20 (21CFR part 20) and § 514.11(e)(2)(ii) (21CFR 514.11(e)(2)(ii)), a summary ofsafety and effectiveness data andinformation submitted to supportapproval of this application may be seenin the Dockets Management Branch(HFA–305), Food and DrugAdministration, 12420 Parklawn Dr.,rm. 1–23, Rockville, MD 20857, between9 a.m. and 4 p.m., Monday throughFriday.

The agency has determined under 21CFR 25.24(d)(1)(i) that this action is of

a type that does not individually orcumulatively have a significant effect onthe human environment. Therefore,neither an environmental assessmentnor an environmental impact statementis required.

List of Subjects

21 CFR Part 522

Animal drugs.

21 CFR Part 556

Animal drugs, Foods.Therefore, under the Federal Food,

Drug, and Cosmetic Act and underauthority delegated to the Commissionerof Food and Drugs and redelegated tothe Center for Veterinary Medicine, 21CFR parts 522 and 556 are amended toread as follows:

PART 522—IMPLANTATION ORINJECTABLE DOSAGE FORM NEWANIMAL DRUGS



2. Section 522.2120 is amended byrevising paragraph (b) and by amendingparagraph (d)(4) by removing ‘‘M.mileagridis’’ and adding in its place ‘‘M.meleagridis’’ to read as follows:

§ 522.2120 Spectinomycin injection.

* * * * *(b) Sponsor. In § 510.600 of this

chapter, see Nos. 000033 and 050604 forconditions of use as in paragraph (d) ofthis section, and see No. 000009 forconditions of use as in paragraph (d)(2)and (d)(4) of this section.* * * * *

PART 556—TOLERANCES FORRESIDUES OF NEW ANIMAL DRUGSIN FOOD


Authority: Secs. 402, 512, 701 of theFederal Food, Drug, and Cosmetic Act (21U.S.C. 342, 360b, 371).

4. Section 556.600 is revised to readas follows:

§ 556.600 Spectinomycin.

A tolerance of 0.1 part per million isestablished for negligible residues ofspectinomycin in the uncooked edibletissues of chickens and turkeys.



DEPARTMENT OF THE TREASURY

Bureau of Alcohol, Tobacco andFirearms

27 CFR Part 24, 70, and 170

[T.D. ATF 376]

RIN 1512–AB44

Miscellaneous Regulations Relating toLiquor (95R–039P)

AGENCY: Bureau of Alcohol, Tobaccoand Firearms (ATF), Department of theTreasury.ACTION: Final rule, Treasury decision.

SUMMARY: ATF is amending itsregulations by transferring Subparts Eand O from 27 CFR Part 170 to 27 CFRPart 70, and redesignating theseregulations as Subparts F and Grespectively within Part 70. 27 CFR Part170, Subpart E contains regulationswhich implement 26 U.S.C. 6423relating to certain refunds or credits oftax on distilled spirits, wines, and beer.Subpart O contains regulations whichimplement 26 U.S.C. 5064 relating topayments for losses of distilled spirits,wines, and beer due to disaster,vandalism, or malicious mischief.

ATF has also reviewed the regulationswithin 27 CFR Part 170, Subpart E anddetermined that the bondingrequirements provided for in §§ 170.94–170.99 are no longer needed.Consequently, these bonding provisionshave been eliminated.EFFECTIVE DATE: September 17, 1996.FOR FURTHER INFORMATION CONTACT:Daniel J. Hiland, Wine, Beer and SpiritsRegulations Branch, Bureau of Alcohol,Tobacco and Firearms, 650Massachusetts Avenue, NW.,Washington, DC 20226 (202–927–8210).


BackgroundOn February 21, 1995, President

Clinton announced a regulatory reforminitiative. As part of this initiative, eachFederal agency was instructed toconduct a page by page review of allagency regulations to identify thosewhich are obsolete or burdensome andthose whose goals could be betterachieved through the private sector,self-regulation or state and localgovernments. In cases where theagency’s review disclosed regulationswhich should be revised or eliminated,the agency would, as soon as possible,propose administrative changes to itsregulations.

The page by page review of allregulations was completed as directedby the President. In addition, on April

13, 1995 the Bureau published a noticein the Federal Register requestingcomments from the public regardingwhich ATF regulations could beimproved or eliminated. As a result ofboth the Bureau’s analysis of itsregulations, and from the publiccomments received, a number ofregulatory initiatives were developedwhich are intended to accomplish thePresident’s goals.

Transfer of Subparts E and OThis Treasury decision implements

one of the regulatory initiativesidentified by ATF personnel, thetransfer of regulations found in 27 CFRSubparts E and O from Part 170 to 27CFR Part 70.

These two subparts were locatedwithin 27 CFR Part 170, which containsmiscellaneous regulations relating toliquor. The Bureau has determined thatthe placement of this information in amiscellaneous part within 27 CFR is notappropriate and not easily accessible topersons seeking information regardingclaims, refunds, and credits. The Bureauhas decided that since much of this typeof information is already located withinPart 70, Procedures and Practices, itwould be more appropriate to transferthese two subparts to 27 CFR Part 70.

Elimination of BondThis Treasury decision also

eliminates a bonding requirementrelating to certain claims filed under 26U.S.C. 6423. The regulations at 27 CFRPart 170, Subpart E contain provisionswhereby a claim, for refund or credit oftax on articles which the claimant orowner has neither sold nor contracted tosell at the time of filing of the claimunder 26 U.S.C. 6423, must beaccompanied by a bond on Form 2490.ATF has reviewed the background andlegislative history surrounding Section6423 and determined that this bondingprovision is no longer needed in theregulations.

ATF finds that this bonding provisiondates back to the passage of Public Law85–323 in 1958. At that time, the taxlaw required distillers to removedistilled spirits from bond after a periodof eight years and pay the distilledspirits tax on the spirits so removed.Distillers filed suit against theGovernment because they consideredthis law unconstitutional. In addition,many distillers filed claims for refund oftaxes paid on spirits which they wererequired to remove from bond.

In response to these actions, Congresspassed Public Law 85–323 which addedSection 6423 to the Internal RevenueCode. The purpose of this section wasto prevent claimants from realizing a

windfall gain from the possible credit orrefund of tax in those instances wheresomeone else bore the ultimate burdenfor the tax. The provisions of Section6423 set certain conditions for paymentof such refunds or credits. Generally,these provisions required that theclaimant establish that he bore theultimate burden for the tax claimed.Section 6423 also provided that, wherethe taxed commodities had not yet beensold, the claimant must agree not toshift the burden of the tax, or to seekrelief from it, and the Secretary couldrequire filing of a bond to guaranteecompliance with this agreement. Abonding requirement was incorporatedinto ATF’s regulations.

The bonding provision was intendedto cover spirits which the distillerwithdrew from bond and taxpaid, buthad not yet marketed. Any person filinga claim for spirits which were not yetmarketed was required to provide abond to ensure compliance with theagreement that they would not also shiftthe tax burden for the spirits to anotherperson after the claim was filed.

Ultimately, the court ruled in favor ofthe Government and the claims filed bythe various distillers were denied. SeeSchenley Distillers, Inc. v. United States,255 F.2d 334 (3rd Cir. 1958), cert.denied, 358 U.S. 835 (1958). Later, thetax law was amended, and therequirement to withdraw spirits frombond after eight years was eliminatedfrom the law.

Under current law, it would beunusual for a claimant to file a requestfor credit or refund on a product whichhad been taxpaid, but not yet marketed,since products are generally soldimmediately after removal from bond.Since the circumstances which broughtabout this bonding provision havechanged, and the bond is not requiredby law, ATF has decided to remove thebonding requirement from theregulations. ATF has determined thatelimination of the bonding requirementwill not jeopardize the revenue.

MiscellaneousThe transfer of two subparts of

regulations from 27 CFR Part 170 to Part70 affects references to refund and claimprocedures found in several sections of27 CFR Part 24. Therefore, this Treasurydecision also makes minor technicalamendments to 27 CFR Part 24 wherebyreferences to provisions formerly foundin 27 CFR Part 170 will now refer to 27CFR Part 70.

Executive Order 12866It has been determined that this final

rule is not a significant regulatory actionas defined by Executive Order 12866.


Accordingly, this final rule is notsubject to the analysis required by thisExecutive Order.

Regulatory Flexibility Act

The provisions of the RegulatoryFlexibility Act relating to a finalregulatory flexibility analysis (5 U.S.C.604) are not applicable to this final rulebecause the agency was not required topublish a general notice of proposedrulemaking under 5 U.S.C. 553 or anyother law. A copy of this final rule hasbeen submitted to the Administrator ofthe Small Business Administration forcomment on the impact of suchregulations on small business, pursuantto 26 U.S.C. 7805(f).


The provisions of the PaperworkReduction Act of 1980, Pub. L. 96–511,44 U.S.C. Chapter 35, and itsimplementing regulations, 5 CFR Part1320, do not apply to this noticebecause no new requirement to collectinformation is imposed. This final ruleonly transfers two Subparts from 27 CFRPart 170 to 27 CFR Part 70.

Administrative Procedure Act

Because this final rule merely makestechnical amendments and conformingchanges to improve the clarity of theregulations, it is unnecessary to issuethis final rule with notice and publicprocedure under 553(b).

Drafting Information: The principal authorof this document is Daniel J. Hiland, Wine,Beer and Spirits Regulations Branch, Bureauof Alcohol, Tobacco and Firearms.

List of Subjects

27 CFR Part 24

Administrative practice andprocedure, Authority delegations,Claims, Electronic fund transfers, Excisetaxes, Exports, Food additives, Fruitjuices, Labeling, Liquors, Packaging andcontainers, Reporting and recordkeepingrequirements, Research, Scientificequipment, Spices and flavorings,Surety bonds, Taxpaid wine bottlinghouse, Transportation, Vinegar,Warehouses, Wine.

27 CFR Part 70

Administrative practice andprocedure, Authority delegations,Claims, Customs duties and inspection,Disaster assistance, Excise taxes,Government employees, Lawenforcement, Law enforcement officers.

27 CFR Part 170

Alcohol and alcoholic beverages,Authority delegations, Customs dutiesand inspection, Labeling, Liquors,

Penalties, Reporting requirements,Wine.

IssuanceChapter I of title 27, Code of Federal

Regulations is amended as follows:

PART 24—WINE

Par. 1. The authority citation for part24 continues to read as follows:

Authority: 5 U.S.C. 552(a); 26 U.S.C. 5001,5008, 5041, 5042, 5044, 5061, 5062, 5081,5111–5113, 5121, 5122, 5142, 5143, 5173,5206, 5214, 5215, 5351, 5353, 5354, 5356,5357, 5361, 5362, 5364–5373, 5381–5388,5391, 5392, 5511, 5551, 5552, 5661, 5662,5684, 6065, 6091, 6109, 6301, 6302, 6311,6651, 6676, 7011, 7302, 7342, 7502, 7503,7606, 7805, 7851; 31 U.S.C. 9301, 9303, 9304,9306.

Par. 2. Section 24.65(c) is revised toread as follows:

§ 24.65 Claims for wine or spirits lost ordestroyed in bond.

* * * * *(c) Claim for abatement, credit or

refund. A claim for an abatement of anassessment under § 24.61, or credit orrefund of tax which has been paid ordetermined, will be filed with theregional director (compliance) inaccordance with the provisions of thisparagraph and the provisions of 27 CFRpart 70, subpart F. A claim filed underthis paragraph with respect to spirits,wine, or volatile fruit-flavor concentrate,will set forth the applicable informationrequired by paragraphs (a) and (b) ofthis section. In addition, any claim filedunder this paragraph will set forth thefollowing information:

(1) The date of the assessment forwhich abatement is claimed; and

(2) The name, registry number, andaddress of the premises where the taxwas assessed (or name, address, andtitle of any other person who wasassessed the tax, if the tax was notassessed against the proprietor).* * * * *

Par. 3. Section 24.67 is amended byrevising paragraphs (b) and (c) to readas follows:

§ 24.67 Other Claims.

* * * * *(b) Refund or credit of any tax

imposed on wine or other liquors by 26U.S.C. chapter 51, part I, subchapter A,on the grounds that an amount of taxwas assessed or collected erroneously,illegally, without authority, or in anymanner wrongfully, or on the groundsthat the amount was excessive, arecontained in 27 CFR part 70 subpart F.

(c) Payment of an amount equal to theinternal revenue tax paid or determinedand customs duties paid on wines or

other liquors previously withdrawn,which are lost, rendered unmarketable,or condemned by a duly authorizedofficial as a result of

(1) A major disaster,(2) Fire, flood, casualty, or other

disaster, or(3) Breakage, destruction, or damage

(excluding theft) resulting fromvandalism or malicious mischief, arefound in 27 CFR part 70, subpart G.

Par. 4. Section 24.295(a) is revised toread as follows:

§ 24.295 Return of unmerchantable wine tobond.

(a) General. Wine produced in theUnited States which has been taxpaid,removed from bonded wine premises,and subsequently determined to beunmerchantable may be returned tobonded wine premises forreconditioning, reformulation ordestruction. The tax paid on UnitedStates wine may, when such wine isreturned to bond, be refunded orcredited, without interest, to theproprietor of the bonded wine premisesto which such wine is delivered.However, no tax paid on any UnitedStates wine for which a claim has beenor will be made under the provisions of27 CFR Part 70, subpart G will berefunded or credited. If the tax on theUnited States wine has been determinedbut not paid, the person liable for thetax may, when such wine is returned tobond, be relieved of the liability. Claimsfor refund or credit, or relief from taxpaid or determined on United Stateswine returned to bond are filed inaccordance with § 24.66.* * * * *

PART 70—PROCEDURE ANDADMINISTRATION

Par. 5. The authority citation for part70 is revised to read as follows:

Authority: 5 U.S.C. 301 and 552; 26 U.S.C.4181, 4182, 5064, 5146, 5203, 5207, 5275,5367, 5415, 5504, 5555, 5684(a), 5741,5761(b), 6020, 6021, 6064, 6102, 6155, 6159,6201, 6203, 6204, 6301, 6303, 6311, 6313,6314, 6321, 6323, 6325, 6326, 6331–6343,6401–6404, 6407, 6416, 6423, 6501–6503,6511, 6513, 6514, 6532, 6601, 6602, 6611,6621, 6622, 6651, 6653, 6656, 6657, 6658,6665, 6671, 6672, 6701, 6723, 6801, 6862,6863, 6901, 7011, 7101, 7102, 7121, 7122,7207, 7209, 7214, 7304, 7401, 7403, 7406,7423, 7424, 7425, 7426, 7429, 7430, 7432,7502, 7503, 7505, 7506, 7513, 7601–7606,7608–7610, 7622, 7623, 7653, 7805.

Penalties70.610 Penalties.

Par. 6. Section 70.1 is revised to readas follows:


§ 70.1 General.(a) The regulations in Subparts C, D,

and E of this part set forth theprocedural and administrative rules ofthe Bureau of Alcohol, Tobacco andFirearms for:

(1) The issuance and enforcement ofsummonses, examination of books ofaccount and witnesses, administrationof oaths, entry of premises forexamination of taxable objects, grantingof rewards for information, canvass ofregions for taxable objects and persons,and authority of ATF officers.

(2) The use of commercial banks forpayment of excise taxes imposed by 26U.S.C. Subtitles E and F.

(3) The preparing or executing ofreturns; deposits; payment on noticeand demand; assessment; abatements,credits and refunds; limitations onassessment; limitations on credit orrefund; periods of limitation in judicialproceedings; interest; additions to tax,additional amounts, and assessablepenalties; enforced collection activities;authority for establishment, alteration,and distribution of stamps, marks, orlabels; jeopardy assessment of alcohol,tobacco, and firearms taxes, andregistration of persons paying a specialtax.

(4) Distilled spirits, wines, beer,tobacco products, cigarette papers andtubes, firearms, ammunition, andexplosives.

(b) The regulations in Subpart F ofthis part relate to the limitationsimposed by 26 U.S.C. 6423, on therefund or credit of tax paid or collectedin respect to any article of a kind subjectto a tax imposed by Part I, SubchapterA of Chapter 51, I.R.C., or by anycorresponding provision of priorinternal revenue laws.

(c) The regulations in Subpart G ofthis part implement 26 U.S.C. 5064,which permits payments to be made bythe United States for amounts equal tothe internal revenue taxes paid ordetermined and customs duties paid ondistilled spirits, wines, and beer,previously withdrawn, that were lost,made unmarketable, or condemned by aduly authorized official as a result ofdisaster, vandalism, or maliciousmischief. This subpart applies todisasters or other specified causes ofloss, occurring on or after February 1,1979. This subpart does not apply todistilled spirits, wines, and beermanufactured in Puerto Rico andbrought into the United States.

Par. 7. Section 70.2 is added to readas follows:

§ 70.2 Forms prescribed.(a) The Director is authorized to

prescribe all forms required by this part.

All of the information called for in eachform shall be furnished as indicated bythe headings on the form and theinstructions on or pertaining to theform. In addition, information called forin each form shall be furnished asrequired by this part.

(b) Requests for forms should bemailed to the ATF Distribution Center,P.O. Box 5950, Springfield, Virginia22153–5950.

Par. 8. Section 70.411 is amended byrevising paragraph (c)(2) to read asfollows:

§ 70.411 Imposition of taxes, qualificationrequirements, and regulations.

* * * * *(c) * * *(2) Miscellaneous liquor transactions.

Part 170 of 27 CFR containsmiscellaneous regulations relative to:

(i) Manufacture, removal, and use ofstills and condensers, and to the notice,registration, and recordkeepingrequirements therefor;

(ii) Manufacture and sale of certaincompounds, preparations, and productscontaining alcohol;* * * * *

Par. 9. Section 70.414 is amended byrevising paragraphs (a) and (g) to read asfollows:

§ 70.414 Preparation and filing of claims.(a) Distilled spirits at distilled spirits

plants. Procedural instructions inrespect of claims for remission,abatement, credit, or refund of tax onspirits (including denatured spirits) lostor destroyed on or lost in transit to, oron spirits returned to, the premises of adistilled spirits plant are contained inPart 19 of Title 27 CFR. It is notnecessary to file a claim for credit of taxon taxpaid samples taken by ATFofficers from distilled spirits plants, asthe regional director (compliance) willallow credit, without claim, for tax onsuch samples.* * * * *

(g) Miscellaneous. Proceduralinstructions are contained in 27 CFRPart 70, subparts F and G in respect ofclaims for—

(1) Refund or credit of tax on distilledspirits, wines or beer where such refundor credit is claimed on the grounds thattax was assessed or collectederroneously, illegally, without authority,or in any manner wrongfully, or on thegrounds that such amount wasexcessive, and where such refund orcredit is subject to the limitationsimposed by section 6423 of the InternalRevenue Code.

(2) Payment of an amount equal to theinternal revenue tax paid or determinedand customs duties paid on distilled

spirits, wines, rectified products, andbeer previously withdrawn, which werelost, rendered unmarketable, orcondemned by a duly authorized officialby reason of a major disaster occurringin the United States after June 30, 1959.* * * * *

Par. 10. 27 CFR Part 70 is amendedby adding Subpart F to read as follows:

Subpart F—Application of Section6423, Internal Revenue Code of 1954,as Amended, to Refund or Credit ofTax on Distilled Spirits, Wines, andBeer

General70.501 Meaning of terms.70.502 Applicability to certain credits or

refunds.70.503 Ultimate burden.70.504 Conditions to allowance of credit or

refund.70.505 Requirements on persons intending

to file claim.

Claim Procedure70.506 Execution and filing of claim.70.507 Data to be shown in claim.70.508 Time for filing claim.

Penalties70.509 Penalties.

Subpart F—Application of Section6423, Internal Revenue Code of 1954,as Amended, to Refund or Credit ofTax on Distilled Spirits, Wines, andBeer

General

§ 70.501 Meaning of terms.When used in this subpart, where not

otherwise distinctly expressed ormanifestly incompatible with the intentthereof, terms shall have the meaningascribed in this section.

Article. The commodity in respect towhich the amount claimed was paid orcollected as a tax.

Claimant. Any person who files aclaim for a refund or credit of tax underthis subpart.

District director of customs. Thedistrict director of customs at aheadquarters port of the district (exceptthe district of New York, N.Y.); the areadirectors of customs in the district ofNew York, N.Y.; and the port director ata port not designated as a headquartersport.

I.R.C. Internal Revenue Code of 1986,as amended.

Owner. A person who, by reason of aproprietary interest in the article,furnished the amount claimed to theclaimant for the purpose of paying thetax.

Person. An individual, a trust, estate,partnership, association, company, orcorporation.


Tax. Any tax imposed by 26 U.S.C.5001–5066, or by any correspondingprovision of prior internal revenue laws,and in the case of any commodity of akind subject to a tax under any suchsections, any tax equal to any such tax,any additional tax, or any floor stockstax. The term includes an extractiondenominated a ‘‘tax’’, and any penalty,addition to tax, additional amount, orinterest applicable to any such tax.

§ 70.502 Applicability to certain credits orrefunds.

The provisions of this subpart applyonly where the credit or refund isclaimed on the grounds that an amountof tax was assessed or collectederroneously, illegally, without authority,or in any manner wrongfully, or on thegrounds that such amount wasexcessive. This subpart does not applyto:

(a) Any claim for drawback,(b) Any claim made in accordance

with any law expressly providing forcredit or refund where an article iswithdrawn from the market, returned tobond, or lost or destroyed, and

(c) Any claim based solely on errorsin computation of the quantity of anarticle subject to tax or on mathematicalerrors in computation of the amount ofthe tax due, or to any claim in respectof tax collected or paid on an articleseized and forfeited, or destroyed, ascontraband.

§ 70.503 Ultimate burden.

For the purposes of this subpart, theclaimant, or owner, shall be treated ashaving borne the ultimate burden of anamount of tax only if:

(a) The claimant or owner has not,directly or indirectly, been relieved ofsuch burden or shifted such burden toany other person,

(b) No understanding or agreementexists for any such relief or shifting, and

(c) If the claimant or owner hasneither sold nor contracted to sell thearticles involved in such claim, suchclaimant or owner agrees that there willbe no such relief or shifting.

§ 70.504 Conditions to allowance of creditor refund.

No credit or refund to which thissubpart is applicable shall be allowed ormade, pursuant to a court decision orotherwise, of any amount paid orcollected as a tax unless a claim thereforhas been filed, as provided in thissubpart, by the person who paid the taxand the claimant, in addition toestablishing that such claimant isotherwise legally entitled to credit orrefund of the amount claimed,establishes:

(a) That the claimant bore the ultimateburden of the amount claimed, or

(b) That the claimant hasunconditionally repaid the amountclaimed to the person who bore theultimate burden of such amount, or

(c) That:(1) the owner of the article furnished

the claimant the amount claimed forpayment of the tax;

(2) The claimant has filed with theregional director (compliance) thewritten consent of such owner to theallowance to the claimant of the creditor refund; and

(3) Such owner satisfies therequirements of paragraph (a) or (b) ofthis section.

§ 70.505 Requirements on personsintending to file claim.

Any person who, having paid the taxwith respect to an article, desires toclaim refund or credit of any amount ofsuch tax to which the provisions of thissubpart are applicable must:

(a) File a claim, as provided in§ 70.506, and

(b) Comply with any other provisionsof law or regulations which may applyto the claim.

Claim Procedure

§ 70.506 Execution and filing of claim.

Claims to which this subpart isapplicable shall be executed on Form2635 (5620.8) in accordance with theinstructions on the form and shall(except as hereinafter provided) be filedwith the regional director (compliance)for the region in which the tax was paid.(For provisions relating to handcarrieddocuments, see 27 CFR 70.304). Claimsfor credit or refund of taxes collected bydistrict directors of customs, to whichthe provisions of section 6423, I.R.C.,are applicable and which Customsregulations (19 CFR Part 24—CustomsFinancial and Accounting Procedure)require to be filed with the regionaldirector (compliance) of the region inwhich the claimant is located, shall beexecuted and filed in accordance withapplicable Customs regulations and thissubpart. The claim shall set forth eachground upon which the claim is madein sufficient detail to apprise theregional director (compliance) of theexact basis therefor. Allegationspertaining to the bearing of the ultimateburden relate to additional conditionswhich must be established for a claimto be allowed and are not in themselveslegal grounds for allowance of a claim.There shall also be attached to the formand made part of the claim thesupporting data required by § 70.507.All evidence relied upon in support of

such claim shall be clearly set forth andsubmitted with the claim.

§ 70.507 Data to be shown in claim.Claims to which this subpart is

applicable, in addition to therequirements of § 70.506 must set forthor contain the following:

(a) A statement that the claimant paidthe amount claimed as a ‘‘tax’’ asdefined in this subpart.

(b) Full identification (by specificreference to the form number, the dateof filing, the place of filing, and theamount paid on the basis of theparticular form or return) of the taxforms or returns covering the paymentsfor which refund or credit is claimed.

(c) The written consent of the ownerto the allowance of the refund or creditto the claimant (where the owner of thearticle in respect of which the tax waspaid furnished the claimant the amountclaimed for the purpose of paying thetax).

(d) If the claimant (or owner, as thecase may be) has neither sold norcontracted to sell the articles involvedin the claim, a statement that theclaimant (or owner, as the case may be)agrees not to shift, directly or indirectlyin any manner whatsoever, the burdenof the tax to any other person.

(e) If the claim is for refund of a floorstocks tax, or of an amount resultingfrom an increase in rate of taxapplicable to an article, a statement asto whether the price of the article wasincreased on or following the effectivedate of such floor stocks tax or rateincrease, and if so, the date of theincrease, together with full informationas to the amount of such price increase.

(f) Specific evidence (such as relevantrecords, invoices, or other documents,or affidavits of individuals havingpersonal knowledge of pertinent facts)which will satisfactorily establish theconditions to allowance set forth in§ 70.504.

(g)The regional director (compliance)may require the claimant to furnish asa part of the claim such additionalinformation as may be deemednecessary.

§ 70.508 Time for filing claim.No credit or refund of any amount of

tax to which the provisions of thissubpart apply shall be made unless theclaimant files a claim therefor withinthe time prescribed by law and inaccordance with the provisions of thissubpart.

Penalties

§ 70.509 Penalties.It is an offense punishable by fine and

imprisonment for anyone to make or


cause to be made any false or fraudulentclaim upon the United States, or tomake any false or fraudulent statements,or representations, in support of anyclaim, or to falsely or fraudulentlyexecute any documents required by theprovisions of the internal revenue laws,or any regulations made in pursuancethereof.

Par. 11. 27 CFR Part 70 is amendedby adding Subpart G to read as follows:

Subpart G—Losses Resulting FromDisaster, Vandalism, or MaliciousMischief

Definitions70.601 Meaning of terms.

Payments70.602 Circumstances under which

payment may be made.

Claims Procedures70.603 Execution and filing of claims.70.604 Record of inventory to support

claims.70.605 Claims related to imported,

domestic and Virgin Island liquors.70.606 Claimant to furnish proof.70.607 Supporting evidence.70.608 Action on claims.

Destruction of Liquors70.609 Supervision.

Subpart G—Losses Resulting FromDisaster, Vandalism, or MaliciousMischief

§ 70.601 Meaning of Terms.When used in this subpart, terms are

defined as follows in this section.Words in the plural shall include thesingular, and vice versa, and wordsindicating the masculine gender shallinclude the feminine. The terms‘‘includes’’ and ‘‘including’’ do notexclude other things not named whichare in the same general class or areotherwise within the scope of the termdefined.

Alcoholic liquors or liquors. Distilledspirits, wines, and beer lost, madeunmarketable, or condemned, asprovided in this subpart.

Beer. Beer, ale, porter, stout, and othersimilar fermented beverages (includingsake, or other similar products) of anyname or description containing one-halfof 1 percent or more of alcohol byvolume on which the internal revenuetax has been paid or determined, and ifimported, on which duties have beenpaid.

Claimant. The person who held theliquors for sale at the time of thedisaster or other specified cause of lossand who files a claim under thissubpart.

Commissioner of Customs. TheCommissioner of Customs, U.S.

Customs Service, the Department of theTreasury, Washington, DC.

Distilled spirits, or spirits. Ethylalcohol and other distillates such aswhisky, brandy, rum, gin, vodka, in anyform (including all dilutions andmixtures thereof, from whatever sourceor by whatever process produced), onwhich the internal revenue tax has beenpaid or determined and, if imported, onwhich duties have been paid.

Duly authorized official. Any Federal,State or local government official who isauthorized to condemn liquors onwhich a claim is filed under thissubpart.

Duty or duties. Any duty or dutiespaid under the customs laws of theUnited States.

Major Disaster. A flood, fire,hurricane, earthquake, storm, or othercatastrophe defined as a ‘‘majordisaster’’ under the Disaster Relief Act(42 U.S.C. 5122(2)), which occurs in anypart of the United States and which thePresident has determined causessufficient damage to warrant ‘‘majordisaster’’ assistance under that Act.

Region. A Bureau of Alcohol, Tobaccoand Firearms region.

Tax. (1) With respect to distilledspirits, ‘‘tax’’ means the internalrevenue tax that is paid or determinedon spirits.

(2) With respect to wines, ‘‘tax’’means the internal revenue tax that ispaid or determined on the wine.

(3) With respect to beer, ‘‘tax’’ meansthe internal revenue tax that is paid ordetermined on the beer.

United States. When used in ageographical sense includes only theStates and the District of Columbia.

Wines. All still wines, effervescentwines, and flavored wines, on whichinternal revenue wine tax has been paidor determined, and if imported, onwhich duty has been paid.

Payments

§ 70.602 Circumstances under whichpayment may be made.

(a) Major disasters. The regionaldirector (compliance) shall allowpayment (without interest) of an amountequal to the tax paid or determined, andthe Commissioner of Customs shallallow payment (without interest) of anamount equal to the duty paid, ondistilled spirits, wines, and beerpreviously withdrawn, if the liquors arelost, made unmarketable, or condemnedby a duly authorized official as theresult of a major disaster (as defined in§ 70.601).

(b) Other causes of loss—(1) Payment.The regional director (compliance) shallallow payment (without interest) of an

amount equal to the tax paid ordetermined, and the Commissioner ofCustoms shall allow payment (withoutinterest) of an amount equal to the dutypaid, on distilled spirits, wines, andbeer previously withdrawn, if theliquors are lost, made unmarketable, orcondemned by a duly authorized officialas a result of:

(i) Fire, flood, casualty, or otherdisaster; or

(ii) Breakage, destruction, or otherdamage (excluding theft) resulting fromvandalism or malicious mischief.

(2) Minimum claim. No claim of lessthan $250 will be allowed for lossesresulting from any disaster or damagedescribed in paragraph (b)(1) of thissection.

(c) General. Payment under thissection may be made only if:

(1) The disaster or other specifiedcause of loss occurred in the UnitedStates;

(2) At the time of the disaster or otherspecified cause of loss, the liquors werebeing held for sale by the claimant;

(3) Refund or credit of the amountclaimed, or any part of the amountclaimed, has not or will not be claimedfor the same liquors under any other lawor regulations; and

(4) The claimant was not indemnifiedby any valid claim of insurance orotherwise for the tax and/or duty on theliquors covered by the claim.

Claims Procedures

§ 70.603 Execution and filing of claim.(a) General. (1) Claims under this

subpart shall be filed on Form 2635(5620.8), in original only, with theregional director (compliance) of theregion in which the liquors were lost,became unmarketable, or werecondemned.

(2) The claim shall include all thefacts on which the claim is based, andbe accompanied by a record ofinventory of the liquors lost, madeunmarketable, or condemned. (See§ 70.604.)

(3) The claim shall contain astatement that no other claim for refundor credit of the amount claimed, or forany part of the amount claimed, hasbeen or will be filed under any otherlaw or regulations.

(b) Major disasters. Claims for refundof tax and/or duty on liquors whichwere lost, became unmarketable, orwere condemned as a result of a majordisaster must be filed not later than 6months from the day on which thePresident determines that a majordisaster has occurred.

(c) Other causes of loss. (1) Claims foramounts of $250 or more for refund of


tax and/or duty on liquors which werelost, became unmarketable, or werecondemned as the result of:

(i) Fire, flood, casualty, or otherdisaster; or

(ii) Damage (excluding theft) resultingfrom vandalism or malicious mischief,must be filed within 6 months after thedate on which the disaster or damageoccurred.

(2) Claims for amounts less than $250will not be allowed.

§ 70.604. Record of inventory to supportclaims.

(a) Claims relating to distilled spirits.The record of inventory of distilledspirits lost, made unmarketable, orcondemned, which is required tosupport claims filed under § 70.603,shall show the following information:

(1) Name and business address ofclaimant (as shown on claim, Form 2635(5620.8)).

(2) Address where the spirits werelost, became unmarketable, or werecondemned, if different from thebusiness address.

(3) Kind of spirits.(4) Brand name.(5) For full cases, show. (i) Number of

cases;(ii) Serial numbers;(iii) Bottles per case;(iv) Size of bottles;(v) Wine gallons per case;(vi) Proof; and(vii) Proof gallons.(6) For bottles not in cases, show.(i) Total number;(ii) Size of bottles;(iii) Wine gallons;(iv) Proof; and(v) Total proof gallons.(7) Total proof gallons for all items.(b) Claims relating to wines. The

record of inventory of wines lost, madeunmarketable, or condemned, which isrequired to support claims filed under§ 70.603, shall show the followinginformation:


(2) Address where the wines werelost, became unmarketable, or werecondemned, if different from thebusiness address.

(3) Kind of wine.(4) Percent of alcohol by volume.(5) Number of barrels or kegs.(6) Kind and number of other bulk

containers.(7) Number of full cases and bottles

per case.(8) Size of bottles.(9) Number of bottles not in cases and

wine gallons.(10) Total wine gallons.

(c) Claims relating to beer. The recordof inventory of beer lost, madeunmarketable, or condemned, which isrequired to support claims filed under§ 70.603, shall show the followinginformation:


(2) Address where the beer was lost,became unmarketable, or wascondemned, if different from thebusiness address.

(3) Number and size of barrels.(4) For full cases, show. (i) Number of

cases;(ii) Bottles or cans per case; and(iii) Size (in ounces) of bottles or cans.(5) Number and size of bottles and

cans not in cases.(6) Quantity in terms of 31-gallon

barrels.(7) Total quantity.(d) Special instructions. (1)

Inventories of domestic liquors,imported liquors, and liquorsmanufactured in the Virgin Islands shallbe reported separately.

(2) Liquors manufactured in PuertoRico may not be included in claims filedunder this subpart. Claims for losses ofPuerto Rican liquors shall be filed withthe Secretary of the Treasury of PuertoRico under the laws of Puerto Rico.

§ 70.605 Claims relating to imported,domestic, and Virgin Islands liquors.

(a) Claims involving taxes ondomestic liquors, imported liquors, andliquors manufactured in the VirginIslands must show the quantities of eachseparately in the claim.

(b) A separate claim on Form 2635(5620.8) must be filed for customsduties.

§ 70.606 Claimant to furnish proof.

The claimant shall furnish proof tothe satisfaction of the regional director(compliance) regarding the following:

(a) That the tax on the liquors, or thetax and duty if imported, was fully paid;or the tax, if not paid, was fullydetermined.

(b) That the liquors were lost, madeunmarketable, or condemned by a dulyauthorized official, by reason of damagesustained as a result of a disaster orother cause of loss specified in thissubpart.

(c) The type and date of occurrence ofthe disaster or other specified cause ofloss, and the location of the liquors atthe time.

(d) That the claimant was notindemnified by a valid claim ofinsurance or otherwise for the tax, or taxand duty, on the liquors covered by theclaim.

(e) That the claimant is entitled topayment under this subpart.

§ 70.607 Supporting evidence.(a) The claimant shall support the

claim with any evidence (such asinventories, statements, invoices, bills,records, labels, formulas, stamps) that isavailable to submit, relating to thequantities and identities of the liquors,on which duty has been paid or tax hasbeen paid or determined, that were onhand at the time of the disaster or otherspecified cause of loss and alleged tohave been lost, made unmarketable, orcondemned as a result of it.

(b) If the claim is for refund of duty,the claimant shall furnish, if possible:

(1) The customs number;(2) The date of entry; and(3) The name of the port of entry.

§ 70.608 Action on claims.The regional director (compliance)

shall date stamp and examine eachclaim filed under this subpart and willdetermine the validity of the claim.Claims and supporting data involvingcustoms duties will be forwarded to theCommissioner of Customs with asummary statement by the regionaldirector (compliance) regarding his orher findings.

Destruction of Liquors

§ 70.609 Supervision.When allowance has been made

under this subpart for the tax and/orduty on liquors condemned by a dulyauthorized official or madeunmarketable, the liquors shall bedestroyed by suitable means undersupervision satisfactory to the regionaldirector (compliance), unless the liquorswere previously destroyed undersupervision satisfactory to the regionaldirector (compliance). TheCommissioner of Customs will notifythe regional director (compliance) as toallowance under this subpart of claimsfor duty on unmarketable or condemnedliquors.

Penalties

§ 70.610 Penalties.(a) Penalties are provided in 26 U.S.C.

7206 for making any false or fraudulentstatement under the penalties of perjuryin support of any claim.

(b) Penalties are provided in 26 U.S.C.7207 for filing any false or fraudulentdocument under this subpart.

(c) All laws and regulations, includingpenalties, which apply to internalrevenue taxes on liquors shall, whenappropriate, apply to payments madeunder this subpart the same as if thepayments were actual refunds ofinternal taxes on liquors.


PART 170—MISCELLANEOUSREGULATIONS RELATING TO LIQUOR

Par. 12. The authority citation for part170 is revised to read as follows:

Authority: 26 U.S.C. 5001, 5002, 5111,5121, 5171, 5205, 5291, 5301, 5362, 7805; 31U.S.C. 9304, 9306.

Par. 13. Subpart E, §§ 170.85–170.100and Subpart O, §§ 170.301–170.311 areremoved.

Signed: May 7, 1996.Bradley A. Buckles,Acting Director.

Approved: May 21, 1996.John P. Simpson,Deputy Assistant Secretary, Regulatory, Tariff& Trade Enforcement.[FR Doc. 96–14853 Filed 6–18–96; 8:45 am]BILLING CODE 4810–31–P

DEPARTMENT OF EDUCATION

34 CFR Part 668

RIN 1840–AB84

Student Assistance General Provisions

AGENCY: Department of Education.ACTION: Final regulations.

SUMMARY: The Secretary amends theStudent Assistance General Provisionsregulations to add the Office ofManagement and Budget (OMB) controlnumber to certain sections of theregulations. These sections containinformation collection requirementsapproved by OMB. The Secretary takesthis action to inform the public thatthese requirements have been approvedand affected parties must comply withthem.EFFECTIVE DATE: These regulations areeffective on July 1, 1996.FOR FURTHER INFORMATION CONTACT:Lorraine Kennedy, U.S. Department ofEducation, 600 Independence Avenue,SW., (Room 3053, ROB–3) Washington,DC 20202. Telephone (202) 708–7888.Individuals who use atelecommunications device for the deaf(TDD) may call the Federal InformationRelay Service (FIRS) at 1–800–877–8339between 8 a.m. and 8 p.m. Eastern time,Monday through Friday.SUPPLEMENTARY INFORMATION: Finalregulations for the Student AssistanceGeneral Provisions were published inthe Federal Register on December 1,1995 (60 FR 61830 [Ability-to-Benefit]).Compliance with information collectionrequirements in certain sections of theseregulations was delayed until thoserequirements were approved by OMBunder the Paperwork Reduction Act of

1995. OMB approved the informationcollection requirements in theregulations on May 1, 1996. Theinformation collection requirements inthese regulations will therefore becomeeffective with all of the other provisionsof the regulations on July 1, 1996.

Waiver of Proposed Rulemaking

It is the practice of the Secretary tooffer interested parties the opportunityto comment on proposed regulations.However, the publication of OMBcontrol numbers is purely technical anddoes not establish substantive policy.Therefore, the Secretary has determinedunder 5 U.S.C. 553 (b)(B), that publiccomment on the regulations isunnecessary and contrary to the publicinterest.


Administrative practice andprocedure, Colleges and universities,Consumer protection, Education, Loanprograms-education, Reporting andrecordkeeping requirements, Studentaid, Vocational education.

Dated: June 14, 1996.David A. Longanecker,Assistant Secretary for PostsecondaryEducation.

The Secretary amends Part 668 ofTitle 34 of the Code of FederalRegulations as follows:

PART 668—STUDENT ASSISTANCEGENERAL PROVISIONS

1. The authority citation for Part 668continues to read as follows:

Authority: 20 U.S.C. 1085, 1088, 1091,1092, 1094, 1099c, and 1141 unlessotherwise noted.

§§ 668.143 through 668.146, 668.148through 668.153, 668.156 [Amended]

2. Sections 668.143, 668.144, 668.145,668.146, 668.148, 668.149, 668.150,668.151, 668.152, 668.153, and 668.156are amended by adding the OMB controlnumber following each section to readas follows: ‘‘(Approved by the Office ofManagement and Budget under controlnumber 1840–0627)’’.

[FR Doc. 96–15649 Filed 6–18–96; 8:45 am]BILLING CODE 4000–01–M

ENVIRONMENTAL PROTECTIONAGENCY

40 CFR Part 52

[LA–16–1–7165a; FRL–5522–6]

Approval and Promulgation of AirQuality Plans; Louisiana; Revision tothe State Implementation Plan (SIP)Addressing Ozone Monitoring

AGENCY: Environmental ProtectionAgency (EPA).ACTION: Direct final rule.

SUMMARY: The EPA is approving arevision to Louisiana’s SIP for ozone.This action is based upon a revisionrequest which was submitted by theState to satisfy the requirements of theClean Air Act (Act), as amendedNovember 15, 1990, and thePhotochemical Assessment MonitoringStations (PAMS) regulations. The PAMSregulations require the State to providefor the establishment and maintenanceof an enhanced ambient air qualitymonitoring network in the form ofPAMS by November 12, 1993.DATES: This final rule is effective August19, 1996, unless adverse comments arereceived by July 19 1996. If the effectivedate is delayed, timely notice will bepublished in the Federal Register (FR).ADDRESSES: Written comments shouldbe addressed to Mr. Thomas H. Diggs,Chief, Air Planning Section (6PD–L), atthe EPA Regional Office listed below.Copies of the documents relevant to thisfinal action are available for publicinspection during normal businesshours at the following locations.Interested persons wanting to examinethese documents should make anappointment with the appropriate officeat least 24 hours before the visiting day.Environmental Protection Agency,

Region 6, Multimedia Planning andPermitting Division, 1445 RossAvenue, Suite 700, Dallas, Texas75202–2733, telephone (214) 665–7214.

Louisiana Department of EnvironmentalQuality, Office of Air Quality andRadiation Protection, H. B. GarlockBuilding, 7290 Bluebonnet Blvd.,Baton Rouge, Louisiana 70810.

FOR FURTHER INFORMATION CONTACT: Ms.Jeanne M. McDaniels, Air PlanningSection (6PD–L), EnvironmentalProtection Agency, Region 6, 1445 RossAvenue, Dallas, Texas 75202–2733,telephone (214) 665–7254.


I. BackgroundOn September 10, 1993, the Louisiana

Department of Environmental Quality


1 ‘‘General Preamble for the Implementation ofTitle I of the Clean Air Act Amendments of 1990,’’57 FR 13515, dated April 16, 1992.

(LDEQ) submitted to the EPA a SIPrevision incorporating PAMS into theambient air quality monitoring networkof State or Local Air Monitoring Stations(SLAMS) and National Air MonitoringStations (NAMS). The State willestablish and maintain PAMS as part ofits overall ambient air qualitymonitoring network.

Section 182(c)(1) of the Act and theGeneral Preamble 1 require that the EPApromulgate rules for enhancedmonitoring of ozone, oxides of nitrogen(NOX), and volatile organic compounds(VOC) no later than 18 months after thedate of the enactment of the Act. Inaddition, the Act requires that,following the promulgation of the rulesrelating to enhanced ambientmonitoring, the State must commenceactions to adopt and implement aprogram, based on these rules, toimprove monitoring for ambientconcentrations of ozone, NOX and VOCand to improve monitoring of emissionsof NOX and VOC.

The final PAMS rule was promulgatedby the EPA on February 12, 1993 (58 FR8452). Section 58.40(a) of the rulerequires the State to submit a PAMSnetwork description, including aschedule for implementation, to theAdministrator within six months afterpromulgation or by August 12, 1993.Further, section 58.20(f) requires theState to provide for the establishmentand maintenance of a PAMS networkwithin nine months after promulgationof the final rule or by November 12,1993.

On July 1, 1993, the LDEQ submittedto the EPA a proposed SIP revisionwhich included a PAMS networkdescription. The LDEQ held a publichearing on the proposed PAMS SIPrevision on August 23, 1993. Nocomments were received either duringthe public hearing or the publiccomment period with the exception ofone written comment submitted by theEPA as discussed below.

On September 10, 1993, the Statesubmitted the official PAMS SIPrevision. Louisiana’s PAMS SIP revisionis intended to meet the requirements ofsection 182(c)(1) of the Act and effectcompliance with the PAMS regulationspromulgated on February 12, 1993, andcodified at 40 CFR part 58.

On September 27, 1993, the LDEQsubmitted to the EPA a revised PAMSnetwork description including aschedule for implementation. (The EPAconditionally approved the networkdescription on April 21, 1994, and

granted final approval of the networkdescription on October 13, 1995.)

It should be noted that, since networkdescriptions may change annually, theyare not part of the SIP as recommendedby the EPA’s ‘‘Guideline for theImplementation of the Ambient AirMonitoring Regulations 40 CFR Part 58(November 1979).’’ The networkdescription is negotiated and approvedduring an annual review as required by40 CFR sections 58.25, 58.36, and 58.46.EPA did, however, require States toprovide a copy of the proposed PAMSnetwork description, including phase-inschedule, on file for public inspectionduring the public notice/commentperiod for the PAMS SIP revision or,alternatively, provide information to thepublic upon request concerning theState’s plans for implementing the rules.As stated earlier, Louisiana included anetwork description andimplementation schedule in theproposed PAMS SIP revision.

On November 17, 1993, the EPA sentthe Governor of Louisiana a letterfinding the September 10, 1993, PAMSSIP submittal administrativelycomplete.

II. Analysis of State Submittal

The Louisiana PAMS SIP revisionwill provide Louisiana with theauthority to establish and operate thePAMS sites, secure State funds forPAMS and provide the EPA with theauthority to enforce the implementationof PAMS, since their implementation isrequired by the Act.

The criteria used to review theproposed SIP revision are derived fromthe PAMS regulations codified at 40CFR Part 58; the EPA’s ‘‘Guideline forthe Implementation of the Ambient AirMonitoring Regulations 40 CFR part58’’; a September 2, 1993, memorandumfrom G. T. Helms, Office of Air QualityPlanning and Standards, entitled, ‘‘FinalBoilerplate Language for the PAMS SIPSubmittal’’; the Act; and the GeneralPreamble.

The Louisiana PAMS SIP revisionprovides that the State will implementPAMS as required in 40 CFR Part 58, asamended February 12, 1993. The Statewill amend its SLAMS and its NAMSmonitoring systems to include thePAMS requirements. It will develop itsPAMS network design and establishmonitoring sites pursuant to 40 CFRpart 58 in accordance with an approvednetwork description and as negotiatedwith the EPA through the section 105grant process on an annual basis. Todate, the State has successfullyimplemented a PAMS network asrequired in 40 CFR part 58.

The Louisiana PAMS SIP revisionalso includes a provision to meet qualityassurance requirements as contained in40 CFR part 58, appendix A. The Statealso assures that the State’s PAMSmonitors will meet monitoringmethodology requirements contained in40 CFR part 58, appendix C. Lastly, theState assures that the Louisiana PAMSnetwork will be phased in over a periodof five years as required in 40 CFR58.44. The State’s PAMS SIP submittaland the EPA’s technical supportdocument are available for viewing atthe EPA Region 6 office and the LDEQ’sBaton Rouge office as outlined underthe ADDRESSES section of this FRdocument.

The State addressed, in the finalPAMS SIP submittal, EPA Region 6’scomment on the proposed SIP that theSIP should include a clear statementthat the LDEQ intends to implementPAMS pursuant to 40 CFR part 58 asamended February 12, 1993.

III. Rulemaking ActionIn this action, the EPA is approving

the revision to the Louisiana Ozone SIPfor PAMS. The EPA has reviewed thisrevision to the Louisiana SIP and isapproving it as submitted because itmeets the requirements of section182(c)(1) of the Act and the appropriatesections of 40 CFR part 58.

Copies of the State’s SIP revision andthe Technical Support Document (TSD)detailing EPA’s review of the SIPrevision are available at the addresslisted in the ADDRESSES section above.For a detailed analysis of the SIPrevision, the reader is referred to theTSD.

The EPA is publishing this actionwithout prior proposal because theAgency views this as a noncontroversialrevision and anticipates no adversecomments. However, in a separatedocument in this Federal Registerpublication, the EPA is proposing toapprove the SIP revision should adverseor critical comments be filed. Thus,today’s direct final action will beeffective August 19, 1996, unless by July19, 1996, adverse or critical commentsare received.

If the EPA receives such comments,this action will be withdrawn before theeffective date by publishing asubsequent document that willwithdraw the final action. All publiccomments received will then beaddressed in a subsequent final rulebased on this action serving as aproposed rule. The EPA will notinstitute a second comment period onthis action. Any parties interested incommenting on this action should do soat this time. If no such comments are


received, the public is advised that thisaction will be effective August 19, 1996.

The EPA has reviewed this request forrevision of the federally-approved SIPfor conformance with the provisions ofthe Act as amended November 15, 1990.The EPA has determined that this actionconforms with those requirements.

Nothing in this action should beconstrued as permitting, allowing orestablishing a precedent for any futurerequest for revision to any SIP. Eachrequest for revision to a SIP shall beconsidered separately in light of specifictechnical, economic, and environmentalfactors and in relation to relevantstatutory and regulatory requirements.

Under the Regulatory Flexibility Act,5 U.S.C. 600 et seq., the EPA mustprepare a regulatory flexibility analysisassessing the impact of any proposed offinal rule on small entities. Smallentities include small businesses, smallnot-for-profit enterprises, andgovernment entities with jurisdictionover populations that are less than50,000.

The SIP revision approvals undersection 110 and subchapter I, part D, ofthe Act do not create any newrequirements, but simply approverequirements that the State is alreadyimposing. Therefore, because theFederal SIP approval does not imposeany new requirements, the EPA certifiesthat this proposed rule would not havea significant impact on any smallentities affected. Moreover, due to thenature of the Federal-State relationshipunder the Act, preparation of aregulatory flexibility analysis wouldconstitute Federal inquiry into theeconomic reasonableness of Stateactions. The Act forbids the EPA to baseits actions concerning SIP’s on suchgrounds. Union Electric Co. v.U.S.E.P.A., 427 U.S. 246, 256–266 (S. Ct.1976); 42 U.S.C. section 7410(a)(2).

Under section 202 of the UnfundedMandates Reform Act of 1995(Unfunded Mandates Act), signed intolaw on March 22, 1995, the EPA mustprepare a budgetary impact statement toaccompany any proposed or final rulethat includes a Federal mandate thatmay result in estimated costs to State,local, or tribal governments in theaggregate, or to the private sector, of$100 million or more. Under section205, the EPA must select the most cost-effective and least burdensomealternative that achieves the objectivesof the rule and is consistent withstatutory requirements. Section 203requires the EPA to establish a plan forinforming and advising any smallgovernments that may be significantlyor uniquely impacted by the rule.

The EPA has determined that theapproval action promulgated today doesnot include a Federal mandate that mayresult in estimated costs of $100 millionor more to State, local, or tribalgovernments in the aggregate, or to theprivate sector. This Federal actionapproves pre-existing requirementsunder State or local law, and imposesno new Federal requirements.Accordingly, no additional costs toState, local, or tribal governments, or tothe private sector, result from thisaction.

This action has been classified as aTable 3 action for signature by theRegional Administrator under theprocedures published in the FederalRegister on January 19, 1989 (54 FR2214–2225), as revised by a July 10,1995, memorandum from Mary Nichols,Assistant Administrator for Air andRadiation. The Office of Managementand Budget has exempted thisregulatory action from Executive Order12866 review.

Under section 307(b)(1) of the Act, 42U.S.C. 7607(b), petitions for judicialreview of this action must be filed in theUnited States Court of Appeals for theappropriate circuit by August 19, 1996.Filing a petition for reconsideration bythe Administrator of this final rule doesnot affect the finality of this rule for thepurposes of judicial review nor does itextend the time within which a petitionfor judicial review may be filed, andshall not postpone the effectiveness ofsuch rule or action. This action may notbe challenged later in proceedings toenforce its requirements. (See section307(b)(2).)


Environmental protection, Airpollution control, Hydrocarbons,Nitrogen dioxide, Ozone, Volatileorganic compounds.

Dated: June 10, 1996.Allyn M. Davis,Acting Regional Administrator.

Part 52, chapter I, title 40 of the Codeof Federal Regulations is amended asfollows:

PART 52—[AMENDED]


Authority: 42 U.S.C. 7401–7671q.

Subpart T—Louisiana

2. Section 52.995 is added to read asfollows:

§ 52.995 Enhanced ambient air qualitymonitoring.

(a) The Governor of the State ofLouisiana submitted the photochemicalassessment monitoring stations (PAMS)State Implementation Plan (SIP)revision for the Baton Rouge ozonenonattainment area on September 10,1993. This SIP submittal satisfies 40CFR 58.20(f), which requires the State toprovide for the establishment andmaintenance of PAMS.

(b) The Baton Rouge ozonenonattainment area is classified asSerious and includes Ascension, EastBaton Rouge, Iberville, Livingston,Pointe Coupee, and West Baton RougeParishes.


40 CFR Part 180

[OPP–300418A; FRL–5375–9]

RIN 2070–AB78

Oxidized Pine Lignin, Sodium Salt;Tolerance Exemption

AGENCY: Environmental ProtectionAgency (EPA).ACTION: Final rule.

SUMMARY: This document establishes anexemption from the requirement of atolerance for residues of oxidized pinelignin, sodium salt when used as aninert ingredient (surfactant or relatedadjuvant of a surfactant) in pesticideformulations applied to growing crops,to raw agricultural commodities afterharvest, or to animals. LignoTech USA,Inc. requested this regulation pursuantto the Federal Food, Drug and CosmeticAct (FFDCA).EFFECTIVE DATE: This regulationbecomes effective June 19, 1996.ADDRESSES: Written objections,identified by the docket number, [OPP–300418A] may be submitted to: HearingClerk (1900), Environmental ProtectionAgency, Rm. M3708, 401 M St., SW.,Washington, DC 20460. A copy of anyobjections and hearing requests filedwith the Hearing Clerk should beidentified by the docket number andsubmitted to: Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. In person, bringcopy of objections and hearing requestto: Rm. 1132, CM #2, 1921 JeffersonDavis Hwy., Arlington, VA 22202. Feesaccompanying objections shall belabeled ‘‘Tolerance Petition Fees’’ and


forwarded to: EPA HeadquartersAccounting Operations Branch, OPP(Tolerance Fees), P.O. Box 360277M,Pittsburgh, PA 15251.

A copy of objections and hearingrequests filed with the Hearing Clerkmay also be submitted electronically bysending electronic mail (e-mail) to: [email protected]. Copies ofobjections and hearing requests must besubmitted as an ASCII file avoiding theuse of special characters and any formof encryption. Copies of objections andhearing requests will also be acceptedon disks in WordPerfect 5.1 file formator ASCII file format. All copies ofobjections and hearing requests inelectronic form must be identified bythe docket number [OPP–300418A]. NoConfidential Business Information (CBI)should be submitted through e-mail.Electronic comments on this proposedrule may be filed online at many FederalDepository Libraries. Additionalinformation on electronic submissionscan be found below in this document.FOR FURTHER INFORMATION CONTACT: Bymail: Amelia M. Acierto, RegistrationSupport Branch, Registration Division(7505W), Office of Pesticide Programs,Environmental Protection Agency, 401M St., SW., Washington, DC 20460.Office location and telephone number:Westfield Building North, 6th Fl., 2800Crystal Drive, Arlington, VA 22202,(703) 308–8375; e-mail:[email protected] INFORMATION: In theFederal Register of March 27, 1996 (61FR 13476), EPA issued a proposed rule(FRL–5353–6) that gave notice thatLignoTech USA, Inc., 100 Highway 51South, Rothschild, WI 54474–1998 hadsubmitted pesticide petition (PP)5E4471 to EPA requesting that theAdministrator, pursuant to section408(e) of the FFDCA, 21 U.S.C. 346a(e),amend 40 CFR 180.1001(c) byestablishing an exemption from therequirement of a tolerance for residuesof oxidized pine lignin, sodium saltwhen used as an inert ingredient (asurfactant or related adjuvant of asurfactant) in pesticide formulationsapplied to growing crops or to rawagricultural commodities after harvestor to animals.

Inert ingredients are all ingredientsthat are not active ingredients as definedin 40 CFR 153.125, and include, but arenot limited to, the following types ofingredients (except when they have apesticidal efficacy of their own):Solvents such as alcohols andhydrocarbons; surfactants such aspolyoxyethylene polymers and fattyacids; carriers such as clay anddiatomaceous earth; thickeners such as

carrageenan and modified cellulose;wetting, spreading, and dispersingagents; propellants in aerosoldispensers; microencapsulating agents;and emulsifiers. The term ‘‘inert’’ is notintended to imply nontoxicity; theingredient may or may not bechemically active.

There were no comments or requestsfor referral to an advisory committeereceived in response to the proposedrule.

The data submitted relevant to theproposal and other relevant materialhave been evaluated and discussed inthe proposed rule. Based on the dataand information considered, the Agencyconcludes that the tolerance exemptionwill protect the public health.Therefore, the tolerance exemption isestablished as set forth below.

Any person adversely affected by thisregulation may, within 30 days afterpublication of this document in theFederal Register, file written objectionsand/or request a hearing with theHearing Clerk, at the address givenabove (40 CFR 178.20). A copy of theobjections and/or hearing requests filedwith the Hearing Clerk should besubmitted to the OPP docket for thisrulemaking. The objections submittedmust specify the provisions of theregulation deemed objectionable and thegrounds for the objections (40 CFR178.25). Each objection must beaccompanied by the fee prescribed by40 CFR 180.33(i). If a hearing isrequested, the objections must include astatement of the factual issue(s) onwhich a hearing is requested, therequestor’s contentions on such issues,and a summary of any evidence reliedupon by the objector (40 CFR 178.27). Arequest for a hearing will be granted ifthe Administrator determines that thematerial submitted shows the following:There is a genuine and substantial issueof fact; there is a reasonable possibilitythat available evidence identified by therequestor would, if established, resolveone or more of such issues in favor ofthe requestor, taking into accountuncontested claims or facts to thecontrary; and resolution of the factualissue(s) in the manner sought by therequestor would be adequate to justifythe action requested (40 CFR 178.32).

A record has been established for thisrulemaking under docket number [OPP–300418A] (including objections andhearing requests submittedelectronically as described below). Apublic version of this record, includingprinted, paper versions of electroniccomments, which does not include anyinformation claimed as CBI is availablefor public inspection from 8 a.m. to 4:30p.m., Monday through Friday, excluding

legal holidays. The public record islocated in Room 1132 of the PublicResponse and Program ResourcesBranch, Field Operations Division(7506C), Office of Pesticide Programs,Environmental Protection Agency,Crystal Mall #2, 1921 Jefferson DavisHighway, Arlington, VA.

Written objections and hearingrequests, identified by the docketnumber [OPP–300418A], may besubmitted to the Hearing Clerk (1900),Environmental Protection Agency, Rm.3708, 401 M St., SW., Washington, DC20460.

A copy of electronic objections andhearing requests filed with the HearingClerk can be sent directly to EPA at:

[email protected]

A copy of electronic objections andhearing requests filed with the HearingClerk must be submitted as an ASCII fileavoiding the use of special charactersand any form of encryption.

The official record for thisrulemaking, as well as the publicversion, as described above will be keptin paper form. Accordingly, EPA willtransfer all comments receivedelectronically into printed, paper formas they are received and will place thepaper copies in the official rulemakingrecord which will also include allcomments submitted directly in writing.The official rulemaking record is thepaper record maintained at the addressin ‘‘ADDRESSES’’ at the beginning ofthis document.

Under Executive Order 12866 (58 FR51735, October 4, 1993), the Agencymust determine whether the regulatoryaction is ‘‘significant’’ and thereforesubject to all the requirements of theExecutive Order (i.e., Regulatory ImpactAnalysis, review by the Office ofManagement and Budget (OMB)). Undersection 3(f), the order defines‘‘significant’’ as those actions likely tolead to a rule (1) having an annual effecton the economy of $100 million ormore, or adversely and materiallyaffecting a sector of the economy,productivity, competition, jobs, theenvironment, public health or safety, orState, local or tribal governments orcommunities (also known as‘‘economically significant’’); (2) creatingserious inconsistency or otherwiseinterfering with an action taken orplanned by another agency; (3)materially altering the budgetaryimpacts of entitlement, grants, user fees,or loan programs; or (4) raising novellegal or policy issues arising out of legalmandates, the President’s priorities, orthe principles set forth in this ExecutiveOrder.


Pursuant to the terms of thisExecutive Order, EPA has determinedthat this rule is not ‘‘significant’’ and istherefore not subject to OMB review.

This action does not impose anyenforceable duty, or contain any‘‘unfunded mandates’’ as described inTitle II of the Unfunded MandatesReform Act of 1995 (Pub. L. 104–4), orrequire prior consultation as specifiedby Executive Order 12875 (58 FR 58093,October 28, 1993), entitled Enhancingthe Intergovernmental Partnership, orspecial consideration as required byExecutive Order 12898 (59 FR 7629,February 16, 1994).

Pursuant to the requirements of theRegulatory Flexibility Act (5 U.S.C.601–612), the Administrator hasdetermined that regulations establishingnew tolerances or raising tolerance

levels or establishing exemptions fromtolerance requirements do not have asignificant economic impact on asubstantial number of small entities. Acertification statement to this effect waspublished in the Federal Register ofMay 4, 1981 (46 FR 24950).


Environmental protection,Administrative practice and procedure,Agricultural commodities, Pesticidesand pests, Reporting and recordkeepingrequirements.

Dated: June 4, 1996.Stephen L. Johnson,Director, Registration Division, Office ofPesticide Programs.

Therefore, 40 CFR part 180 isamended as follows:

PART 180—[AMENDED]


Authority: 21 U.S.C. 346a and 371.

2. In § 180.1001 the table in paragraph(c) and (e) is amended by addingalphabetically the inert ingredient‘‘Oxidized pine lignin, sodium salt,(CAS Reg. No. 68201–23–0),’’ to read asfollows:

§ 180.1001 Exemptions from therequirement of a tolerance.

* * * * *

(c) * * *

Inert ingredients Limits Uses

* * * * * * *Oxidized pine lignin, sodium salt, (CAS Reg. No.

68201–23–0).Maximum of 2% of formulation Surfactant, related adjuvant of surfactant

* * * * * * *

* * * * (e) * * *


* * * * * * *Oxidized pine lignin, sodium salt (CAS Reg. No.

68201–23–0).Maximum of 2% of formulation Surfactant, related adjuvant of surfactant

* * * * * * *

* * * * *

[FR Doc. 96–15476 Filed 6–18–96; 8:45 am]BILLING CODE 6560–50–F

40 CFR Part 180

[PP 5E4434/R2246; FRL–5374–7]

RIN 2070–AB78

Aluminum Tris (O-ethylphosphonate);Pesticide Tolerance For Use in or onBlueberry


SUMMARY: This document establishes atime-limited tolerance for residues ofthe fungicide aluminum tris (O-ethylphosphonate) (also referred to inthis document as fosetyl-Al) and itsmetabolites in or on the raw agriculturalcommodity blueberry. The InterregionalResearch Project No. 4 (IR-4) requested

the regulation to establish a maximumpermissible level for residues of thefungicide pursuant to the Federal Food,Drug and Cosmetic Act (FFDCA).EFFECTIVE DATE: This regulationbecomes effective June 19, 1996.ADDRESSES: Written objections andhearing requests, identified by thedocument control number, [PP 5E4434/R2246], may be submitted to: HearingClerk (1900), Environmental ProtectionAgency, Rm. M3708, 401 M St., SW.,Washington, DC 20460. Feesaccompanying objections and hearingrequests shall be labeled ‘‘TolerancePetition Fees’’ and forwarded to: EPAHeadquarters Accounting OperationsBranch, OPP (Tolerance Fees), P.O. Box360277M, Pittsburgh, PA 15251. A copyof any objections and hearing requestsfiled with the Hearing Clerk should beidentified by the document controlnumber and submitted to: PublicResponse and Program ResourcesBranch, Field Operations Division

(7506C), Office of Pesticide Programs,Environmental Protection Agency, 401M St., SW., Washington, DC 20460. Inperson, bring copy of objections andhearing requests to Rm. 1132, CM #2,1921 Jefferson Davis Hwy., Arlington,VA 22202.

A copy of objections and hearingrequests filed with the Hearing Clerkmay also be submitted electronically bysending electronic mail (e-mail) to: [email protected].

Copies of objections and hearingrequests must be submitted as an ASCIIfile avoiding the use of specialcharacters and any form of encryption.Copies of objections and hearingrequests will also be accepted on disksin WordPerfect 5.1 file format or ASCIIfile format. All copies of objections andhearing requests in electronic form mustbe identified by the docket number [PP5E4434/R2246]. No ConfidentialBusiness Information (CBI) should besubmitted through e-mail. Electroniccopies of objections and hearing


requests on this rule may be filed onlineat many Federal Depository Libraries.Additional information on electronicsubmissions can be found below in thisdocument.FOR FURTHER INFORMATION CONTACT: Bymail: Hoyt L. Jamerson, RegistrationDivision (7505W), EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. Office locationand telephone number: Sixth Floor,Crystal Station #1, 2800 Jefferson DavisHighway, Arlington, VA 22202. (703)308-8783; e-mail:[email protected] INFORMATION: In theFederal Register of April 26, 1996 (61FR 18534), EPA issued a proposed rule(FRL–5363–3) that gave notice that theInterregional Research Project No. 4 (IR-4), New Jersey Agricultural ExperimentStation, P.O. Box 231, New Brunswick,NJ 08903, had submitted pesticidepetition (PP) 5E4434 to EPA on behalfof the Agricultural Experiment Stationsof Maine, Michigan, New Jersey, NorthCarolina, and Oregon. This petitionrequests that the Administrator,pursuant to section 408(e) of theFFDCA, 21 U.S.C. 346a(e) amend 40CFR 180.415 by establishing a time-limited tolerance for residues of thefungicide fosetyl-Al [aluminum tris (O-ethylphosphonate)] in or on the rawagricultural commodity blueberry at 40part per million (ppm). There were nocomments or requests for referral to anadvisory committee received inresponse to the proposed rule.

The data submitted with the proposaland other relevant material have beenevaluated and discussed in theproposed rule. Based on the data andinformation considered, the Agencyconcludes that the tolerance will protectthe public health. Therefore, thetolerance is established as set forthbelow.

Any person adversely affected by thisregulation may, within 30 days afterpublication of this document in theFederal Register, file written objectionsto the regulation and may also requesta hearing on those objections.Objections and hearing requests must befiled with the Hearing Clerk, at theaddress given above (40 CFR 178.20). Acopy of the objections and/or hearingrequests filed with the Hearing Clerkshould be submitted to the OPP docketfor this rulemaking. The objectionssubmitted must specify the provisionsof the regulation deemed objectionableand the grounds for the objections (40CFR 178.25). Each objection must beaccompanied by the fee prescribed by40 CFR 180.33(i). If a hearing isrequested, the objections must include a

statement of the factual issue(s) onwhich a hearing is requested, therequestor’s contentions on such issues,and a summary of any evidence reliedupon by the objector (40 CFR 178.27). Arequest for a hearing will be granted ifthe Administrator determines that thematerial submitted shows the following:There is genuine and substantial issueof fact; there is a reasonable possibilitythat available evidence identified by therequestor would, if established, resolveone or more of such issues in favor ofthe requestor, taking into accountuncontested claims or facts to thecontrary; and resolution of the factualissue(s) in the manner sought by therequestor would be adequate to justifythe action requested (40 CFR 178.32).

A record has been established for thisrulemaking under docket number [PP5E4434/R2246] (including anyobjections and hearing requestssubmitted electronically as describedbelow). A public version of this record,including printed, paper versions ofelectronic comments which does notinclude any information claimed as CBI,is available for inspection from 8 a.m. to4:30 p.m., Monday through Friday,excluding legal holidays. The publicrecord is located in Room 1132 of thePublic Response and Program ResourcesBranch, Field Operations Division(7506C), Office of Pesticide Programs,Environmental Protection Agency,Crystal Mall #2, 1921 Jefferson DavisHighway, Arlington, VA.

The official record for thisrulemaking, as well as the publicversion, as described above will be keptin paper form. Accordingly, EPA willtransfer any copies of objections andhearing requests received electronicallyinto printed, paper form as they arereceived and will place the paper copiesin the official rulemaking record whichwill also include all commentssubmitted directly in writing. Theofficial rulemaking record is the paperrecord maintained at the address in‘‘ADDRESSES’’ at the beginning of thisdocument.

Under Executive Order 12866 (58 FR51735, October 4, 1993), the Agencymust determine whether the regulatoryaction is ‘‘significant’’ and thereforesubject to all the requirements of theExecutive Order (i.e., Regulatory ImpactAnalysis, review by the Office ofManagement and Budget (OMB)). Undersection 3(f), the order defines ‘‘asignificant regulatory action’’ as anaction that is likely to result in a rule(1) having an annual effect on theeconomy of $100 million or more, oradversely and materially affecting asector of the economy, productivity,competition, jobs, the environment,

public health or safety, or State, local ortribal governments or communities (alsoreferred to as ‘‘economicallysignificant’’); (2) creating seriousinconsistency or otherwise interferingwith an action taken or planned byanother agency; (3) materially alteringthe budgetary impacts of entitlement,grants, user fees, or loan programs or therights and obligations thereof; or (4)raising novel legal or policy issuesarising out of legal mandates, thePresident’s priorities, or the principlesset forth in this Executive Order.Pursuant to the terms of this ExecutiveOrder, EPA has determined that thisrule is not ‘‘significant’’ and is thereforenot subject to OMB review.

This action does not impose anyenforceable duty, or contain any‘‘unfunded mandates’’ as described inTitle II of the Unfunded MandatesReform Act of 1995 (Pub. L. l04–4), orrequire prior consultation as specifiedby Executive Order 12875 (58 FR 58093,October 28, 1993), entitled Enhancingthe Intergovernmental Partnership, orspecial consideration as required byExecutive Order 12898 (59 FR 7629,February 16, 1994).

Pursuant to the requirements of theRegulatory Flexibility Act (5 U.S.C.601–612), the Administrator hasdetermined that regulations establishingnew tolerances or raising tolerancelevels or establishing exemptions fromtolerance requirements do not have asignificant economic impact on asubstantial number of small entities. Acertification statement explaining thefactual basis for this determination waspublished in the Federal Register ofMay 4, 1981 (46 FR 24950).

List of Subjects in 40 CFR Part 180Environmental protection,

Administrative practice and procedure,Agricultural commodities, Pesticidesand pests, Reporting and recordkeepingrequirements.

Dated: June 4, 1996.

Stephen L. Johnson,Director, Registration Division, Office ofPesticide Programs.




Authority: 21 U.S.C. 346a and 371.2. In § 180.415, by adding a paragraph

(c), to read as follows:

§ 180.415 Aluminum tris (O-ethylphosphonate); tolerances for residues.* * * * *


(c) Time-limited tolerances areestablished for residues of the fungicidealuminum tris (O-ethylphosphonate) inor on the following raw agriculturalcommodities:

CommoditiesPartsper

million

Expira-tion date

Blueberry ....................... 40 ...... Decem-ber 31,1998


40 CFR Part 180

[PP 5E4590/R2243; FRL–5373–5]

RIN 2070–AB78

Quizalofop Ethyl; Pesticide Tolerancefor Use on Pineapple


SUMMARY: This document establishes atolerance for the combined residues ofthe herbicide quizalofop-p ethyl ester,its acid metabolite quizalofop-p, and theS enantiomers of both the ester and theacid, all expressed as quizalofop-p ethylester, in or on the raw agriculturalcommodity pineapple. The InterregionalResearch Project No. 4 (IR-4) requestedthe regulation to establish a maximumpermissible level for residues of theherbicide pursuant to the Federal Food,Drug and Cosmetic Act (FFDCA).EFFECTIVE DATE: This regulationbecomes effective June 19, 1996.ADDRESSES: Written objections andhearing requests, identified by thedocket number, [PP 5E4590/R2243],may be submitted to: Hearing Clerk(1900), Environmental ProtectionAgency, Rm. M3708, 401 M St., SW.,Washington, DC 20460. Feesaccompanying objections and hearingrequests shall be labeled ‘‘TolerancePetition Fees’’ and forwarded to: EPAHeadquarters Accounting OperationsBranch, OPP (Tolerance Fees), P.O. Box360277M, Pittsburgh, PA 15251. A copyof any objections and hearing requestsfiled with the Hearing Clerk should beidentified by the docket number andsubmitted to: Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. In person, bringcopy of objections and hearing requests

to Rm. 1132, CM #2, 1921 JeffersonDavis Hwy., Arlington, VA 22202.

A copy of objections and hearingrequests filed with the Hearing Clerkmay also be submitted electronically bysending electronic mail (e-mail) to: [email protected].

Copies of objections and hearingrequests must be submitted as an ASCIIfile avoiding the use of specialcharacters and any form of encryption.Copies of objections and hearingrequests will also be accepted on disksin WordPerfect 5.1 file format or ASCIIfile format. All copies of objections andhearing requests in electronic form mustbe identified by the docket number [PP5E4590/R2243]. No ConfidentialBusiness Information (CBI) should besubmitted through e-mail. Electroniccopies of objections and hearingrequests on this rule may be filed onlineat many Federal Depository Libraries.Additional information on electronicsubmissions can be found below in thisdocument.FOR FURTHER INFORMATION CONTACT: Bymail: Hoyt L. Jamerson, RegistrationDivision (7505W), EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. Office locationand telephone number: Sixth Floor,Crystal Station #1, 2800 Jefferson DavisHighway, Arlington, VA 22202, (703)308–8783; e-mail:[email protected] INFORMATION: In theFederal Register of April 26, 1996 (61FR 18536), EPA issued a proposed rule(FRL–5363–5) that gave notice that theInterregional Research Project No. 4 (IR-4), New Jersey Agricultural ExperimentStation, P.O. Box 231, New Brunswick,NJ 08903, had submitted pesticidepetition (PP) 5E4590 to EPA on behalfof the Hawaii Agricultural ExperimentStation. This petition requests that theAdministrator, pursuant to section408(e) of the FFDCA, 21 U.S.C. 346a(e)amend 40 CFR 180.441 by establishinga tolerance for the combined residues ofthe herbicide quizalofop-p ethyl ester[ethyl (R)-(2-[4-((6-chloroquinoxalin-2-yl)oxy)phenoxy] propionate], its acidmetabolite quizalofop-p [R-(2-(4-((6-chloroquinoxalin-2-yl)oxy)phenoxy])propanoic acid], and the S enantiomersof the ester and the acid, all expressedas quizalofop-p ethyl ester, in or on theraw agricultural commodity pineappleat 0.1 part per million (ppm). Thepetitioner proposed that this use ofquizalofop ethyl be limited to Hawaiibased on the geographicalrepresentation of the residue datasubmitted. Additional residue data willbe required to expand the area of usage.Persons seeking geographically broader

registration should contact the Agency’sRegistration Division at the addressprovided above.


The data submitted with the proposaland other relevant material have beenevaluated and discussed in theproposed rule. Based on the data andinformation considered, the Agencyconcludes that the tolerance will protectthe public health. Therefore, thetolerance is established as set forthbelow.

Any person adversely affected by thisregulation may, within 30 days afterpublication of this document in theFederal Register, file written objectionsto the regulation and may also requesta hearing on those objections.Objections and hearing requests must befiled with the Hearing Clerk, at theaddress given above (40 CFR 178.20). Acopy of the objections and/or hearingrequests filed with the Hearing Clerkshould be submitted to the OPP docketfor this rulemaking. The objectionssubmitted must specify the provisionsof the regulation deemed objectionableand the grounds for the objections (40CFR 178.25). Each objection must beaccompanied by the fee prescribed by40 CFR 180.33(i). If a hearing isrequested, the objections must include astatement of the factual issue(s) onwhich a hearing is requested, therequestor’s contentions on such issues,and a summary of any evidence reliedupon by the objector (40 CFR 178.27). Arequest for a hearing will be granted ifthe Administrator determines that thematerial submitted shows the following:There is genuine and substantial issueof fact; there is a reasonable possibilitythat available evidence identified by therequestor would, if established, resolveone or more of such issues in favor ofthe requestor, taking into accountuncontested claims or facts to thecontrary; and resolution of the factualissue(s) in the manner sought by therequestor would be adequate to justifythe action requested (40 CFR 178.32).

A record has been established for thisrulemaking under docket number [PP5E4590/R2243] (including anyobjections and hearing requestssubmitted electronically as describedbelow). A public version of this record,including printed, paper versions ofelectronic comments which does notinclude any information claimed as CBI,is available for inspection from 8 a.m. to4:30 p.m., Monday through Friday,excluding legal holidays. The publicrecord is located in Room 1132 of thePublic Response and Program Resources


Branch, Field Operations Division(7506C), Office of Pesticide Programs,Environmental Protection Agency,Crystal Mall #2, 1921 Jefferson DavisHighway, Arlington, VA.

The official record for thisrulemaking, as well as the publicversion, as described above will be keptin paper form. Accordingly, EPA willtransfer any copies of objections andhearing requests received electronicallyinto printed, paper form as they arereceived and will place the paper copiesin the official rulemaking record whichwill also include all commentssubmitted directly in writing. Theofficial rulemaking record is the paperrecord maintained at the address in‘‘ADDRESSES’’ at the beginning of thisdocument.

Under Executive Order 12866 (58 FR51735, October 4, 1993), the Agencymust determine whether the regulatoryaction is ‘‘significant’’ and thereforesubject to all the requirements of theExecutive Order (i.e., Regulatory ImpactAnalysis, review by the Office ofManagement and Budget (OMB)). Undersection 3(f), the order defines ‘‘asignificant regulatory action’’ as anaction that is likely to result in a rule(1) having an annual effect on theeconomy of $100 million or more, oradversely and materially affecting asector of the economy, productivity,competition, jobs, the environment,public health or safety, or State, local ortribal governments or communities (alsoreferred to as ‘‘economicallysignificant’’); (2) creating seriousinconsistency or otherwise interferingwith an action taken or planned byanother agency; (3) materially alteringthe budgetary impacts of entitlement,grants, user fees, or loan programs or therights and obligations thereof; or (4)raising novel legal or policy issuesarising out of legal mandates, thePresident’s priorities, or the principlesset forth in this Executive Order.Pursuant to the terms of this ExecutiveOrder, EPA has determined that thisrule is not ‘‘significant’’ and is thereforenot subject to OMB review.

This action does not impose anyenforceable duty, or contain any‘‘unfunded mandates’’ as described inTitle II of the Unfunded MandatesReform Act of 1995 (Pub. L. 104–4), orrequire prior consultation as specifiedby Executive Order 12875 (58 FR 58093,October 28, 1993), entitled Enhancingthe Intergovernmental Partnership, orspecial consideration as required byExecutive Order 12898 (59 FR 7629,February 16, 1994.)

Pursuant to the requirements of theRegulatory Flexibility Act (5 U.S.C.601–612), the Administrator has

determined that regulations establishingnew tolerances or raising tolerancelevels or establishing exemptions fromtolerance requirements do not have asignificant economic impact on asubstantial number of small entities. Acertification statement explaining thefactual basis for this determination waspublished in the Federal Register ofMay 4, 1981 (46 FR 24950).








2. In § 180.441, by adding a newparagraph (d), to read as follows:

§ 180.441 Quizalofop ethyl; tolerances forresidues.

* * * * *(d) Tolerances with regional

registration, as defined in § 180.1(n), areestablished for the combined residues ofthe herbicide quizalofop-p ethyl ester[ethyl (R)-2-[4-((6-chloroquinoxalin-2-yl)oxy)phenoxy] propionate], its acidmetabolite quizalofop-p [R-(2-[4-((6-chloroquinoxalin-2-yl)oxy)phenoxy])propanoic acid], and the S enantiomersof both the ester and the acid, allexpressed as quizalofop-p ethyl ester, inor the raw agricultural commodities, asfollows:

Commodity Parts permillion

* * * * *Pineapple .................................. 0.1

* * * * *

* * * * *


40 CFR Part 180

[OPP–300417A; FRL–5376–3]

RIN 2070–AB78

1,1,1,2-Tetrafluoroethane; ToleranceExemption


SUMMARY: This document establishes anexemption from the requirement of atolerance for residues of 1,1,1,2-tetrafluoroethane when used as an inertingredient (aerosol propellant) ininsecticide formulations intended to beapplied in food handlingestablishments. This regulation wasrequested by Whitmire ResearchLaboratories pursuant to the FederalFood, Drug and Cosmetic Act (FFDCA).EFFECTIVE DATE: This regulationbecomes effective June 19, 1996.ADDRESSES: Written objections,identified by the docket number, [OPP–300417A] may be submitted to: HearingClerk (1900), Environmental ProtectionAgency, Rm. M3708, 401 M St., SW.,Washington, DC 20460. A copy of anyobjections and hearing requests filedwith the Hearing Clerk should beidentified by the docket number andsubmitted to: Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. In person, bringcopy of objections and hearing requestto: Rm. 1132, CM #2, 1921 JeffersonDavis Hwy., Arlington, VA 22202. Feesaccompanying objections shall belabeled ‘‘Tolerance Petition Fees’’ andforwarded to: EPA HeadquartersAccounting Operations Branch, OPP(Tolerance Fees), P.O. Box 360277M,Pittsburgh, PA 15251.

A copy of objections and hearingrequests filed with the Hearing Clerkmay also be submitted electronically bysending electronic mail (e-mail) to: [email protected]. Copies ofobjections and hearing requests must besubmitted as an ASCII file avoiding theuse of special characters and any formof encryption. Copies of objections andhearing requests will also be acceptedon disks in WordPerfect 5.1 file formator ASCII file format. All copies ofobjections and hearing requests inelectronic form must be identified bythe docket number [OPP–300417A]. NoConfidential Business Information (CBI)should be submitted through e-mail.Electronic comments on this final rulemay be filed online at many Federal


Depository Libraries. Additionalinformation on electronic submissionscan be found below in this document.

FOR FURTHER INFORMATION CONTACT: Bymail: Amelia M. Acierto, RegistrationSupport Branch, Registration Division(7505W), Office of Pesticide Programs,Environmental Protection Agency, 401M St., SW., Washington, DC 20460.Office location and telephone number:Westfield Building North, 6th Fl., 2800Crystal Drive, Arlington, VA 22202,(703) 308–8375; e-mail:[email protected].

SUPPLEMENTARY INFORMATION: In theFederal Register of April 10, 1996 (61FR 15913), EPA issued a proposed rule(FRL–5353–5) that gave notice thatWhitmire Research Laboratories, Inc.,3568 Tree Court Industrial Boulevard,Saint Louis, MO 63122-6620 hadsubmitted pesticide petition (PP)5E4439 to EPA requesting that theAdministrator, pursuant to section408(e) of the Federal Food, Drug, andCosmetic Act (FFDCA), 21 U.S.C.346a(e), propose to amend 40 CFR180.1001(c) by establishing anexemption from the requirement of atolerance for residues of 1,1,1,2-tetrafluoroethane (HFC-134a) when usedas an inert ingredient (aerosolpropellant) in insecticide formulationsintended for application in foodhandling establishments.

Inert ingredients are all ingredientsthat are not active ingredients as definedin 40 CFR 153.125, and include, but arenot limited to, the following types ofingredients (except when they have apesticidal efficacy of their own):Solvents such as alcohols andhydrocarbons; surfactants such aspolyoxyethylene polymers and fattyacids; carriers such as clay anddiatomaceous earth; thickeners such ascarrageenan and modified cellulose;wetting, spreading, and dispersingagents; propellants in aerosoldispensers; microencapsulating agents;and emulsifiers. The term ‘‘inert’’ is notintended to imply nontoxicity; theingredient may or may not bechemically active.


The data submitted relevant to theproposal and other relevant materialhave been evaluated and discussed inthe proposed rule. Based on the dataand information considered, the Agencyconcludes that the tolerance exemptionwill protect the public health.Therefore, the tolerance exemption isestablished as set forth below.

Any person adversely affected by thisregulation may, within (30 days afterpublication of this document in theFederal Register), file written objectionsand/or request a hearing with theHearing Clerk, at the address givenabove (40 CFR 178.20). A copy of theobjections and/or hearing requests filedwith the Hearing Clerk should besubmitted to the OPP docket for thisrulemaking. The objections submittedmust specify the provisions of theregulation deemed objectionable and thegrounds for the objections (40 CFR178.25). Each objection must beaccompanied by the fee prescribed by40 CFR 180.33(i). If a hearing isrequested, the objections must include astatement of the factual issue(s) onwhich a hearing is requested, therequestor’s contentions on such issues,and a summary of any evidence reliedupon by the objector (40 CFR 178.27). Arequest for a hearing will be granted ifthe Administrator determines that thematerial submitted shows the following:There is a genuine and substantial issueof fact; there is a reasonable possibilitythat available evidence identified by therequestor would, if established, resolveone or more of such issues in favor ofthe requestor, taking into accountuncontested claims or facts to thecontrary; and resolution of the factualissue(s) in the manner sought by therequestor would be adequate to justifythe action requested (40 CFR 178.32).

A record has been established for thisrulemaking under docket number [OPP–300417A] (including objections andhearing requests submittedelectronically as described below). Apublic version of this record, includingprinted, paper versions of electroniccomments, which does not include anyinformation claimed as CBI is availablefor public inspection from 8 a.m. to 4:30p.m., Monday through Friday, excludinglegal holidays. The public record islocated in Room 1132 of the PublicResponse and Program ResourcesBranch, Field Operations Division(7506C), Office of Pesticide Programs,Environmental Protection Agency,Crystal Mall #2, 1921 Jefferson DavisHighway, Arlington, VA.

Written objections and hearingrequests, identified by the docketnumber (OPP–insert number), may besubmitted to the Hearing Clerk (1900),Environmental Protection Agency, Rm.3708, 401 M St., SW., Washington, DC20460.

A copy of electronic objections andhearing requests filed with the HearingClerk can be sent directly to EPA at:

[email protected]

A copy of electronic objections andhearing requests filed with the HearingClerk must be submitted as an ASCII fileavoiding the use of special charactersand any form of encryption.

The official record for thisrulemaking, as well as the publicversion, as described above will be keptin paper form. Accordingly, EPA willtransfer all comments receivedelectronically into printed, paper formas they are received and will place thepaper copies in the official rulemakingrecord which will also include allcomments submitted directly in writing.The official rulemaking record is thepaper record maintained at the addressin ‘‘ADDRESSES’’ at the beginning ofthis document.




Pursuant to the requirements of theRegulatory Flexibility Act (5 U.S.C.601–612), the Administrator hasdetermined that regulations establishingnew tolerances or raising tolerance


levels or establishing exemptions fromtolerance requirements do not have asignificant economic impact on asubstantial number of small entities. Acertification statement to this effect waspublished in the Federal Register ofMay 4, 1981 (46 FR 24950).


Environmental protection,Administrative practice and procedure,Agricultural commodities, Pesticides

and pests, Reporting and recordkeepingrequirements.







2. In § 180.1001, the table inparagraph (c) is amended by addingalphabetically the inert ingredient1,1,1,2-Tetrafluoroethane, (CAS Reg. No.811-97-2), to read as follows:

§ 180.1001 Exemptions from therequirement of a tolerance.

* * * * *(c) * * *


* * * * * * *1,1,1,2-Tetrafluoroethane, (CAS Reg. No. 811–97–2) .............................................. Aerosol propellant

* * * * * * *

* * * * *


FEDERAL COMMUNICATIONSCOMMISSION

47 CFR Parts 0, 2 and 15

[ET Docket No. 95–19; FCC 96–208]

Streamlining the EquipmentAuthorization Procedures for DigitalDevices

AGENCY: Federal CommunicationsCommission.ACTION: Final rule.

SUMMARY: These rules deregulate theequipment authorization requirementsfor personal computers and personalcomputer peripherals by relaxing theequipment authorization procedures toprovide a new self-authorization processbased on a manufacturer’s or supplier’sdeclaration of compliance. Thesechanges were made to reduce theregulatory burden on computermanufacturers and assemblers. Thisaction will save industry approximately$250 million annually, permit productsto reach the marketplace more quicklyand stimulate competition in thecomputer industry.EFFECTIVE DATE: August 19, 1996.FOR FURTHER INFORMATION CONTACT: JohnA. Reed at (202) 418–2455 and AnthonySerafini at 418–2456, Office ofEngineering and Technology.SUPPLEMENTARY INFORMATION: This is asummary of the Commission’s Reportand Order in ET Docket No. 95–19, FCC96–208, adopted May 9, 1996 andreleased May 14, 1996. The complete

text of this Report and Order is availablefor inspection and copying duringnormal business hours in the FCCReference Center (Room 239), 1919 MStreet, NW., Washington, DC, and alsomay be purchased from theCommission’s copy contractor,International Transcription Services,Inc., (202) 857–3800, 2100 M Street,NW., Suite 140, Washington, DC 20037.

Summary of the Report and Order1. By this action, the Commission is

streamlining the equipmentauthorization requirements for personalcomputers and personal computerperipherals. The item adopts a new‘‘Declaration of Conformity’’ (DoC)procedure that will permit these devicesto be authorized based on amanufacturer’s or supplier’s declarationthat the computer product conformswith all FCC requirements. Under thisprocedure, a manufacturer or equipmentsupplier will test a product to ensurecompliance with our standards forlimiting radio frequency (RF) emissionsand will include a statement, attestingto compliance with those standards inthe literature furnished with theproduct. We are also permitting themarketing of personal computersassembled from separate componentsthat have themselves been authorizedunder a DoC. In such cases, no furthertesting of the completed assembly willbe required.

2. We anticipate that these rulechanges will save industryapproximately $250 million annually inadministrative expenses, whilecontinuing to provide the same level ofprotection against harmful interferencefrom personal computing devices toradio communication services. Inaddition, the new rules will eliminate

the need for manufacturers to obtainFCC approval before marketing newpersonal computer products and thuswill allow such products to reach themarketplace more quickly. We alsobelieve that our relaxation of theexisting regulations, which can beparticularly burdensome for smallmanufacturers, will stimulatecompetition in the computer industry.Further, these changes will align ourequipment authorization requirementsfor personal computers with those usedin other parts of the world. This actionis consistent with new authorityprovided in the TelecommunicationsAct of 1996 that permits theCommission to authorize the use ofprivate organizations for testing andcertifying the compliance of devices orhome electronics equipment andsystems with FCC regulations.

3. Accordingly, it is ordered that Parts0, 2 and 15 of the Commission’s Rulesand Regulations are amended asspecified below, effective August 19,1996. It is also ordered that theproceeding in GEN Docket No. 90–413is terminated. The authority for issuanceof this Report and Order is contained inSections 4(i), 301, 302, 303(e), 303(f),303(r), 304 and 307 of theCommunications Act of 1934, asamended, 47 U.S.C. Sections 154(i), 301,302, 303(e), 303(f), 303(r), 304 and 307.

Final Regulatory Flexibility AnalysisPursuant to 5 U.S.C. Section 603, an

Initial Regulatory Flexibility Analysiswas incorporated in the Notice ofProposed Rule Making (NPRM) in ETDocket No. 95–19, FCC 95–46, 60 FR15116, March 22, 1995. Writtencomments on the proposals in theNPRM, including the RegulatoryFlexibility Analysis, were requested.


The following Final Regulatory Analysishas been prepared:

1. Need and purpose of this action:This action determines the standards,test procedures, and equipmentauthorization requirements that will beapplied to personal computers in order:(1) To reduce regulatory burdens oncomputer manufacturers; (2) to removeimpediments to flexible system designand construction techniques forcomputers; and, (3) to reduce thepotential for interference to radioservices by improving our ability toensure that personal computers complywith our standards.

2. Summary of the issues raised by thepublic comments in response to theInitial Regulatory Flexibility Analysis:No commenting parties raised issuesspecifically in response to the initialregulatory flexibility analysis.

3. Significant alternatives considered:None.

List of Subjects

47 CFR Part 0

Organization and functions(Government agencies).

47 CFR Part 2

Imports, Radio, Reporting andrecordkeeping requirements.

47 CFR Part 15

Computer technology, Reporting andrecordkeeping requirements.Federal Communications Commission.LaVera F. Marshall,Acting Secretary.

Rule Changes

Title 47 of the Code of FederalRegulations, Parts 0, 2 and 15 areamended as follows:

PART 0—COMMISSIONORGANIZATION


Authority: Secs. 5, 48 Stat. 1068, asamended; 47 U.S.C. 155.

2. Section 0.241 is amended byadding a new paragraph (g) to read asfollows:

§ 0.241 Authority delegated.

* * * * *(g) The Chief of the Office of

Engineering and Technology isauthorized to enter into agreements withthe National Institute of Standards andTechnology and other accreditationbodies to perform accreditation of testlaboratories pursuant to § 2.948(d) ofthis chapter. In addition, the Chief isauthorized to make determinations

regarding the continued acceptability ofindividual accrediting organizations andaccredited laboratories.

PART 2—FREQUENCY ALLOCATIONSAND RADIO TREATY MATTERS;GENERAL RULES AND REGULATIONS


Authority: Sec. 4, 302, 303, and 307 of theCommunications Act of 1934, as amended,47 U.S.C. Sections 154, 302, 303, and 307,unless otherwise noted.

2. Section 2.805 is revised to read asfollows:

§ 2.805 Equipment that does not requireCommission approval.

In the case of a radio frequency devicethat, in accordance with the rules in thischapter, does not have to have a grantof equipment authorization issued bythe Commission, e.g., a device subject toverification or a Declaration ofConformity, but, nevertheless, mustcomply with specified technicalstandards prior to use, no person shallsell or lease, or offer for sale or lease(including advertising for sale or lease),or import, ship or distribute for thepurposes of selling or leasing or offeringfor sale or lease, any such radiofrequency device unless, prior thereto,such device complies with theapplicable administrative and technicalprovisions (including verification orDeclaration of Conformity of theequipment, where required) specified inthe Commission’s rules.


§ 2.901 Basis and purpose.(a) In order to carry out its

responsibilities under theCommunications Act and the varioustreaties and international regulations,and in order to promote efficient use ofthe radio spectrum, the Commission hasdeveloped technical standards for radiofrequency equipment and parts orcomponents thereof. The technicalstandards applicable to individual typesof equipment are found in that part ofthe rules governing the service whereinthe equipment is to be operated. Inaddition to the technical standardsprovided, the rules governing theservice may require that suchequipment be verified by themanufacturer or importer, be authorizedunder a Declaration of Conformity, orreceive an equipment authorizationfrom the Commission by one of thefollowing procedures: type approval,type acceptance, certification,registration or notification.

(b) The following sections describethe verification procedure, the

procedure for a Declaration ofConformity, and the procedures to befollowed in obtaining type approval,type acceptance, certification ornotification from the Commission andthe conditions attendant to such a grant.

4. A new § 2.906 is added to read asfollows:

§ 2.906 Declaration of Conformity.(a) A Declaration of Conformity is a

procedure where the responsible party,as defined in § 2.909, makesmeasurements or takes other necessarysteps to ensure that the equipmentcomplies with the appropriate technicalstandards. Submittal of a sample unit orrepresentative data to the Commissiondemonstrating compliance is notrequired unless specifically requestedpursuant to § 2.1076.

(b) The Declaration of Conformityattaches to all items subsequentlymarketed by the responsible partywhich are identical, as defined in§ 2.908, to the sample tested and foundacceptable by the responsible party.

5. Section 2.909 is amended byrevising the introductory text and byadding a new paragraph (c) to read asfollows:

§ 2.909 Responsible party.The following parties are responsible

for the compliance of radio frequencyequipment with the applicablestandards:* * * * *

(c) In the case of equipment subject toauthorization under the Declaration ofConformity procedure:

(1) The manufacturer or, if theequipment is assembled from individualcomponent parts and the resultingsystem is subject to authorization undera Declaration of Conformity, theassembler.

(2) If the equipment, by itself, issubject to a Declaration of Conformityand that equipment is imported, theimporter.


§ 2.913 Submittal of equipmentauthorization application or information tothe Commission.

(a) Unless otherwise directed,applications with fees attached for theequipment authorization, pursuant to§ 1.1103 of this chapter, must besubmitted to the FederalCommunications Commission,Equipment Approval Services, P.O. Box358315, Pittsburgh, PA 15251–5315. Ifthe applicant chooses to make use of anair courier/package delivery service, thefollowing address must appear on theoutside of the package/envelope:


Federal Communications Commission,c/o Mellon Bank, Three Mellon BankCenter, 525 William Penn Way, 27thfloor, Room 153–2713, Pittsburgh,Pennsylvania 15259–0001, attention:Wholesale Lockbox Supervisor.

(b) Any information or equipmentsamples requested by the Commissionpursuant to the provisions of subpart Jof this part shall, unless otherwisedirected, be submitted to the FCC,Equipment Authorization Division,7434 Oakland Mills Road, Columbia,Maryland 21046.

7. The centered heading preceding§ 2.927 is revised to read as follows:

Conditions Attendant to an EquipmentAuthorization


§ 2.937 Equipment defect and/or designchange.

When a complaint is filed with theCommission concerning the failure ofequipment subject to this chapter tocomply with pertinent requirements ofthe Commission’s rules, and theCommission determines that thecomplaint is justified and arises out ofan equipment fault attributable to theresponsible party, the Commission mayrequire the responsible party toinvestigate such complaint and reportthe results of such investigation to theCommission. The report shall alsoindicate what action if any has beentaken or is proposed to be taken by theresponsible party to correct the defect,both in terms of future production andwith reference to articles in thepossession of users, sellers anddistributors.


§ 2.945 Sampling tests of equipmentcompliance.

The Commission will, from time totime, request the responsible party tosubmit equipment subject to thischapter to determine the extent towhich subsequent production of suchequipment continues to comply withthe data filed by the applicant (or on filewith the responsible party forequipment subject to notification or aDeclaration of Conformity). Shippingcosts to the Commission’s laboratoryand return shall be borne by theresponsible party.

10. Section 2.946 is amended byrevising paragraphs (a) and (b) to readas follows:

§ 2.946 Penalty for failure to provide testsamples and data.

(a) Any responsible party, as definedin § 2.909, or any party who markets

equipment subject to the provisions ofthis chapter, shall provide test sample(s)or data upon request by theCommission. Failure to comply withsuch a request with the time framesshown below may be cause forforfeiture, pursuant to § 1.80 of thischapter, or other administrativesanctions such as suspending action onany applications for equipmentauthorization submitted by such partywhile the matter is being resolved.

(1) When the equipment is subject toauthorization under a Declaration ofConformity, data shall be providedwithin 14 days of delivery of the requestand test sample(s) shall be providedwithin 60 days of delivery of therequest.

(2) For all other devices, testsample(s) or data shall be providedwithin 60 days of the request.

(b) In the case of equipment involvingharmful interference or safety of life orproperty, the Commission may specifythat test samples subject to theprovisions of this section be submittedwithin less than 60 days, but not lessthan 14 days. Failure to comply withinthe specified time period will be subjectto the sanctions specified in paragraph(a) of this section.* * * * *

11. Section 2.948 is amended byadding new paragraphs (a)(3) and (d) toread as follows:

§ 2.948 Description of measurementfacilities.

(a) * * *(3) If the equipment is to be

authorized under a Declaration ofConformity, the description of themeasurement facilities shall be retainedby the party performing themeasurements.* * * * *

(d) If the equipment is to beauthorized under a Declaration ofConformity, the party performing themeasurements shall be accredited forperforming such measurements by anauthorized accreditation body based onthe International Organization forStandardization/InternationalElectrotechnical Commission (ISO/IEC)Guide 25, ‘‘General Requirements forthe Competence of Calibration andTesting Laboratories.’’ Accreditationbodies must be approved by the FCC’sOffice of Engineering and Technology,as indicated in § 0.241 of this chapter,to perform such accreditation based onISO/IEC 58, ‘‘Calibration and TestingLaboratory Accreditation Systems—General Requirements for Operation andRecognition.’’ The frequency forrevalidation of the test site and theinformation required to be filed or

retained by the testing party shallcomply with the requirementsestablished by the accreditingorganization.

Note to paragraph (d): Parties that arelocated outside of the United States or itspossessions will be accredited only if thereis a mutual recognition agreement betweenthat country and the United States thatpermits similar accreditation of U.S. facilitiesto perform testing for products marketed inthat country.

12. A new centered heading is addedfollowing Section 2.1065, to read asfollows:

Declaration of Conformity13. A new § 2.1071 is added following

the centered heading to read as follows:

Declaration of Conformity

§ 2.1071 Cross reference.The general provisions of this subpart,

shall apply to equipment subject to aDeclaration of Conformity.

14. A new § 2.1072 is added to readas follows:

§ 2.1072 Limitation on Declaration ofConformity.

(a) The Declaration of Conformitysignifies that the responsible party, asdefined in § 2.909, has determined thatthe equipment has been shown tocomply with the applicable technicalstandards if no unauthorized change ismade in the equipment and if theequipment is properly maintained andoperated. Compliance with thesestandards shall not be construed to bea finding by the responsible party withrespect to matters not encompassed bythe Commission’s rules.

(b) A Declaration of Conformity by theresponsible party is effective until atermination date is otherwiseestablished by the Commission.

(c) No person shall, in any advertisingmatter, brochure, etc., use or makereference to a Declaration of Conformityin a deceptive or misleading manner orconvey the impression that such aDeclaration of Conformity reflects morethan a determination by the responsibleparty that the device or product hasbeen shown to be capable of complyingwith the applicable technical standardsof the Commission’s rules.


§ 2.1073 Responsibilities.(a) The responsible party, as defined

in § 2.909, must warrant that each unitof equipment marketed under aDeclaration of Conformity is identical tothe unit tested and found acceptablewith the standards and that the recordsmaintained by the responsible party


continue to reflect the equipment beingproduced under the Declaration ofConformity within the variation that canbe expected due to quantity productionand testing on a statistical basis.

(b) The responsible party, if differentfrom the manufacturer, may uponreceiving a written statement from themanufacturer that the equipmentcomplies with the appropriate technicalstandards rely on the manufacturer orindependent testing agency todetermine compliance. However, thetest records required by § 2.1075 shallbe in the English language and shall bemade available to the Commission upona reasonable request in accordance withthe provisions of § 2.1076.

(c) In the case of transfer of control ofthe equipment, as in the case of sale ormerger of the responsible party, the newresponsible party shall bear theresponsibility of continued complianceof the equipment.

(d) Equipment shall be retested todemonstrate continued compliance withthe applicable technical standards if anymodifications or changes that couldadversely affect the emanationcharacteristics of the equipment aremade by the responsible party. Theresponsible party bears responsibilityfor the continued compliance ofsubsequently produced equipment.

(e) If any modifications or changes aremade by anyone other than theresponsible party for the Declaration ofConformity, the party making themodifications or changes, if locatedwithin the U.S., becomes the newresponsible party. The new responsibleparty must comply with all provisionsfor the Declaration of Conformity,including having test data on filedemonstrating that the productcontinues to comply with all of theapplicable technical standards.


§ 2.1074 Identification.Devices subject only to a Declaration

of Conformity shall be uniquelyidentified by the responsible party. Thisidentification shall not be of a formatwhich could be confused with the FCCIdentifier required on certified, notified,type accepted or type approvedequipment. The responsible party shallmaintain adequate identification recordsto facilitate positive identification foreach device.


§ 2.1075 Retention of records.(a) Except as shown in paragraph (b)

of this section, for each product subjectto a Declaration of Conformity, the

responsible party, as shown in § 2.909,shall maintain the following records:

(1) A record of the original designdrawings and specifications and allchanges that have been made that mayaffect compliance with the requirementsof § 2.1073.

(2) A record of the procedures usedfor production inspection and testing (iftests were performed) to insure theconformance required by § 2.1073.(Statistical production line emissiontesting is not required.)

(3) A record of the measurementsmade on an appropriate test site thatdemonstrates compliance with theapplicable regulations. The record shallcontain:

(i) The actual date or dates testing wasperformed;

(ii) The name of the test laboratory,company, or individual performing thetesting. The Commission may requestadditional information regarding the testsite, the test equipment or thequalifications of the company orindividual performing the tests;

(iii) A description of how the devicewas actually tested, identifying themeasurement procedure and testequipment that was used;

(iv) A description of the equipmentunder test (EUT) and support equipmentconnected to, or installed within, theEUT;

(v) The identification of the EUT andsupport equipment by trade name andmodel number and, if appropriate, byFCC Identifier and serial number;

(vi) The types and lengths ofconnecting cables used and how theywere arranged or moved during testing;

(vii) At least two photographsshowing the test set-up for the highestline conducted emission and showingthe test set-up for the highest radiatedemission. These photographs must befocused originals which show enoughdetail to confirm other informationcontained in the test report;

(viii) A description of anymodifications made to the EUT by thetesting company or individual toachieve compliance with theregulations;

(ix) All of the data required to showcompliance with the appropriateregulations;

(x) The signature of the individualresponsible for testing the product alongwith the name and signature of anofficial of the responsible party, asdesignated in § 2.909; and

(xi) A copy of the complianceinformation, as described in § 2.1077,required to be provided with theequipment.

(b) If the equipment is assembledusing modular components that, by

themselves, are subject to authorizationunder a Declaration of Conformity and/or a grant of certification, and theassembled product is also subject toauthorization under a Declaration ofConformity but, in accordance with theapplicable regulations, does not requireadditional testing, the assembler shallmaintain the following records in orderto show the basis on which compliancewith the standards was determined:

(1) A listing of all of the componentsused in the assembly;

(2) Copies of the complianceinformation, as described in § 2.1077 forall of the modular components used inthe assembly;

(3) A listing of the FCC Identifiernumbers for all of the components usedin the assembly that are authorizedunder a grant of certification;

(4) A listing of equipmentmodifications, if any, that were madeduring assembly; and

(5) A copy of any instructionsincluded with the components that wererequired to be followed to ensure theassembly of a compliant product, alongwith a statement, signed by theassembler, that these instructions werefollowed during assembly. Thisstatement shall also contain the nameand signature of an official of theresponsible party, as designated in§ 2.909.

(c) The records listed in paragraphs(a) and (b) of this section shall beretained for two years after themanufacture or assembly, asappropriate, of said equipment has beenpermanently discontinued, or until theconclusion of an investigation or aproceeding if the responsible party isofficially notified that an investigationor any other administrative proceedinginvolving the equipment has beeninstituted. Requests for the recordsdescribed in this section and for sampleunits also are covered under theprovisions of § 2.946.


§ 2.1076 FCC inspection and submissionof equipment for testing.

(a) Each responsible party, uponreceipt of a reasonable request, shallsubmit to the Commission the recordsrequired by § 2.1075 or one or moresample units for measurements at theCommission’s laboratory.

(b) Shipping costs to theCommission’s Laboratory and returnshall be borne by the responsible party.In the event the responsible partybelieves that shipment of the sample tothe Commission’s Laboratory isimpractical because of the size or weightof the equipment, or the power


requirement, or for any other reason, theresponsible party may submit a writtenexplanation why such shipment isimpractical and should not be required.


§ 2.1077 Compliance information.(a) If a product must be tested and

authorized under a Declaration ofConformity, a compliance informationstatement shall be supplied with theproduct at the time of marketing orimportation, containing the followinginformation:

(1) Identification of the product, e.g.,name and model number;

(2) A statement, similar to thatcontained in § 15.19(a)(3) of thischapter, that the product complies withpart 15 of this chapters; and

(3) The identification, by name,address and telephone number, of theresponsible party, as defined in § 2.909.The responsible party for a Declarationof Conformity must be located withinthe United States.

(b) If a product is assembled frommodular components that, bythemselves, are authorized under aDeclaration of Conformity and/or a grantof certification, and the assembledproduct is also subject to authorizationunder a Declaration of Conformity but,in accordance with the applicableregulations, does not require additionaltesting, the product shall be supplied, atthe time of marketing or importation,with a compliance informationstatement containing the followinginformation:

(1) Identification of the modularcomponents used in the assembly. Amodular component authorized under aDeclaration of Conformity shall beidentified as specified in paragraph(a)(1) of this section. A modularcomponent authorized under a grant ofcertification shall be identified by nameand model number (if applicable) alongwith the FCC Identifier number.

(2) A statement that the productcomplies with part 15 of this chapter.

(3) The identification, by name,address and telephone number, of theresponsible party who assembled the

product from modular components, asdefined in § 2.909. The responsibleparty for a Declaration of Conformitymust be located within the UnitedStates.

(4) Copies of the complianceinformation statements for eachmodular component used in the systemthat is authorized under a Declaration ofConformity.

(c) The compliance informationstatement shall be included in the user’smanual or as a separate sheet.

PART 15—RADO FREQUENCYDEVICES


Authority: Sec. 4, 302, 303, 304, and 307of the Communications Act of 1934, asamended, 47 U.S.C. Sections 154, 302, 303,304, and 307.

2. Section 15.3 is amended by revisingparagraph (r) and adding a newparagraph (bb) to read as follows:


* * * * *(r) Peripheral device. An input/output

unit of a system that feeds data intoand/or receives data from the centralprocessing unit of a digital device.Peripherals to a digital device includeany device that is connected external tothe digital device, any device internal tothe digital device that connects thedigital device to an external device bywire or cable, and any circuit boarddesigned for interchangeable mounting,internally or externally, that increasesthe operating or processing speed of adigital device, e.g., ‘‘turbo’’ cards and‘‘enhancement’’ boards. Examples ofperipheral devices include terminals,printers, external floppy disk drives andother data storage devices, videomonitors, keyboards, interface boards,external memory expansion cards, andother input/output devices that may ormay not contain digital circuitry. Thisdefinition does not include CPU boards,as defined in paragraph (bb) of thissection, even though a CPU board may

connect to an external keyboard or othercomponents.* * * * *

(bb) CPU board. A circuit board thatcontains a microprocessor, or frequencydetermining circuitry for themicroprocessor, the primary function ofwhich is to execute user-providedprogramming, but not including:

(1) A circuit board that contains onlya microprocessor intended to operateunder the primary control or instructionof a microprocessor external to such acircuit board; or

(2) A circuit board that is a dedicatedcontroller for a storage or input/outputdevice.

3. Section 15.19 is amended byredesignating paragraph (b) as paragraph(a)(4), by redesignating paragraph (c) asparagraph (a)(5), by revising paragraphs(a)(4) and (a)(5), and by adding newparagraphs (b) and (c) to read as follows:

§ 15.19 Labelling requirements.

(a) * * *(4) Where a device is constructed in

two or more sections connected bywires and marketed together, thestatement specified under paragraph (a)of this section is required to be affixedonly to the main control unit.

(5) When the device is so small or forsuch use that it is not practicable toplace the statement specified underparagraph (a) of this section on it, theinformation required by this paragraphshall be placed in a prominent locationin the instruction manual or pamphletsupplied to the user or, alternatively,shall be placed on the container inwhich the device is marketed. However,the FCC identifier or the uniqueidentifier, as appropriate, must bedisplayed on the device.

(b) Products subject to authorizationunder a Declaration of Conformity shallbe labelled as follows:

(1) The label shall be located in aconspicuous location on the device andshall contain the unique identificationdescribed in Section 2.1074 of thischapter and the following logo:

(i) If the product is authorized basedon testing of the product or system; or


(ii) If the product is authorized based on assembly using separately authorized components and the resulting productis not separately tested.

(2) When the device is so small or forsuch use that it is not practicable toplace the statement specified underparagraph (b)(1) of this section on it,such as for a CPU board or a plug-incircuit board peripheral device, the textassociated with the logo may be placedin a prominent location in theinstruction manual or pamphletsupplied to the user. However, theunique identification (trade name andmodel number) and the logo must bedisplayed on the device.

(3) The label shall not be a stick-on,paper label. The label on these productsshall be permanently affixed to theproduct and shall be readily visible tothe purchaser at the time of purchase, asdescribed in § 2.925(d) of this chapter.‘‘Permanently affixed’’ means that thelabel is etched, engraved, stamped,silkscreened, indelibly printed, orotherwise permanently marked on apermanently attached part of theequipment or on a nameplate of metal,plastic, or other material fastened to theequipment by welding, riveting, or apermanent adhesive. The label must bedesigned to last the expected lifetime ofthe equipment in the environment inwhich the equipment may be operatedand must not be readily detachable.

(c) [Reserved]* * * * *


§ 15.32 Test procedures for CPU boardsand computer power supplies.

Power supplies and CPU boards usedwith personal computers and for whichseparate authorizations are required tobe obtained shall be tested as follows:

(a) CPU boards shall be tested asfollows:

(1) Testing for radiated emissionsshall be performed with the CPU boardinstalled in a typical enclosure but withthe enclosure’s cover removed so thatthe internal circuitry is exposed at thetop and on at least two sides. Additionalcomponents, including a power supply,peripheral devices, and subassemblies,shall be added, as needed, to result ina complete personal computer system. Ifthe oscillator and the microprocessorcircuits are contained on separatecircuit boards, both boards, typical ofthe combination that would normally beemployed, must be used in the test.Testing shall be in accordance with theprocedures specified in § 15.31 of thispart. Under these test conditions, thesystem under test shall not exceed theradiated emission limits specified in§ 15.109 by more than 3 dB;

(2) Unless the test in paragraph (a)(1)of this section demonstrates compliancewith the limits in § 15.109, a second testshall be performed using the sameconfiguration described in paragraph(a)(1) but with the cover installed on theenclosure. Testing shall be inaccordance with the proceduresspecified in § 15.31. Under these test

conditions, the system under test shallnot exceed the radiated emission limitsspecified in § 15.10; and

(3) The test demonstrating compliancewith the AC power line conductedlimits specified in § 15.107 shall beperformed in accordance with theprocedures specified in § 15.31 using aenclosure, peripherals, power supplyand subassemblies that are typical of thetype with which the CPU board undertest would normally be employed.

(b) The power supply shall be testedinstalled in an enclosure that is typicalof the type within which it wouldnormally be installed. Additionalcomponents, including peripheraldevices, a CPU board, andsubassemblies, shall be added, asneeded, to result in a complete personalcomputer system. Testing shall be inaccordance with the proceduresspecified in § 15.31 and mustdemonstrate compliance with all of thestandards contained in this part.

5. Section 15.37 is amended byadding a new paragraph (g) to read asfollows:

§ 15.37 Transition provisions forcompliance with the rules.

* * * * *(g) For CPU boards and power

supplies designed to be used withpersonal computers: The manufactureand importation of these products shallcease on or before June 19, 1997 unlessthese products have been authorized


under a Declaration of Conformity or agrant of certification, demonstratingcompliance with all of the provisions inthis part. Limited provisions, as detailedin § 15.101(d), are provided to permitthe importation and manufacture ofthese products subsequent to this datewhere the CPU boards and/or powersupplies are marketed only to personalcomputer equipment manufacturers.

6. Section 15.101 is amended byrevising the table in paragraph (a) andrevising paragraphs (c), (d), (e), and (f)to read as follows:

§ 15.101 Equipment authorization ofunintentional radiators.

(a) * * *

Type of device Equipment authoriza-tion required

TV broadcast receiver Verification.FM broadcast re-

ceiver.Verification.

CB receiver ............... Certification.Superregenerative re-

ceiver.Certification.

Scanning receiver ..... Certification.All other receivers

subject to Part 15.Notification.

TV interface device ... Certification.Cable system termi-

nal device.Notification.

Stand-alone cableinput selectorswitch.

Verification.

Class B personalcomputers and pe-ripherals.

Declaration of Con-formity or Certifi-cation.

CPU boards andpower suppliesused with Class Bpersonal computers.

Declaration of Con-formity or Certifi-cation.

Class B personalcomputers assem-bled using author-ized CPU boards orpower supplies.

Declaration of Con-formity.

Class B externalswitching powersupplies not usedwith personal com-puters.

Verification.

Other Class B digitaldevices & peripher-als.

Verification.

Class A digital de-vices, peripherals &external switchingpower supplies.

Verification.

All other devices ....... Verification.

* * * * *(c) Personal computers shall be

authorized in accordance with one ofthe following methods:

(1) The specific combination of CPUboard, power supply and enclosure istested together and authorized under aDeclaration of Conformity or a grant ofcertification;

(2) The personal computer isauthorized under a Declaration ofConformity or a grant of certification,and the CPU board or power supply inthat computer is replaced with a CPUboard or power supply that has beenseparately authorized under aDeclaration of Conformity or a grant ofcertification; or

(3) The CPU board and power supplyused in the assembly of a personalcomputer have been separatelyauthorized under a Declaration ofConformity or a grant of certification;and

(4) Personal computers assembledusing either of the methods specified inparagraphs (c)(2) or (c)(3) of this sectionmust, by themselves, also be authorizedunder a Declaration of Conformity ifthey are marketed. However, additionaltesting is not required for thisDeclaration of Conformity, provided theprocedures in § 15.102(b) are followed.

(d) Peripheral devices, as defined in§ 15.3(r), shall be authorized under aDeclaration of Conformity, or a grant ofcertification, or verified, as appropriate,prior to marketing. Regardless of theprovisions of paragraphs (a) or (c) of thissection, if a CPU board, power supply,or peripheral device will always bemarketed with a specific personalcomputer, it is not necessary to obtaina separate authorization for that productprovided the specific combination ofpersonal computer, peripheral device,CPU board and power supply has beenauthorized under a Declaration ofConformity or a grant of certification asa personal computer.

(1) No authorization is required for aperipheral device or a subassembly thatis sold to an equipment manufacturerfor further fabrication; thatmanufacturer is responsible forobtaining the necessary authorizationprior to further marketing to a vendor orto a user.

(2) Power supplies and CPU boardsthat have not been separately authorizedand are designed for use with personalcomputers may be imported andmarketed only to a personal computerequipment manufacturer that hasindicated, in writing, to the seller orimporter that they will obtain aDeclaration of Conformity or a grant ofcertification for the personal computeremploying these components.

(e) Subassemblies to digital devicesare not subject to the technicalstandards in this part unless they aremarketed as part of a system in whichcase the resulting system must complywith the applicable regulations.Subassemblies include:

(1) Devices that are enclosed solelywithin the enclosure housing the digital

device, except for: power supplies usedin personal computers; devices includedunder the definition of a peripheraldevice in § 15.3(r); and personalcomputer CPU boards, as defined in§ 15.3(bb);

(2) CPU boards, as defined in§ 15.3(bb), other than those used inpersonal computers, that are marketedwithout an enclosure or power supply;and

(3) Switching power supplies that areseparately marketed and are solely foruse internal to a device other than apersonal computer.

(f) The procedures for obtaining agrant of certification or notification andfor verification and a Declaration ofConformity are contained in subpart J ofpart 2 of this chapter.


§ 15.102 CPU boards and power suppliesused in personal computers.

(a) Authorized CPU boards and powersupplies that are sold as separatecomponents shall be supplied withcomplete installation instructions.These instructions shall specify all ofthe installation procedures that must befollowed to ensure compliance with thestandards, including, if necessary, thetype of enclosure, e.g., a metalenclosure, proper grounding techniques,the use of shielded cables, the additionof any needed components, and anynecessary modifications to additionalcomponents.

(1) Any additional parts needed toensure compliance with the standards,except for the enclosure, are consideredto be special accessories and, inaccordance with § 15.27, must bemarketed with the CPU board or powersupply.

(2) Any modifications that must bemade to a personal computer, peripheraldevice, CPU board or power supplyduring installation of a CPU board orpower supply must be simple enoughthat they can be performed by theaverage consumer. Parts requiringsoldering, disassembly of circuitry orother similar modifications are notpermitted.

(b) Assemblers of personal computersystems employing modular CPU boardsand/or power supplies are not requiredto test the resulting system provided thefollowing conditions are met:

(1) Each device used in the system hasbeen authorized as required under thispart (according to § 15.101(e), somesubassemblies used in a personalcomputer system may not require anauthorization);


(2) The original label andidentification on each piece ofequipment remain unchanged;

(3) Each responsible party’sinstructions to ensure compliance(including, if necessary, the use ofshielded cables or other accessories ormodifications) are followed when thesystem is assembled;

(4) If the system is marketed, theresulting equipment combination isauthorized under a Declaration ofConformity pursuant to § 15.101(c)(4)and a compliance informationstatement, as described in § 2.1077(b), issupplied with the system. Marketedsystems shall also comply with thelabelling requirements in § 15.19 andmust be supplied with the informationrequired under §§ 15.21, 15.27 and15.105; and

(5) The assembler of a personalcomputer system may be required to testthe system and/or make necessarymodifications if a system is found tocause harmful interference or to benoncompliant with the appropriatestandards in the configuration in whichit is marketed (see §§ 2.909, 15.1,15.27(d) and 15.101(e)).


47 CFR Parts 22, 90, and 101

[WT Docket No. 95–70; FCC 96–223]

Routine Use of Signal Boosters

AGENCY: Federal CommunicationsCommission.ACTION: Final rule.

SUMMARY: The Commission has releaseda Report and Order that permitsexpanded use of signal boosters bylicensees without separate authorizationfrom the Commission. The ruleamendment is necessary to enablelicensees to use signal boosters withoutobtaining a waiver of the rules. Theeffect of this action is to reduce theworkload burden on both the applicantand the Commission.EFFECTIVE DATE: July 19, 1996.FOR FURTHER INFORMATION CONTACT:Eugene Thomson, Private WirelessDivision, Wireless TelecommunicationsBureau, (202) 418–0680.SUPPLEMENTARY INFORMATION: This is asummary of the Commission’s Reportand Order, WT Docket No. 95–70, FCC96–223, adopted May 16, 1996, andreleased June 5, 1996. The full text ofthis Report and Order is available forinspection and copying during normalbusiness hours in the FCC ReferenceCenter, Room 246, 1919 M Street N.W.,

Washington, D.C. The complete textmay be purchased from theCommission’s copy contractor, ITS, Inc.,2100 M St. N.W., Washington, D.C.20037, telephone (202) 857–3800.SUMMARY OF REPORT AND ORDER: TheCommission adopted a Notice ofProposed Rule Making, 60 FR 33782,June 29, 1995, proposing to expand theuse of signal boosters under Parts 22and 90 and allow signal booster useunder Part 94 (now Part 101) formultiple address systems (MAS)operations. This Report and Orderpermits licensees to use signal boosterson Part 22 paging frequencies at 931–932 MHz and the VHF one-way publicpaging channels, on Part 90 private landmobile frequencies above 150 MHz, andon Part 101 MAS frequencies at 928–960MHz. It establishes a 5 watt effectiveradiated power limit, and allowslicensees to use signal boosters toprovide fill-in signal coverage without aseparate authorization. This ruleamendment allows licensees to improveradio system efficiency at less cost andwithout imposing an additionallicensing burden on either the licenseeor the Commission.

List of Subjects

47 CFR Part 22

Communications equipment, Radio.

47 CFR Part 90

Communications equipment, Radio.

47 CFR Part 101

Communications equipment, Radio.Federal Communications Commission.William F. Caton,Acting Secretary.

Final Rules

Parts 22, 90, and 101 of Chapter I ofTitle 47 of the Code of FederalRegulations are amended as follows:

PART 22—PUBLIC MOBILE SERVICES


Authority: 47 U.S.C. 154, 303, unlessotherwise noted.

2. Section 22.99 is amended byadding the definition for ‘‘Signalbooster’’ in alphabetical order to read asfollows:


* * * * *Signal booster. A stationary device

that automatically reradiates signalsfrom base transmitters without channeltranslation, for the purpose ofimproving the reliability of existing

service by increasing the signal strengthin dead spots.* * * * *

3. Section 22.377 is amended byrevising the first sentence of theintroductory text to read as follows:

§ 22.377 Type-acceptance of transmitters.

Except as provided in paragraph (b) ofthis section, transmitters used in thePublic Mobile Services, including thoseused with signal boosters, in-buildingradiation systems and cellular repeaters,must be type-accepted for use in theradio services regulated under this part.* * ** * * * *


§ 22.527 Signal boosters.

Licensees may install and operatesignal boosters on channels listed in§ 22.531 only in accordance with theprovisions of § 22.165 governingadditional transmitters for existingsystems. Licensees must not allow anysignal booster that they operate to causeinterference to the service or operationof any other authorized stations orsystems.

5. Section 22.535 is amended byrevising the introductory text and byadding a new paragraph (f) to read asfollows:

§ 22.535 Effective radiated power limits.

The effective radiated power (ERP) oftransmitters operating on the channelslisted in § 22.531 must not exceed thelimits in this section.* * * * *

(f) Signal boosters. The effectiveradiated power of signal boosters mustnot exceed 5 watts ERP under anynormal operating condition.

6. Section 22.537 is amended byadding a new paragraph (h) to read asfollows:

§ 22.537 Technical channel assignmentcriteria.

* * * * *(h) Signal boosters on 931 MHz

channels. For the purpose ofcompliance with § 22.165 andnotwithstanding paragraphs (e) and (f)of this section, signal boosters operatingon the 931 MHz channels with anantenna HAAT not exceeding 30 meters(98 feet) are deemed to have as a servicecontour a circle with a radius of 1.0kilometer (0.6 mile) and as aninterfering contour a circle with a radiusof 10 kilometers (6.2 miles).


PART 90—PRIVATE LAND MOBILERADIO SERVICES


Authority: Sections 4, 303, and 332, 48Stat. 1066, 1082, as amended: 47 U.S.C.154,303, and 332, unless otherwise noted.

8. Section 90.7 is amended by revisingthe definition for ‘‘signal booster’’ toread as follows:

§ 90.7 Definitions.* * * * *

Signal booster. A device at a fixedlocation which automatically receives,amplifies, and retransmits on a one-wayor two-way basis, the signals receivedfrom base, fixed, mobile, and portablestations, with no change in frequency orauthorized bandwidth. A signal boostermay be either narrowband (Class A), inwhich case the booster amplifies onlythose discrete frequencies intended tobe retransmitted, or broadband (ClassB), in which case all signals within thepassband of the signal booster filter areamplified.* * * * *

9. Section 90.75(c)(25) is amended byrevising the introductory paragraph andparagraphs (c)(25) (i) through (iii),removing paragraphs (c)(25) (iv), (v),(vi), and (vii), and redesignatingparagraph (c)(25)(viii) as (c)(25)(iv), toread as follows:

§ 90.75 Business Radio Service.* * * * *

(c) * * *(25) This frequency is available for

assignment as follows:(i) To persons furnishing commercial

air transportation service or, pursuant to§ 90.179, to an entity furnishing radiocommunications service to persons soengaged, for stations located on or nearthe airports listed in paragraph(c)(25)(iv) of this section. Stations willbe authorized on a primary basis andmay be used only in connection withthe servicing and supplying of aircraft.

(ii) To stations in the Business RadioService for secondary use at locations 80km (50 mi) or more from the coordinatesof the listed airports at a maximum ERPof 300 watts.

(iii) To stations in the Business RadioService for secondary use at locations 16km (10 mi) or more from the coordinatesof the listed airports at a maximumtransmitter output power of 2 watts. Useof the frequency is restricted to theconfines of an industrial complex ormanufacturing yard area. Stationslicensed prior to April 17, 1986 maycontinue to operate with facilitiesauthorized as of that date.* * * * *

10. A new § 90.219 is added tosubpart I to read as follows:

§ 90.219 Use of signal boosters.Licensees authorized to operate radio

systems in the frequency bands above150 MHz may employ signal boosters atfixed locations in accordance with thefollowing criteria:

(a) The amplified signal isretransmitted only on the exactfrequency(ies) of the originating base,fixed, mobile, or portable station(s). Thebooster will fill in only weak signalareas and cannot extend the system’snormal signal coverage area.

(b) Class A narrowband signalboosters must be equipped withautomatic gain control circuitry whichwill limit the total effective radiatedpower (ERP) of the unit to a maximumof 5 watts under all conditions. Class Bbroadband signal boosters are limited to5 watts ERP for each authorizedfrequency that the booster is designed toamplify.

(c) Class A narrowband boosters mustmeet the out-of-band emission limits of§ 90.209 for each narrowband channelthat the booster is designed to amplify.Class B broadband signal boosters mustmeet the emission limits of § 90.209 forfrequencies outside of the booster’sdesign passband.

(d) Class B broadband signal boostersare permitted to be used only inconfined or indoor areas such asbuildings, tunnels, underground areas,etc., or in remote areas, i.e., areas wherethere is little or no risk of interferenceto other users.

(e) The licensee is given authority tooperate signal boosters without separateauthorization from the Commission.Type-accepted equipment must beemployed and the licensee must ensurethat all applicable rule requirements aremet.

(f) Licensees employing either Class Anarrowband or Class B broadband signalboosters as defined in § 90.7 areresponsible for correcting any harmfulinterference that the equipment maycause to other systems. Normal co-channel transmissions will not beconsidered as harmful interference.Licensees will be required to resolveinterference problems pursuant to§ 90.173(b).

PART 101—FIXED MICROWAVESERVICES


Authority: ′47 U.S.C. 154, 303, unlessotherwise noted.

12. Section 101.3 is amended byadding the definition for ‘‘signal

booster’’ in alphabetical order to read asfollows:


* * * * *Signal booster. A device at a fixed

location which automatically receives,amplifies, and retransmits on a one-wayor two-way basis, the signals receivedfrom base, fixed, mobile, and portablestations, with no change in frequency orauthorized bandwidth. A signal boostermay be either narrowband (Class A), inwhich case the booster amplifies onlythose discrete frequencies intended tobe retransmitted, or broadband (ClassB), in which case all signals within thepassband of the signal booster filter areamplified.* * * * *

13. Section 101.151 is added toSubpart C to read as follows:

§ 101.151 Use of signal boosters.

Private operational-fixed licenseesauthorized to operate multiple addresssystems in the 928–929/952–960 MHzand 932–932.5/941–941.5 MHz bandsmay employ signal boosters at fixedlocations in accordance with thefollowing criteria:

(a) The amplified signal isretransmitted only on the exactfrequency(ies) of the originating base,fixed, mobile, or portable station(s). Thebooster will fill in only weak signalareas and cannot extend the system’snormal signal coverage area.

(b) Class A narrowband signalboosters must be equipped withautomatic gain control circuitry whichwill limit the total effective radiatedpower (ERP) of the unit to a maximumof 5 watts under all conditions. Class Bbroadband signal boosters are limited to5 watts ERP for each authorizedfrequency that the booster is designed toamplify.

(c) Class A narrowband boosters mustmeet the out-of-band emission limits of§ 101.111 for each narrowband channelthat the booster is designed to amplify.Class B broadband signal boosters mustmeet the emission limits of § 101.111 forfrequencies outside of the booster’sdesign passband.

(d) Class B broadband signal boostersare permitted to be used only inconfined or indoor areas such asbuildings, tunnels, underground areas,etc., or remote areas, i.e., areas wherethere is little or no risk of interferenceto other users.

(e) The licensee is given authority tooperate signal boosters without separateauthorization from the Commission.Type-accepted equipment must beemployed and the licensee must ensure


that all applicable rule requirements aremet.

(f) Licensees employing either Class Anarrowband or Class B broadband signalboosters as defined in § 101.3 areresponsible for correcting any harmfulinterference that the equipment maycause to other systems.


DEPARTMENT OF THE INTERIOR

Office of the Secretary

48 CFR Parts 1452

RIN 1090–AA56

Department of the Interior AcquisitionRegulation; Solicitation Provisions andContract Clauses

AGENCY: Office of the Secretary, Interior.ACTION: Final rule.

SUMMARY: In the interests ofstreamlining processes and improvingrelationships with contractors, theDepartment of the Interior (DOI) isissuing this final rule which amends 48CFR Chapter 14 by revising andupdating the Department of the InteriorAcquisition Regulation (DIAR).EFFECTIVE DATE: July 19, 1996.FOR FURTHER INFORMATION CONTACT:Ms. Mary L. McGarvey at (202) 208–3158, Department of the Interior, Officeof Acquisition and PropertyManagement, 1849 C. Street N.W.(MS5522 MIB), Washington, D.C. 20240.


Background

Under the auspices of the NationalPerformance Review, a thorough reviewof the DIAR was conducted. The reviewrevealed unnecessary and outdatedregulations, and some excessivelyburdensome procedures.

In the interests of streamliningprocesses and improving relationshipswith contractors, essential portions ofthe DIAR are being reinvented, retainedand/or removed in 48 CFR, whenappropriate. The review identified sixSections to be removed from 48 CFR.Specifically, 1452.204–70 Release ofClaims; 1452.210–70 Brand Name orEqual; 1452.224–1 Privacy ActNotification; 1452.233–1 Service ofProtest; 1452.236–70 ProhibitionAgainst Use of Lead-based Pain;1452.237–70 Information Collection. Wechanged titles, rewrote language, andeliminated redundant FAR materialfrom the Sections and retained them in

the Department of the InteriorAcquisition Regulation.

This final rule is not expected to havea significant economic impact on asubstantial number of small entitieswithin the meaning of the RegulatoryFlexibility Act, 5 U.S.C. 601 et seq. AnInitial Regulatory Flexibility Analysishas, therefore, not been performed.

Required DeterminationsThe Department believes that public

comment is unnecessary because therevised material implements standardGovernment operating procedures.Therefore, in accordance with 5 U.S.C.553(b)(B), the Department finds goodcause to publish this document as afinal rule. This rule was not subject toOffice of Management and Budgetreview under Executive Order 12866.This rule does not contain a collectionof information subject to the PaperworkReduction Act of 1980 (44 U.S.C. 3501et seq). In accordance with theRegulatory Flexibility Act (5 U.S.C. 601et seq), the Department determined thatthis rule will not have a significanteconomic impact on a substantialnumber of small entities becauseminimal requirements are being addedfor small businesses and no protectionsare being withdrawn. The Departmenthas determined that this rule does notconstitute a major Federal action havinga significant impact on the humanenvironment under the NationalEnvironmental Policy Act of 1969. TheDepartment has certified that this rulemeets the applicable standards providedin Sections 2(a) and 2(b) of ExecutiveOrder 12778.

List of Subjects in 48 CFR Parts 1452Government procurement, Reporting

and recordkeeping requirements.Dated: May 1, 1996.

Bonnie R. Cohen,Assistant Secretary—Policy, Managementand Budget.

Chapter 14 of Title 48 of the Code ofFederal Regulations is amended asfollows:


The authority citation for 48 CFRparts 1452 continues to read as follows:

Authority: Sec. 205(c), 63 Stat. 390; 40U.S.C. 486(c), and 5 U.S.C. 301.

§§ 1452.204–70, 1452.210–70, 1452.224–1,1452.233–2, 1452.236–70, 1452.237–70[Removed]

The following Sections are removedfrom 48 CFR Chapter 14: Section1452.204–70 Release of Claims; Section1452.210–70 Brand Name or Equal;Section 1452.224–1 Privacy Act

Notification; Section 1452.233–2Service of Protest; Section 1452.236–70Prohibition Against Use of Lead-basedPaint; Section 1452.237–70 InformationCollection.

[FR Doc. 96–15327 Filed 6–18–96; 8:45 am]BILLING CODE 4310–RF–M

48 CFR Part 1453

RIN 1090–AA57

Department of the Interior AcquisitionRegulation

AGENCY: Office of the Secretary, Interior.ACTION: Final rule; removal.

SUMMARY: In the interests ofstreamlining processes and improvingrelationships with contractors, this finalrule amends the Department of theInterior Acquisition Regulation (DIAR)by removing 48 CFR 1453 in its entirety.The material being removed deals withinternal procedures that have minimaleffect outside the agency. The sectionsthat are not obsolete will be retained asinternal procedures in the DepartmentalManual.EFFECTIVE DATE: July 19, 1996.FOR FURTHER INFORMATION CONTACT:Mary L. McGarvey at (202) 208–3158,Department of the Interior, Office ofAcquisition and Property Management,1849 C Street NW (MS5522 MIB),Washington, DC 20240. Office ofAcquisition and Property Management,(202) 208–3158.SUPPLEMENTARY INFORMATION: Weconducted a thorough review of theDIAR under the auspices of the NationalPerformance Review. The reviewrevealed unnecessary and outdatedregulations, and some excessivelyburdensome procedures.

In the interests of streamliningprocesses and improving relationshipswith contractors, nonessential portionsof the DIAR are being removed from theCFR. Part 1453 Forms, deals withprimarily internal procedures socodification is not necessary and it istherefore eliminated in its entirety from48 CFR.

Required DeterminationsThe Department believes that public

comment is unnecessary because thematerial being removed is outdated ordeals exclusively with internalprocedures. Therefore, in accordancewith 5 U.S.C. 553(b)(B), the Departmentfinds good cause to publish thisdocument as a final rule. This rule wasnot subject to Office of Management andBudget review under Executive Order12866. This rule does not contain a


collection of information subject to thePaperwork Reduction Act of 1995 (Pub.L. 104–13). In accordance with theRegulatory Flexibility Act (5 U.S.C. 601et seq), the Department has determinedthat this rule will not have a significanteconomic impact on a substantialnumber of small entities because norequirements are being added for smallbusinesses and no protections are beingwithdrawn. The Department hasdetermined that this rule does notconstitute a major Federal action havinga significant impact on the humanenvironment under the NationalEnvironmental Policy Act of 1969. Thebenefit of removing this rule from 48CFR is the elimination of the printingcost of reproducing this information in48 CFR annually.

List of Subjects in 48 CFR Part 1453Government procurement, Reporting

and recordkeeping requirements.Dated: April 30, 1996.

Bonnie R. Cohen,Assistant Secretary—Policy Management andBudget.

PART 1453—[REMOVED]

Under the authority found at Sec.205(c), 63 Stat. 390; 40 U.S.C. 486(c);and 5 U.S.C. 301, Chapter 14 of Title 48of the Code of Federal Regulations isamended by removing Part 1453.

[FR Doc. 96–15326 Filed 6–18–96; 8:45 am]BILLING CODE 4310–RF–M

Fish and Wildlife Service

50 CFR Part 17

RIN 1018–AC71

Endangered and Threatened Wildlifeand Plants; Reclassification ofErigeron maguirei (Maguire daisy)From Endangered to Threatened

AGENCY: Fish and Wildlife Service,Interior.ACTION: Final rule.

SUMMARY: The plant Erigeron maguirei(Maguire daisy), endemic to sandstonecanyons and mesas, is found in the SanRafael Swell in Emery County, Utah,and Capitol Reef in Wayne County,Utah. In 1985, the Fish and WildlifeService (Service) listed Erigeronmaguirei var. maguirei as endangeredunder the Endangered Species Act of1973 (Act) as amended. Recenttaxonomic studies document thatpopulations formerly recognized as E.maguirei var. maguirei and E. maguireivar. harrisonii do not merit recognitionas separate varieties, so that E. maguirei

should be recognized as a specieswithout infra-specific taxa. The studiesconcluded that the morphologicaldifferences previously used todistinguish the two varieties wereecotypic and not genetically based. TheService agreed with this taxonomicrevision and on September 7, 1994 (59FR 46219), published notice of itsacceptance of this change in taxonomicunderstanding. When the status of theentire species is considered, a largernumber of individuals is involved thanhad been previously considered tocomprise var. maguirei. The Service,however, believes that E. maguirei’slong-term survival is tenuous, since asignificant portion of its habitat isthreatened by ongoing and potentialhabitat alteration from mineraldevelopment, recreational activities,and livestock trampling. The speciesexists in small, reproductively isolatedpopulations that are vulnerable toinbreeding and the loss of geneticviability. Therefore, the Service findsthat E. maguirei is a threatened speciesas defined by the Act.EFFECTIVE DATE: July 19, 1996.ADDRESSES: The complete file for thisrule is available for public inspection,by appointment, during normal businesshours at the Utah Field Office, U. S.Fish and Wildlife Service, LincolnPlaza, Suite 404, 145 East 1300 South,Salt Lake City, Utah 84115.FOR FURTHER INFORMATION CONTACT: JohnL. England, Botanist, at the aboveaddress (telephone: 801/524–5001;facsimile: 801/524–5021).


BackgroundThe genus Erigeron (composite

family, Asteraceae) includes about 200species (Cronquist 1947, 1994). MostErigeron species are found in theWestern Hemisphere, with the westernUnited States as the center ofdistribution. Erigeron maguirei is aperennial, herbaceous plant withdecumbent to sprawling or erect stemsthat are 7 to 18 centimeters (cm) (2.7 to7.1 inches (in)) high. The basal leavesare spatulate or broadly oblanceolate, 2to 5 cm (0.8 to 2.0 in) long and 6 to 9millimeters (mm) (0.2 to 0.4 in) wide.The well-developed stem leaves aresessile or short-petiolate, and arealternately arranged on the stem. Theleaves and stems are covered withabundant spreading hairs. One to threeflower heads are borne at the end ofeach stem. The floral disc is 8 to 10 mm(0.3 to 0.4 in) wide; the involucre is 5to 6.5 mm (0.20 to 0.26 in) high. Eachfloral head has 15 to 20 white orpinkish-white colored ligules (ray

flowers) that are about 6 to 8 mm (0.2to 0.3 in) long and 1.5 to 2 mm (0.06 to0.08 in) wide. The disk flowers areorange and about 3.5 to 3.8 mm (0.14 to0.15 in) long. The seeds are 2-nervedachenes (Cronquist 1947, 1994; Welsh1983a, 1983b; Welsh et al. 1987, 1993).

Erigeron maguirei was described byCronquist (1947) from a specimencollected in 1940 from Calf Canyon inthe San Rafael Swell of Emery County,Utah. Erigeron maguirei var. harrisoniiwas described by Welsh (1983a) from aspecimen he collected in 1982.However, this variety was firstdiscovered in 1936 at Hickman NaturalBridge in the Capitol Reef of WayneCounty, Utah. Welsh postulated that themorphological differences between E.maguirei var. maguirei from San RafaelSwell and E. maguirei var. harrisoniifrom Capitol Reef could representecotypic variation (Welsh 1983a, 1983b;Welsh et al. 1987, 1993). Heil (1989)reported both varieties from CapitolReef and concluded that E. maguirei var.harrisonii is an ecotypic shade variantof E. maguirei. The Service fundedgenetic studies as part of its recoveryactivities for E. maguirei var. maguireito determine the phylogeneticrelationship of the two varieties.Through DNA analysis, Van Buren(1993) documented that E. maguirei var.maguirei and E. maguirei var. harrisoniiare not taxonomically distinct, and thatrecognition at the varietal level is notgenetically warranted. The Serviceaccepted Van Buren’s finding, andpublished a notice (59 FR 46219;September 7, 1994) of its recognition ofE. maguirei as a species without infra-specific taxa. In the recently publishedvolume 5 of the Intermountain Flora,Cronquist et al. (1994) included E.maguirei var. harrisonii in synonymyunder E. maguirei. The taxonomictreatment in the Intermountain Florafurther justifies the Service’s acceptanceof the species without infra-specifictaxa.

Recent status surveys of endangered,threatened, and other rare plants in theSan Rafael Swell (Kass 1990) andCapitol Reef (Heil 1989) documentedthat about 3,000 individuals of E.maguirei occur at 12 sites. These 12sites are reproductively isolated,forming separate populations (R. VanBuren, Brigham Young University, pers.comm. 1994; K. Heil, San Juan College,pers. comm. 1994). Even with thisnumber of individuals and populations,the species remains vulnerable tothreats such as the loss of habitat andgenetic viability.

The small and isolated populations ofErigeron maguirei are susceptible tonatural and man-caused habitat


disturbances. In localized areas, thespecies has been adversely affected byoff-road vehicles and trampling byhumans and livestock. Mineral andenergy exploration and development arepotential threats to the species. Thedemographic stability of the variouspopulations is not known at this time.Small and isolated populations oftenhave a high potential of becominggenetically homozygous, rendering themvulnerable to the loss of genetic viability(R. Van Buren, pers. comm. 1994).Individually, natural factors such asdisease, flash floods, grazing by nativespecies, erosion, and vegetativecompetition may not pose a definitivethreat to this species. However, due tolow population numbers, thecumulative effect of these threats couldjeopardize the continued existence ofthe species.

The Service sent the proposed rule toreclassify E. maguirei as threatened andbackground information to fourbotanists for peer review in order tosubstantiate the scientific basis of theService’s finding. Three of the reviewers(Dr. Renee Van Buren and Kim Harper,Brigham Young University, Provo, Utah,and Professor Kenneth Heil, San JuanCommunity College, Farmington, NewMexico) reviewed the proposed rule andstatus information and provided writtencomments on the proposed action. Theyagreed with the Service’s proposedaction to recognize E. maguirei as aspecies without infra-specific taxa andchange its classification fromendangered to threatened. They alsoprovided additional information on thespecies’ distribution, biological threats,and phylogenetic relationships. Thefourth reviewer did not respond to theService’s request for peer review. TheService took the peer reviewinformation into consideration whenpreparing this final rulemaking.

Previous Federal ActionFederal action on this species began

with section 12 of the Act, whichdirected the Secretary of theSmithsonian Institution to prepare areport on plants considered to beendangered, threatened, or extinct in theUnited States. This report, designated asHouse Document No. 94–51, waspresented to Congress on January 9,1975. On July 1, 1975, the Servicepublished a notice (40 FR 27823) thatformally accepted the Smithsonianreport as a petition within the contextof section 4(c)(2) (now section 4(b)(3)) ofthe Act. By accepting this report as apetition, the Service acknowledged itsintention to review the status of thoseplant taxa named in the report. Erigeronmaguirei was included in the

Smithsonian report and in the July 1,1975, Notice of Review. On June 16,1976, the Service published a proposedrule (41 FR 24523) to determineapproximately 1,700 vascular plant taxa,including Erigeron maguirei, to beendangered pursuant to section 4 of theAct.

The 1978 amendments to the Actrequired that all proposals over 2 yearsold be withdrawn. On December 10,1979, the Service published a notice (44FR 70796) withdrawing that portion ofthe June 16, 1976, proposal which hadnot been finalized. The withdrawalnotice included E. maguirei. The revisednotice of review for plants published onDecember 15, 1980 (45 FR 82480),included E. maguirei as a candidatespecies. Section 4(b)(3)(B) of the 1982amendments to the Act requires that theSecretary of the Interior make a findingon a petition within 1 year of its receipt.In addition, Section 2(b)(1) of the 1982amendments to the Act required that allpetitions pending as of October 13,1982, be treated as if newly submittedon that date. Erigeron maguirei wastherefore treated as a new petition withOctober 13, 1983, as the deadline for apetition finding. On October 13, 1983,the Service made a 12-month findingthat the petition to list the species waswarranted, but precluded by otherlisting actions of a higher priority. OnJuly 27, 1984, the Service published arule proposing E. maguirei var. maguireias an endangered species (49 FR 30211).The final rule designating the species asendangered was published onSeptember 5, 1985 (50 FR 36090).

On September 27, 1985, the Servicepublished a notice of review for plants(50 FR 39526) which included E.maguirei var. harrisonii as a candidatespecies. Erigeron maguirei var.harrisonii remained a candidate throughthe revised plant notice of reviewpublished on September 30, 1993 (58 FR51144).

Recent taxonomic studies and statussurveys (Heil 1989; U.S. Fish andWildlife Service 1994; Van Buren 1993;R. Van Buren, pers. comm. 1993)indicate that E. maguirei var. maguireiand E. maguirei var. harrisonii are nottaxonomically distinct. Since var.harrisonii is no longer recognized, it hasbeen removed from candidate status.The Service published a FederalRegister notice (59 FR 46219; September7, 1994) proposing to change the entryfor E. maguirei var. maguirei to one forE. maguirei, with the understanding thatthis would include the plants formerlyrecognized as var. harrisonii. Thisnotice also proposed to reclassify thespecies from endangered to threatened.

The processing of this finalreclassification follows the Service’sfinal listing priority guidance publishedin the Federal Register on May 16, 1996(61 FR 24722). The guidance clarifiesthe order in which the Service willprocess rulemakings following tworelated events: 1) the lifting, on April26, 1996, of the moratorium on finallistings imposed on April 10, 1995(Public Law 104–6), and 2) therestoration of significant funding forlisting through passage of the omnibusbudget reconciliation law on April 26,1996, following severe fundingconstraints imposed by a number ofcontinuing resolutions betweenNovember 1995 and April 1996. Theguidance calls for prompt processing ofdraft listings, including finaldownlistings, that were already in theService’s Washington office and alreadyapproved by the field and regionaloffices when the severe fundingconstraints were imposed in early fiscalyear 1996. A draft of this rule wasapproved the Service’s Denver RegionalDirector on August 9, 1995, andtransmitted to the Washington office,where processing was postponed infavor of other, higher priority listingactions.

Summary of Comments andRecommendations

In the September 7, 1994, proposedrule, and through associatednotifications, all interested parties(appropriate Federal and State agencies,county governments, scientificorganizations, and private individuals)were requested to submit informationthat might contribute to thedevelopment of a final rule for Erigeronmaguirei. Newspaper notices werepublished in the Salt Lake Tribune andthe Desert News on October 6, 1994, andthe Emery County Progress on October11, 1994. The Service received a total offive comments on the proposed rule.The major issues raised by thecommentors are addressed in thefollowing summary:

Issue 1: Recent inventories in the SanRafael Swell have increased the knowndistribution of E. maguirei from 1 to 10sites and from less than 10 individualsto between 1,000 and 2,000 over a rangeof 50 kilometers (30 miles). A portion ofthe species’ distribution is located in theSid’s Mountain Wilderness Study Area.There are few threats to the speciesbecause of the Wilderness Study Area’sinaccessibility.

Service Response: The expansion inthe range and the discovery of newpopulations are a primary reason for theService’s reclassification of the speciesfrom endangered to threatened.


However, even with this increase inpopulation size, the species remainsrare and is restricted to certain sites thatare vulnerable to habitat destruction.Several populations continue to beimpacted by human and livestocktrampling, especially in wash bottoms.The long-term protection of the speciesin the Sid’s Mountain Wilderness StudyArea is uncertain, since the area has notbeen officially designated as awilderness area. Without suchdesignation, the area could be opened tovarious uses and development.

Issue 2: Given the uncertainty ofworld market conditions for uranium,uranium mining is unlikely to occur inthe species’ habitat. Over a period oftime, existing claims will likely beabandoned.

Service Response: Uranium miningclaim assessment work continues in ornear populations of E. maguirei. TheService is concerned that mineralextraction could begin as soon as marketconditions change and thus pose aserious threat to the species. Miningactivities and associated surfacedisturbances could directly or indirectlydestroy plants or render the habitatunsuitable for the species.

Issue 3: The Service did not changethe status of E. maguirei var. harrisoniifrom category 2 to category 1 in thenotice of review as a consequence ofHeil’s (1989) report.

Service Response: Heil (1989)postulated that E. maguirei var.harrisonii might not be taxonomicallydistinct at the varietal level. Erigeronmaguirei var. harrisonii remained acategory 2 species until the taxonomicissue was resolved. Once the Servicedetermined that E. maguirei var.maguirei and var. harrisonii were nottaxonomically distinct, var. harrisoniiwas removed from candidate status.

Issue 4: The Service’s proposed ruleidentified five populations of E.maguirei. Based on effective pollinatordistances, at least 10 separatepopulations should be recognized.

Service Response: The Servicegrouped the species occurrences intofive population clusters for convenienceof discussion in the proposed rule. Afterreviewing the public comments andavailable information, the Service madea revision in the rule and will use 12populations as a frame of reference fordiscussing the species’ distribution.This is more closely aligned with thepopulations recognized by the Bureau ofLand Management (BLM) and others.

Summary of Factors Affecting theSpecies

After a thorough review andconsideration of all available

information, the Service has determinedthat Erigeron maguirei should bereclassified from an endangered to athreatened species. Procedures found atsection 4(a)(1) of the Act and regulationsimplementing the listing provisions ofthe Act (50 CFR 424) were followed. Aspecies may be determined to bethreatened due to one or more of thefive factors described in section 4(a)(1).These factors and their application toErigeron maguirei Cronquist (Maguiredaisy) are as follows:

A. The Present or ThreatenedDestruction, Modification, orCurtailment of Its Habitat or Range

The habitat of Erigeron maguirei isthreatened with modification ordestruction by off-road vehicle use andmining claim assessment work. Off-roadvehicle use is a potential threat topopulations located in accessiblewashes. Uranium ore deposits areknown to occur within the species’habitat. Annual assessment work onuranium claims and other minerals isadversely impacting the species and itshabitat (U.S. Fish and Wildlife Service1994). Any future development of thesemineral deposits or associated surfacedisturbances could be detrimental to thespecies and its habitat. Additionally,human and livestock trampling areknown to adversely impact individualplants. Human foot traffic offestablished trails in Capitol ReefNational Park is affecting onepopulation (Heil 1989; K. Heil, pers.comm. 1994). Trampling from humanfoot traffic is a potential threat to thespecies throughout its scenic canyonhabitat in the San Rafael Swell andCapitol Reef areas. Livestock tramplinghas affected all populations, includingthose in Capitol Reef National Park.Unlike most National Parks, CapitolReef National Park is not closed tolivestock grazing. Livestock tramplingnegatively impacts individuals of E.maguirei growing in accessible washbottoms. This results in the speciesbeing restricted to less suitable habitatin the sandstone crevices of theadjoining slickrock canyon walls.

B. Overutilization for Commercial,Recreational, Scientific, or EducationalPurposes

None known.

C. Disease or Predation

Under certain conditions, E. maguireimay be vulnerable to livestock grazing.Concentrations of livestock in localizedareas, specifically wash bottoms thathave limited vegetation, may result in E.maguirei being grazed by livestock.

D. The Inadequacy of ExistingRegulatory Mechanisms

Through management plans, the BLMand National Park Service (NPS) haveprovided some protection for E.maguirei and its habitat in the SanRafael Swell and Capitol Reef areas. Itis believed that these Federal agencieswill continue to assist in the protectionand recovery of this plant as athreatened species.

E. Other Natural or Manmade FactorsAffecting Its Continued Existence

The small population size andrestricted habitat of E. maguirei makethis plant vulnerable to natural orhuman-caused catastrophicdisturbances. Low population numbers,geographic separation, and reproductiveisolation may contribute to reducedgenetic viability in each of theindividual populations. Theaccumulation and expression ofphenotypic lethal alleles in the genepool is highly probable since smallinbreeding populations becomeincreasingly homozygous over time (R.Van Buren, pers. comm. 1993). It is notpresently known whether there aresufficient numbers of individuals toensure the long-term survival of thespecies (U.S. Fish and Wildlife Service1994).

The Service has carefully assessed thebest available scientific and commercialinformation regarding past, present, andfuture threats faced by this species.Based on this evaluation, the preferredaction is to list E. maguirei as athreatened species. Informationgathered from surveys and recoveryefforts conducted by the Service, BLM,and NPS have documented additionalnumbers of plants and indicated thatsome populations are relatively secureand adequately protected (Kass 1990).Consequently, the Service finds that thepresent magnitude of threats issignificantly less than when E. maguireivar. maguirei was first listed asendangered in 1985. The Serviceconcludes that the species no longerwarrants listing as endangered underthe Act. Nevertheless, with less than3,000 known individuals existing inonly 12 populations, the long-termsurvival of E. maguirei continues to bethreatened by current and potentialhabitat disturbance from mining andrecreational activities and livestocktrampling. Additionally, the species’small, reproductively isolatedpopulations may be subject to long-termgenetic impoverishment due to theirrestricted gene pools. Therefore, theService has determined that E. maguirei


should be listed as threatened withoutthe designation of critical habitat.

Critical HabitatSection 4(a)(3) of the Act, as

amended, requires that to the maximumextent prudent and determinable, theSecretary propose critical habitat at thetime a species is proposed for listing asendangered or threatened. The Servicefinds that designation of critical habitatis not prudent for E. maguirei.Designation of critical habitat wouldentail publishing a detailed map anddescription of critical habitat in theFederal Register, which could exposethe species to threats of vandalism.

Moreover, few additional benefitswould be provided to the species bydesignation of critical habitat since mostof the small, isolated populations arelocated on Federal lands. Any Federalaction that would impact the species’habitat would be addressed through thesection 7 consultation process. Section9(a)(2)(B) of the Act makes it unlawfulto remove and reduce to possession anylisted plant from any area under Federaljurisdiction. The NPS and BLM areaware of the occurrence of E. maguireion lands under their jurisdiction and oftheir legal obligation to protect listedplants. Protection of the species’ habitatwill be accomplished through therecovery process.

Effects of the RuleThis rule changes the status of

Erigeron maguirei from endangered tothreatened and formally recognizes thatthis species is no longer in imminentdanger of extinction throughout asignificant portion of its range.Reclassification to threatened does notsignificantly alter the protectionafforded this species under the Act.

Section 7(a) of the Act requiresFederal agencies to evaluate theiractions with respect to any listedspecies. The consultation and otherrequirements of section 7 apply equallyto endangered and threatened species.Virtually all known populations of E.maguirei occur on lands under thejurisdiction of the BLM or NPS. Thosetwo agencies have been involved inrecovery and section 7 consultationactivities for this species since it waslisted as endangered in 1985 and arelikely to remain involved. Recoveryactivities are not expected to diminishsince the primary objective of therecovery strategy is delisting of thespecies. The final recovery plan willreflect information acquired since theplan was drafted.

Certain prohibitions that apply toendangered plants do not apply toplants listed as threatened. The removal

and reduction to possession of E.maguirei from areas under Federaljurisdiction continues to be prohibitedunder section 9 of the Act and 50 CFR17.71. However, the malicious damageor destruction of endangered plants onareas under Federal jurisdiction, and theremoval, cutting, digging up or damageor destruction of endangered species onany other area in knowing violation ofany State law or regulation or in thecourse of any violation of a Statecriminal trespass law will no longerconstitute a violation of section 9. Theimport, export, and interstate andforeign commerce prohibitions ofsection 9 continue to apply to E.maguirei.

Pursuant to section 10 of the Act and50 CFR 17.72, permits may be issued tocarry out otherwise prohibited activitiesinvolving threatened plants. Suchpermits are available for scientificpurposes and to enhance thepropagation or survival of endangeredand threatened species. For threatenedplants, permits also are available forbotanical or horticultural exhibition,educational purposes, or specialpurposes consistent with the purposesand policy of the Act. Requests forcopies of the regulations regarding listedspecies and inquiries about prohibitionsand permits may be addressed to theField Supervisor of the Service’s SaltLake City Field Office (see ADDRESSESsection).

This reclassification is not anirreversible commitment on the part ofthe Service. Reclassifying E. maguirei toendangered would be possible shouldchanges occur in management, habitat,or other factors that alter the presentthreats to the species’ survival andrecovery.

National Environmental Policy Act

The Fish and Wildlife Service hasdetermined that EnvironmentalAssessments and Environmental ImpactStatements, as defined under theauthority of the National EnvironmentalPolicy Act of 1969, need not beprepared in connection with regulationsadopted pursuant to section 4(a) of theEndangered Species Act of 1973, asamended. A notice outlining theService’s reasons for this determinationwas published in the October 25, 1983Federal Register (48 FR 49244).

References Cited

Cronquist, A. 1947. Revision of theNorth American species of Erigeron,north of Mexico. Brittonia 6(2):1–302.

Cronquist, A. 1994. Volume 5, Asterales,intermountain flora; vascular plants ofthe Intermountain West, U.S.A. The

New York Botanical Garden, Bronx,New York. 496 pp.

Heil, K.D. 1989. A vegetation study ofCapitol Reef National Park—endangered, threatened, rare, andother plants of concern at Capitol ReefNational Park. National Park Service,Torrey, Utah.

Kass, R.J. 1990. Final report—habitatinventory of threatened andendangered and candidate plantspecies in the San Rafael Swell, Utah.Bureau of Land Management, SaltLake City, Utah. 87 pp.

U.S. Fish and Wildlife Service. 1994.Maguire daisy (Erigeron maguirei)draft recovery plan. U.S. Fish andWildlife Service, Salt Lake City, Utah.20 pp.

Van Buren, R. 1993. Randomlyamplified polymorphic DNA andresolution of classification problemsin Erigeron (Asteraceae). Reportprepared for the U.S. Fish andWildlife Service, Salt Lake City, Utah.10 pp. (Abstracted in the AmericanJournal of Botany 81(6):197–198.1994.)

Welsh, S.L. 1983a. A bouquet of daisies(Erigeron, Compositae). Great BasinNaturalist 43(2):179–357.

Welsh, S.L. 1983b. Utah flora:Compositae (Asteraceae). Great BasinNaturalist 43(2):365–368.

Welsh, S.L., N.D. Atwood, L.C. Higgins,and S. Goodrich. 1987. A Utah flora.Great Basin Nat. Mem. 9:1–894.

Welsh, S.L., N.D. Atwood, S. Goodrich,and L.C. Higgins. 1993. A Utah flora,second edition, revised. BrighamYoung University Press, Provo, Utah.986 pp.

Author

The primary author of this final ruleis John L. England (see ADDRESSESsection).


Endangered and threatened species,Exports, Imports, Reporting andrecordkeeping requirements, andTransportation.

Regulation Promulgation

Accordingly, part 17, subchapter B ofchapter I, title 50 of the Code of FederalRegulations, is amended as set forthbelow:

PART 17—[AMENDED]


Authority: 16 U.S.C. 1361–1407; 16 U.S.C.1531–1544; 16 U.S.C. 4201–4245; Pub. L. 99–625, 100 Stat. 3500; unless otherwise noted.


§ 17.12 [Amended]

2. Section 17.12(h) is amended byremoving the entry for Erigeronmaguirei var. maguirei and adding the

following, in alphabetical order underFLOWERING PLANTS, to the List ofEndangered and Threatened Plants toread as follows:

§ 17.12 Endangered and ThreatenedPlants.

* * * * *(h) * * *

SpeciesHistoric range Family Status When listed Critical

habitatSpecialrulesScientific name Common name

Flowering Plants

* * * * * * *Erigeron

maguirei.Maguire daisy ........ U.S.A. (UT) ........... Asteraceae ............ T 202,584 NA NA

* * * * * * *

Dated: May 29, 1996.John G. Rogers,Acting Director, Fish and Wildlife Service.[FR Doc. 96–15571 Filed 6–18–96; 8:45 am]BILLING CODE 4310–55–P

This section of the FEDERAL REGISTERcontains notices to the public of the proposedissuance of rules and regulations. Thepurpose of these notices is to give interestedpersons an opportunity to participate in therule making prior to the adoption of the finalrules.

Proposed Rules Federal Register

31059

Vol. 61, No. 119




14 CFR Part 39

[Docket No. 96–NM–24–AD]

RIN 2120–AA64

Airworthiness Directives; McDonnellDouglas Model DC–10–15 Airplanes

AGENCY: Federal AviationAdministration, DOT.ACTION: Notice of proposed rulemaking(NPRM).

SUMMARY: This document proposes theadoption of a new airworthinessdirective (AD) that is applicable to allMcDonnell Douglas Model DC–10–15airplanes. This proposal would require,among other things, inspections todetect discrepancies at various locationsof pylons 1 and 3, and correction of anydiscrepancy found. This proposal isprompted by a report of internalstructural damage to the wing enginepylon that occurred during maintenanceof a Model DC–10 series airplane. Theactions specified by the proposed ADare intended to ensure the integrity ofthe structure and attachment of the wingengine pylon.DATES: Comments must be received byJuly 29, 1996.ADDRESSES: Submit comments intriplicate to the Federal AviationAdministration (FAA), TransportAirplane Directorate, ANM–103,Attention: Rules Docket No. 96–NM–24–AD, 1601 Lind Avenue, SW.,Renton, Washington 98055–4056.Comments may be inspected at thislocation between 9 a.m. and 3 p.m.,Monday through Friday, except Federalholidays.

The service information referenced inthe proposed rule may be obtained fromMcDonnell Douglas Corporation, 3855Lakewood Boulevard, Long Beach,California 90846, Attention: TechnicalPublications Business Administration,Department C1–L51 (2–60). Thisinformation may be examined at the

FAA, Transport Airplane Directorate,1601 Lind Avenue, SW., Renton,Washington.FOR FURTHER INFORMATION CONTACT: RonAtmur, Aerospace Engineer, AirframeBranch, ANM–120L, FAA, Los AngelesAircraft Certification Office, 3960Paramount Boulevard, Lakewood,California 90712; telephone (310) 627–5224; fax (310) 627–5210.


Comments InvitedInterested persons are invited to

participate in the making of theproposed rule by submitting suchwritten data, views, or arguments asthey may desire. Communications shallidentify the Rules Docket number andbe submitted in triplicate to the addressspecified above. All communicationsreceived on or before the closing datefor comments, specified above, will beconsidered before taking action on theproposed rule. The proposals containedin this notice may be changed in lightof the comments received.

Comments are specifically invited onthe overall regulatory, economic,environmental, and energy aspects ofthe proposed rule. All commentssubmitted will be available, both beforeand after the closing date for comments,in the Rules Docket for examination byinterested persons. A reportsummarizing each FAA-public contactconcerned with the substance of thisproposal will be filed in the RulesDocket.

Commenters wishing the FAA toacknowledge receipt of their commentssubmitted in response to this noticemust submit a self-addressed, stampedpostcard on which the followingstatement is made: ‘‘Comments toDocket Number 96–NM–24–AD.’’ Thepostcard will be date stamped andreturned to the commenter.

Availability of NPRMsAny person may obtain a copy of this

NPRM by submitting a request to theFAA, Transport Airplane Directorate,ANM–103, Attention: Rules Docket No.96–NM–24–AD, 1601 Lind Avenue,SW., Renton, Washington 98055–4056.

DiscussionOn May 16, 1980, the FAA issued AD

80–11–05 R1, amendment 39–3981 (45FR 35310, May 27, 1980), which isapplicable to all McDonnell Douglas

Model DC–10–10, –10F, –30, –30F, and–40 series airplanes. That AD requires arevision to the wing-pylon inspectionprograms for these airplanes, whichincludes various types of inspections todetect discrepancies, and the correctionof any discrepancy found. That actionwas prompted by a report of internalstructural damage to the wing enginepylon that occurred during maintenanceof a Model DC–10 series airplane. Therequirements of that AD are intended toensure the integrity of the structure andattachment of the wing engine pylon.

Since the issuance of AD 80–11–05R1, the FAA certificated McDonnellDouglas Model DC–10–15 seriesairplanes for operation in the U.S.Subsequently, the FAA has determinedthat these airplanes also are subject tothe unsafe condition addressed in AD80–11–05 R1, since they are similar intype design to the airplane modelsaddressed in that AD.

Explanation of Relevant ServiceInformation

The FAA has reviewed and approvedMcDonnell Douglas DC–10 ServiceBulletin 54–74, dated December 21,1979, which describes procedures forrepetitive visual inspections to detectdiscrepancies at various locations ofpylons 1 and 3, and correction of anydiscrepancy found. The service bulletinindicates that these locations includethe following: the pylon aft bulkhead;the upper surface of the upper spar aftof station Yn=342.864 to the aftbulkhead; the lower surface of the upperspar and spar cap angles aft of stationYn=342.864 to the aft bulkhead; thecenter and lower (firewall) spar and sparcap angles; the thrust link installation;the lower and upper forward sphericalbearing installation; the forwardbulkhead; and the forward wing attachfitting (footstool) of the pylon.

Explanation of Requirements ofProposed Rule

Since an unsafe condition has beenidentified that is likely to exist ordevelop on other products of this sametype design, the proposed AD wouldrequire:

1. At each pylon removal andinstallation, the engine and pylon mustbe removed and installed separately,and the pylon aft bulkhead lug must beprotected from contact with certainattach bolt heads.

31060 Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Proposed Rules

2. Performance of various repetitiveinspections to detect discrepancies atvarious locations of pylons 1 and 3, andcorrection of any discrepancy found.

3. Submission of a pylon maintenanceprogram that includes specific repetitiveinspections at intervals of 20,000 hourstime-in-service.

Certain of these actions would berequired to be accomplished inaccordance with the service bulletindescribed previously; other actionswould be required to be accomplishedin accordance with the DC–10Nondestructive Testing Manual and theDC–10 Maintenance Manual.

Cost Impact

There are approximately 7 Model DC–10–15 airplanes of the affected design inthe worldwide fleet. The FAA estimatesthat 2 airplanes of U.S. registry wouldbe affected by this proposed AD, that itwould take approximately 22 workhours per airplane to accomplish theproposed actions, and that the averagelabor rate is $60 per work hour. Basedon these figures, the cost impact of theproposed AD on U.S. operators isestimated to be $2,640, or $1,320 perairplane.

The cost impact figure discussedabove is based on assumptions that nooperator has yet accomplished any ofthe proposed requirements of this ADaction, and that no operator wouldaccomplish those actions in the future ifthis AD were not adopted.

Regulatory Impact

The regulations proposed hereinwould not have substantial direct effectson the States, on the relationshipbetween the national government andthe States, or on the distribution ofpower and responsibilities among thevarious levels of government. Therefore,in accordance with Executive Order12612, it is determined that thisproposal would not have sufficientfederalism implications to warrant thepreparation of a Federalism Assessment.

For the reasons discussed above, Icertify that this proposed regulation (1)Is not a ‘‘significant regulatory action’’under Executive Order 12866; (2) is nota ‘‘significant rule’’ under the DOTRegulatory Policies and Procedures (44FR 11034, February 26, 1979); and (3) ifpromulgated, will not have a significanteconomic impact, positive or negative,on a substantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act. A copy of the draftregulatory evaluation prepared for thisaction is contained in the Rules Docket.A copy of it may be obtained bycontacting the Rules Docket at the

location provided under the captionADDRESSES.

List of Subjects in 14 CFR Part 39Air transportation, Aircraft, Aviation

safety, Safety.

The Proposed AmendmentAccordingly, pursuant to the

authority delegated to me by theAdministrator, the Federal AviationAdministration proposes to amend part39 of the Federal Aviation Regulations(14 CFR part 39) as follows:



Authority: 49 U.S.C. 106(g), 40113, 44701.


adding the following new airworthinessdirective:McDonnell Douglas: Docket 96–NM–24–AD.

Applicability: All Model DC–10–15airplanes, certificated in any category.

Note 1: This AD applies to each airplaneidentified in the preceding applicabilityprovision, regardless of whether it has beenmodified, altered, or repaired in the areasubject to the requirements of this AD. Forairplanes that have been modified, altered, orrepaired so that the performance of therequirements of this AD is affected, theowner/operator must request approval for analternative method of compliance inaccordance with paragraph (k) of this AD.The request should include an assessment ofthe effect of the modification, alteration, orrepair on the unsafe condition addressed bythis AD; and, if the unsafe condition has notbeen eliminated, the request should includespecific proposed actions to address it.


To ensure the integrity of the structure andattachment of the wing engine pylon,accomplish the following:

(a) At each pylon removal and installationthat is accomplished after the effective dateof this AD: The engine and pylon shall beremoved and installed separately, unlesssuch removal or installation, or both, as anassembly is accomplished in accordance witha method approved by the Manager, LosAngeles Aircraft Certification Office (ACO),FAA, Transport Airplane Directorate.

(b) At each pylon removal and installationthat is accomplished after the effective dateof this AD: Protect the pylon aft bulkhead lugfrom contact with the clevis-to-wing attachbolt heads using part number (P/N)DZZ7268–1 in accordance with page 417,dated January 1, 1982, and page 427, datedMay 1, 1985, of Chapter 54–00–01 of theMcDonnell Douglas DC–10 MaintenanceManual.

(c) Prior to further flight following anypylon reinstallation that is accomplishedafter the effective date of this AD:

Accomplish the requirements of paragraphs(c)(1), (c)(2), and (c)(3) of this AD.

(1) Perform an inspection of the aft pylonbulkhead to detect cracking, in accordancewith page 634, dated December 1, 1979, andpage 634A, dated August 1, 1990, of Chapter54–10–11 of the McDonnell Douglas DC–10Nondestructive Testing Manual.

(2) Perform a visual inspection of the pylonaft spherical bearing and attaching hardwareto verify the security of the nut and bolt.

(3) Perform a visual inspection of thetorque stripe for proper alignment.

(d) Perform the inspections required byparagraph (e) of this AD at the later of thetimes specified in paragraphs (d)(1) and(d)(2) of this AD. Thereafter, repeat theseinspections at intervals not to exceed 3,600hours time-in-service or 12 months,whichever occurs later.

(1) Prior to the accumulation of 3,600 totalhours time-in-service.

(2) Within 3,600 hours time-in-service or12 months after the effective date of this AD,whichever occurs later.

(e) Perform the inspections required byparagraphs (e)(1) through (e)(5) of this AD atthe times indicated in paragraph (d) of thisAD.

(1) Perform a visual inspection to detectcracking of the external surfaces of the thrustlink forward (pylon) and aft (wing)attachment lugs, in accordance withparagraph 2.C.(1) of McDonnell Douglas DC–10 Service Bulletin 54–74, dated December21, 1979.

(2) Perform a visual inspection to detectdiscrepancies of the upper surface of thepylon upper spar aft of station Yn=342.864,in accordance with paragraph 2.G. ofMcDonnell Douglas DC–10 Service Bulletin54–74, dated December 21, 1979.

(3) Perform a visual inspection to detectdiscrepancies of the center and lower(firewall) spar and spar cap angles from theaft bulkhead to the forward bulkhead, inaccordance with paragraph 2.M. ofMcDonnell Douglas DC–10 Service Bulletin54–74, dated December 21, 1979.

(4) Perform an inspection for discrepanciesat the various locations of the wing and tailspecified on pages 601, 602, 602A, 604, 605,606, and 608, all dated November 1, 1986;page 603, dated May 1, 1986; and pages 604Aand 607, dated May 1, 1987; of Chapter 05–51–08 of the McDonnell Douglas DC–10Maintenance Manual. Accomplish theinspections in accordance with theprocedures specified on those pages of theMcDonnell Douglas DC–10 MaintenanceManual.

(5) Perform a visual inspection of the pylonaft spherical bearing and attaching hardwareto verify the security of the nut and bolt, andinspect the torque stripe for alignment.

(f) Within 30 days after the effective dateof this AD: Submit a pylon maintenanceprogram, as an amendment to themaintenance program, to the assigned FAAPrincipal Maintenance Inspector forapproval. The pylon maintenance programshall specify that, prior to the accumulationof 20,000 total hours time-in-service, orwithin 20,000 hours time-in-service since thelast inspection, whichever occurs later, theoperator will accomplish, as a minimum, the

31061Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Proposed Rules

actions specified in paragraphs (f)(1)through(f)(9) of this AD.

(1) Perform a visual inspection to detectcracking of the pylon aft bulkhead, inaccordance with paragraphs 2.E. and 2.F. ofMcDonnell Douglas DC–10 Service Bulletin54–74, dated December 21, 1979; and aneddy current inspection to detect cracking ofthe pylon aft bulkhead, in accordance withpage 634, dated December 1, 1979, and page634A, dated August 1, 1990, of Chapter 54–10–11 of the McDonnell Douglas DC–10Nondestructive Testing Manual.

(2) Perform a visual inspection to detectdiscrepancies of the front spar bulkhead, inaccordance with paragraph 2.H. ofMcDonnell Douglas DC–10 Service Bulletin54–74, dated December 21, 1979.

(3) Perform a visual inspection to detectcracking of the attachment fitting-to-pylonforward bulkhead (footstool) of the wingfront spar; perform a detailed visualinspection to detect cracking, and loose ormissing fasteners, of the wing pylonattachment; and verify that the pre-loadindicating (PLI) washers cannot be rotated; inaccordance with paragraph 2.L. of McDonnellDouglas DC–10 Service Bulletin 54–74, datedDecember 21, 1979.

(4) Perform an inspection to verify that theattach bolt PLI washers on the lowerspherical bearing plug cannot be rotated;verify that no interference exists between theplug forward flange aft face, and the forwardface of the spherical bearing; and perform adetailed visual inspection of the plug in situ;in accordance with paragraph 2.I. ofMcDonnell Douglas DC–10 Service Bulletin54–74, dated December 21, 1979.

(5) Perform a visual inspection to verify thecondition, security, and torque stripealignment of the plug assembly of theforward upper spherical bearing installation,in accordance with paragraph 2.J. ofMcDonnell Douglas DC–10 Service Bulletin54–74, dated December 21, 1979.

(6) Perform a visual inspection to verifyproper installation of the thrust link bolts,nuts, and retaining washers of the thrust linkinstallation, in accordance with paragraph2.C.(2) of McDonnell Douglas DC–10 ServiceBulletin 54–74, dated December 21, 1979.

(7) Perform an inspection of the aftspherical bearing, as specified in paragraphs(f)(7)(i) through (f)(7)(iv) of this AD.

(i) Remove the aft spherical bearingthrough bolt. Inspect the inner bore of thebushing in situ using Magnaflux bolt andvisual inspection techniques. Perform avisual inspection using a 10x (power) glass(or equivalent) to detect cracks of the forwardand aft surfaces of the spherical bearing.Reinstall the through bolt.

(ii) Verify that the torque of the throughbolt is 1,200 to 1,300 inch-pounds.

(iii) Inspect the clearance of the aftspherical bearing forward face/clevis.

(iv) Torque stripe the nut to bolt.(8) Perform an ultrasonic inspection to

detect cracking of the bulkhead lug and wingclevis-to-wing attachment, including thebolts, in accordance with pages 635, 636,638, 638A, and 638B, dated December 1,1979; page 637, dated September 1, 1993;page 651, dated February 1, 1982; and page652, dated August 1, 1992; of Chapter 54–10–

11 of the McDonnell Douglas DC–10Nondestructive Testing Manual.

(9) Accomplish either paragraph (f)(9)(i) or(f)(9)(ii) of this AD.

(i) Perform an X-ray inspection in situ toensure the integrity of the steel thrust links,in accordance with page 632A, dated August1, 1984, and page 632B, dated February 1,1981, of the McDonnell Douglas DC–10Nondestructive Testing Manual. Or

(ii) Perform an ultrasonic inspection in situto ensure the integrity of the steel thrustlinks, in accordance with page 632C, datedAugust 1, 1985, and page 632D, dated August1, 1984, of the McDonnell Douglas DC–10Nondestructive Testing Manual.

(g) Prior to further flight after a pylon hasbeen subjected to vertical or horizontalmisalignment, or both (e.g., duringmaintenance), perform an inspection todetect cracking of the aft pylon bulkhead, inaccordance with page 634, dated December 1,1979, and page 634A, dated August 1, 1990,of Chapter 54–10–11 of the McDonnellDouglas DC–10 Nondestructive TestingManual.

(h) Prior to further flight following anyevent that produces high pylon loads:Perform an inspection of the pylon forstructural integrity, in accordance with pages601, 602, 602A, 604, 605, 606, and 608, datedNovember 1, 1986; page 603, dated May 1,1986; and pages 604A and 607, dated May 1,1987; of Chapter 05–51–08 of the McDonnellDouglas DC–10 Maintenance Manual.

Note 2: Examples of events that producehigh pylon loads, include, but are not limitedto, the following:

• Hard or overweight landings (for thepurpose of this AD, overweight landings aremade at aircraft weights in excess of 369,000pounds);

• Severe turbulence encounters;• Engine vibration that requires engine

removal or critical engine failure, or both;• Ground damage (work stands, etc.);• Compressor stalls requiring engine

removal; and• Excursions from the runway of a nature

that might have imposed loads more severethan those encountered normally on therunway.

(i) Prior to further flight, correct anydiscrepancy found during any inspectionrequired by this AD, in accordance with amethod approved by the Manager, LosAngeles ACO; the Structural Repair Manual;or McDonnell Douglas DC–10 ServiceBulletin 54–74, dated December 21, 1979; asappropriate.

(j) Within 10 days after accomplishing theinspections required by this AD, reportinspection results, positive or negative, to theFAA Principal Maintenance Inspector. Thereport shall include the information specifiedin paragraphs (j)(1) through (j)(5) of this AD.Information collection requirementscontained in this regulation have beenapproved by the Office of Management andBudget (OMB) under the provisions of thePaperwork Reduction Act of 1980 (44 U.S.C.3501 et seq.) and have been assigned OMBControl Number 2120–0056.

(1) The ‘‘N’’ number of the airplane.(2) The total number of hours time-in-

service accumulated on the airplane.

(3) The pylon number of the airplane.(4) The specific paragraph (and

subparagraph) of this AD that correspondswith the inspection results being reported.

(5) Specific inspection results: Forexample, the location and size of cracking,specific location of discrepant fasteners, andpart numbers.

(k) An alternative method of compliance oradjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager, LosAngeles ACO. Operators shall submit theirrequests through an appropriate FAAPrincipal Maintenance Inspector, who mayadd comments and then send it to theManager, Los Angeles ACO.

Note 3: Information concerning theexistence of approved alternative methods ofcompliance with this AD, if any, may beobtained from the Los Angeles ACO.

(l) Special flight permits may be issued inaccordance with sections 21.197 and 21.199of the Federal Aviation Regulations (14 CFR21.197 and 21.199) to operate the airplane toa location where the requirements of this ADcan be accomplished.


14 CFR Part 39

[Docket No. 95–NM–106–AD]

RIN 2120–AA64

Airworthiness Directives; BoeingModel 727 and 737 Series Airplanes

AGENCY: Federal AviationAdministration, DOT.ACTION: Notice of proposed rulemaking(NPRM).

SUMMARY: This document proposes theadoption of a new airworthinessdirective (AD) that is applicable tocertain Boeing Model 727 and 737 seriesairplanes. This proposal would requirereplacing the fuel cap assembly with anew assembly on the inlet fitting at theinside top of the auxiliary fuel tank. Theproposal would also require replacingthe INOP placards with new placards.This proposal is prompted by reportsthat the fuel cap assembly, due to itsdesign, became loose and allowed fuelto enter the deactivated auxiliary fueltanks on in-service airplanes. Theactions specified by the proposed ADare intended to prevent unwanted fueltransferring to the deactivated auxiliaryfuel tanks, due to the problemsassociated with a loose fuel capassembly.DATES: Comments must be received byJuly 29, 1996.


ADDRESSES: Submit comments intriplicate to the Federal AviationAdministration (FAA), TransportAirplane Directorate, ANM–103,Attention: Rules Docket No. 95–NM–106–AD, 1601 Lind Avenue, SW.,Renton, Washington 98055–4056.Comments may be inspected at thislocation between 9:00 a.m. and 3:00p.m., Monday through Friday, exceptFederal holidays.

The service information referenced inthe proposed rule may be obtained fromBoeing Commercial Airplane Group,P.O. Box 3707, Seattle, Washington98124–2207. This information may beexamined at the FAA, TransportAirplane Directorate, 1601 LindAvenue, SW., Renton, Washington.FOR FURTHER INFORMATION CONTACT:Sulmo Mariano, Aerospace Engineer,Propulsion Branch, ANM–140S, FAA,Seattle Aircraft Certification Office,1601 Lind Avenue, SW., Renton,Washington; telephone (206) 227–2686;fax (206) 227–1181.


Comments InvitedInterested persons are invited to

participate in the making of theproposed rule by submitting suchwritten data, views, or arguments asthey may desire. Communications shallidentify the Rules Docket number andbe submitted in triplicate to the addressspecified above. All communicationsreceived on or before the closing datefor comments, specified above, will beconsidered before taking action on theproposed rule. The proposals containedin this notice may be changed in lightof the comments received.

Comments are specifically invited onthe overall regulatory, economic,environmental, and energy aspects ofthe proposed rule. All commentssubmitted will be available, both beforeand after the closing date for comments,in the Rules Docket for examination byinterested persons. A reportsummarizing each FAA-public contactconcerned with the substance of thisproposal will be filed in the RulesDocket.

Commenters wishing the FAA toacknowledge receipt of their commentssubmitted in response to this noticemust submit a self-addressed, stampedpostcard on which the followingstatement is made: ‘‘Comments toDocket Number 95–NM–106–AD.’’ Thepostcard will be date stamped andreturned to the commenter.

Availability of NPRMsAny person may obtain a copy of this

NPRM by submitting a request to the

FAA, Transport Airplane Directorate,ANM–103, Attention: Rules Docket No.95–NM–106–AD, 1601 Lind Avenue,SW., Renton, Washington 98055–4056.

Discussion

On October 31, 1980, the FAA issuedAD 80–02–01 R2, amendment 39–3969(45 FR 74467, November 10, 1980),applicable to Boeing Model 727 seriesairplanes on which an operative Boeing-designed auxiliary body fuel system isinstalled. In addition, the FAA issued asimilar AD 80–02–02 R2, amendment39–3970 (45 FR 74467, November 10,1980), which is applicable to BoeingModel 737 series airplanes on which anoperative Boeing-designed auxiliarybody fuel system is installed. Those ADswere prompted by reports of loss of fuelfrom the auxiliary body fuel tank due todefective and damaged shrouds. Theactions required by those AD’s areintended to prevent failure of the fuelsystem and unwanted fuel transfer tothe auxiliary body fuel tanks.

Events Since Issuance of Previous AD’s

Since issuance of those AD’s, the FAAhas received reports indicating that, oncertain Boeing Model 727 seriesairplanes, the fuel cap assembly (whichwas installed to deactivate the auxiliaryfuel tanks, in accordance with AD 80–02–01 R2) became loose and allowedfuel to enter the tanks. Investigationrevealed that, due to incorrectprocedures that were provided in therelevant service bulletin, the safetylockwire of the fuel cap assembly wasattached to the cap, rather than to thenut. This condition, if not corrected,could allow the nut of the fuel capassembly to back off and the cap toloosen; consequently, unwanted fuelcould then transfer to the auxiliary fueltanks.

The fuel cap assembly on certainModel 737 series airplanes is identicalto that on the affected Model 727 seriesairplanes. Therefore, those Model 737series airplanes may be subject to thissame unsafe condition revealed on theModel 727 series airplanes.

Explanation of Relevant ServiceInformation

The FAA has reviewed and approvedBoeing Alert Service Bulletin 727–28A0062, Revision 5, dated May 4, 1995(for Model 727 series airplanes) andBoeing Alert Service Bulletin 737–28A1032, Revision 2, dated May 4, 1995(for Model 737 series airplanes). Forairplanes equipped with forward and/oraft auxiliary fuel tanks that have beendeactivated, these service bulletinscontain:

1. Procedures for replacing the fuelcap assembly having part number (P/N)AN929A24 with a new fuel capassembly having P/N AN929L24 on theinlet fitting at the inside top of theauxiliary fuel tank; and

2. procedures for replacing the INOPplacards with new placards, which statethat the fuel indicators for the auxiliaryfuel tanks are still operational.

For certain other airplanes listed inthese service bulletins, no additionalwork is necessary.

Explanation of Requirements ofProposed Rule

Since an unsafe condition has beenidentified that is likely to exist ordevelop on other products of this sametype design, the proposed AD wouldrequire replacing the fuel cap assemblywith a new assembly on the inlet fittingat the inside top of the auxiliary fueltank. The proposed AD also wouldrequire replacing the INOP placardswith new placards; these replacementactions would be required only onairplanes on which the auxiliary fueltank has been deactivated. The actionswould be required to be accomplishedin accordance with the service bulletinsdescribed previously.

Cost ImpactThere are approximately 211 Boeing

Model 727 series airplanes and 36Boeing Model 737 series airplanes of theaffected design in the worldwide fleet.The FAA estimates that 134 BoeingModel 727 series airplanes and 25Boeing Model 737 series airplanes ofU.S. registry may be affected by thisproposed AD, depending on the currentconfiguration of the airplanes.

For Boeing Model 727 seriesairplanes, the proposed modificationwould take approximately 53 workhours per airplane to accomplish, at anaverage labor rate of $60 per work hour.Required parts would be supplied bythe manufacturer at no cost to theoperators. Based on these figures, thecost impact of the proposed AD on U.S.operators is estimated to be $3,180 perairplane.

For Boeing Model 737 seriesairplanes, the proposed modificationwould take approximately 18 workhours per airplane to accomplish, at anaverage labor rate of $60 per work hour.Required parts would be supplied bythe manufacturer at no cost to theoperators. Based on these figures, thecost impact of the proposed AD on U.S.operators is estimated to be $1,080 perairplane.

The cost impact figures discussedabove are based on assumptions that nooperator has yet accomplished any of


the proposed requirements of this ADaction, and that no operator wouldaccomplish those actions in the future ifthis AD were not adopted.

Regulatory ImpactThe regulations proposed herein

would not have substantial direct effectson the States, on the relationshipbetween the national government andthe States, or on the distribution ofpower and responsibilities among thevarious levels of government. Therefore,in accordance with Executive Order12612, it is determined that thisproposal would not have sufficientfederalism implications to warrant thepreparation of a Federalism Assessment.

For the reasons discussed above, Icertify that this proposed regulation (1)is not a ‘‘significant regulatory action’’under Executive Order 12866; (2) is nota ‘‘significant rule’’ under the DOTRegulatory Policies and Procedures (44FR 11034, February 26, 1979); and (3) ifpromulgated, will not have a significanteconomic impact, positive or negative,on a substantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act. A copy of the draftregulatory evaluation prepared for thisaction is contained in the Rules Docket.A copy of it may be obtained bycontacting the Rules Docket at thelocation provided under the captionADDRESSES.

List of Subjects in 14 CFR Part 39Air transportation, Aircraft, Aviation

safety, Safety.

The Proposed AmendmentAccordingly, pursuant to the

authority delegated to me by theAdministrator, the Federal AviationAdministration proposes to amend part39 of the Federal Aviation Regulations(14 CFR part 39) as follows:



Authority: 49 U.S.C. 106(g), 40113, 44701.


adding the following new airworthinessdirective:

Boeing: Docket 95–NM–106–AD.Applicability: Model 727 and 737 airplanes

equipped with forward and/or aft auxiliaryfuel tanks that have been deactivated,certificated in any category.

Note 1: This AD applies to each airplaneidentified in the preceding applicabilityprovision, regardless of whether it has beenotherwise modified, altered, or repaired inthe area subject to the requirements of this

AD. For airplanes that have been modified,altered, or repaired so that the performanceof the requirements of this AD is affected, theowner/operator must request approval for analternative method of compliance inaccordance with paragraph (b) of this AD.The request should include an assessment ofthe effect of the modification, alteration, orrepair on the unsafe condition addressed bythis AD; and, if the unsafe condition has notbeen eliminated, the request should includespecific proposed actions to address it.


To prevent the nut of the fuel cap assemblyfrom backing off and the cap from loosening,and subsequently, unwanted fuel transferringto the auxiliary fuel tanks, accomplish thefollowing:

(a) Within 6 months after the effective dateof this AD, accomplish paragraphs (a)(1) and(a)(2) of this AD, in accordance with Part IVof the Accomplishment Instructions ofBoeing Service Bulletin 727–28A0062,Revision 5, dated May 4, 1995 (for Model 727series airplanes), or Boeing Service Bulletin737–28A1032, Revision 2, dated May 4, 1995(for Model 737 series airplanes), asapplicable.

(1) Replace the fuel cap assembly havingpart number (P/N) AN929A24 with a newfuel cap assembly having P/N AN929L24 onthe inlet fitting at the inside top of theauxiliary fuel tank, in accordance with theapplicable service bulletin. And

(2) Replace the INOP placards with newplacards, in accordance with the applicableservice bulletin.

(b) An alternative method of compliance oradjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager, SeattleAircraft Certification Office (ACO), FAA,Transport Airplane Directorate. Operatorsshall submit their requests through anappropriate FAA Principal MaintenanceInspector, who may add comments and thensend it to the Manager, Seattle ACO.

Note 2: Information concerning theexistence of approved alternative methods ofcompliance with this AD, if any, may beobtained from the Seattle ACO.

(c) Special flight permits may be issued inaccordance with sections 21.197 and 21.199of the Federal Aviation Regulations (14 CFR21.197 and 21.199) to operate the airplane toa location where the requirements of this ADcan be accomplished.


14 CFR Part 71


Proposed Establishment of Class DAirspace; McKinney, TX

AGENCY: Federal AviationAdministration (FAA), DOT.ACTION: Notice of proposed rulemaking.

SUMMARY: This notice proposes toestablish Class D airspace extendingupward from surface to and including2,900 feet mean sea level (MSL) atMcKinney, TX. An air traffic controltower has begun providing air trafficcontrol services for pilots operating atMcKinney Municipal Airport. Theintended effect of this proposal is toprovide adequate controlled airspace atMcKinney Municipal Airport,McKinney, TX.DATES: Comments must be received onor before August 19, 1996.ADDRESSES: Send comments on theproposal in triplicate to Manager,Operations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Docket No. 96–ASW–15, Fort Worth, TX 76193–0530.

The official docket may be examinedin the Office of the Assistant ChiefCounsel, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX,between 9:00 a.m. and 3:00 p.m.,Monday through Friday, except Federalholidays. An informal docket may alsobe examined during normal businesshours at the Operations Branch, AirTraffic Division, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch, AirTraffic Division, Federal AviationAdministration, Southwest Region, FortWorth, TX 76193–0530; telephone: (817)222–5593.


Comments InvitedInterested parties are invited to

participate in this proposed rulemakingby submitting such written data, views,or arguments as they may desire.Comments that provide the factual basissupporting the views and suggestionspresented are particularly helpful indeveloping reasoned regulatorydecisions on the proposal. Commentsare specifically invited on the overallregulatory, aeronautical, economic,environmental, and energy-relatedaspects of the proposal.Communications should identify theairspace docket number and besubmitted in triplicate to the address


listed under the caption ADDRESSES.Commenters wishing the FAA toacknowledge receipt of their commentson this notice must submit, with thosecomments, a self-addressed, stamped,postcard containing the followingstatement: ‘‘Comments to AirspaceDocket No. 96–ASW–15.’’ The postcardwill be date and time stamped andreturned to the commenter. Allcommunications received on or beforethe specified closing date for commentswill be considered before taking actionon the proposed rule. The proposalcontained in this notice may be changedin the light of comments received. Allcomments submitted will be availablefor examination in the Office of theAssistant Chief Counsel, FederalAviation Administration, SouthwestRegion, 2601 Meacham Boulevard, FortWorth, TX, both before and after theclosing date for comments. A reportsummarizing each substantive publiccontact with FAA personnel concernedwith this rulemaking will be filed in thedocket.

Availability of NPRM’sAny person may obtain a copy of this

Notice of Proposed Rulemaking (NPRM)by submitting a request to theOperations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Fort Worth, TX76193–0530. Communications mustidentify the notice number of thisNPRM. Persons interested in beingplaced on a mailing list for furtherNPRM’s should also request a copy ofAdvisory Circular No. 11–2A thatdescribes the application procedure.

The ProposalThe FAA is considering an

amendment to part 71 of the FederalAviation Regulations (14 CFR part 71) toestablish Class D airspace, controlledairspace extending upward from thesurface to and including 2,900 feet MSL,at McKinney Municipal Airport,McKinney, TX. An air traffic controltower at the airport provides air trafficcontrol services for aircraft operating atthe airport. The intended effect of thisproposal is to provide adequate Class Dairspace at McKinney MunicipalAirport, McKinney, TX.

The coordinates for this airspacedocket are based on North AmericanDatum 83. Designated Class D airspaceareas are published in Paragraph 5000 ofFAA Order 7400.9C, dated August 17,1995, and effective September 16, 1995,which is incorporated by reference in 14CFR 71.1. The Class D airspacedesignation listed in this documentwould be published subsequently in theorder.

The FAA has determined that thisproposed regulation only involves anestablished body of technicalregulations that need frequent androutine amendments to keep themoperationally current. It, therefore—(1)Is not a ‘‘significant regulatory action’’under Executive Order 12866; (2) is nota ‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034; February 26, 1979); and (3)does not warrant preparation of aregulatory evaluation as the anticipatedimpact is so minimal. Since this is aroutine matter that will only affect airtraffic procedures and air navigation, itis certified that this rule, whenpromulgated, will not have a significantimpact on a substantial number of smallentities under the criteria of theRegulatory Flexibility Act.



The Proposed Amendment

In consideration of the foregoing, theFederal Aviation Administrationproposes to amend 14 CFR part 71 asfollows:

PART 71—[AMENDED]



§ 71.1 [Amended]


Paragraph 5000 Class D airspace areas.

* * * * *

ASW TX D McKinney, TX [New]

McKinney, McKinney Municipal Airport, TX(Lat. 33°10′50′′ N., long. 096°35′26′′ W.)That airspace extending upward from the

surface to and including 2,900 feet MSLwithin a 4.0-mile radius of McKinneyMunicipal Airport. This Class D airspace iseffective during the specific dates and timesestablished in advance by a Notice toAirmen. The effective date and time willthereafter be continuously published in theAirport/Facility Directory.

* * * * *

Issued in Fort Worth, TX on June 11, 1996.Albert L. Viselli,Acting Manger, Air Traffic Division,Southwest Region.[FR Doc. 96–15421 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

14 CFR Part 71


Proposed Revision of Class EAirspace; Clinton, OK


SUMMARY: This notice proposes to revisethe Class E airspace extending upwardfrom 700 feet above ground level (AGL)at Clinton, OK. A new GlobalPositioning System (GPS) StandardInstrument Approach Procedure (SIAP)to Runway (RWY) 35 at ClintonMunicipal Airport has made thisproposal necessary. The intended effectof this proposal is to provide adequatecontrolled airspace for aircraft executingthe GPS SIAP to RWY 35 at Clinton, OK.DATES: Comments must be received onor before August 19, 1996.ADDRESSES: Send comments on theproposal in triplicate to Manager,Operations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Docket No. 96–ASW–12, Fort Worth, TX 76193–0530.




participate in this proposed rulemakingby submitting such written data, views,or arguments as they may desire.Comments that provide the factual basissupporting the views and suggestionspresented are particularly helpful indeveloping reasoned regulatory


decisions on the proposal. Commentsare specifically invited on the overallregulatory, aeronautical, economic,environmental, and energy-relatedaspects of the proposal.Communications should identify theairspace docket number and besubmitted in triplicate to the addresslisted under the caption ADDRESSES.Commenters wishing the FAA toacknowledge receipt of their commentson this notice must submit, with thosecomments, a self-addressed, stamped,postcard containing the followingstatement: ‘‘Comments to AirspaceDocket No. 96–ASW–12.’’ The postcardwill be date and time stamped andreturned to the commenter. Allcommunications received on or beforethe specified closing date for commentswill be considered before taking actionon the proposed rule. The proposalcontained in this notice may be changedin the light of comments received. Allcomments submitted will be availablefor examination in the Office of theAssistant Chief Counsel, FederalAviation Administration, SouthwestRegion, 2601 Meacham Boulevard, FortWorth, TX, both before and after theclosing date for comments. A reportsummarizing each substantive publiccontact with FAA personnel concernedwith this rulemaking will be filed in thedocket.


Notice of Proposed Rulemaking (NPRM)by submitting a request to theOperations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Fort Worth, TX76193–0530. Communications mustidentify the notice number of thisNPRM. Persons interested in beingplaced on a mailing list for futureNPRM’s should also request a copy ofAdvisory Circular No. 11–2A thatdescribes the application procedure.


amendment to part 71 of the FederalAviation Regulations (14 CFR part 71) torevise the Class E airspace, controlledairspace extending upward from 700feet AGL, at Clinton Municipal Airport,Clinton, OK. A new GPS SIAP to RWY35 has made this proposal necessary.The intended effect of this proposal isto provide adequate Class E airspace foraircraft executing the GPS SIAP to Rwy35 at Clinton, OK.

The coordinates for this airspacedocket are based on North AmericanDatum 83. Designated Class E airspaceareas extending upward from 700 feet ormore above ground level are published

in Paragraph 6005 of FAA Order7400.9C, dated August 17, 1995, andeffective September 16, 1995, which isincorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document would bepublished subsequently in the order.






PART 71—[AMENDED]



§ 71.1 [Amended]


Paragraph 6005 Class E airspace areasextending upward from 700 feet or moreabove the surface of the earth.

* * * * *

ASW OK E5 Clinton Municipal Airport, OK.Clinton Municipal Airport, OK.

(Lat. 35°32′18′′ N., long. 98°55′58′′ W.)That airspace extending upward from 700

feet above the surface within a 6.5-mileradius of Clinton Municipal Airport andwithin 4 miles each side of the 179° bearingfrom the Clinton Municipal Airport

extending from the 6.5-mile radius to 15.8miles south of the airport.* * * * *

Issued in Fort Worth, TX on June 11, 1996.Albert L. Viselli,Acting Manager, Air Traffic Division,Southwest Region.[FR Doc. 96–15426 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

14 CFR Part 71


Proposed Revision of Class EAirspace; Paragould, AR


SUMMARY: This notice proposes to revisethe Class E airspace extending upwardfrom 700 feet above ground level (AGL)at Paragould, AR. A new NondirectionalRadio Beacon (NDB) StandardInstrument Approach Procedure (SIAP)to Runway (RWY) 04 at Kirk Field hasmade this proposal necessary. Theintended effect of this proposal is toprovide adequate controlled airspace foraircraft executing the NDB SIAP to RWY04 at Paragould, AR.DATES: Comments must be received onor before August 19, 1996.ADDRESSES: Send comments on theproposal in triplicate to Manager,Operations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Docket No. 96–ASW–10, Fort Worth, TX 76193–0530.

The official docket may be examinedin the Office of the Assistant ChiefCounsel, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX,between 9:00 a.m. and 3:00 p.m.,Monday through Friday, except Federalholidays. An informal docket may alsobe examined during normal businesshours at the Operations Branch, AirTraffic Division, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch,Federal Aviation Administration,Southwest Region, Fort Worth, TX76193–0530; telephone (817) 222–5593.



participate in this proposed rulemakingby submitting such written data, views,or arguments as they may desire.Comments that provide the factual basissupporting the views and suggestions


presented are particularly helpful indeveloping reasoned regulatorydecisions on the proposal. Commentsare specifically invited on the overallregulatory, aeronautical, economic,environmental, and energy-relatedaspects of the proposal.Communications should identify theairspace docket number and besubmitted in triplicate to the addresslisted under the caption ADDRESSES.Commenters wishing the FAA toacknowledge receipt of their commentson this notice must submit, with thosecomments, a self-addressed, stamped,postcard containing the followingstatement: ‘‘Comments to AirspaceDocket No. 96–ASW–10.’’ The postcardwill be date and time stamped andreturned to the commenter. Allcommunications received on or beforethe specified closing date for commentswill be considered before taking actionon the proposed rule. The proposalcontained in this notice may be changedin the light of comments received. Allcomments submitted will be availablefor examination in the Office of theAssistant Chief Counsel, FederalAviation Administration, SouthwestRegion, 2601 Meacham Boulevard, FortWorth, TX, both before and after theclosing date for comments. A reportsummarizing each substantive publiccontact with FAA personnel concernedwith this rulemaking will be filed in thedocket.




amendment to part 71 of the FederalAviation Regulations (14 CFR part 71) torevise the Class E airspace, controlledairspace extending upward from 700feet AGL at Kirk Field, Paragould, AR.A new NDB SIAP to RWY 04 has madethis proposal necessary. The intendedeffect of this proposal is to provideadequate Class E airspace for aircraftexecuting the NDB SIAP to RWY 04 atParagould, AR.

The coordinates for this airspacedocket are based on North AmericanDatum 83. Designated Class E airspace

areas extending upward from 700 feet ormore above ground level are publishedin Paragraph 6005 of FAA Order7400.9C, dated August 17, 1995, andeffective September 16, 1995, which isincorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document would bepublished subsequently in the order.



Navigation (air).

The Proposed AmendmentIn consideration of the foregoing, the

Federal Aviation Administrationproposes to amend 14 CFR part 71 asfollows:

PART 71—[AMENDED]





Paragraph 6005 Class E airspace areasextending upward from 700 feet or moreabove the surface of the earth.* * * * *

ASW AR E5 Paragould, AR [Revised]Kirk Field, AR

(Lat. 36°03′49′′ N., long. 90°30′36′′ N.)Paragould NDB

(Lat. 36°03′46′′ N., long. 90°30′40′′ N.)That airspace extending upward from 700

feet above the surface within a 6.4-mile

radius of Kirk Field, and within 2.5-mileseach side of the 038° bearing to the ParagouldNDB extending from the 6.4-mile radius to9.5-miles southwest of the airport.* * * * *


14 CFR Part 71


Proposed Establishment of Class EAirspace: Sonora Canyon RanchAirport, TX

AGENCY: Federal AviationAdministration (FAA), DOT.

ACTION: Notice of proposed rulemaking.

SUMMARY: This notice proposes toestablish Class E airspace extendingupward from 700 feet above groundlevel (AGL) at Canyon Ranch Airport,Sonora, TX. The development of a VeryHigh Frequency Omnidirectional Range(VOR)/Distance Measuring Equipment(DME) standard instrument approachprocedure (SIAP) to Runway (RWY) 32has made this proposal necessary. Theintended effect of this proposal is toprovide adequate controlled airspace foraircraft executing the VOR/DME SIAP toRWY 32 at Canyon Ranch Airport,Sonora, Texas.

DATES: Comments must be received onor before August 19, 1996.

ADDRESSES: Send comments on theproposal in triplicate to Manager,Operations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Docket No. 96–ASW–05, Fort Worth, TX 76193–0530.

The official docket may be examinedin the Office of the Assistant ChiefCounsel, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX,between 9:00 AM and 3:00 PM, Mondaythrough Friday, except Federal holidays.An informal docket may also beexamined during normal business hoursat the Operations Branch, Air TrafficDivision, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX.

FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch,Federal Aviation Administration,Southwest Region, Fort Worth, TX76193–0530; telephone: (817) 222–5593.




participate in this proposed rulemakingby submitting such written data, views,or arguments as they may desire.Comments that provide the factual basissupporting the views and suggestionspresented are particularly helpful indeveloping reasoned regulatorydecisions on the proposal. Commentsare specifically invited on the overallregulatory, aeronautical, economic,environmental, and enrgy-relatedaspects of the proposal.Communications should identify theairspace docket number and besubmitted in triplicate to the addresslisted under the caption ADDRESSES.Commenters wishing the FAA toacknowledge receipt of their commentson this notice must submit, with thosecomments, a self-addressed, stamped,postcard containing the followingstatement: ‘‘Comments to AirspaceDocket No. 96–ASW–05.’’ The postcardwill be date and time stamped andreturned to the commenter. Allcommunications received on or beforethe specified closing date for commentswill be considered before taking actionon the proposed rule. The proposalcontained in this notice may be changedin the light of comments received. Allcomments submitted will be availablefor examination in the Office of theAssistant Chief Counsel, FederalAviation Administration, SouthwestRegion, 2601 Meacham Boulevard, FortWorth, TX, both before and after theclosing date for comments. A reportsummarizing each substantive publiccontact with FAA personnel concernedwith this rulemaking will be filed in thedocket.




amendment to part 71 of the FederalAviation Regulations (14 CFR part 71) toestablish Class E airspace, controlledairspace extending upward from 700feet AGL, at Canyon Ranch Airport,

Sonora, TX. The development of a VOR/DME SIAP to RWY 32 has made thisproposal necessary. Designated airspaceextending upward from 700 feet abovethe ground is now Class E airspace. Theintended effect of this proposal is toprovide adequate Class E airspace foraircraft executing the VOR/DME SIAP toRWY 32 at Canyon Ranch Airport,Sonora, TX. The coordinates for thisairspace docket are based on NorthAmerican Datum 83.

Designated Class E airspace areasextending upward from 700 feet or moreabove ground level are published inParagraph 6005 of FAA Order 7400.9Cdated August 17, 1995, and effectiveSeptember 16, 1995, which isincorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document would bepublished subsequently in the order.






PART 71—[AMENDED]



§ 71.1 [Amended]

2. The incorporation by reference in14 CFR 71.1 of the Federal AviationAdministration Order 7400.9C, AirspaceDesignations and Reporting Points,dated August 17, 1995, and effective

September 16, 1995, is amended asfollows:


* * * * *

ASW TX E5 Sonora Canyon Ranch, TX[New]Sonora, Canyon Ranch Airport, TX

(Lat. 30°18′06′′ N., long. 100°28′19′′ W.)Rocksprings VOR

(Lat. 30°00′53′′ N., long. 100°17′59′′ W.)That airspace extending upward from 700

feet above the surface within a 6.6-mileradius of Canyon Ranch Airport, and within1.8 miles each side of the 333° bearing fromthe Rocksprings VOR extending from the 6.6-mile radius to 7.6 miles southeast of theairport, excluding that airspace whichoverlies the Rocksprings Four Square RanchAirport Class E area.* * * * *


14 CFR Part 71


Proposed Establishment of Class EAirspace: Panhandle, TX


SUMMARY: This notice proposed toestablish Class E airspace extendingupward from 700 feet above groundlevel (AGL) at Panhandle-Carson CountyAirport, Panhandle, TX. Thedevelopment of a Global PositioningSystem (GPS) Standard InstrumentApproach Procedure (SIAP) to Runway(RWY) 35 has made this proposalnecessary. The intended effect of thisproposal is to provide adequatecontrolled airspace for aircraft executingthe GPS SIAP to RWY 35 at Panhandle-Carson County Airport, Panhandle, TX.DATES: Comments must be received onor before August 19, 1996.ADDRESSES: Send comments on theproposal in triplicate to Manager,Operations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Docket No. 96–ASW–06, Fort Worth, TX 76193–0530.The official docket may be examined inthe Office of the Assistant ChiefCounsel, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Forth Worth, TX,between 9:00 AM and 3:00 PM, Monday


through Friday, except Federal holidays.An informal docket may also beexamined during normal business hoursat the Operations Branch, Air TrafficDivision, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX.FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch,Federal Aviation Administration,Southwest Region, Forth Worth, TX76193–0530; telephone: (817) 222–5593.



participate in this proposed rulemakingby submitting such written data, views,or arguments as they may desire.Comments that provide the factual basissupporting the views and suggestionspresented are particularly helpful indeveloping reasoned regulatorydecisions on the proposal. Commentsare specifically invited on the overallregulatory, aeronautical, economic,environmental, and energy-relatedaspects of the proposal.Communications should identify theairspace docket number and besubmitted in triplicate to the addresslisted under the caption ADDRESSES.Commenters wishing the FAA toacknowledge receipt of their commentson this notice must submit, with thosecomments, a self-addressed, stamped,postcard containing the followingstatement: ‘‘Comments to AirspaceDocket No. 96–ASW–06.’’ The postcardwill be date and time stamped andreturned to the commenter. Allcommunications received on or beforethe specified closing date for commentswill be considered before taking actionon the proposed rule. The proposalcontained in this notice may be changedin the light of comments received. Allcomments submitted will be availablefor examination in the Office of theAssistant Chief Counsel, FederalAviation Administration, SouthwestRegion, 2601 Meacham Boulevard, FortWorth, TX, both before and after theclosing date for comments. A reportsummarizing each substantive publiccontact with FAA personnel concernedwith this rulemaking will be filed in thedocket.


Notice of Proposed Rulemaking (NPRM)by submitting a request to theOperations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Fort Worth, TX76193–0530. Communications mustidentify the notice number of this

NPRM. Persons interested in beingplaced on a mailing list for futureNPRM’s should also request a copy ofAdvisory Circular No. 11–2A thatdescribes the application procedure.

The Proposal

The FAA is considering anamendment to part 71 of the FederalAviation Regulations (14 CFR part 71) toestablish Class E airspace, controlledairspace extending upward from 700feet AGL at Panhandle-Carson CountyAirport, Panhandle, TX. Thedevelopment of a GPS SIAP to RWY 35has made this proposal necessary.Designated airspace extending upwardfrom 700 feet above the ground is nowClass E airspace. The intended effect ofthis proposal is to provide adequateClass E airspace for aircraft executingthe GPS SIAP to RWY 35 at Panhandle-Carson County Airport, Panhandle, TX.The coordinates for this airspace docketare based on North American Datum 83.

Designated Class E airspace areasextending upward from 700 feet or moreabove ground level are published inParagraph 6005 of FAA Order 7400.9Cdated August 17, 1995, and effectiveSeptember 16, 1995, which isincorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document would bepublished subsequently in the order.






PART 71—[AMENDED]






* * * * *

ASW TX E5 Panhandle, TX [New]Panhandle, Panhandle-Carson County

Airport, TX(Lat. 35°21′42′′ N., long. 101°21′54′′ W.)That airspace extending upward from 700

feet above the surface within a 6.4-mileradius of Panhandle-Carson County Airport,excluding that airspace which overlies theAmarillo, TX Class E area.* * * * *


14 CFR Part 71


Proposed Revision of Class EAirspace: Ardmore, OK


SUMMARY: This notice proposes to reviseClass E airspace extending upward fromthe surface at Ardmore MunicipalAirport, Ardmore, OK. The need toextend the Class E airspace toencompass the Very High FrequencyOmnidirectional Range (VOR) StandardInstrument Approach Procedure (SIAP)to Runway (RWY) 04 has made thisproposal necessary. The intended effectof this proposal is to provide adequatecontrolled airspace for aircraft executingthe VOR SIAP to RWY 04 at ArdmoreMunicipal Airport, Ardmore, OK.DATES: Comments must be received onor before August 19, 1996.ADDRESSES: Send comments on theproposal in triplicate to Manager,Operations Branch, Air Traffic Division,


Federal Aviation Administration,Southwest Region, Docket No. 96–ASW–07, Fort Worth, TX 76193–0530.

The official docket may be examinedin the Office of the Assistant ChiefCounsel, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX,between 9:00 AM and 3:00 PM, Mondaythrough Friday, except Federal holidays.An informal docket may also beexamined during normal business hoursat the Operations Branch, Air TrafficDivision, Federal AviationAdministration, Southwest Region, 2601Meacham Boulevard, Fort Worth, TX.

FOR FURTHER INFORMATION CONTACT:Donald J. Day, Operations Branch,Federal Aviation Administration,Southwest Region, Fort Worth, TX76193–0530; telephone: (817) 222–5593.


Comments Invited

Interested parties are invited toparticipate in this proposed rulemakingby submitting such written data, views,or arguments as they may desire.Comments that provide the factual basissupporting the views and suggestionspresented are particularly helpful indeveloping reasoned regulatorydecisions on the proposal. Commentsare specifically invited on the overallregulatory, aeronautical, economic,environmental, and energy-relatedaspects of the proposal.Communications should identify theairspace docket number and besubmitted in triplicate to the addresslisted under the caption ADDRESSES.Commenters wishing the FAA toacknowledge receipt of their commentson this notice must submit, with thosecomments, a self-addressed, stamped,postcard containing the followingstatement: ‘‘Comments to AirspaceDocket No. 96–ASW–07.’’ The postcardwill be date and time stamped andreturned to the commenter. Allcommunications received on or beforethe specified closing date for commentswill be considered before taking actionon the proposed rule. The proposalcontained in this notice may be changedin the light of comments received. Allcomments submitted will be availablefor examination in the Office of theAssistant Chief Counsel, FederalAviation Administration, SouthwestRegion, 2601 Meacham Boulevard, FortWorth, TX, both before and after theclosing date for comments. A reportsummarizing each substantive publiccontact with FAA personnel concernedwith this rulemaking will be filed in thedocket.

Availability of NPRM’s

And person may obtain a copy of thisNotice of Proposed Rulemaking (NPRM)by submitting a request to theOperations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Fort Worth, TX76193–0530. Communications mustidentify the notice number of thisNPRM. Persons interested in beingplaced on a mailing list for futureNPRM’s should also request a copy ofAdvisory Circular No. 11–2A thatdescribes the application procedure.

The Proposal

The FAA is considering anamendment to part 71 of the FederalAviation Regulations (14 CFR part 71) torevise Class E airspace, controlledairspace extending upward from thesurface at Ardmore Municipal Airport,Ardmore, OK. The need to extend theClass E airspace to encompass thecurrent VOR SIAP to RWY 04 has madethis proposal necessary. Designatedairspace extending upward from surfaceis now Class E airspace, which extendsfrom the Class D surface airspace. Theintended effect of this proposal is toprovide adequate Class E surfaceairspace for aircraft executing the VORSIAP to RWY 04 at Ardmore MunicipalAirport, Ardmore, OK. The coordinatesfor this airspace docket are based onNorth American Datum 83.

Designated Class E airspace areasextending upward from the surface asan extension of Class D airspace arepublished in Paragraph 6004 of FAAOrder 7400.9C dated August 17, 1995,and effective September 16, 1995, whichis incorporated by reference in 14 CFR71.1 The Class E airspace designationlisted in this document would bepublished subsequently in the order.

The FAA has determined that thisproposed regulation only involves anestablished body of technicalregulations that need frequent androutine amendments to keep themoperationally current. It, therefore—(1)is not a ‘‘significant regulatory action’’under Executive Order 12866; (2) is nota ‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034; February 26, 1979); and (3)does not warrant preparation of aregulatory evaluation as the anticipatedimpact is so minimal. Since this is aroutine matter that will only affect airtraffic procedures and air navigation, itis certified that this rule, whenpromulgated, will not have a significantimpact on a substantial number of smallentities under the criteria of theRegulatory Flexibility Act.


Navigation (air).

The Proposed AmendmentIn consideration of the foregoing, the

Federal Aviation Administrationproposes to amend 14 CFR part 71 asfollows:

PART 71—[AMENDED]





Paragraph 6004 Class E airspace areasdesignated as an extension to a Class D orClass E surface area.

* * * * *

ASW OK E4 Ardmore, OK [Revised]Ardmore, Ardmore Municipal Airport

(lat. 34°18′12′′ N., long. 097°01′02′′ W.)Ardmore VORTAC

(lat. 34°12′42′′ N., long. 097°10′06′′ W.)That airspace extending upward from the

surface within 1.3 miles each side of the 056°radial of the Ardmore VORTAC extendingfrom the 4.2-mile radius of airport to 8.5 milesouthwest of the airport. This Class Eairspace area is effective during the specificdates and times established in advance by aNotice to Airman. The effective date and timewill thereafter be continuously published inthe Airport/Facility Directory.* * * * *


14 CFR Part 71


Proposed Revision of Class EAirspace; Pauls Valley, OK


SUMMARY: This notice proposes to revisethe Class E airspace extending upwardfrom 700 feet above ground level (AGL)at Pauls Valley, OK. A new Global


Positioning System (GPS) StandardInstrument Approach Procedure (SIAP)to Runway (RWY) 35 and an amendedNondirectional Radio Beacon (NDB)SIAP to RWY 35 at Pauls ValleyMunicipal Airport has made thisproposal necessary. The intended effectof this proposal is to provide adequatecontrolled airspace for aircraft executingthe GPS and NDB SIAP to RWY 35 atPauls Valley, OK.DATES: Comments must be received onor before August 19, 1996.ADDRESSES: Send comments on theproposal in triplicate to Manager,Operations Branch, Air Traffic Division,Federal Aviation Administration,Southwest Region, Docket No. 96–ASW–09, Fort Worth, TX 76193–0530.




participate in this proposed rulemakingby submitting such written data, views,or arguments as they may desire.Comments that provide the factual basissupporting the views and suggestionspresented are particularly helpful indeveloping reasoned regulatorydecisions on the proposal. Commentsare specifically invited on the overallregulatory, aeronautical, economic,environmental, and energy-relatedaspects of the proposal.Communications should identify theairspace docket number and besubmitted in triplicate to the addresslisted under the caption ADDRESSES.Commenters wishing the FAA toacknowledge receipt of their commentson this notice must submit, with thosecomments, a self-addressed, stamped,postcard containing the followingstatement: ‘‘Comments to AirspaceDocket No. 96–ASW–09.’’ The postcardwill be date and time stamped andreturned to the commenter. Allcommunications received on or before

the specified closing date for commentswill be considered before taking actionon the proposed rule. The proposalcontained in this notice may be changedin the light of comments received. Allcomments submitted will be availablefor examination in the Office of theAssistant Chief Counsel, FederalAviation Administration, SouthwestRegion, 2601 Meacham Boulevard, FortWorth, TX, both before and after theclosing date for comments. A reportsummarizing each substantive publiccontact with FAA personnel concernedwith this rulemaking will be filed in thedocket.




amendment to part 71 of the FederalAviation Regulations (14 CFR part 71) torevise the Class E airspace, controlledairspace extending upward from 700feet AGL, at Pauls Valley MunicipalAirport, Pauls Valley, OK. A new GPSand an amended NDB SIAP’s to RWY 35have made this proposal necessary. Theintended effect of this proposal is toprovide adequate Class E airspace foraircraft executing the GPS and NDBSIAP to Rwy 35 at Pauls Valley, OK.

The coordinates for this airspacedocket are based on North AmericanDatum 83. Designated Class E airspaceareas extending upward from 700 feet ormore above ground level are publishedin Paragraph 6005 of FAA Order7400.9C, dated August 17, 1995, andeffective September 16, 1995, which isincorporated by reference in 14 CFR71.1. The Class E airspace designationlisted in this document would bepublished subsequently in the order.

The FAA has determined that thisproposed regulation only involves anestablished body of technicalregulations that need frequent androutine amendments to keep themoperationally current. It, therefore—(1)Is not a ‘‘significant regulatory action’’under Executive Order 12866; (2) is nota ‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034; February 26, 1979); and (3)

does not warrant preparation of aregulatory evaluation as the anticipatedimpact is so minimal. Since this is aroutine matter that will only affect airtraffic procedures and air navigation, itis certified that this rule, whenpromulgated, will not have a significantimpact on a substantial number of smallentities under the criteria of theRegulatory Flexibility Act.





PART 71—[AMENDED]



§ 71.1 [Amended]



* * * * *

ASW OK E5 Pauls Valley, OK [Revised]

Pauls Valley Municipal Airport, OK(Lat. 34°42′45′′ N., long. 97°13′31′′ W.)

Pauls Valley NBD(Lat. 34°42′55′′ N., long. 97°13′44′′ W.)That airspace extending upward from 700

feet above the surface within a 6.6-mileradius of Pauls Valley Municipal Airport andwithin 2.6 miles each side of the 169° bearingfrom the Pauls Valley NDB extending fromthe 6.6-mile radius to 7.6 miles south of theairport.

* * * * *Issued in Fort Worth, TX on June 11, 1996.

Albert L. Viselli,Acting Manager, Air Traffic Division,Southwest Region.[FR Doc. 96–15425 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M



Office of Surface Mining Reclamationand Enforcement

30 CFR Part 946

[VA–108–FOR]

Virginia Regulatory Program

AGENCY: Office of Surface MiningReclamation and Enforcement (OSM),Interior.ACTION: Proposed rule; public commentperiod and opportunity for publichearing.

SUMMARY: OSM is announcing receipt ofa proposed amendment to the Virginiaregulatory program (hereinafter referredto as the Virginia program) under theSurface Mining Control andReclamation Act of 1977 (SMCRA). Theproposed amendment consists ofregulatory changes to implement theremining standards of the FederalEnergy Policy act of 1992. Theamendment is intended to revise theState program to be consistent with theFederal regulations as amended onNovember 27, 1995 (60 FR 58480).DATES: Written comments must bereceived by 4:00 p.m., on July 19, 1996.If requested, a public hearing on theproposed amendment will be held onJuly 15, 1996. Requests to speak at thehearing must be received by 4:00 p.m.,on July 5, 1996.ADDRESSES: Written comments andrequests to speak at the hearing shouldbe mailed or hand delivered to Mr.Robert A. Penn, Director, Big Stone GapField Office at the First address listedbelow.

Copies of the Virginia program, theproposed amendment, a listing of anyscheduled public hearings, and allwritten comments received in responseto this document will be available forpublic review at the addresses listedbelow during normal business hours,Monday through Friday, excludingholidays. Each requestor may receiveone free copy of the proposedamendment by contacting OSM’s BigStolen Gap Field Office.Office of Surface Mining Reclamation and

Enforcement, Big Stone Gap Field Office,1941 Neeley Road, Suite 201 Compartment116, Big Stone Gap, Virginia 24219,Telephone: (703) 523–4303

Virginia Division of Mined LandReclamation, P.O. Drawer 900, Big StoneGap, Virginia 24219, Telephone: (703) 523–8100.

FOR FURTHER INFORMATION CONTACT:Mr. Robert A. Penn, Director, Big StoneGap Field Office, Telephone: (703) 523–4303.


1. Background on the Virginia ProgramOn December 15, 1981, the Secretary

of the Interior conditionally approvedthe Virginia program. Backgroundinformation on the Virginia program,including the Secretary’s findings, thedisposition of comments, and theconditions of approval can be found inthe December 15, 1981, Federal Register(46 FR 61085–61115). Subsequentactions concerning the conditions ofapproval and program amendments canbe found at 30 CFR 946.12, 946.13,946.15, and 946.16.

II. Discussion of the ProposedAmendment

By letter dated May 28, 1996(Administrative Record No. VA–885),Virginia submitted amendments to theVirginia program concerning remining.The amendments are intended to makethe Virginia program consistent with theFederal regulations as amended onNovember 27, 1995 (60 FR 58480).Virginia stated that the proposedamendments implement the reminingstandards of the Federal Energy PolicyAct of 1992.

The proposed amendments are asfollows:

1. § 480–03–19.700.5 Definitions

(a) ‘‘Lands eligible for remining’’ hasbeen added to mean those lands thatwould otherwise be eligible forexpenditures under section 404 orunder section 402(g)(4) of the FederalAct.

(b) ‘‘Unanticipated event orcondition’’ has been added to mean (asused in § 480–03–19.773.15), an eventor condition related to prior miningactivity which arises from a surface coalmining and reclamation operation onlands eligible for remining and was notcontemplated by the applicable permit.

2. § 480–03–19.773.15 Review ofPermit Applications

(a) New subsection (b)(4) has beenadded to provide, at (b)(4)(I) thatsubsequent to October 24, 1992, theprohibitions of paragraph (b) of thissection regarding issuance of a newpermit shall not apply to any violationthat: Occurs after that date; is unabated;and results from an unanticipated eventor condition that arises from a surfacecoal mining and reclamation operationon lands that are eligible for reminingunder a permit—issued beforeSeptember 30, 2004, or any renewalsthereof, and held by the person makingapplication for the new permit.

New subsection (b)(4)(ii) provides thatfor permits issued under § 480–03–

19.785.25 of this chapter, an event orcondition shall be presumed to beunanticipated for the purpose of thisparagraph if it: arose after permitissuance; was related to prior mining;and was not identified in the permit.

(b) New subsection (c)(14) has beenadded to provide that for permits to beissued under § 480–03–19.785.25 of thischapter, the permit application mustcontain: lands eligible for remining; anidentification of the potentialenvironmental and safety problemsrelated to prior mining activity whichcould reasonably be anticipated to occurat the site; and mitigation plans tosufficiently address these potentialenvironmental and safety problems sothat reclamation as required by theapplicable requirements of this chaptercan be accomplished.

3. § 480–03–19.785.25 Lands Eligiblefor Remining

This new section contains permittingrequirements to implement § 480–03–19.773.15(b)(4), and provides that: (a)Any persons who submits a permitapplication to conduct a surface coalmining operation on lands eligible forremining must comply with this section.(b) any application for a permit underthis section shall be made according toall requirements of this subchapterapplicable to surface coal mining andreclamation operations. In addition, theapplication shall—(1) to the extent nototherwise addressed in the permitapplication, identify potentialenvironmental and safety problemsrelated to prior mining activity at thesite and that could be reasonablyanticipated to occur. This identificationshall be based on a due diligenceinvestigation which shall include visualobservations at the site, a record reviewof past mining at the site, andenvironmental sampling tailored tocurrent site conditions. (2) with regardto potential environmental and safetyproblems referred to in paragraph (b)(1)of this section, described the mitigativemeasures that will be taken to ensurethat the applicable reclamationrequirements of this chapter can be met.(c) The requirements of this sectionshall not apply after September 30,1004.

4. § 480–03–19.816/817.116Revegetation: Standards for success

Subsections (c)(2)(I) have beenamended by adding the phrase ‘‘exceptas provided in paragraph (c)(2)(ii) of thissection’’ to the first sentence. Thismodification was made in response tothe new language added at subsection(c)(2)(ii), and that is identified below.


New subsections (c)(2)(ii) provide thatthe responsibility period shall be twofull years for lands eligible for reminingincluded in permits issued beforeSeptember 30, 2004, or any renewalsthereof. To the extent that the successstandards are established by paragraph(b)(5) of this section, the lands shallequal or exceed the standards during thegrowing season of the last year of theresponsibility period.

III. Public Comment ProceduresIn accordance with the provisions of

30 CFR 732.17(h), OSM is now seekingcomments on whether the amendmentsproposed by Virginia satisfy theapplicable program approval criteria of30 CFR 732.15. If the amendments aredeemed adequate, they will become partof the Virginia program.

Written CommentsWritten comments should be specific,

pertain only to the issues proposed inthis rulemaking, and includeexplanations in support of thecommenter’s recommendations.Comments received after the timeindicated under DATES or at locationsother than the Big Stone Gap FieldOffice will not necessarily beconsidered in the final rulemaking orincluded in the Administrative Record.

Public HearingPersons wishing to comment at the

public hearing should contact theperson listed under FOR FURTHERINFORMATION CONTACT by close ofbusiness on July 5, 1996. If no onerequests an opportunity to comment ata public hearing, the hearing will not beheld.

Filing of a written statement at thetime of the hearing is requested as itwill greatly assist the transcriber.Submission of written statements inadvance of the hearing will allow OSMofficials to prepare adequate responsesand appropriate questions.

The public hearing will continue onthe specified date until all personsscheduled to comment have been heard.Persons in the audience who have notbeen scheduled to comment, and whowish to do so, will be heard followingthose scheduled. The hearing will endafter all persons scheduled to commentsand persons present in the audiencewho wish to comment have been heard.

Public MeetingIf only one person requests an

opportunity to comment at a hearing, apublic meeting, rather than a publichearing, may be held. Persons wishingto meet with OSM representatives todiscuss the proposed amendments may

request a meeting at the Big Stone GapField Office by contacting the personlisted under FOR FURTHER INFORMATIONCONTACT. All such meetings will beopen to the public and, if possible,notices of meetings will be posted inadvance at the locations listed underADDRESSES. A written summary of eachpublic meeting will be made part of theAdministrative Record.

Any disabled individual who hasneed for a special accommodation toattend a public hearing should contactthe individual listed under FOR FURTHERINFORMATION CONTACT.

VI. Procedural Determinations


This rule is exempted from review bythe Office of Management and Budget(OMB) under Executive Order 12866(Regulatory Planning and Review).


The Department of the Interior hasconducted the reviews by section 3 ofExecutive Order 12778 (Civil JusticeReform) and has determined that, to theextent allowed by law, this rule meetsthe applicable standards of subsections(a) and (b) of that section. However,these standards are not applicable to theactual language of State regulatoryprograms and program amendmentssince each such program is drafted andpromulgated by a specific State, not byOSM. Under sections 503 and 505 ofSMCRA (30 U.S.C. 1253 and 1255) and30 CFR 730.11, 732.15 and732.17(h)(10), decisions on proposedState regulatory programs and programamendments submitted by the Statesmust be based solely on a determinationof whether the submittal is consistentwith SMCRA and its implementingFederal regulations and whether theother requirements of 30 CFR Parts 730,731, and 732 have been met.

National Environmental Policy Act

No environmental impact statement isrequired for this rule since section702(d) of SMCRA [30 U.S.C. 1292(d)]provides that agency decisions onproposed State regulatory programprovisions do not constitute majorFederal actions within the meaning ofsection 102(2)(C) of the NationalEnvironmental Policy Act (42 U.S.C.4332(2)(C)).


This rule does not containinformation collection requirements thatrequire approval by OMB under thePaperwork Reduction Act (44 U.S.C.3507 et seq.)

Regulatory Flexibility ActThe Department of the Interior has

determined that this rule will not havea significant economic impact on asubstantial number of small entitiesunder the Regulatory Flexibility Act (5U.S.C. 601 et seq.). The State submittalwhich is the subject of this rule is basedupon counterpart Federal regulations forwhich an economic analysis wasprepared and certification made thatsuch regulations would not have asignificant economic effect upon asubstantial number of small entities.Accordingly, this rule will ensure thatexisting requirements previouslypromulgated by OSM will beimplemented by the State. In making thedetermination as to whether this rulewould have a significant economicimpact, the Department relied upon thedata and assumptions for thecounterpart Federal regulations.

Unfunded MandatesThis rule will not impose a cost of

$100 million or more in any given yearon any governmental entity or theprivate sector.

List of Subjects in 30 CFR Part 946Intergovernmental relations, Surface

mining, Underground mining.Dated: June 7, 1996.

Allen D. Klein,Regional Director, Appalachian RegionalCoordinating Center.[FR Doc. 96–15622 Filed 6–18–96; 8:45 am]BILLING CODE 4310–05–M


Fiscal Service

31 CFR Part 356

Office of the Assistant Secretary forFinancial Markets; Amendments to theUniform Offering Circular for the Saleand Issue of Marketable Book-EntryTreasury Bills, Notes and Bonds

AGENCY: Office of the AssistantSecretary for Financial Markets,Treasury.ACTION: Notice of extension of time forsubmission of comments.

SUMMARY: This document extends untilJuly 3, 1996, the deadline for thesubmission of comments on theAdvance Notice of ProposedRulemaking soliciting comments on thedesign details, terms and conditions,and other features of a new type ofmarketable book-entry security theTreasury intends to issue. This security,an inflation-protection note or bond,


would have a return linked to theinflation rate in prices or wages. Theadvance notice of proposed rulemakingwas published in the Federal Registeron May 20, 1996 (61 FR 25164) andcomments were to be received on orbefore June 19, 1996.

DATES: Comments must be submitted onor before July 3, 1996.

ADDRESSES: Comments should be sentto: Government Securities RegulationsStaff, Bureau of the Public Debt,Department of the Treasury, 999 EStreet, NW., Room 515, Washington, DC20239–0001. Comments received will beavailable for public inspection andcopying at the Treasury DepartmentLibrary, Room 5030, Main TreasuryBuilding, 1500 Pennsylvania Avenue,NW., Washington, DC 20220.

FOR FURTHER INFORMATION CONTACT:Norman Carleton, Director, Office ofFederal Finance Policy Analysis, Officeof the Assistant Secretary for FinancialMarkets, at 202–622–2680.

SUPPLEMENTARY INFORMATION: TheDepartment of the Treasury (Departmentor Treasury) announced its intention toissue a new type of marketable book-entry security with a nominal returnlinked to the inflation rate in prices orwages, as officially published by theUnited States Government. In theadvance notice of proposed rulemakingthat was published May 20, 1996, theTreasury specifically requestedcomments concerning the choice ofindex, structure of the security, auctiontechnique, offering sizes, and maturities.The Treasury also invited comments onother specific issues raised, as well ason any other issues relevant to the newtype of security.

Given the importance of this issueand the desire to provide sufficient timefor parties to evaluate and considerTreasury’s inflation-protection securityproposal, particularly since a series ofpublic meetings to describe further theDepartment’s current thinking on thesubject and to obtain potential investorinput just concluded on June 12, 1996,the Department believes that additionaltime is appropriate for marketparticipants and other interested partiesto provide written comments. Therefore,the Department is extending thecomment period for 14 days untilWednesday, July 3, 1996.

Dated: June 14, 1996.Roger L. Anderson,Deputy Assistant Secretary, Federal Finance.[FR Doc. 96–15658 Filed 6–14–96; 3:58 pm]BILLING CODE 4810–39–M


40 CFR Part 52

[LA–16–1–7165b; FRL–5522–7]

Approval and Promulgation of AirQuality Plans; Louisiana; Revision tothe State Implementation Plan (SIP);Addressing Ozone Monitoring

AGENCY: Environmental ProtectionAgency (EPA).ACTION: Proposed rule.

SUMMARY: The EPA is proposing toapprove a revision to Louisiana’s SIP forozone. This action is based upon arevision request which was submittedby the State to satisfy the requirementsof the Clean Air Act, as amendedNovember 15, 1990, and thePhotochemical Assessment MonitoringStations (PAMS) regulations. The PAMSregulations require the State to providefor the establishment and maintenanceof an enhanced ambient air qualitymonitoring network in the form ofPAMS by November 12, 1993.

In the final rules section of thisFederal Register, the EPA is approvingthe State’s SIP revision as a direct finalrule without prior proposal because theAgency views this as a noncontroversialamendment and anticipates no adversecomments. A detailed rationale for theapproval is set forth in the direct finalrule. If no adverse comments arereceived in response to this proposedrule, no further activity is contemplatedin relation to this rule. If the EPAreceives adverse comments, the directfinal rule will be withdrawn, and allpublic comments received will beaddressed in a subsequent final rulebased on this proposed rule. The EPAwill not institute a second commentperiod on this action. Any partiesinterested in commenting on this actionshould do so at this time.DATES: Comments on this proposed rulemust be received in writing by July 19,1996.ADDRESSES: Written comments on thisaction should be addressed to Mr.Thomas H. Diggs, Chief, Air PlanningSection (6PD–L), at the EPA RegionalOffice listed below. Copies of thedocuments relevant to this proposedrule are available for public inspectionduring normal business hours at thefollowing locations. Interested personswanting to examine these documentsshould make an appointment with theappropriate office at least 24 hoursbefore the visiting day.U.S. Environmental Protection Agency,

Region 6, Multimedia Planning and

Permitting Divison, 1445 RossAvenue, Suite 700, Dallas, Texas75202–2733, telephone (214) 665–7214.

Louisiana Department of EnvironmentalQuality, Office of Air Quality andRadiation Protection, H. B. GarlockBuilding, 7290 Bluebonnet Blvd.,Baton Rouge, Louisiana 70810.

FOR FURTHER INFORMATION CONTACT: Ms.Jeanne McDaniels, Air Planning Section(6PD–L), Multimedia Planning andPermitting Division, U.S. EnvironmentalProtection Agency, Region 6, 1445 RossAvenue, Dallas, Texas 75202–2733,telephone (214) 665–7254.SUPPLEMENTARY INFORMATION: See theinformation provided in the direct finalaction of the same title which is locatedin the rules section of the FederalRegister.

Dated: June 10, 1996.Allyn M. Davis,Acting Regional Administrator.[FR Doc. 96–15590 Filed 6–18–96; 8:45 am]BILLING CODE 6560–50–P

40 CFR Part 180

[PP 2E4042/P661; FRL–5374–6]

RIN 2070–AC18

Chlorothalonil; Pesticide Tolerance forUse in or on Asparagus


SUMMARY: EPA proposes to establish atolerance for combined residues of thefungicide chlorothalonil and itsmetabolite in or on the raw agriculturalcommodity asparagus. The proposedregulation to establish a maximumpermissible level for residues of thefungicide was requested in a petitionsubmitted by the Interregional ResearchProject No. 4 (IR-4).DATES: Comments, identified by thedocket number [PP 2E4042/P661], mustbe received on or before July 19, 1996.ADDRESSES: By mail, submit writtencomments to: Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, 401 M St., SW,Washington, DC 20460. In person, bringcomments to: Rm. 1132, CM #2, 1921Jefferson Davis Highway, Arlington, VA22202.

Comments and data may also besubmitted to OPP by sending electronicmail (e-mail) to: [email protected]. Electroniccomments must be submitted as an


ASCII file avoiding the use of specialcharacters and any form of encryption.Comments and data will also beaccepted on disks in WordPerfect 5.1file format or ASCII file format. Allcomments and data in electronic formmust be identified by the docket number[PP 2E4042/P661]. Electronic commentson this proposed rule may be filedonline at many Federal DepositoryLibraries. Additional information onelectronic submissions can be found inthe ‘‘SUPPLEMENTARYINFORMATION’’ section of thisdocument.

Information submitted as a commentconcerning this document may beclaimed confidential by marking anypart or all of that information as‘‘Confidential Business Information’’(CBI). CBI should not be submittedthrough e-mail. Information marked asCBI will not be disclosed except inaccordance with procedures set forth in40 CFR part 2. A copy of the commentthat does not contain CBI must besubmitted for inclusion in the publicrecord. Information not markedconfidential may be disclosed publiclyby EPA without prior notice. All writtencomments will be available for publicinspection in Rm. 1132 at the addressgiven above, from 8 a.m. to 4:30 p.m.,Monday through Friday, excluding legalholidays.

FOR FURTHER INFORMATION CONTACT: Bymail: Hoyt L. Jamerson, RegistrationDivision (7505W), Office of PesticidePrograms, Environmental ProtectionAgency, 401 M St. SW., Washington, DC20460. Office location and telephonenumber: Sixth Floor, Crystal Station #1,2800 Jefferson Davis Highway,Arlington, VA 22202, (703) 308-8783; e-mail: [email protected].

SUPPLEMENTARY INFORMATION: TheInterregional Research Project No. 4 (IR-4), New Jersey Agricultural ExperimentStation, P.O. Box 231, RutgersUniversity, New Brunswick, NJ 08903,has submitted pesticide petition (PP)2E4042 to EPA on behalf of theAgricultural Experiment Stations ofKentucky, North Carolina, Oklahoma,Virginia, and Washington.

This petition requests that theAdministrator, pursuant to section408(e) of the Federal Food, Drug, andCosmetic Act (FFDCA), 21 U.S.C.346a(e), amend 40 CFR 180.275 byestablishing a tolerance for combinedresidues of the fungicide chlorothalonil[tetrachloroisophthalonitrile] and itsmetabolite, 4-hydroxy-2,5,6-trichloroisophthalonitrile, in or on theraw agricultural commodity asparagusat 0.1 part per million (ppm).

The scientific data submitted in thepetition and other relevant materialhave been evaluated. A discussion ofthe toxicological data considered insupport of the proposed tolerance forasparagus can be found in a proposedrule (PP 0E3889, 2E4113, and 5E4538/P639) published in the Federal Registerof January 24, 1996 (61 FR 1884). TheFederal Register notice of January 24,1996, also provides a discussion of thebasis for the EPA’s classification ofchlorothalonil and hexachlorobenzene(HCB), a manufacturing impurity foundin chlorothalonil formulations, asprobable human carcinogens (Group B2of EPA’s classification system forcarcinogens).

Dietary risk assessments wereconducted using Reference Doses (RfD),the applicable cancer potency factors toassess chronic exposure and risk fromchlorothalonil and HCB residues, andthe Margin of Exposure (MOE) to assessacute toxicity from chlorothalonilresidues.

The Reference Dose (RfD) forchlorothalonil is established at 0.018mg/kg of body weight (bwt)/day, basedon a no-observed-effect-level (NOEL) of1.8 mg/kg/day from the 2–year feedingstudy in dogs, which demonstrated aseffects increased urinary bilirubin levelsand kidney vacuolated epithelium, andan uncertainty factor of 100. Availableinformation on anticipated residuesand/or percent of crop treated wasincorporated into the analysis toestimate the Anticipated ResidueContribution (ARC) from existing uses.The proposed tolerance level of 0.1 ppmand 100 percent crop treated wereassumed to estimate dietary exposure toresidues of chlorothalonil from theproposed use on asparagus. The ARCfrom existing uses and the proposeduses utilizes less than 1 percent of theRfD for chlorothalonil for the U.S.population and all populationsubgroups. EPA generally has no causefor concern for exposures below 100percent of the RfD.

The RfD for HCB is established at0.0008 mg/kg bwt/day based on a NOELof 0.08 mg/kg of bwt/day and anuncertainty factor of 100. The NOELwas taken from a 130 week feedingstudy in rats that showed hepaticcentrilobular basophilic chromogenesis.Since there are no published tolerancesfor HCB, the ARC was generallycalculated by multiplying theanticipated residues for chlorothalonilby 0.05 percent, an adjustment based oncomparisons of residue data for the twocompounds from controlled field trials.The ARC for HCB from existing uses ofchlorothalonil and the proposed use onasparagus utilizes less than 1 percent of

the RfD for the U.S. population and allpopulation subgroups.

The upper bound carcinogenic riskswere calculated using the ARC estimatesfor dietary exposure from existing usesand the proposed use on asparagus, andQ*s (Q stars) of 0.00766 (mg/kg/day)-1

for chlorothalonil and 1.02 (mg/kg/day)-1 for HCB. The upper boundcarcinogenic risk from existing and allpending uses of chlorothalonil isestimated at 6.5 × 10-7, with theproposed use for asparagus contributing1.05 × 10-8 to the cancer risk assessment.The upper bound carcinogenic risk forHCB is estimated at 3.2 × 10-7 fromexisting and all pending uses, with theproposed use for asparagus contributing1.2 × 10-7 to the cancer risk assessment.The proposed use on asparagus wouldcontribute negligible increases in thetotal cancer risks from dietary exposureto residues of chlorothalonil and HCB.

The Margin of Exposure (MOE) is ameasure of how closely the high-endacute dietary exposure comes to theNOEL from the toxicity endpoint ofconcern. For chlorothalonil, the MOEwas calculated as ratio of the lowest-observed effect level (LOEL) of 175 mg/kg/day from the subchronic study inrats. A NOEL was not established sincean effect (renal and gastric lesions) wasobserved at the single dose tested. Anuncertainty factor of 300 was used tocalculate the MOE since there was noavailable NOEL from the study. Theacute dietary MOE for chlorothalonil iscalculated to be greater than 1,500 forthe general population and allpopulation subgroups. Chlorothalonilposes minimal acute dietary risk.

The nature of the residue in asparagusis adequately understood. The parentcompound and its metabolite (4-hydroxy- 2,5,6-trichloroisophthalonitrile) are theregulated residues. An adequateanalytical method, is available forenforcement purposes. The method islisted in the Pesticide AnalyticalManual, Volume II (PAM II).

There is no reasonable expectationthat secondary residues will occur inmilk, eggs, or meat, fat, or meatbyproducts of livestock or poultry as aresult of this action; there are nolivestock feed items associated withasparagus.

There are presently no actionspending against the continuedregistration of this chemical. Thepesticide is considered useful for thepurpose for which the tolerance issought.

Based on the information and dataconsidered, the Agency has determinedthat the tolerance established byamending 40 CFR part 180 would


protect the public health. Therefore, it isproposed that the tolerance beestablished as set forth below.

Any person who has registered orsubmitted an application for registrationof a pesticide, under the FederalInsecticide, Fungicide, and RodenticideAct (FIFRA) as amended, whichcontains any of the ingredients listedherein, may request within 30 days afterpublication of this notice in the FederalRegister that this rulemaking proposalbe referred to an Advisory Committee inaccordance with section 408(e) of theFFDCA.

Interested persons are invited tosubmit written comments on theproposed regulation. Comments mustbear a notation indicating the docketnumber [PP 2E4042/P661].

A record has been established for thisrulemaking under docket number [PP2E4042/P661] (including comments anddata submitted electronically asdescribed below). A public version ofthis record, including printed, paperversions of electronic comments, whichdoes not include any informationclaimed as CBI, is available forinspection from 8 a.m. to 4:30 p.m.,Monday through Friday, excluding legalholidays. The public record is located inRoom 1132 of the Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, Crystal Mall #2,1921 Jefferson Davis Highway,Arlington, VA.

The official record for thisrulemaking, as well as the publicversion, as described above will be keptin paper form. Accordingly, EPA willtransfer all comments receivedelectronically into printed, paper formas they are received and will place thepaper copies in the official rulemakingrecord which will also include allcomments submitted directly in writing.The official rulemaking record is thepaper record maintained at the Virginiaaddress in ‘‘ADDRESSES’’ at thebeginning of this document.

Under Executive Order 12866 (58 FR51735, Oct. 4, 1993), the Agency mustdetermine whether the regulatory actionis ‘‘significant’’ and therefore subject toall the requirements of the ExecutiveOrder (i.e., Regulatory Impact Analysis,review by the Office of Management andBudget (OMB)). Under section 3(f), theorder defines ‘‘significant’’ as thoseactions likely to lead to a rule (1) havingan annual effect on the economy of $100million or more, or adversely andmaterially affecting a sector of theeconomy, productivity, competition,jobs, the environment, public health orsafety, or State, local or tribal

governments or communities (alsoknown as ‘‘economically significant’’);(2) creating serious inconsistency orotherwise interfering with an actiontaken or planned by another agency; (3)materially altering the budgetaryimpacts of entitlement, grants, user fees,or loan programs; or (4) raising novellegal or policy issues arising out of legalmandates, the President’s priorities, orthe principles set forth in t hisExecutive Order. Pursuant to the termsof this Executive Order, EPA hasdetermined that this rule is not‘‘significant’’ and is therefore not subjectto OMB review.


Pursuant to the requirements of theRegulatory Flexibility Act (5 U.S.C.601–612), the Administrator hasdetermined that regulations establishingnew tolerances or raising tolerancelevels or establishing exemptions fromtolerance requirements do not have asignificant economic impact on asubstantial number of small entities. Acertification statement explaing thefactual basis for this determination waspublished in the Federal Register ofMay 4, 1981 (46 FR 24950).


Administrative practice and procedure,Agricultural commodities, Pesticidesand pests, Reporting and recordkeepingrequirements.Dated: June 4, 1996.


Therefore, it is proposed that 40 CFRpart 180 be amended as follows:



Authority: 21 U.S.C. 346a and 371.2. In § 180.275, the table in paragraph

(a) is amended by adding alphabeticallythe raw agricultural commodityasparagus, to read as follows:

§ 180.275 Chlorothalonil; tolerances forresidues.

(a) * * *


* * * * *Asparagus ................................. 0.10

* * * * *

* * * * *


40 CFR Part 180

[PP 6E4653/P665; FRL–5377–4]

RIN 2070–AC18

Sodium Salt of Fomesafen; PesticideTolerance


SUMMARY: EPA proposes to establish atime-limited tolerance for residues ofthe herbicide sodium salt of fomesafen(also referred to in this document asfomesafen) in or on the raw agriculturalcommodity snap beans. The proposedregulation to establish a maximumpermissible level for residues of theherbicide was requested in a petitionsubmitted by the Interregional ResearchProject No. 4 (IR-4).DATES: Comments, identified by thedocket number [PP 6E4653/P665], mustbe received on or before July 19, 1996.ADDRESSES: By mail, submit writtencomments to: Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. In person, bringcomments to: Rm. 1132, CM #2, 1921Jefferson Davis Highway, Arlington, VA22202.

Comments and data may also besubmitted to OPP by sending electronicmail (e-mail) to:

[email protected] comments must be

submitted as an ASCII file avoiding theuse of special characters and any formof encryption. Comments and data willalso be accepted on disks inWordPerfect 5.1 file format or ASCII fileformat. All comments and data inelectronic form must be identified bythe docket number [PP 6E4653/P665].Electronic comments on this proposedrule may be filed online at many FederalDepository Libraries. Additional


information on electronic submissionscan be found in the‘‘SUPPLEMENTARY INFORMATION’’section of this document.

Information submitted as a commentconcerning this document may beclaimed confidential by marking anypart or all of that information as‘‘Confidential Business Information’’(CBI). CBI should not be submittedthrough e-mail. Information marked asCBI will not be disclosed except inaccordance with procedures set forth in40 CFR part 2. A copy of the commentthat does not contain CBI must besubmitted for inclusion in the publicrecord. Information not markedconfidential may be disclosed publiclyby EPA without prior notice. All writtencomments will be available for publicinspection in Rm. 1132 at the addressgiven above, from 8 a .m. to 4:30 p.m.,Monday through Friday, excluding legalholidays.FOR FURTHER INFORMATION CONTACT: Bymail: Hoyt L. Jamerson, RegistrationDivision (7505W), Office of PesticidePrograms, Environmental ProtectionAgency, 401 M St. SW., Washington, DC20460. Office location and telephonenumber: Sixth Floor, Crystal Station #1,2800 Jefferson Davis Highway,Arlington, VA 22202, (703) 308–8783; e-mail: [email protected] INFORMATION: TheInterregional Research Project No. 4 (IR-4), New Jersey Agricultural ExperimentStation, P.O. Box 231, RutgersUniversity, New Brunswick, NJ 08903,has submitted pesticide petition (PP)6E4653 to EPA on behalf of theAgricultural Experiment Stations ofArkansas, Georgia, Kentucky,Minnesota, New York, North Carolina,Tennessee, and Virginia.

This petition requests that theAdministrator, pursuant to section408(e) of the Federal Food, Drug, andCosmetic Act (FFDCA), 21 U.S.C.346a(e), amend 40 CFR 180.433 byestablishing a time-limited tolerance forresidues of the sodium salt offomesafen, 5-[2-chloro-4-(trifluoromethyl)phenoxy]-N-(methylsulfonyl)-2-nitrobenzamide, inor on the raw agricultural commoditysnap beans at 0.05 parts per million(ppm). IR-4 proposed that registrationfor use of fomesafen on snap beans begeographically limited to the followingstates: Alabama, Arkansas, Delaware,Georgia, Indiana, Illinois, Iowa, Kansas,Kentucky, Louisiana, Maine, Maryland,Massachusetts, Michigan, Minnesota,Missouri, Mississippi, Nebraska, NewHampshire, New Jersey, New York,North Carolina, Oklahoma, Ohio,Pennsylvania, Rhode Island, South

Carolina, Tennessee, Texas, Vermont,Virginia, West Virginia, and Wisconsin.Additional geographical restrictions,within these states, will be specified onthe pesticide label.

EPA is proposing to establish thistolerance with an expiration date ofDecember 31, 1998, to allow IR-4 timeto conduct additional residue field trialsin support of a permanent tolerance forregional registration for use offomesafen on snap beans. The availableresidue data show no-detectableresidues (less than 0.05 ppm) on snapbeans from the proposed use pattern.The requested residue field trials areexpected to provide confirmatory datain support of a permanent tolerance forresidues of fomesafen on snap beans at0.05 ppm.

The scientific data submitted in thepetition and other relevant materialhave been evaluated. The toxicologicaldata considered in support of theproposed tolerance include:

(1) A 6–month feeding study in dogsfed diets containing 0, 0.1, 1.0 or 25 mg/kg/day with a no-observed-effect level(NOEL) of 1.0 mg/kg/day. Dogs fed 25mg/kg/day demonstrated altered lipidmetabolism and liver change.

(2) A 2–year feeding/carcinogenicitystudy with rats fed diets containing 0,5, 100, or 1,000 ppm with a NOEL forsystemic effects of 5 ppm (0.25 mg/kg/day). At the lowest-effect level (LEL)100 ppm (5 mg/kg/day) there was livertoxicity and decreased body weight.There were no carcinogenic effectsobserved under the conditions of thestudy.

(3) A 2–year feeding/carcinogenicitystudy with mice fed diets containing 0,1, 10, 100, or 1,000 ppm (equivalent to0.15, 1.5, 15, or 150 mg/kg/day) withstatistically significant increases in theincidences of liver adenomas in malemice at 1, 100, and 1,000 ppm and infemale mice at 100 and 1,000 ppm, andstatistically significant increases in theincidences of liver carcinomas andcombined liver carcinomas andadenomas in both sexes at 1,000 ppm.

(4) A 2–generation reproduction studyin rats fed diets containing 0, 50, 250,or 1,000 ppm (equivalent to 2.5, 12.5, or50 mg/kg/day) with no reproductiveeffects observed. The NOEL for systemictoxicity (reduction in body weight andliver necrosis) is established at 250 ppmfor this study.

(5) A developmental toxicity study inrats given oral doses of 0, 50, 100, or 200mg/kg/day on gestation days 6 to 15with no developmental toxicity.

(6) A developmental toxicity study inrabbits given oral doses of 0, 2.5, 10, or40 mg/kg/day on gestation days 6 to 18with no developmental toxicity.

(7) Fomesafen tested negative in assaysystems for gene mutation, structuralchromosome aberration, and othergenotoxic effects. Fomesafen didproduce a weak clastogenic response inrat bone marrow.

(8) Metabolism studies in rats indicatethat more than 90 percent of thecompound is excreted within 7 days ofingestion. The rat metabolism studiesalso show that fomesafen tends toconcentrate in the liver, prior toexcretion. Fomesafen is metabolizedthrough hydrolytic cleavage of theamide linkage to form aciflurofen,which is classified by EPA as a probablehuman carcinogen (Group B2).

Based on a weight-of evidencedetermination, OPP’s Health EffectsDivision, Carcinogenicity Peer ReviewCommittee (CPRC) has classifiedfomesafen as a Group C carcinogen(possible human carcinogen). Theupper-bound carcinogenic risk fromdietary exposure to fomesafen wascalculated using a potency factor (Q*) of0.19 (mg/kg/day)-1 and dietary exposureas estimated by the Anticipated ResidueContribution (ARC) for existingtolerances and the proposed tolerancefor snap beans. The upper-boundcarcinogenic risk from establishedtolerances and the proposed tolerancefor snap beans is calculated at 1.56 ×10-6. The upper-bound cancinogenic riskfrom the proposed use on snap beans iscalculated at 1.4 × 10-6. EPA concludesthat the potential cancer risk fromresidues of fomesafen resulting fromestablished tolerances and the proposedtolerance for snap beans is negligible.

The Reference Dose (RfD) forfomesafen has not been established byOPP’s Health Effects Division, RfDCommittee. For purposes of this action,the RfD is calculated at 0.0025 mg/kg ofbody weight/day. The RfD is based ona NOEL of 0.25 mg/kg/day from the ratfeeding/carcinogenicity study and anuncertainty factor of 100. The ARC forthe overall U.S. population fromestablished tolerances and the proposedtolerance for snap beans utilizes lessthan 1 percent of the RfD. EPA generallyhas no concern for exposures below 100percent of the RfD.

The nature of the residue in plantsand animals is adequately understood.The residue of concern is fomesafen perse. An adequate analytical method forenforcing this tolerance has beenpublished in the Pesticide AnalyticalManual (PAM 11). Secondary residuesare not expected to occur in milk, eggs,and meat as a result of this action sincesnap beans are not a significantlivestock feed commodity.

There are presently no actionspending against the continued


registration of this chemical. Thepesticide is considered useful for thepurpose for which the tolerance issought.

Based on the information and dataconsidered, the Agency has determinedthat the tolerance established byamending 40 CFR part 180 wouldprotect the public health. Therefore, it isproposed that the tolerance beestablished as set forth below.



A record has been established for thisrulemaking under docket number [PP6E4653/P665], (including commentsand data submitted electronically asdescribed below). A public version ofthis record, including printed, paperversions of electronic comments, whichdoes not include any informationclaimed as CBI, is available forinspection from 8 a.m. to 4:30 p.m.,Monday through Friday, excluding legalholidays. The public record is located inRoom 1132 of the Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, Crystal Mall #2,1921 Jefferson Davis Highway,Arlington, VA.

Electronic comments can be sentdirectly to EPA at:

[email protected]

Electronic comments must besubmitted as an ASCII file avoiding theuse of special characters and any formof encryption.


Under Executive Order 12866 (58 FR51735, October 4, 1993), the Agencymust determine whether the regulatoryaction is ‘‘significant’’ and thereforesubject to all the requirements of theExecutive Order (i.e., Regulatory ImpactAnalysis, review by the Office ofManagement and Budget (OMB)). Undersection 3(f), the order defines‘‘significant’’ as those actions likely tolead to a rule (1) having an annual effecton the economy of $100 million ormore, or adversely and materiallyaffecting a sector of the economy,productivity, competition, jobs, theenvironment, public health or safety, orState, local or tribal governments orcommunities (also known as‘‘economically significant’’); (2) creatingserious inconsistency or otherwiseinterfering with an action taken orplanned by another agency; (3)materially altering the budgetaryimpacts of entitlement, grants, user fees,or loan programs; or (4) raising novellegal or policy issues arising out of legalmandates, the President’s priorities, orthe principles set forth in this ExecutiveOrder. Pursuant to the terms of thisExecutive Order, EPA has determinedthat this rule is not ‘‘significant’’ and istherefore not subject to OMB review.






Susan Lewis,

Acting Director, Registration Division, Officeof Pesticide Programs.





2. In § 180.433, by designating theexisting text as paragraph (a) and byadding a paragraph (b) to read asfollows:

§ 180.433 Sodium salt of fomesafen;tolerances for residues.

(a) * * *(b) Tolerances with regional

registration are established for residuesof the sodium salt of fomesafen, 5-[2-chloro-4-(trifluoromethyl)phenoxy]-4-N-(methylsulfonyl)-2-nitrobenzamide, inor on the raw agricultural commodities,as follows:

Commodities Parts permillion

Expira-tion date

Beans, snap .......... 0.05 Decemb-er 31,1998


40 CFR Part 180

[PP 1E4031/P666; FRL–5369–4]

RIN 2070–AB78

3-Dichloroacetyl-5-(2-furanyl)-2,2-dimethyloxazolidine; Extension ofTemporary Tolerances


SUMMARY: EPA proposes to extend thetime-limited tolerances for residues ofthe inert ingredient (safener), 3-dichloroacetyl-5-(2-furanyl)-2,2-dimethyloxazolidine (CAS Reg. No.121776–33–8) in or on corn from June30, 1996 to June 30, 1998.DATES: Comments, identified with thedocket number [PP 1E4031/P666] mustbe received on or before July 5, 1996.ADDRESSES: By mail, submit writtencomments to: Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, Environmental


Protection Agency, 401 M St., SW,Washington, DC 20460. In person, bringcomments to: Rm. 1132 CM #2, 1921Jefferson Davis Highway, Arlington, VA22202. Comments and data may also besubmitted electronically by sendingelectronic mail (e-mail) to: [email protected]. Electroniccomments must be submitted as anASCII file avoiding the use of specialcharacters and any form of encryption.Comments and data will also beaccepted on disks in WordPerfect 5.1file format or ASCII file format. Allcomments and data in electronic formmust be identified by the docket number[PP 1E4031/P666]. No ConfidentialBusiness Information (CBI) should besubmitted through e-mail. Electroniccomments on this proposed rule may befiled online at many Federal DepositoryLibraries. Additional information onelectronic submissions can be foundbelow in this document.

Information submitted as a commentconcerning this notice may be claimedconfidential by marking any part or allof that information as ‘‘ConfidentialBusiness Information’’ (CBI).Information so marked will not bedisclosed except in accordance withprocedures set forth in 40 CFR Part 2.A copy of the comment that does notcontain CBI must be submitted forinclusion in the public record.Information not marked confidentialmay be disclosed publicly by EPAwithout prior notice. All writtencomments will be available for publicinspection in Rm. 1132 at the addressgiven above, from 8 a.m. to 4:30 p.m.,Monday through Friday, excluding legalholidays.FOR FURTHER INFORMATION CONTACT: Bymail: Indira Gairola, RegistrationDivision (7505W), Office of PesticidePrograms, Environmental ProtectionAgency, 401 M St., SW., Washington,DC 20460. Office location and telephonenumber: sixth floor, Crystal Station #12800 Crystal Drive, Arlington, VA22202, (703) 308–8371; e-mail:[email protected] INFORMATION: EPAissued a rule (FRL–4777–2), which waspublished in the Federal Register ofMay 10, 1994 (59 FR 24057),announcing the establishment oftemporary tolerances for residues of 3-dichloroacetyl-5-(2-furanyl)-2,2-dimethyloxazolidine on corn. Thesetolerances were issued in a response topesticide petition (PP 1E4031),submitted by Monsanto Company Suite1100, 700 14th Street NW., Washington,DC. 20005.

In order to allow the Agencysufficient time to complete its review of

additional chemical oncogencity datasubmitted by the petitioner, EPAproposes that the time-limitedtolerances for 3-dichloroacetyl-5-(2-furanyl)-2,2-dimethyloxazolidine oncorn, which now expire on June 30,1996 be extended to June 30, 1998.

The data considered in support of thetime-limited tolerance is discussed inthe final rule, which was published inthe Federal Register of May 10, 1994 (59FR 24057).

Based on the information and dataconsidered. the Agency has determinedthat the tolerance established byamending 40 CFR part 180 wouldprotect the public health. Therefore, it isproposed that the tolerance beestablished as set forth below.



A record has been established for thisrulemaking under docket number [PP1E4031/P666] (including any commentsand data submitted electronically). Apublic version of this record, includingprinted, paper versions of electroniccomments, which does not include anyinformation claimed as CBI, is availablefor inspection from 8 a.m. to 4:30 p.m.,Monday through Friday, excluding legalholidays. The public record is located inRoom 1132 of the Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, Crystal Mall #2,1921 Jefferson Davis Highway,Arlington, VA.

Electronic comments may be sentdirectly to EPA at:

[email protected].


The official record for thisrulemaking, as well as the publicversion, as described above will be keptin paper form. Accordingly, EPA willtransfer all comments receivedelectronically into printed, paper formas they are received and will place the

paper copies in the official rulemakingrecord which will also include allcomments submitted directly in writing.The official rulemaking record is thepaper record maintained at the Virginiaaddress in ‘‘ADDRESSES’’ at thebeginning of this document.



Pursuant to the requirements of theRegulatory Flexibility Act (5 U.S.C.601–612), the Administrator hasdetermined that regulations establishingnew tolerances or raising tolerancelevels or establishing exemptions fromtolerance requirements do not have asignificant economic impact on asubstantial number of small entities. Acertification statement to this effect waspublished in the Federal Register ofMay 4, 1981 (46 FR 24950).



Administrative practice and procedure,


Agricultural commodities, Pesticidesand pests, Reporting and recordkeepingrequirements.




Authority: 21 U.S.C. 346a and 371.2. Section 180.471 is revised to read

as follows:

§ 180.471 3-Dichloroacetyl-5-(2-furanyl)-2,2-dimethyloxazolidine; tolerances forresidues.

Time-limited tolerances areestablished for residues of 3-

dichloroacetyl-5-(2-furanyl)-2,2-dimethyloxazolidine (CAS Reg. No.121776–33–8) when used as an inertingredient (safener) in pesticideformulations in or on the followingagricultural commodities:

Commodity Parts permillion Expiration date

Corn, fodder (field) ....................................................................................................................................... 0.01 June 30, 1998Corn, forage (field) ....................................................................................................................................... 0.01 June 30, 1998Corn, grain (field) ......................................................................................................................................... 0.01 June 30, 1998

[FR Doc.96–15584 Filed 6–18–96; 8:45 am]BILLING CODE 6560–50–F

40 CFR Part 180

[PP 6E4652/P664; FRL–5377–1]

RIN 2070–AC18

Quizalofop ethyl; Pesticide Tolerances


SUMMARY: EPA proposes to establishtolerances for the combined residues ofthe herbicide quizalofop-p ethyl ester,its acid metabolite quizalofop-p, and theS enantiomers of both the ester and theacid, all expressed as quizalofop-p-ethylester, in or on the raw agriculturalcommodities peppermint tops andspearmint tops. The proposed regulationto establish maximum permissiblelevels for residues of the herbicide wasrequested in a petition submitted by theInterregional Research Project No. 4 (IR-4).DATES: Comments, identified by thedocket number [PP 6E4652/P664], mustbe received on or before July 19, 1996.ADDRESSES: By mail, submit writtencomments to: Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. In person, bringcomments to: Rm. 1132, CM #2, 1921Jefferson Davis Highway, Arlington, VA22202.

Comments and data may also besubmitted to OPP by sending electronicmail (e-mail) to:


submitted as an ASCII file avoiding theuse of special characters and any form

of encryption. Comments and data willalso be accepted on disks inWordPerfect 5.1 file format or ASCII fileformat. All comments and data inelectronic form must be identified bythe docket number [PP 6E4652/P664].Electronic comments on this proposedrule may be filed online at many FederalDepository Libraries. Additionalinformation on electronic submissionscan be found in the‘‘SUPPLEMENTARY INFORMATION’’section of this document.

Information submitted as a commentconcerning this document may beclaimed confidential by marking anypart or all of that information as‘‘Confidential Business Information’’(CBI). CBI should not be submittedthrough e-mail. Information marked asCBI will not be disclosed except inaccordance with procedures set forth in40 CFR part 2. A copy of the commentthat does not contain CBI must besubmitted for inclusion in the publicrecord. Information not markedconfidential may be disclosed publiclyby EPA without prior notice. All writtencomments will be available for publicinspection in Rm. 1132 at the addressgiven above, from 8 a .m. to 4:30 p.m.,Monday through Friday, excluding legalholidays.FOR FURTHER INFORMATION CONTACT: Bymail: Hoyt L. Jamerson, RegistrationDivision (7505W), Office of PesticidePrograms, Environmental ProtectionAgency, 401 M St. SW., Washington, DC20460. Office location and telephonenumber: Sixth Floor, Crystal Station #1,2800 Jefferson Davis Highway,Arlington, VA 22202, (703) 308-8783; e-mail: [email protected] INFORMATION: TheInterregional Research Project No. 4 (IR-4), New Jersey Agricultural ExperimentStation, P.O. Box 231, RutgersUniversity, New Brunswick, NJ 08903,has submitted pesticide petition (PP)

6E4652 to EPA on behalf of the OregonAgricultural Experiment Station.

This petition requests that theAdministrator, pursuant to section408(e) of the Federal Food, Drug, andCosmetic Act (FFDCA), 21 U.S.C.346a(e), amend 40 CFR 180.441 byestablishing tolerances for the combinedresidues of the herbicide quizalofop-pethyl ester [ethyl (R)-(2-[4-((6-chloroquinoxalin- 2-yl)oxy)phenoxyl]propionate], its acid metabolitequizalofop-p [R-(2-[4-((6-chloroquinoxalin-2-yl)oxy)phenoxy])propanoic acid], and the S enantiomersof both the ester and the acid, allexpressed as quizalofop-p-ethyl ester, inor on the raw agricultural commoditiespeppermint tops and spearmint tops at2 parts per million (ppm).

The scientific data submitted in thepetition and other relevant materialhave been evaluated. The toxicologicaldata considered in support of theproposed tolerances include:

1. Several acute toxicology studiesplacing technical-grade quizalofop ethylin toxicity Category III.

2. An 18–month carcinogenicity studywith CD-1 mice fed diets containing 0,2, 10, 80 and 320 ppm (equivalent to 0,0.2, 1.5, 12, and 48 mg/kg/day) with nocarcinogenic effects observed under theconditions of the study at levels up toand including 80 ppm. There was anelevated incidence of hepatocellularadenomas and carcinomas combined inCD-1 male mice at the 320 ppm doselevel, which exceeded the maximumtolerated dose (MTD).

3. A 2–year chronic toxicity/carcinogenicity study in rats fed dietscontaining 0, 25, 100 and 400 ppm(equivalent to 0, 0.9, 3.7, and 15.5 mg/kg/day for males and 0, 1.1, 4.6, and18.6 mg/kg/day for females) with nocarcinogenic effects observed under theconditions of the study. The NOEL forsystemic toxicity is established at 25


ppm (0.9 mg/kg/day) based on red bloodcell destruction in males, and slight/minimal centrilobular enlargement ofthe liver in females at the 100 ppm doselevel.

4. A 1–year feeding study in dogs feddiets containing 0, 0.625, 2.5, and 10mg/kg/day with a NOEL of 10 mg/kg/day (HDT).

5. A developmental toxicity study inrats fed dosage levels of 0, 30, 100, and300 mg/kg/day, with no developmentaleffects observed under the conditions ofthe study. The NOEL for maternaltoxicity is established at 30 mg/kg/day.

6. A developmental toxicity study inrabbits fed dosage levels of 0, 7, 20, and60 mg/kg/day with no developmentaleffects observed under the conditions ofthe study. The NOEL for maternaltoxicity is established at 20 mg/kg/daybased on decreases in food consumptionand body weight gain at 60 mg/kg/day(HDT).

7. A two-generation reproductionstudy in rats fed diets containing 0, 25,100 and 400 ppm (equivalent to 0, 1.25,5, and 20 mg/kg/day) with a NOEL fordevelopmental toxicity at 25 ppm basedon an increase in liver weight and anincrease in the incidence ofeosinophillic changes in the liver at 100ppm. The NOEL for parental toxicity isestablished at 100 ppm based ondecreased body weight and prematingweight gain in males at the 400 ppmdose level.

8. Mutagenicity data included genemutation assays with E. coli and S.typhimurium (negative); DNA damageassays with B. subtilis (negative); and achromosomal aberration test in Chinesehamster cells (negative).

OPP’s Health Effects Division,Carcinogenicity Peer Review Committee(CPRC) has evaluated the rat and mousecancer studies for quizalofop ethyl alongwith other relevant short-term toxicitystudies, mutagenicity studies, andstructure-activity relationships. TheCPRC has classified quizalofop ethyl asa Group D carcinogen (not classifiable asto human cancer potential). The GroupD classification is based on anapproximate doubling in the incidenceof male mice liver tumors betweencontrols and the high dose. This findingwas not considered strong enough towarrant the classification of a CategoryC (possible human carcinogen); theincrease was of marginal statisticalsignificance, occurred at a high dosewhich exceeded the predicted MTD,and occurred in a study in which theconcurrent control for liver tumors wassomewhat low as compared to thehistorical controls, while the high dosecontrol group was at the upper end ofprevious historical control groups. No

new cancer studies are required forquizalofop ethyl at this time.

The Reference Dose (RfD) forquizalofop ethyl is calculated at 0.009mg/kg of body weight/day. The RfD isbased on the NOEL of 0.9 mg/kg/dayfrom the 2-year rat feeding study, and anuncertainty factor of 100. Thetheoretical maximum residuecontribution (TMRC) from existingtolerances and the proposed tolerancefor mint tops utilizes 5 percent of theRfD for the overall U.S. population and18.5 percent of the RfD for non-nursinginfants (the population subgroup mosthighly exposed). EPA generally has noconcern for dietary exposures below 100percent of the RfD.

The nature of the residue in plants isadequately understood. An adequateanalytical method (HPLC-UV) isavailable for enforcement purposes.Prior to its publication in the PesticideAnalytical Manual, Volume II (PAM II),the enforcement method is being madeavailable in the interim to anyone whois interested in pesticide residueenforcement from: By mail, CalvinFurlow, Public Response and ProgramResources Branch, Field OperationsDivision (7506C), Office of PesticidePrograms, Environmental ProtectionAgency, 401 M St., SW., Washington,DC 20460. Office location and telephonenumber: Crystal Mall #2, Rm 1128, 1921Jefferson Davis Hwy., Arlington, VA22202 (703)305–5805.

There is no reasonable expectationthat secondary residues will occur inmilk, eggs, or meat of livestock andpoultry since there are no significantlivestock feed commodities associatedwith this action. Data submitted withthe petition demonstrate that residues ofquizalofop ethyl do not concentrate inmint oil. The proposed tolerances forpeppermint and spearmint tops isadequate to cover residues in mint oil.

There are presently no actionspending against the continuedregistration of this chemical. Thepesticide is considered useful for thepurpose for which the tolerance issought.

Based on the information and dataconsidered, the Agency has determinedthat the tolerance established byamending 40 CFR part 180 wouldprotect the public health. Therefore, it isproposed that the tolerance beestablished as set forth below.

Any person who has registered orsubmitted an application for registrationof a pesticide, under the FederalInsecticide, Fungicide, and RodenticideAct (FIFRA) as amended, whichcontains any of the ingredients listedherein, may request within 30 days afterpublication of this notice in the Federal

Register that this rulemaking proposalbe referred to an Advisory Committee inaccordance with section 408(e) of theFFDCA.


A record has been established for thisrulemaking under docket number [PP6E4652/P664] (including comments anddata submitted electronically asdescribed below). A public version ofthis record, including printed, paperversions of electronic comments, whichdoes not include any informationclaimed as CBI, is available forinspection from 8 a.m. to 4:30 p.m.,Monday through Friday, excluding legalholidays. The public record is located inRoom 1132 of the Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, Crystal Mall #2,1921 Jefferson Davis Highway,Arlington, VA.


[email protected]



Under Executive Order 12866 (58 FR51735, Oct. 4, 1993), the Agency mustdetermine whether the regulatory actionis ‘‘significant’’ and therefore subject toall the requirements of the ExecutiveOrder (i.e., Regulatory Impact Analysis,review by the Office of Management andBudget (OMB)). Under section 3(f), theorder defines ‘‘significant’’ as thoseactions likely to lead to a rule (1) havingan annual effect on the economy of $100million or more, or adversely andmaterially affecting a sector of theeconomy, productivity, competition,jobs, the environment, public health orsafety, or State, local or tribalgovernments or communities (alsoknown as ‘‘economically significant’’);(2) creating serious inconsistency or


otherwise interfering with an actiontaken or planned by another agency; (3)materially altering the budgetaryimpacts of entitlement, grants, user fees,or loan programs; or (4) raising novellegal or policy issues arising out of legalmandates, the President’s priorities, orthe principles set forth in this ExecutiveOrder. Pursuant to the terms of thisExecutive Order, EPA has determinedthat this rule is not ‘‘significant’’ and istherefore not subject to OMB review.

This action does not impose anyenforceable duty, or contain any‘‘unfunded mandates’’ as described inTitle II of the Unfunded MandatesReform Act of 1995 (Pub. L. 104–4), orrequire prior consultation as specifiedby Executive Order 12875 (58 FR 58093,October 28, 1993), entitled Enhancingthe Intergovernmental PartnershipPartnership, or special consideration asrequired by Executive Order 12898 (59FR 7629, February 16, 1994).



Administrative practice and procedure,Agricultural commodities, Pesticidesand pests, Reporting and recordkeepingrequirements.







2. In § 180.441, by revising paragraph(c) to read as follows:

§ 180.441 Quizalofop ethyl; tolerances forresidues.

* * * **

(c) Tolerances are established for thecombined residues of the herbicidequizalofop-p ethyl ester [ethyl (R)-(2-[4-((6-chloroquinoxalin-2-yl)oxy)phenoxyl]

propionate], its acid metabolitequizalofop-p [R-(2-[4-((6-chloroquinoxalin-2-yl)oxy)phenoxy])propanoic acid], and the S enantiomersof both the ester and the acid, allexpressed as quizalofop-p-ethyl ester, inor on the following raw agriculturalcommodities:


Cottonseed ................................ 0.05Peppermint, tops ....................... 2Spearmint, tops ......................... 2



[OPP–300431; FRL–5379–7]

RIN 2070–AC18

Triadimefon; Revocation of PesticideTolerances and a Food AdditiveRegulation


SUMMARY: EPA is proposing to revokethe pesticide tolerances for triadimefonon barley grain, green forage and strawand the food additive regulation fortriadimefon on milled fractions of barley(except flour) because there are nolonger registered uses of triadimefon onbarley. EPA is proposing that therevocation of the tolerance becomeeffective as of May 23, 1997.DATES: Written comments, identified bythe docket number OPP–300431, mustbe received on or before July 19, 1996.This revocation is proposed to becomeeffective on May 23, 1997.ADDRESSES: By mail, submit writtencomments to: Public Response andProgram Resources Branch, FieldOperations Division (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. In person, bringcomments to: Rm. 1132, CM #2, 1921Jefferson Davis Hwy., Arlington, VA.Information submitted and anycomment(s) concerning this notice maybe claimed confidential by marking anypart or all of that information as‘‘Confidential Business Information’’(CBI). Information so marked will not bedisclosed except in accordance withprocedures set forth in 40 CFR part 2.A copy of the comment(s) that does notcontain CBI must be submitted forinclusion in the public record.Information not marked confidential

may be disclosed publicly by EPAwithout prior notice to the submitter.Information on the proposed action andany written comments will be availablefor public inspection in Rm. 1132 at theVirginia address given above, from 8a.m. to 4:30 p.m., Monday throughFriday, excluding legal holidays.

Comments and data may also besubmitted electronically by sendingelectronic mail (e-mail) to: [email protected]. Electroniccomments must be submitted as anASCII file avoiding the use of specialcharacters and any form of encryption.Comments and data will also beaccepted on disks in WordPerfect 5.1file format or ASCII file format. Allcomments and data in electronic formmust be identified by the docket number[OPP–300431]. No ConfidentialBusiness Information (CBI) should besubmitted through e-mail. Electroniccomments on this proposed rule may befiled online at many Federal DepositoryLibraries. Additional information onelectronic submissions can be foundbelow in this document.FOR FURTHER INFORMATION CONTACT: Bymail, Lisa Nisenson, Special ReviewBranch (7508W), Office of PesticidePrograms, Environmental ProtectionAgency, 401 M St., SW., Washington,DC 20460. Office location and telephonenumber: 3rd floor, Crystal Station, 2800Crystal Drive, Arlington, VA 22202,(703) 308–8031; e-mail:[email protected] INFORMATION:

I. Introduction

A. Statutory Background

The Federal Food, Drug, and CosmeticAct (FFDCA), 21 U.S.C. 301 et seq.,authorizes the establishment byregulation of maximum permissiblelevels of pesticides in foods. Suchregulations are commonly referred to as‘‘tolerances.’’ Without such a toleranceor an exemption from the requirementof a tolerance, a food containing apesticide residue is ‘‘adulterated’’ undersection 402 of the FFDCA and may notbe legally moved in interstatecommerce. 21 U.S.C. 331, 342.

The FFDCA has separate provisionsfor tolerances for pesticide residues onraw agricultural commodities (RACs)and tolerances on processed food. Forpesticide residues in or on RACs, EPAestablishes tolerances, or exemptionsfrom tolerances when appropriate,under section 408. 21 U.S.C. 346a. EPAregulates pesticide residues inprocessed foods under section 409,which pertains to ‘‘food additives.’’ 21U.S.C. 348. Maximum residue


regulations established under section409 are commonly referred to as foodadditive regulations (hereafter referredto as ‘‘FARs’’).

If a food additive regulation must beestablished, section 409 of the FFDCArequires that the use of the pesticidewill be ‘‘safe’’ (21 U.S.C. 348(c)(3)).Relevant factors in this safetydetermination include (1) the probableconsumption of the pesticide or itsmetabolites; (2) the cumulative effect ofthe pesticide in the diet of man oranimals, taking into account any relatedsubstances in the diet; and (3)appropriate safety factors to relate theanimal data to the human riskevaluation. Section 409 also containsthe Delaney clause, which specificallyprovides that ‘‘no additive shall bedeemed safe if it has been found, aftertests which are appropriate for theevaluation of the safety of foodadditives, to induce cancer wheningested by man or animal.’’

B. Regulatory Background

Following a series of petitions relatedto EPA’s interpretation of the Delaneyclause, the U.S. Court of Appeals, NinthCircuit on July 8, 1992, ruled that theDelaney clause barred the establishmentof a FAR for pesticides which ‘‘inducecancer’’ even though the associatedcancer risk may be small (Les v. Reilly,968 F.2d 985 (9th Cir.), cert. denied, 113S.Ct. 1361 (1993)). Shortly thereafter,the sole registrant of triadimefon, MilesInc., requested voluntary cancellation ofthe triadimefon use on barley, whichEPA granted on August 25, 1993 (58 FR44823). The effective date of thecancellation of the use of triadimefon onbarley was November 23, 1993 and theregistrant was allowed to sell stockslabeled with the barley use up to 18months after the effective date.

On January 18, 1995 (59 FR3602)(FRL–4910–8), EPA proposed torevoke, among other things, the FAR fortriadimefon on milled fractions of barley(except flour) based on the Agency’sdetermination that triadimefon inducescancer in man or animals and that theFAR at issue violates the Delaneyclause. This notice supplements theproposed revocation published in theJanuary 18, 1995 proposal with respectto triadimefon, and announces analternative proposal to revoke thetriadimefon FAR and associatedtolerances on the basis that the toleranceis not needed because the use wascancelled in 1993. EPA may finalize therevocation on either of the groundsproposed. Readers are thereforeencouraged to consult OPP Docket300360 to obtain copies of the

comments received in EPA’s earlierproposal.

II. Proposed RevocationEPA is proposing to revoke the food

additive regulation for triadimefon (1-(4-chlorophenoxy)-3,3-dimethyl-1-(1H-1,2,4-triazol-1-yl)-2-butanone) and itsmetabolite beta-(4-chlorophenoxy)-alpha-(1,1-dimethylethyl)-1H-1,2,4-triazole-1-ethanol set to cover residuesin or on milled fractions of barley(except flour). This FAR, which iscodified at 40 CFR 185.800 is set at 4ppm. EPA is also proposing to revokethe tolerances for 1-(4-chlorophenoxy)-3,3-dimethyl-1(1H-1,2,4-triazol-1-yl)-2-butanone and its metabolite containingchlorophenoxy and triazole moieties(expressed as the fungicide) in or onbarley grain, green forage and straw.These tolerances are codified at 40 CFR180.410 at 1 ppm.

EPA is proposing to revoke the above-stated tolerance and FAR since the useof triadimefon on barley is no longerregistered. As a matter of policy, wherea use is no longer registered, EPArevokes the tolerance(s) and/or FAR’sfor any residues related to the deleteduse(s). Although EPA had proposedrevocation of the FAR for triadimefonon barley in a previous notice based onDelaney clause grounds, EPA has notedthat where there are gounds forrevocation of a FAR unconnected tosafety, EPA generally would, as a policymatter, rely on those grounds to revokethe FAR prior to revoking finally underthe Delaney clause (61 FR 11994, March22, 1996) (FRL–5357–7) However, EPAhas also noted that the Agency is underno legal obligation to subordinate theDelaney clause to other grounds in arevocation proceeding (61 FR 2377,January 25, 1996)(FRL–4991–9).

In the case of triadimefon on barley,the registrant requested, and EPAgranted, voluntary cancellation. In theAugust 25, 1993 notice, the registrantwas given 18 months, or until May 23,1995, to sell existing stocks labelledwith the use on barley. With voluntarycancellations, EPA generally allows 2years for legally-treated commodities toclear channels of trade, thus EPA isproposing that the tolerance and FAR onbarley be revoked as of May 23, 1997.

III. Consideration of CommentsAny interested person may submit

comments on this proposed action on orbefore July 19, 1996 at the address givenin the section above entitled‘‘ADDRESSES.’’ Before issuing a finalrevocation, EPA will consider allrelevant comments, including those onthe proposed effective date. Commentsshould be limited only to the tolerances

and food additive regulation subject tothis proposed notice. Afterconsideration of comments, EPA willissue a final order determining whetherrevocation of the tolerances and foodadditive regulation is appropriate. Suchorder will be subject to objectionspursuant to section 409(f)(21 U.S.C.348(f)). Failure to file an objectionwithin the appointed period willconstitute waiver of the right to raiseissues presented in the order in futureproceedings.

A record has been established for thisrulemaking under docket number [OPP–300431] (including comments and datasubmitted electronically as describedbelow). A public version of this record,including printed, paper versions ofelectronic comments, which does notinclude any information claimed as CBI,is available for inspection from 8 a.m. to4:30 p.m., Monday through Friday,excluding legal holidays. The publicrecord is located in Room 1132 of thePublic Response and Program ResourcesBranch, Field Operations Division(7506C), Office of Pesticide Programs,Environmental Protection Agency,Crystal Mall #2, 1921 Jefferson DavisHighway, Arlington, VA.


[email protected]



IV. Regulatory Requirements

A. Executive Order 12866

EPA submitted this action to theOffice of Management and Budget(OMB) for review and any changes madeduring that review have beendocumented in the public record. EPAdoes not expect any adverse economicimpacts from this proposed action sincethe use on barley was cancelled in 1993at the request of the registrant.


B. Regulatory Flexibility Act

EPA has reviewed this proposed ruleunder the Regulatory Flexibility Act of1980 [Pub. L. 96–354; 94 Stat. 1164, 5U.S.C. 601 et seq.], and has determinedthat it will not have a significanteconomic impact on any smallbusinesses, governments ororganizations.

Accordingly, I certify that thisproposed rule does not require aseparate Regulatory Flexibility Analysisunder the Regulatory Flexibility Act.

C. Paperwork Reduction Act

This order does not contain anyinformation collection requirementssubject to review by the Office ofManagement and Budget under thePaperwork Reduction Act of 1980, 44U.S.C. 3501 et seq.

D. Unfunded Mandates Reform Act andExecutive Order 12875


List of Subjects

40 CFR Part 180

Administrative practice andprocedure, Agricultural commodities,Pesticides and pests, Reporting andrecordkeeping requirements

40 CFR Part 185

Food additives, Pesticides and pestsDated: June 11, 1996.

Lois Rossi,Acting Director, Special Review andReregistration Division, Office of PesticidePrograms.

Therefore, 40 CFR parts 180 and 185are proposed to be amended as follows:

1. In part 180:


a. The authority citation for part 180continues to read as follows:

Authority: 2l U.S.C. 346a and 371.

§ 180.410 [Amended]

b. By removing from the table in§ 180.410 the entries for ‘‘Barley; grain,’’‘‘Barley, green forage,’’ and ‘‘Barley,straw.’’

2. In part 185:


a. The authority citation for part 185continues to read as follows:

Authority: 2l U.S.C. 346a and 348.

§ 185.800 [Amended]

b. By removing from the table in§ 185.800; the entry for ‘‘Barley, milledfractions of barley (except flour).’’



47 CFR Part 73

[MM Docket No. 96–129; RM–8814]

Radio Broadcasting Services;Tehachapi, CA

AGENCY: Federal CommunicationsCommission.ACTION: Proposed rule.

SUMMARY: This document requestscomments on a petition for rule makingfiled on behalf of TehachapiBroadcasting requesting the allotment ofChannel 261A to Tehachapi, California,as that community’s second local FMservice. Coordinates used for Channel261A at Tehachapi are 35–13–04 and118–20–37. Tehachapi is located within320 kilometers (199 miles) of theMexico border, and therefore, theCommission must obtain concurrence ofthe Mexican government to thisproposal.DATES: Comments must be filed on orbefore August 5, 1996, and replycomments on or before August 20, 1996.ADDRESSES: Secretary, FederalCommunications Commission,Washington, DC 20554. In addition tofiling comments with the FCC,interested parties should serve thepetitioner’s counsel, as follows: Dan J.Alpert, Esq., Law Office of Dan J. Alpert,2120 N. 21st Rd., Suite 400, Arlington,VA 22201.FOR FURTHER INFORMATION CONTACT:Nancy Joyner, Mass Media Bureau, (202)418–2180.SUPPLEMENTARY INFORMATION: This is asynopsis of the Commission’s Notice ofProposed Rule Making, MM Docket No.96–129, adopted June 7, 1996, andreleased June 14, 1996. The full text ofthis Commission decision is availablefor inspection and copying duringnormal business hours in the FCC’sReference Center (Room 239), 1919 M

Street, NW., Washington, DC. Thecomplete text of this decision may alsobe purchased from the Commission’scopy contractors, InternationalTranscription Service, Inc., (202) 857–3800, 2100 M Street, NW., Suite 140,Washington, DC 20037.

Provisions of the RegulatoryFlexibility Act of l980 do not apply tothis proceeding.

Members of the public should notethat from the time a Notice of ProposedRule Making is issued until the matteris no longer subject to Commissionconsideration or court review, all exparte contacts are prohibited inCommission proceedings, such as thisone, which involve channel allotments.See 47 CFR 1.1204(b) for rulesgoverning permissible ex parte contacts.

For information regarding properfiling procedures for comments, See 47CFR 1.415 and 1.420.


Radio broadcasting.Federal Communications Commission.John A. Karousos,Chief, Allocations Branch, Policy and RulesDivision, Mass Media Bureau.[FR Doc. 96–15472 Filed 6–18–96; 8:45 am]BILLING CODE 6712–01–F

47 CFR Part 73

[MM Docket No. 96–127; RM–8805]

Radio Broadcasting Services; Kula, HI


SUMMARY: This document requestscomments on a petition for rule makingfiled by Sonia A. Humphrey seeking theallotment of FM Channel 244A to Kula,Hawaii, as that locality’s first local auraltransmission service. Petitioner isrequested to provide additionalinformation to establish Kula’s status asa community for allotment purposes.Coordinates for this proposal are 20–46–00 and 156–20–00.DATES: Comments must be filed on orbefore July 29, 1996, and replycomments on or before August 13, 1996.ADDRESSES: Secretary, FederalCommunications Commission,Washington, DC 20554. In addition tofiling comments with the FCC,interested parties should serve thepetitioner, as follows: Sonia A.Humphrey, c/o Magic City Media, Inc.,1912 Capitol Avenue, Suite 300,Cheyenne, WY 82001.


FOR FURTHER INFORMATION CONTACT:Nancy Joyner, Mass Media Bureau, (202)418–2180.SUPPLEMENTARY INFORMATION: This is asynopsis of the Commission’s Notice ofProposed Rule Making, MM Docket No.96–127, adopted May 24, 1996, andreleased June 7, 1996. The full text ofthis Commission decision is availablefor inspection and copying duringnormal business hours in the FCC’sReference Center (Room 239), 1919 MStreet, NW., Washington, DC. Thecomplete text of this decision may alsobe purchased from the Commission’scopy contractors, InternationalTranscription Service, Inc., (202) 857–3800, 2100 M Street, NW., Suite 140,Washington, DC 20037.





Radio broadcasting.Federal Communications Commission.John A. Karousos,Chief, Allocations Branch, Policy and RulesDivision, Mass Media Bureau.[FR Doc. 96–15471 Filed 6–18–96; 8:45 am]BILLING CODE 6712–01–F

47 CFR Part 73

[MM Docket No. 96–125; RM–8807]

Radio Broadcasting Services; Hilton,NY


SUMMARY: The Commission requestscomments on a petition filed by AlanBishop d/b/a Hilton Broadcastingseeking the allotment of Channel 238Ato Hilton, NY, as the community’s firstlocal aural transmission service.Channel 238A can be allotted to Hiltonin compliance with the Commission’sminimum distance separationrequirements with a site restriction of1.9 kilometer (1.2 miles) north, atcoordinates 43–18–15 NL; 77–47–56

WL, to avoid a short-spacing to StationWNVE, Channel 236B, South BristolTownship, NY. Hilton is located within320 kilometers (200 miles) of the U.S.-Canadian border. Further, the allotmentwill result in a short-spacing to StationsCKDS-FM, Channel 237C1, Hamilton,Ontario, Canada, and CJBC1F, Channel238C1, Belleville, Ontario, Canada.However, petitioner states that it willapply for and operate the station with adirectional antenna so as to avoidcausing interference over Canadian landarea. Therefore, we will requestCanadian concurrence in the allotmentas a specially negotiated allotment.

DATES: Comments must be filed on orbefore July 29, 1996, and replycomments on or before August 13, 1996.

ADDRESSES: Federal CommunicationsCommission, Washington, DC 20554. Inaddition to filing comments with theFCC, interested parties should serve thepetitioner, or its counsel or consultant,as follows: Alan SW. Bishop, d/b/aHilton Broadcasting, 679 Furman Road,Fairport, New York 14450 (Petitioner).

FOR FURTHER INFORMATION CONTACT:Leslie K. Shapiro, Mass Media Bureau,(202) 418–2180.

SUPPLEMENTARY INFORMATION: This is asynopsis of the Commission’s Notice ofProposed Rule Making, MM Docket No.96–125, adopted May 24, 1996, andreleased June 7, 1996. The full text ofthis Commission decision is availablefor inspection and copying duringnormal business hours in the FCCReference Center (Room 239), 1919 MStreet, NW., Washington, DC. Thecomplete text of this decision may alsobe purchased from the Commission’scopy contractor, InternationalTranscription Services, Inc., (202) 857–3800, 2100 M Street, NW., Suite 140,Washington, DC 20037.

Provisions of the RegulatoryFlexibility Act of 1980 do not apply tothis proceeding.


For information regarding properfiling procedures for comments, see 47CFR 1.415 and 1.420.


Radio broadcasting.

Federal Communications Commission.John A. Karousos,Chief, Allocations Branch, Policy and RulesDivision, Mass Media Bureau.[FR Doc. 96–15470 Filed 6–18–96; 8:45 am]BILLING CODE 6712–01–F

47 CFR Part 73

[MM Docket No. 96–131; RM–8810]

Radio Broadcasting Services; ElDorado, AR


SUMMARY: This document requestscomments on a petition for rule makingfiled by Arkansas Radio Broadcastersrequesting the allotment of Channel268A to El Dorado, Arkansas, as thatcommunity’s fifth local FMtransmission service. Coordinates usedfor Channel 268A at El Dorado,Arkansas, are 33–10–27 and 92–38–55.DATES: Comments must be filed on orbefore August 5, 1996, and replycomments on or before August 20, 1996.ADDRESSES: Secretary, FederalCommunications Commission,Washington, DC 20554. In addition tofiling comments with the FCC,interested parties should serve thepetitioner, as follows: Arkansas RadioBroadcasters, Attn: Carol B. Ingram,President, P. O. Box 73, Batesville, MS38606.FOR FURTHER INFORMATION CONTACT:Nancy Joyner, Mass Media Bureau, (202)418–2180.SUPPLEMENTARY INFORMATION: This is asynopsis of the Commission’s Notice ofProposed Rule Making, MM Docket No.96–131, adopted June 7, 1996, andreleased June 14, 1996. The full text ofthis Commission decision is availablefor inspection and copying duringnormal business hours in the FCC’sReference Center (Room 239), 1919 MStreet, NW., Washington, DC. Thecomplete text of this decision may alsobe purchased from the Commission’scopy contractors, InternationalTranscription Service, Inc., (202) 857–3800, 2100 M Street, NW., Suite 140,Washington, DC 20037.


Members of the public should notethat from the time a Notice of ProposedRule Making is issued until the matteris no longer subject to Commissionconsideration or court review, all exparte contacts are prohibited inCommission proceedings, such as this


one, which involve channel allotments.See 47 CFR 1.1204(b) for rulesgoverning permissible ex parte contacts.


List of Subjects in 47 CFR Part 73Radio broadcasting.


47 CFR Part 73

[MM Docket No.96–130, RM–8818]

Radio Broadcasting Services;Grenada, MS


SUMMARY: The Commission requestscomments on a petition by Darby RadioEnterprises proposing the allotment ofChannel 267A at Grenada, Mississippi,as an additional FM service. Channel267A can be allotted to Grenada incompliance with the Commission’sminimum distance separationrequirements with a site restriction of9.2 kilometers (5.7 miles) west to avoidshort-spacing conflicts with the licensedsite of Station WJDQ(FM), Channel267C1, Meridian, Mississippi, and to theproposal (FM–7437) to add Channel269A at Coffeeville, Mississippi. Thecoordinates for Channel 267A atGrenada are 33–47–48 and 89–54–29.DATES: Comments must be filed on orbefore August 5, 1996, and replycomments on or before August 20, 1996.ADDRESSES: Federal CommunicationsCommission, Washington, DC 20554. Inaddition to filing comments with theFCC, interested parties should serve thepetitioner, or its counsel or consultant,as follows: Darby Radio Enterprises,P.O. Box 9, Charleston, Mississippi38921 (petitioner).FOR FURTHER INFORMATION CONTACT: PamBlumenthal, Mass Media Bureau, (202)418–2180.SUPPLEMENTARY INFORMATION: This is asynopsis of the Commission’s Notice ofProposed Rule Making, MM DocketNo.96–130, adopted June 7, 1996, andreleased June 14, 1996. The full text ofthis Commission decision is availablefor inspection and copying duringnormal business hours in the FCC’sReference Center (Room 239), 1919 MStreet, NW., Washington, DC. The

complete text of this decision may alsobe purchased from the Commission’scopy contractor, ITS, Inc., (202) 857–3800, 2100 M Street, NW., Suite 140,Washington, DC 20037.

Provisions of the RegulatoryFlexibility Act of 1980 do not apply tothis proceeding.


For information regarding properfiling procedures for comments, see 47CFR 1.415 and 1.420.

List of Subjects in 47 CFR Part 73Radio broadcasting.



Federal Railroad Administration

49 CFR Part 214

[FRA Docket No. RSOR 13, Notice No. 7]

RIN 2130–AA86

Roadway Worker Protection

AGENCY: Federal RailroadAdministration (FRA), Department ofTransportation (DOT).ACTION: Notice of hearing.

SUMMARY: On March 14, FRA publishedits Notice of Proposed Rulemaking onRoadway Worker Protection (61 FR10528), which was the product of theagency’s first regulatory negotiation.FRA announced at that time that apublic hearing would only be scheduledif it was requested, since the negotiatedrulemaking process has alreadyprovided a significant opportunity fororal presentations and participation bythe public. An expression of interest inhaving a hearing was submitted onbehalf of one person whom we have notbeen able to identify or contact.However, in accordance with 5 U.S.C.§ 553 and 49 U.S.C. § 20103(e), FRA isholding the requested hearing.DATES: A public hearing will be heldfrom 12:30 p.m. to 5:30 p.m. on July 11,1996. Any person who wishes to speak

at the hearing should notify the FRADocket Clerk at least five working daysbefore the hearing, by telephone (202)366–2257 or by mail.ADDRESSES: The public hearing will beheld in the Executive Room, HolidayInn Capitol Hill, which is located at 415New Jersey Avenue, N.W., Washington,D.C. 20001.FOR FURTHER INFORMATION CONTACT:Gordon A. Davids, P.E., BridgeEngineer, Office of Safety, FRA, 400Seventh Street S.W., Room 8326,Washington, D.C. 20590 (telephone:202–366–0507); Phil Olekszyk, DeputyAssociate Administrator for SafetyCompliance and ProgramImplementation, FRA, 400 SeventhStreet S.W., Room 8320A, Washington,D.C. 20590 (telephone 202–366–0897);or Cynthia Walters, Trial Attorney,Office of Chief Counsel, FRA, 400Seventh Street S.W., Room 8201,Washington, D.C. 20590 (telephone202–366–0621).S. Mark Lindsey,Chief Counsel, Federal RailroadAdministration.[FR Doc. 96–15563 Filed 6–18–96; 8:45 am]BILLING CODE 4910–06–P

49 CFR Part 214

[FRA Docket No. RSOR 13, Notice No. 8]

RIN 2130–AA86

Roadway Worker Protection

AGENCY: Federal RailroadAdministration (FRA); Department ofTransportation (DOT).ACTION: Notice of meeting.

SUMMARY: The Federal RailroadAdministration is announcing a meetingof the Roadway Worker ProtectionAdvisory Committee (Committee) toreview comments submitted in responseto the publication of the Notice ofProposed Rulemaking (NPRM) on March14, (61 FR 10528).DATES: The Committee will hold anadditional meeting on July 12, 1996from 8:30 a.m. to 5:30 p.m.ADDRESSES: The meeting will be held inthe Executive Room, Holiday Inn,Capitol Hill, which is located at 415New Jersey Avenue, N.W., Washington,D.C. 20001.FOR FURTHER INFORMATION CONTACT:Cynthia Walters, Trial Attorney, Officeof Chief Counsel, FRA, 400 SeventhStreet S.W., Room 8201, Washington,D.C. 20590 (Telephone: 202–366–0621);or Gordon Davids, P.E., Bridge Engineer,Office of Safety, FRA, 400 SeventhStreet S.W., Room 8326, Washington,D.C. 20590 (Telephone: 202–366–0507).


SUPPLEMENTARY INFORMATION: On March14, 1996, FRA published its NPRM onRoadway Worker Protection. The NPRMwas the product of FRA’s firstnegotiated rulemaking. Consistent withthe Administrative Procedures Act (5U.S.C. § 553), FRA solicited andreceived comments on the proposedrule. In accordance with spirit of theNegotiated Rulemaking Act (5 U.S.C.§ 561 et seq.) FRA is allowing theCommittee to consider these commentsand make a recommendation to FRAregarding their status prior to issuing aFinal Rule. FRA continues to believethat public participation is critical to thesuccess of this process. This negotiatingsession will be open to the public,pursuant to the Federal AdvisoryCommittee Act (Pub. L. 92–463).S. Mark Lindsey,Chief Counsel, Federal RailroadAdministration.[FR Doc. 96–15562 Filed 6–18–96; 8:45 am]BILLING CODE 4910–06–P

National Highway Traffic SafetyAdministration

49 CFR Part 571

[Docket No. 95–98; Notice No. 2]

Public Meeting on School BusTransportation.

AGENCY: National Highway TrafficSafety Administration (NHTSA), DOT.ACTION: Notice of public meeting;request for comments.

SUMMARY: This notice announces apublic meeting at which NHTSA willseek information about school bustransportation. NHTSA held a nationalmeeting on February 14, 1996. Inresponse to comments received at theFebruary meeting, NHTSA is holdingregional meetings. NHTSA is seekinginformation from school busmanufacturers, school transportationproviders, and other members of thepublic on issues related to thetransportation of school children.NHTSA is also requesting suggestionsfor actions with respect to NHTSA’sregulations and Federal Motor VehicleSafety Standards (FMVSS) that governthe manufacture of school buses. Thisnotice also invites written comments onthe same subject.DATES: Public meeting: The meeting willbe held on August 15, 1996 at 9:00 a.m.Those wishing to make oralpresentations at the meeting shouldcontact Charles Hott, at the address ortelephone number listed below, byAugust 8, 1996.

Written comments: Written commentsmay be submitted to the agency andmust be received by September 16,1996.ADDRESSES: Public meeting: The publicmeeting will be held at the followinglocation: Holiday Inn, 411 South Larkin,Joliet, IL 60436, Tel: (815) 729–2000.

Written comments: All writtencomments (preferably 10 copies) shouldbe mailed to the Docket Section,National Highway Traffic SafetyAdministration, Room 5109, 400 7thStreet, SW, Washington, DC 20590.Please refer to the docket number whensubmitting written comments.FOR FURTHER INFORMATION CONTACT:Charles Hott, Office of Vehicle SafetyStandards, NPS–15, NHTSA, 400 7thStreet, SW, Washington, DC 20590(telephone 202–366–0247, Fax: 202–366–4329).


Regulatory ReformCalling for a new approach to the way

Government regulates the private sector,President Clinton asked ExecutiveBranch agencies to improve theregulatory process. Specifically, thePresident requested that agencies: (1)cut obsolete regulations; (2) rewardagency and regulator performance byrewarding results, not red tape; (3)create grassroots partnerships bymeeting with those affected byregulations and other interested parties;and (4) use consensual rulemaking, suchas regulatory negotiation, morefrequently.

NHTSA previously announced publicmeetings to create grassrootspartnerships with regulated industriesand other affected parties that do notdeal with NHTSA on a routine basis. Bymeeting with these groups, NHTSAbelieves that it can build a betterunderstanding of their needs andconcerns.

At the February 14, 1996 publicmeeting on school bus transportationcommenters suggested that NHTSA holdpublic meetings in different regions ofthe country. By holding regional publicmeetings on school bus transportation,NHTSA hopes to obtain the views fromthose parties affected by school bustransportation and the public on thelocal issues, as well as, national issues.NHTSA believes that their views areimportant because school bustransportation is an issue that affectsmost school districts in the UnitedStates. This meeting is a way ofobtaining information from thosepersons that do not attend the nationalmeetings on school transportation on aregular basis. NHTSA has decided to

hold these meetings based on thegeographic locations served by theNHTSA Regional Offices. This meetingis being held in NHTSA Region 5 whichincludes the following States: Illinois;Indiana; Michigan; Minnesota; Ohio;and Wisconsin. Interested parties fromthese states are encouraged to attend.However, parties from other states arealso welcome.

NHTSA recognizes that manufacturerswho build school buses operate underdifferent conditions than manufacturersof passenger cars and trucks. Inaddition, the agency is aware thatschool transportation providers andschool bus manufacturers share acommon interest in matters relating topupil transportation safety. Therefore,the agency has decided to hold publicmeetings to listen to the views of thesegroups and others in order to be betterinformed of their specific needs. Theagency is interested in obtaining theirviews on how it can improve itsregulations that govern the manufactureof school buses. Suggestions should beaccompanied by a statement of therationale for the suggested action and ofthe expected consequences of thataction. Suggestions should address atleast the following considerations:Administrative/compliance burdensCost effectivenessCosts of the existing regulation and the

proposed changes to consumersCosts of testing or certification to regulated

partiesEffects on safetyEffects on small businessesEnforceability of the standardWhether the suggestion reflects a ‘‘common

sense’’ approach to solving the problem

Statements should be as specific aspossible and provide the best availablesupporting information. Statements alsoshould specify whether any changerecommended in the regulatory processwould require a legislative change inNHTSA’s authority.

Other Topics of InterestIn recent years there have been many

changes to the Federal requirements forschool buses. These new requirementsinclude stop arms for all school buses,more emergency exits for most of thelarger school buses, performancerequirements for wheelchair restraintsin school buses, and mirror systems thatare performance based instead of designbased. Future requirements includesantilock brake systems for large schoolbuses and may require small schoolbuses to meet Standard No. 221, jointstrength.

Improvements have been made to thesafety of the school bus loading zones.The stop arm and mirror requirements


were implemented to reduce thenumber of loading zone injuries andfatalities. However, changes in clothingstyle and design have resulted insnagging and dragging injuries to busoccupants departing from the schoolbus. Most manufacturers haveimplemented recalls to modify handraildesigns.

The agency is interested in your viewson how the above regulations anddevelopments have affected school bussafety. Have increased costs of schoolbuses affected the normal replacementcycle for your school buses?

There have also been many changes tothe Federal requirements for school busdrivers. School bus drivers are nowrequired to possess a commercialdrivers license which requires pre-employment drug tests and randomdrug and alcohol tests. Staff from theFederal Highway Administration will beavailable to answer questions at themeeting.

Procedural Matters

The agency intends to conduct themeeting informally so as to allow formaximum participation by all whoattend. Interested persons may askquestions or provide comments duringany period after a party has completedits presentation, on a time allowed basisas determined by the presiding official.

If time permits, persons who have notrequested time to speak, but would liketo make a statement, will be afforded anopportunity to do so.

The agency is interested in obtainingthe views of its customers both orallyand in writing. An agenda for themeeting will be made based on thenumber of persons wishing to make oralpresentations and will be available onthe day of the meeting.

Those speaking at the public meetingshould limit their presentations to 20minutes. If the presentation will includeslides, motion pictures, or other visualaids, please indicate so that the properequipment may be made available.Presenters should bring at least onecopy of their presentation to the meetingso that NHTSA can readily include thematerial in the public record.

A schedule of participants makingoral presentations will be available atthe designated meeting room. NHTSAwill place a copy of any writtenstatement in the docket for this notice.Participation in the meeting is not aprerequisite for the submission ofwritten comments. NHTSA inviteswritten comments from all interestedparties. It is requested but not requiredthat 10 copies be submitted.

If a commenter wishes to submitcertain information under a claim ofconfidentiality, three copies of the

complete submission, includingpurportedly confidential businessinformation, should be submitted to theChief Counsel, NHTSA, Room 5219, atthe street address given above, andcopies from which the purportedlyconfidential information has beendeleted should be submitted to theDocket Section. A request forconfidentiality should be accompaniedby a cover letter setting forth theinformation specified in the agency’sconfidential business informationregulation (49 CFR Part 512.)

All comments received before theclose of business on the commentclosing date indicated above will beconsidered. Comments will be availablefor inspection in the docket.

After the closing date, NHTSA willcontinue to file relevant information inthe docket as it becomes available. It istherefore recommended that interestedpersons continue to examine the docketfor new material.

Authority: 49 U.S.C. 322, 30111, 30115,30117, and 30166; delegation of authority at49 CFR 1.50.

Issued: June 14, 1996.Barry Felrice,Associate Administrator for SafetyPerformance Standards.[FR Doc. 96–15593 Filed 6–18–96; 8:45 am]BILLING CODE 4910–59–P

This section of the FEDERAL REGISTERcontains documents other than rules orproposed rules that are applicable to thepublic. Notices of hearings and investigations,committee meetings, agency decisions andrulings, delegations of authority, filing ofpetitions and applications and agencystatements of organization and functions areexamples of documents appearing in thissection.

Notices Federal Register

31088

Vol. 61, No. 119



Food and Consumer Service

Food Stamp Program: AgencyInformation Collection Activities:Proposed Collection, CommentRequest—Federal Collection of StateParticipation Reporting

AGENCY: Food and Consumer Service,USDA.ACTION: Notice.

SUMMARY: In accordance with thePaperwork Reduction Act of 1995, theFood and Consumer Service (FCS) ispublishing for public comment asummary of a proposed informationcollection. The proposed collection isan extension of collection currentlyapproved under OMB No. 0584–0081.DATES: Comments on this notice must bereceived by August 19, 1996 to beassured of consideration.ADDRESSES: Send comments andrequests for copies of this informationcollection to Joseph H. Pinto, Chief,State Administration Branch, FoodStamp Program, Food and ConsumerService, USDA, 3101 Park Center Drive,Alexandria, VA 22302. Copies of theestimate of the information collectioncan be obtained by contacting Mr. Pinto.

Comments are invited on: (a) Whetherthe proposed collection of informationis necessary for the proper performanceof the functions of the Agency,including whether the information willhave practical utility; (b) the accuracy ofthe Agency’s estimate of the burden ofthe proposed collection of informationincluding the validity of themethodology and assumptions used; (c)ways to enhance the quality, utility, andclarity of the information to becollected; and (d) ways to minimize theburden of the collection of informationon those who are to respond, includingthrough the use of appropriateautomated, electronic, mechanical, orother technological collection

techniques or other forms of informationtechnology.

All comments will be summarizedand included in the request for Office ofManagement and Budget approval of theinformation collection. All commentswill become a matter of public record.FOR FURTHER INFORMATION CONTACT:Joseph H. Pinto, telephone number (703)305–2383.SUPPLEMENTARY INFORMATION:

Title: Form FCS–388, State Issuanceand Participation Estimates.

OMB Number: 0584–0081.Expiration Date: September 30, 1996.Type of Request: Extension of a

currently approved collection.Abstract: Section 18(b) of the Food

Stamp Act limits the value of allotmentspaid to food stamp households to anamount not in excess of theappropriation for the fiscal year. Ifallotments in any fiscal year wouldexceed the appropriation, the Secretaryof Agriculture is required to direct Stateagencies to reduce the value of foodstamp allotments to the extent necessaryto stay within appropriated fundinglevels.

Section 18(a) of the Food Stamp Actrequires the Secretary of Agriculture tosubmit a monthly report to Congresssetting forth the Secretary’s bestestimate of the second precedingmonth’s expenditures for the FoodStamp Program as well as thecumulative total for the fiscal year. Ineach monthly report the Secretary isrequired to also state whethersupplemental appropriations will beneeded to support the operation of theprogram through the end of the fiscalyear. The timeliness and accuracy of thedata available to the Secretary prior tosubmitting this report will have a directeffect upon any request forsupplemental appropriations that maybe submitted and the manner in whichallotments will be reduced if thesupplemental appropriation is notprovided. While benefit reductions havenever been ordered in the past underSection 18(b) nor are they anticipatedbased on current data, the Departmentmust continue to monitor actualprogram costs against the appropriation.

Section 11(e)(12) of the Food StampAct requires that the State Plan ofOperations shall provide for thesubmission of reports required by theSecretary of Agriculture. State agenciesare required to report on a monthly

basis on the FCS–388, State Issuanceand Participation Estimates, estimatedor actual issuance and participation datafor the current month and previousmonth, and actual participation data forthe second preceding month. The FCS–388 report provides the necessary datafor an early warning system to enablethe Department to fulfil its reportingrequirements to Congress.

State agencies in general only submitone Statewide FCS–388 per month. Theonly exception is that State agencieswhich choose to operate an approvedalternative issuance demonstrationproject such as cash-out or electronicbenefits submit a separate report foreach type of alternative issuance. WithState agency automated informationsystems, the separate report for analternative issuance demonstrationproject should have a negligible impacton the burden.

In addition, State agencies arerequired to submit a project areabreakdown on the FCS–388A ofissuance and participation data twice ayear. This data is useful in identifyingproject areas that are required to dophoto identification of heads ofhouseholds or to operate fraud detectionunits in accordance with the Act.

Beginning July 1993, State agencieswere allowed to submit the FCS–388data electronically to the nationaldatabase files stored in FCS’ FoodStamp Program Integrated InformationSystem in lieu of a paper report. Thevoluntary changeover from paper toelectronic reporting of FCS–388 data byStates was done as part of FCS’ StateCooperative Data Exchange (SCDEX)Project. This project is being expandedeach year as more FCS forms aretransformed to electronic formats forState data entry. As of April 1996, 45State agencies submit the FCS–388 dataelectronically and 8 State agenciessubmit paper reports.

Respondents: State agencies thatadminister the Food Stamp Program.

Number of Respondents: 53.Estimated Number of Responses per

Respondent:Form FCS–388: 53 State agencies 12

times a year.Form FCS–388A: 53 State agencies

twice a year.Estimate of Burden:Form FCS–388: The State agencies

submit Form FCS–388 10 times per yearat an estimate of 5.60 hours per

31089Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Notices

respondent, or 2,970 hours. Theremaining two FCS–388 submissionswith a public assistance (PA) and non-public assistance (NA) caseloadbreakout are covered under the FCS–388A twice a year submissions (seebelow).

Form FCS–388A: The State agenciessubmit a more detailed FCS–388 (withPA and NA breakout) twice a year andFCS–388A project area breakdown twicea year at an estimate of 14.8 hours perrespondent, or 1,572 hours.

Estimated Total Annual Burden onRespondents: The annual reporting andrecordkeeping burden for OMB No.0584–0081 is estimated to be 4,542hours and is unchanged from thecurrently approved burden.

Dated: June 6, 1996.William E. Ludwig,Administrator.[FR Doc. 96–15626 Filed 6–18–96; 8:45 am]BILLING CODE 3410–30–U

Rural Utilities Service

Municipal Interest Rates for the ThirdQuarter of 1996

AGENCY: Rural Utilities Service, USDA.ACTION: Notice of municipal interestrates on advances from insured electricloans for the third quarter of 1996.

SUMMARY: The Rural Utilities Servicehereby announces the interest rates foradvances on municipal rate loans withinterest rate terms beginning during thethird calendar quarter of 1996.DATES: These interest rates are effectivefor interest rate terms that commenceduring the period beginning July 1,1996, and ending September 30, 1996.FOR FURTHER INFORMATION CONTACT:Carolyn Dotson, Loan Funds ControlAssistant, U.S. Department ofAgriculture, Rural Utilities Service,room 2230–s, 14th Street &Independence Avenue, SW., AgBox1522, Washington, DC 20250–1522.Telephone: 202–720–1928. FAX: 202–720–4120. E-mail:[email protected] INFORMATION: The RuralUtilities Service (RUS) herebyannounces the interest rates onadvances made during the thirdcalendar quarter of 1996 for municipalrate electric loans. Pursuant to RUSregulations at 7 CFR 1714.4, eachadvance of funds on a municipal rateloan shall bear interest at a single ratefor each interest rate term. Pursuant to7 CFR 1714.5, the interest rates on theseadvances are based on indexespublished in the ‘‘Bond Buyer’’ for the

four weeks prior to the first Friday ofthe last month before the beginning ofthe quarter.

In accordance with 7 CFR 1714.5, theinterest rates are established as shownin the following table for all interest rateterms that begin at any time during thethird calendar quarter of 1996.Interest rate term ends in ...................RUS rate(year) .........................................(0.000 percent)2017 or later .............................................5.8752016 ..........................................................5.7502015 ..........................................................5.7502014 ..........................................................5.7502013 ..........................................................5.7502012 ..........................................................5.6252011 ..........................................................5.6252010 ..........................................................5.5002009 ..........................................................5.5002008 ..........................................................5.3752007 ..........................................................5.2502006 ..........................................................5.2502005 ..........................................................5.1252004 ..........................................................5.0002003 ..........................................................4.8752002 ..........................................................4.7502001 ..........................................................4.7502000 ..........................................................4.6251999 ..........................................................4.5001998 ..........................................................4.2501997 ..........................................................3.625

Dated: June 12, 1996.Wally Beyer,Administrator, Rural Utilities Service.[FR Doc. 96–15518 Filed 6–18–96; 8:45 am]BILLING CODE 3410–15–P

ARCHITECTURAL ANDTRANSPORTATION BARRIERSCOMPLIANCE BOARD

ADAAG Review Advisory Committee;Meeting

AGENCY: Architectural andTransportation Barriers ComplianceBoard.ACTION: Notice of meeting.

SUMMARY: The Architectural andTransportation Barriers ComplianceBoard (Access Board) gives notice of thedates and location of the meetings of theADAAG Review Advisory Committee.DATES: The ADAAG Review AdvisoryCommittee will meet on July 7, 8, and9, 1996. The July 7 and 8 meetings willbegin at 10:00 a.m. and end no laterthan 6:00 p.m. The July 9 meeting willbegin at 9:00 a.m. and end no later than5:00 p.m.ADDRESSES: The meetings will be held atthe offices of the Paralyzed Veterans ofAmerica, 801 18th Street, NW.,Washington, DC.FOR FURTHER INFORMATION CONTACT: Forfurther information regarding themeetings, please contact Marsha Mazz,Office of Technical and Information

Services, Architectural andTransportation Barriers ComplianceBoard, 1331 F Street, NW., suite 1000,Washington, DC 20004–1111.Telephone (202) 272–5434 ext. 21(voice); (202) 272–5449 (TTY). Thisdocument is available in alternateformats (cassette tape, braille, largeprint, or computer disk) upon request.

SUPPLEMENTARY INFORMATION: InSeptember 1994, the Access Boardestablished an advisory committee toreview the Americans with DisabilitiesAct Accessibility Guidelines (ADAAG)for buildings and facilities. 36 CFR part1191, appendix A. The advisorycommittee will make recommendationsto the Access Board for updatingADAAG to ensure that the guidelinesremain a state-of-the-art documentwhich is generally consistent withtechnological developments andchanges in national standards andmodel codes, and continue to meet theneeds of individuals with disabilities.The advisory committee is scheduled tocomplete its work in September 1996.

The advisory committee will meet onthe dates and at the location announcedin this notice. At the meeting on July 7,1996, the advisory committee willdiscuss the following items which weretabled from previous meetings: workareas (ADAAG 4.1.1(3)) and reachranges (ADAAG 4.2 and 4.27). Therewill be a public comment period beforeeach item for persons interested in theitem to present their views to theadvisory committee.

The advisory committee will alsodiscuss the recommendations of a jointwork group of the advisory committeeand the ANSI A117 Committeeregarding harmonization of ADAAG andthe A117.1 standard. The advisorycommittee is expected to begin thisdiscussion on the afternoon of July 7,1996 and continue the discussion onJuly 8 and 9, 1996. There will be apublic comment period each day beforethe advisory committee discusses theharmonization items.

The meetings are open to the public.The meeting site is accessible toindividuals with disabilities.Individuals with hearing impairmentswho require sign language interpretersshould contact Marsha Mazz by June 28,1996, by calling (202) 272–5434 ext. 21(voice) or (202) 272–5449 (TTY).James J. Raggio,General Counsel.[FR Doc. 96–15594 Filed 6–18–96; 8:45 am]BILLING CODE 8150–01–P

31090 Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Notices

CONSUMER PRODUCT SAFETYCOMMISSION

Sunshine Act Meeting

AGENCY: U.S. Consumer Product SafetyCommission.TIME AND DATE: Thursday, June 27, 1996,10:00 a.m.LOCATION: Room 410, East West Towers,4330 East West Highway, Bethesda,Maryland.STATUS: Closed to the Public.

MATTER TO BE CONSIDERED:

Compliance Status ReportThe staff will brief the Commission on the

status of various compliance matters.

For a recorded message containing thelatest agenda information, call (301)504–0709.CONTACT PERSON FOR ADDITIONALINFORMATION: Sadye, E. Dunn, Office ofthe Secretary, 4330 East West Highway,Bethesda, MD 20207 (301) 504–0800.

Dated: June 17, 1996.Sadye E. Dunn,Secretary.[FR Doc. 96–15787 Filed 6–17–96; 2:25 pm]BILLING CODE 6355–01–M

DEPARTMENT OF DEFENSE

GENERAL SERVICESADMINISTRATION

NATIONAL AERONAUTICS ANDSPACE ADMINISTRATION

[OMB Control No. 9000–0139; FAR Case 95–305]

Proposed Collection; CommentRequest Entitled Federal Acquisitionand Community Right-to-Know

AGENCIES: Department of Defense (DOD),General Services Administration (GSA),and National Aeronautics and SpaceAdministration (NASA).ACTION: Notice of request for publiccomments regarding an extension to anexisting OMB clearance receivedpursuant to the emergency processingprovisions of the Paperwork ReductionAct of 1995 (Public Law 104–13) (9000–0139).

SUMMARY: Under the provisions of thePaperwork Reduction Act of 1995 (44U.S.C. Chapter 35), the FederalAcquisition Regulation (FAR)Secretariat has submitted to the Officeof Management and Budget (OMB) arequest to review and approve anextension of a currently approvedinformation collection approved

pursuant to the emergency processingprovisions of the Paperwork ReductionAct of 1995 (Public Law 104–13). ThisOMB clearance (9000–0139) currentlyexpires on July 31, 1996. Therequirement was published in theFederal Register as an interim rule (60FR 55306, October 30, 1995) and publiccomments were solicited. Publiccomments were again solicited onJanuary 31, 1996 (61 FR 3386), andApril 12, 1996 (61 FR 16242). Onecomment has been received to date. Itwill be considered along with allsubstantive comments on the rule infinalization of the rule.

DATES: Comment Due Date: August 19,1996.

ADDRESSES: Comments regarding thisburden estimate or any other aspect ofthis collection of information, includingsuggestions for reducing this burden,should be submitted to: FAR DeskOfficer, OMB, Room 10102, NEOB,Washington, DC 20503, and a copy tothe General Services Administration,FAR Secretariat, 18th & F Streets, NW,Room 4037, Washington, DC 20405.Please cite OMB Control No. 9000–0139,Federal Acquisition and CommunityRight-to-Know, in all correspondence.

FOR FURTHER INFORMATION CONTACT: Mr.Ralph De Stefano, Federal AcquisitionPolicy Division, GSA (202) 501–1758.


A. Purpose

The interim rule added FAR Subpart23.9 and its associated solicitationprovision and contract clause whichimplement the requirements ofExecutive Order (E.O.) 12969 of August8, 1995 (60 FR 40989, August 10, 1995),‘‘Federal Acquisition and CommunityRight-to-Know,’’ and the EnvironmentalProtection Agency’s ‘‘GuidanceImplementing Executive Order 12969;Federal Acquisition; Community Right-to-Know; Toxic Chemical ReleaseReporting’’ (60 FR 50738, September 29,1995). The interim rule requires offerorsin competitive acquisitions over$100,000 (including options) to certifythat they will comply with applicabletoxic chemical release reportingrequirements of the Emergency Planningand Community Right-to-Know Act of1986 (42 U.S.C. 11001–11050) and thePollution Prevention Act of 1990 (42U.S.C. 13101–13109). The rule does notapply to acquisitions of commercialitems under FAR Part 12 or contractorfacilities located outside the UnitedStates. This rule does not apply tosubcontractors beyond first-tier.

B. Annual Reporting Burden

Public reporting burden for thiscollection of information is estimated toaverage 0.50 minutes per response,including the time for reviewinginstructions, searching existing datasources, gathering and maintaining thedata needed, and completing andreviewing the collection of information.

The annual reporting burden isestimated as follows: Respondents(includes first-tier subcontractors),167,487; responses per respondent, 1;total annual responses, 167,487;preparation hours per response, 0.50;and total response burden hours,83,744.

Obtaining Copies of Justifications:Requester may obtain copies ofjustifications from the General ServicesAdministration, FAR Secretariat(MVRS), Room 4037, Washington, DC20405, telephone (202) 501–2164. Pleasecite OMB Control No. 9000–0139,Federal Acquisition and CommunityRight-to-Know, in all correspondence.

Dated: June 13, 1996.Shari Kiser,FAR Secretariat.[FR Doc. 96–15624 Filed 6–18–96; 8:45 am]BILLING CODE 6820–EP–P

Department of the Air Force

USAF Scientific Advisory BoardMeeting

The Munitions Quick Look Panel,USAF Scientific Advisory board, willmeet from 18–19 July 1996 at Dayton,OH, from 8:00 a.m. to 5:00 p.m.

The purpose of the meeting is for themembers to evaluate Air Force responseto an environmental hazard.

The meeting will be closed to thepublic in accordance with Section 552bof Title 5, United States Code,specifically subparagraphs (1) and (4)thereof.

For further information, contact theScientific Advisory Board Secretariat at(703) 697–8404.Patsy J. Conner,Air Force Federal Register Liaison Officer.[FR Doc. 96–15614 Filed 6–18–96; 8:45 am]BILLING CODE 3910–01–M

Defense Information Systems Agency

Membership of the DefenseInformation Systems Agency SeniorExecutive Service (SES) PerformanceReview Board (PRB)

AGENCY: Defense Information SystemAgency.


ACTION: Notice of membership of theDefense Information Systems AgencySenior Executive Service PerformanceReview Board.

SUMMARY: This notice announces theappointment of the members of thePerformance Review Board of theDefense Information Systems Agency.The publication of membership isrequired by 5 U.S.C. 4314(c)(4).

The Performance Review Boardprovides fair and impartial review ofSenior Executive Service performanceappraisals and makes recommendationsregarding performance ratings andperformance awards to the Director,DISA.EFFECTIVE DATE: 7 June 1996.FOR FURTHER INFORMATION CONTACT:Ms. Carrie K. Bazemore, SES ProgramManager, Civilian Personnel Division,Personnel and AdministrationManpower Directorate, DefenseInformation Systems Agency (703) 607–4411.SUPPLEMENTARY INFORMATION: Inaccordance with 5 U.S.C. 4314(c)(4), thefollowing are names and titles of theexecutives who have been appointed toserve as members of the SESPerformance Review Board. They willserve a one-year renewable term,effective 7 June 1996.Jack Penkoske,Chief, Civilian Personnel Division.

David J. Kelley, Major General, USA, ViceDirector, DISA

D. Diane Fountaine, Deputy Manager,National Communication Systems

Michael Mestrovich, (Dr.), Deputy Directorfor Enterprise Integration

James Beale, Brigadier General, USAF,Deputy Director for Operations

Robert Hutten, Deputy Director for StrategicPlans and Policy

Louise T. Neill, Deputy Director, Personneland Administration

[FR Doc. 96–15523 Filed 6–18–96; 8:45 am]BILLING CODE 3610–05–M


Notice of Proposed InformationCollection Requests

AGENCY: Department of Education.ACTION: Notice of proposed informationcollection requests.

SUMMARY: The Acting Director,Information Resources Group, invitescomments on the proposed informationcollection requests as required by thePaperwork Reduction Act of 1995.DATES: An emergency review has beenrequested in accordance with the Act

(44 U.S.C. Chapter 3507 (j)), sincepublic harm is reasonably likely toresult if normal clearance proceduresare followed. Approval by the Office ofManagement and Budget (OMB) hasbeen requested by June 14, 1996. Aregular clearance process is alsobeginning. Interested persons areinvited to submit comments on or beforeAugust 19, 1996.ADDRESSES: Written commentsregarding the emergency review shouldbe addressed to the Office ofInformation and Regulatory Affairs,Attention: Wendy Taylor, Desk Officer:Department of Education, Office ofManagement and Budget, 725 17thStreet, NW., Room 10235, NewExecutive Office Building, Washington,D.C. 20503. Requests for copies of theproposed information collection requestshould be addressed to Patrick J.Sherrill, Department of Education, 7th &D Streets, SW, Room 5624, RegionalOffice Building 3, Washington, DC20202–4651. Written commentsregarding the regular clearance andrequests for copies of the proposedinformation collection requests shouldbe addressed to Patrick J. Sherrill,Department of Education, 600Independence Avenue, SW, Room 5624,Regional Office Building 3, Washington,DC 20202–4651, or should be electronicmailed to the internet address#[email protected], or should be faxed to202–708–9346.FOR FURTHER INFORMATION CONTACT:Patrick J. Sherrill (202) 708–8196.Individuals who use atelecommunications device for the deaf(TDD) may call the Federal InformationRelay Service (FIRS) at 1–800–877–8339between 8 a.m. and 8 p.m., Eastern time,Monday through Friday.SUPPLEMENTARY INFORMATION: Section3506(c)(2)(A) of the PaperworkReduction Act of 1995 (44 U.S.C.Chapter 3506(c)(2)(A) requires that theDirector of OMB provide interestedFederal agencies and the public an earlyopportunity to comment on informationcollection requests. The Office ofManagement and Budget (OMB) mayamend or waive the requirement forpublic consultation to the extent thatpublic participation in the approvalprocess would defeat the purpose of theinformation collection, violate State orFederal law, or substantially interferewith any agency’s ability to perform itsstatutory obligations. The ActingDirector of the Information ResourcesGroup, publishes this notice containingproposed information collectionrequests at the beginning of theDepartmental review of the informationcollection. Each proposed information

collection, grouped by office, containsthe following: (1) Type of reviewrequested, e.g., new, revision, extension,existing or reinstatement; (2) Title; (3)Summary of the collection; (4)Description of the need for, andproposed use of, the information; (5)Respondents and frequency ofcollection; and (6) Reporting and/orRecordkeeping burden. ED invitespublic comment at the address specifiedabove. Copies of the requests areavailable from Patrick J. Sherrill at theaddress specified above.

The Department of Education isespecially interested in public commentaddressing the following issues: (1) isthis collection necessary to the properfunctions of the Department, (2) willthis information be processed and usedin a timely manner, (3) is the estimateof burden accurate, (4) how might theDepartment enhance the quality, utility,and clarity of the information to becollected, and (5) how might theDepartment minimize the burden of thiscollection on the respondents, includingthrough the use of informationtechnology.

Dated: June 13, 1996.Arthur F. Chantker,Acting Director, Information ResourcesGroup.

Office of Elementary and SecondaryEducation

Type of Review: New.Title: Application for Grants Under

the Innovative Programs Section of theMagnet Schools Assistance Program.

Abstract: This application is used bylocal educational agencies to apply forfunds to administer innovativeprograms under Magnet SchoolsProgram. The proposed projects mustinvolve strategies other than magnetschools and be organized around aspecial emphasis, theme, or concept,and involve parent and communityinput.

Additional Information: Thiscollection needs an emergencyclearance so that the schedule for theapplication notice publication date canbe met, as well as to make grant awardsfor this fiscal year.

Frequency: Annually.Affected Public: State, local or Tribal

Gov’t, SEAs and LEAs.Reporting and Recordkeeping Hour

Burden:Responses: 150.Burden Hours: 3,600.



Notice of Proposed InformationCollection Requests

AGENCY: Department of Education.ACTION: Proposed collection; commentrequest.

SUMMARY: The Director, InformationResources Group, invites comments onthe proposed information collectionrequests as required by the PaperworkReduction Act of 1995.DATES: Interested persons are invited tosubmit comments on or before August19, 1996.ADDRESSES: Written comments andrequests for copies of the proposedinformation collection requests shouldbe addressed to Patrick J. Sherrill,Department of Education, 600Independence Avenue, S.W., Room5624, Regional Office Building 3,Washington, DC 20202–4651.FOR FURTHER INFORMATION CONTACT:Patrick J. Sherrill (202) 708–8196.Individuals who use atelecommunications device for the deaf(TDD) may call the Federal InformationRelay Service (FIRS) at 1–800–877–8339between 8 a.m. and 8 p.m., Eastern time,Monday through Friday.SUPPLEMENTARY INFORMATION: Section3506 of the Paperwork Reduction Act of1995 (44 U. S. C. Chapter 35) requiresthat the Office of Management andBudget (OMB) provide interestedFederal agencies and the public an earlyopportunity to comment on informationcollection requests. OMB may amend orwaive the requirement for publicconsultation to the extent that publicparticipation in the approval processwould defeat the purpose of theinformation collection, violate State orFederal law, or substantially interferewith any agency’s ability to perform itsstatutory obligations. The Director of theInformation Resources Group publishesthis notice containing proposedinformation collection requests prior tosubmission of these requests to OMB.Each proposed information collection,grouped by office, contains thefollowing: (1) Type of review requested,e.g., new, revision, extension, existingor reinstatement; (2) Title; (3) Summaryof the collection; (4) Description of theneed for, and proposed use of, theinformation; (5) Respondents andfrequency of collection; and (6)Reporting and/or Recordkeepingburden. OMB invites public comment atthe address specified above. Copies ofthe requests are available from Patrick J.Sherrill at the address specified above.

The Department of Education isespecially interested in public commentaddressing the following issues: (1) is

this collection necessary to the properfunctions of the Department, (2) willthis information be processed and usedin a timely manner, (3) is the estimateof burden accurate, (4) how might theDepartment enhance the quality, utility,and clarity of the information to becollected, and (5) how might theDepartment minimize the burden of thiscollection on the respondents, includingthrough the use of informationtechnology.

Dated: June 13, 1996.Gloria Parker,Director, Information Resources Group.

Office of Postsecondary Education

Type of Review: Reinstatement.Title: Lender’s Participation

Questionnaire (LPQ).Frequency: Annually.Affected Public: Business or other for-

profit; State, local or Tribal Gov’t, SEAsor LEAs.

Annual Reporting and RecordkeepingHour Burden:

Responses: 100.Burden Hours: 17.

Abstract: The Lender’s ParticipationQuestionnaire is submitted by lenderswho are eligible for reimbursement ofinterest and special allowance, as wellas Federal Insured Student Loan (FISL)claims payment, under the FederalFamily Education Loan Program. Theinformation will be used by ED toupdate Lender Identification Numbers(LIDs), lender names, addresses with 9digit zip codes, and other pertinentinformation.

Office of Postsecondary Education

Type of Review: Extension.Title: Lender’s Interest and Special

Allowance Request.Frequency: Quarterly.Affected Public: Business or other for-

profit; State, local or Tribal Gov’t, SEAsor LEAs.

Annual Reporting and RecordkeepingHour Burden:

Responses: 10,544.Burden Hours: 102,804.

Abstract: The Lender’s Interest andSpecial Allowance Request and Report(ED Form 799) is used by approximately9,000 lenders participating in the TitleIV, Part B loan programs. The ED Form799 is used to pay interest and specialallowance to holders of the Part B loans;and to capture quarterly data from alender’s loan portfolio for financial andbudgetary projections.


DEPARTMENT OF ENERGY

[FE DOCKET NO. EA–115]

Application to Export Electricity; EnronPower Marketing, Inc.

AGENCY: Office of Fossil Energy, DOE.ACTION: Notice of application.

SUMMARY: Enron Power Marketing, Inc.,(EPMI) has requested authorization toexport electric energy to Canada. EPMIis a marketer of electric energy. It doesnot own or control any electricgeneration or transmission facilities.DATES: Comments, protests, or requeststo intervene must be submitted on orbefore July 19, 1996.ADDRESSES: Comments, protests, orrequests to intervene should beaddressed as follows: Office of Coal &Electricity (FE–52), Office of FuelsPrograms, Fossil Energy, U.S.Department of Energy, 1000Independence Avenue, S.W.,Washington, D.C. 20585.FOR FURTHER INFORMATION CONTACT:William H. Freeman (Program Office)202–586–5883 or Michael T. Skinker(Program Attorney) 202–586–6667.SUPPLEMENTARY INFORMATION: Exports ofelectricity from the United States to aforeign country are regulated andrequire authorization under section202(e) of the Federal Power Act (FPA)(16 U.S.C. 824a(e)).

On June 3, 1996, EPMI filed anapplication with the Office of FossilEnergy (FE) of the Department of Energy(DOE) for authorization to exportelectric energy to Canada pursuant tosection 202(e) of the FPA. EPMI neitherowns nor controls any facilities for thetransmission or distribution ofelectricity, nor does it have a franchisedretail service area. Rather, EPMI is apower marketer authorized by theFederal Energy Regulatory Commission(FERC) to engage in the wholesale saleof electricity in interstate commerce atnegotiated rates pursuant to its filed rateschedules.

In its application, EPMI proposes tosell electric energy to Canadian entitiesand specifically requests that theproposed export authorization be issuedwithout a time limit. The electric energyEPMI proposes to transmit to Canadawould be purchased from electricutilities and Federal power marketingagencies in the United States. EPMIasserts that the energy to be exported toCanada would be surplus to the energyrequirements of the selling utilities orelectric generators from which it ispurchased in the U.S. EPMI wouldarrange for the exported energy to bewheeled from the selling entities, over


existing domestic transmissionfacilities, and delivered to the foreign

purchaser over one or more of thefollowing international transmission

lines for which Presidential permits (PP)have been previously issued:

Presidential permit holder Permit No. Voltage (kV) Location

Basin Electric Coop. ................................................................................................................... PP–64 ...... 230 Tioga, ND.Bonneville Power Admin. ........................................................................................................... PP–10 ...... 2–500 Blaine, WA.

PP–36 ...... 230 Nelway, BC.PP–46 ...... 230 Nelway, BC.

Citizens Utilities .......................................................................................................................... PP–66 ...... 120 Derby Line, VT.Detroit Edison ............................................................................................................................. PP–36 ...... 345 St. Clair, MI.

PP–21 ...... 230 Marysville, MI................... 230 Detroit, MI.PP–58 ...... 345 St. Clair, MI.

Eastern Maine Electric Coop. .................................................................................................... PP–32 ...... 69 Calais, ME.Joint Owners of Highgate ........................................................................................................... PP–82 ...... 345 Franklin, VT.Maine Electric Power Co. ........................................................................................................... PP–43 ...... 345 Houlton, ME.Maine Public Service .................................................................................................................. PP–12 ...... 69 Limestone, ME.

.................. 69 Ft. Fairfield, ME.PP–29 ...... 138 Aroostock, ME................... 2–69 Madawaska, ME.

Minnesota Power & Light ........................................................................................................... PP–78 ...... 115 Intnl. Falls, MN.Minnkota Power .......................................................................................................................... PP–61 ...... 230 Roseau County, MN.New York Power Authority ......................................................................................................... PP–30 ...... 230 Devil’s Hole, NY.

PP–74 ...... 2–345 Niagara Falls, NY.PP–56 ...... 765 Fort Covington, NY.PP–25 ...... 2–230 Massena, NY.

Niagara Mohawk Power Corp .................................................................................................... PP–31 ...... 230 Devil’s Hole, NY.Northern States Power ............................................................................................................... PP–45 ...... 230 Red River, ND.

PP–63 ...... 500 Roseau County, MN.Vermont Electric Trans. Co. ....................................................................................................... PP–76 ...... 450 DC Norton, VT.

Any determination by the DOE togrant the request by EPMI for exportauthorization would be conditioned onEPMI obtaining access to alltransmission facilities necessary toeffectuate the export and on EPMIcomplying with all reliability criteria,standards, and guidelines of the NorthAmerican Electric Reliability Counciland Regional Councils.

Procedural MattersAny persons desiring to be heard or

to protest this application should file apetition to intervene or protest at theaddress provided above in accordancewith §§ 385.211 or 385.214 of the Rulesof Practice and Procedure (18 CFR385.211, 385.214). Fifteen copies ofsuch petitions and protests should befiled with the DOE on or before the datelisted above. Additional copies are to befiled directly with: Ms. Kathleen E.Magruder, Enron Capital & TradeResources, 1400 Smith Street, Houston,Texas 77251–1188 and Mr. David B.Ward, Flood & Ward, 1000 PotomacStreet, N.W., Suite 402, Washington,D.C. 20007.

A final decision will be made on thisapplication after the environmentalimpacts have been evaluated pursuantto the National Environmental PolicyAct of 1969 (NEPA), and adetermination is made by the DOE thatthe proposed action will not adverselyimpact on the reliability of the U.S.electric power supply system.

Copies of this application will bemade available, upon request, for publicinspection and copying at the addressprovided above.

Issued in Washington, DC, on June 12,1996.Anthony J. Como,Director, Office of Coal & Electricity, Officeof Fuels Programs, Office of Fossil Energy.[FR Doc. 96–15580 Filed 6–18–96; 8:45 am]BILLING CODE 6450–01–P

Morgantown Energy TechnologyCenter; Partnering OpportunityAnnouncement

AGENCY: U. S. Department of Energy(DOE), Morgantown Energy TechnologyCenter.ACTION: Notice of PartneringOpportunity Announcement.

SUMMARY: The Morgantown EnergyTechnology Center (METC) is offeringpartnering opportunities with UnitedStates companies in the area of sorbentdevelopment/commercialization. Manydifferent vehicles for partnering may beconsidered, including licensing and/orCooperative Research and DevelopmentAgreements (CRADAs). CRADAs willprobably be limited to the area ofsorbent development/commercializationfor hot gas desulfurization. CRADAsoffer private sector participants theopportunity to share in outcomes ofdevelopment activities and also offer the

option for protection of CRADA-generated data. These agreements dorequire the participant to share in thecost and do not involve direct METCfunding of the participant’s activities.

METC desires to work with a partnerfor the purpose of bringing a supported/matrixed hot gas desulfurization sorbentto large-scale commercialization. Thissorbent, designated as the TL sorbent,has been prepared and tested at thelaboratory scale at METC. The TLsorbent shows good sulfur capacity,high sulfur removal efficiency, andlong-term physical durability. It requiresno activation or pretreatment step,which is an improvement overpreviously developed sorbents. Aprovisional patent application has beensubmitted for this METC-developedsorbent. The overall objective of thisdevelopment effort has been to qualifysorbents for demonstration incommercial-scale projects, which aredemonstrating Integrated GasificationCombined Cycle (IGCC) technologies.

The utility industry and METC agreethat IGCC technologies beingdemonstrated under the Clean CoalTechnology program will play asignificant role in supplying electricityduring the next century. As the marketsfor such technologies expand to replacetoday’s older plants and to supplydemand for additional electricity, thesales of cost-effective, hot gas sulfurremoval sorbents and related processsystems promise to be substantial. The


proposed partnering opportunity isexpected to accelerate commercialavailability of improved, lower-cost, hotgas desulfurization sorbents for fixed/moving bed and fluidized bed/transportreactors. The METC-developed TLsorbent is likely to have applications inother fields of use such as the chemicaland petroleum industries.DATES: Proposals require the participantto provide a description of the preferredpartnering vehicle, and the scope ofwork that the participant is proposing toperform or supply. Qualifications of theparticipant or members of itsdevelopment team for catalyst/sorbentmanufacturing and marketing should beprovided. Elaborate proposals are notnecessary. It is recommended that theproposal not exceed 5 pages. Proposalsreceived by July 31, 1996, will beevaluated for proper qualifications. Anyor all proposals may be accepted orrejected as deemed to be in the bestinterest of the Government. Withcurrent budget uncertainties,government participation in thepartnership may be limited.

The following criteria will be used toreview the proposals and select thepartner(s). Qualifications of theparticipant or members of itsdevelopment team may address thecriteria.

1. Working knowledge and access tomanufacturing capability for catalystcarriers and matrix materials asrepresented by the variety of productsproduced, quantities of products soldper year, etc.

2. Proven success in marketingcatalysts and/or sorbents in specifiedfields as represented by the size of themarketing/sales department, marketshare, etc.

3. Research and developmentcapability for continued productimprovement as represented byfacilities, staff, equipment, etc.ADDRESSES: Parties interested in thispartnering opportunity are requested tosubmit a proposal by July 31, 1996, to:Dr. Rodney J. Anderson, TechnologyTransfer Program Manager, U.S.Department of Energy, MorgantownEnergy Technology Center, P.O. Box880, 3610 Collins Ferry Road,Morgantown, WV 26507–0880,Telephone: 304–285–4709. Additionalinformation is available on METC’sInternet Homepage at http://www.metc.doe.gov or by contacting Dr.Rodney J. Anderson at the aboveaddress or phone number.SUPPLEMENTARY INFORMATION: METC hasseveral facilities which might be usedfor sorbent testing and analysis. TheMETC test apparati include a one-inch

diameter fixed bed reactor, a high-pressure 2-inch diameter fixed orfluidized bed reactor, and a transportreactor. The reactor systems include on-line analysis of sulfur-containing gases.In conjunction with the test facilities, anon-site gas chromatography laboratorycan provide analyses of the reactoreffluents. Possible solid sorbent analysisperformed by METC or its contractorsmay include atomic absorption formetals, total sulfur via LECO analyzer,surface area, density, porosity, crushstrength, and attrition resistance.

Dated: June 11, 1996.Thomas F. Bechtel,Director, Morgantown Energy TechnologyCenter.[FR Doc. 96–15581 Filed 6–18–96; 8:45 am]BILLING CODE 6450–01–P

Federal Energy RegulatoryCommission

[Docket No. RP96–274–000]

Distrigas of MassachusettsCorporation; Notice of ProposedChanges in FERC Gas Tariff

June 13, 1996.Take notice that on June 11, 1996,

Distrigas of Massachusetts Corporation(DOMAC), tendered for filing as part ofits FERC Gas Tariff, First RevisedVolume No. 1, Second Revised SheetNo. 37, with a proposed effective dateof July 1, 1996:

DOMAC states that it is filing thisrevised tariff sheet to (1) modify theethane content specification to allow foran ethane content not to exceed 12%,(2) reduce the allowable nitrogencontent, (3) change the hydrogen sulfidespecification and (4) remove themaximum methane limitation in Section2.11 of the General Terms andConditions of DOMAC’s Tariff. Suchchanges will permit DOMAC to sellLNG to be acquired from sources otherthan Algeria, including Abu Dhabi GasLiquefaction Company Ltd. (ADGAS).DOMAC has requested a waiver topermit a July 1 effective date and allowfor a July 10, 1996 loading date of anLNG cargo which may be acquired fromADGAS.

DOMAC states that the revisions tothe quality specifications will not alterthe interchangeability of vaporized LNGwith pipeline gas and that LNGconforming to the revised specificationswill remain consistent with theOperating Agreement entered into withAlgonquin Gas Transmission Companyand Commonwealth Gas Company.DOMAC notes that with additionalsources of LNG, DOMAC will be better

able to provide normal LNG service toits LNG liquid customers throughout thesummer and will be in a position tosupplement cargoes of LNG fromAlgeria during the winter heatingseason.

Any person desiring to be heard or toprotest said filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, N.E., Washington, D.C.,20426, in accordance with Rules385.211 and 385.214 of theCommission’s Rules of Practice andProcedure. All such motions or protestsmust be filed as provided in Section154.210 of the Commission’sRegulations. Protests will be consideredby the Commission in determining theappropriate action to be taken, but willnot serve to make protestants parties tothe proceeding. Any persons wishing tobecome a party must file a motion tointervene. Copies of this Petition are onfile with the Commission and areavailable for public inspection.Lois D. Cashell,Secretary.[FR Doc. 96–15505 Filed 6–18–96; 8:45 am]BILLING CODE 6717–01–M

[Docket No. ER96–1424–000]

Notice of Issuance of Order;EnerConnect, Inc.

June 13, 1996.EnerConnect, Inc. (EnerConnect)

submitted for filing a rate scheduleunder which EnerConnect will engagein wholesale electric power and energytransactions as a marketer. EnerConnectalso requested waiver of variousCommission regulations. In particular,EnerConnect requested that theCommission grant blanket approvalunder 18 CFR Part 34 of all futureissuances of securities and assumptionsof liability by EnerConnect.

On June 10, 1996, pursuant todelegated authority, the Director,Division of Applications, Office ofElectric Power Regulation, grantedrequests for blanket approval under Part34, subject to the following:

Within thirty days of the date of theorder, any person desiring to be heardor to protest the blanket approval ofissuances of securities or assumptions ofliability by EnerConnect should file amotion to intervene or protest with theFederal Energy Regulatory Commission,888 First Street, N.E., Washington, D.C.20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214).


Absent a request for hearing withinthis period, EnerConnect is authorizedto issue securities and assumeobligations or liabilities as a guarantor,indorser, surety, or otherwise in respectof any security of another person;provided that such issuance orassumption is for some lawful objectwithin the corporate purposes of theapplicant, and compatible with thepublic interest, and is reasonablynecessary or appropriate for suchpurposes.

The Commission reserves the right torequire a further showing that neitherpublic nor private interests will beadversely affected by continuedapproval of EnerConnect’s issuances ofsecurities or assumptions of liability.

Notice is hereby given that thedeadline for filing motions to interveneor protests, as set forth above, is July 10,1996.

Copies of the full text of the order areavailable from the Commission’s PublicReference Branch, 888 First Street, N.E.Washington, D.C. 20426.Lois D. Cashell,Secretary.[FR Doc. 96–15655 Filed 6–18–96; 8:45 am]BILLING CODE 6717–01–M

[Docket No. RP96–271–000]

Gas Research Institute; Notice ofRefund Report

June 13, 1996.Take notice that on June 7, 1996, the

Gas Research Institute (GRI) filed areport summarizing its 1995 Tier 1refunds made to its pipeline members.

GRI states that the refunds, totaling$17,091,213 to twenty-eight pipelines,were made in accordance with theCommission’s October 13, 1995,directive contained in Opinion No. 402(73 FERC ¶61,073).

GRI states that it has served copies ofthe filing to each person included on theSecretary’s service list.

Any person desiring to be heard or toprotest this filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, N.E., Washington, D.C.20426, in accordance with 18 CFR385.211 and 385.214. All such motionsor protests must be filed on or beforeJune 20, 1996. Protests will beconsidered by the Commission indetermining the appropriate action to betaken, but will not serve to makeprotestants parties to the proceeding.Any person wishing to become a partyto this proceeding, must file a motion tointervene. Copies of this filing are onfile with the Commission and are

available for public inspection in thepublic Reference Room.

Lois D. Cashell,Secretary.[FR Doc. 96–15504 Filed 6–13–96; 8:45 am]BILLING CODE 6717–01–M

[Docket No. ER96–1406–000]

Notice of Issuance of Order; Lisco, Inc.

June 13, 1996.

Lisco Inc. (Lisco) submitted for filinga rate schedule under which Lisco willengage in wholesale electric power andenergy transactions as a marketer. Liscoalso requested waiver of variousCommission regulations. In particular,Lisco requested that the Commissiongrant blanket approval under 18 CFRPart 34 of all future issuances ofsecurities and assumptions of liabilityby Lisco.


Within thirty days of the date of theorder, any person desiring to be heardor to protest the blanket approval ofissuances of securities or assumptions ofliability by Lisco should file a motion tointervene or protest with the FederalEnergy Regulatory Commission, 888First Street, N.E., Washington, D.C.20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214).

Absent a request for hearing withinthis period, Lisco is authorized to issuesecurities and assume obligations orliabilities as a guarantor, indorser,surety, or otherwise in respect of anysecurity of another person; providedthat such issuance or assumption is forsome lawful object within the corporatepurposes of the applicant, andcompatible with the public interest, andis reasonably necessary or appropriatefor such purposes.

The Commission reserves the right torequire a further showing that neitherpublic nor private interests will beadversely affected by continuedapproval of Lisco’s issuances ofsecurities or assumptions of liability.


Copies of the full text of the order areavailable from the Commission’s Public

Reference Branch, 888 First Street, N.E.Washington, D.C. 20426.Lois D. Cashell,Secretary.[FR Doc. 96–15653 Filed 6–18–96; 8:45 am]BILLING CODE 6717–01–M

[Docket No. CP96–564–000]

National Fuel Gas Supply Corporation;Notice of Application

June 13, 1996.Take notice that on June 10, 1996,

National Fuel Gas Supply Corporation(National Fuel), 10 Lafayette Square,Buffalo, New York 14203, filed inDocket No. CP96–564–000, anapplication pursuant to Sections 7(c)and 7(b) of the Natural Gas Act and Part157 of the Commission’s Regulations (18CFR 157), for a certificate of publicconvenience and necessity authorizingthe replacement of a portion of anexisting pipeline and permission andapproval to abandon certain facilities,all as more fully set forth in the requestwhich is on file with the Commissionand open to public inspection.

National fuel proposes to replace andrelocate a portion of its existing Line K,in Erie County, New York, with 877 feetof 20-inch coated steel line. In itsapplication, National Fuel states thatconcerns about leaks and residentialdevelopment that has encroached uponthe pipeline right-of-way necessitatesthe relocation and replacement of LineK. National Fuel estimates the cost ofthe project to be $360,000.

In connection with this replacementproject, National Fuel proposes toabandon approximately 454 feet of theexisting pipeline. National Fuelexplains that 147 feet of pipe will beremoved with an additional 307 feet ofpipe being abandoned in place. NationalFuel states that removal of thesefacilities will not affect service toexisting markets. National Fuelestimates the cost of abandoning theline to be $1,000.

National Fuel requests that theCommission issue an order on or beforeSeptember 1, 1996, so that constructionmay be completed by the beginning ofthe winter heating season. National Fuelstates that the facilities will be financedwith internally-generated funds and/orinterim short-term bank loans.

Any person desiring to be heard or tomake any protest with reference to saidapplication should on or before July 5,1996, file with the Federal EnergyRegulatory Commission, Washington,D.C. 20426, a motion to intervene or aprotest in accordance with therequirements of the Commission’s Rules


1 See Olympic Pipeline Company, 75 FERC ¶61,246 (1996).

of Practice and Procedure (18 CFR385.214 and 385.211) and theRegulations under the Natural Gas Act(18 CFR 157.10). All protests filed withthe Commission will be considered byit in determining the appropriate actionto be taken but will not serve to makethe protestants parties to theproceeding. Any person wishing tobecome a party to a proceeding or toparticipate as a party in any hearingtherein must file a motion to intervenein accordance with the Commission’sRules.

Take further notice that, pursuant tothe authority contained in and subject tothe jurisdiction conferred upon theFederal Energy Regulatory Commissionby Sections 7 and 15 of the Natural GasAct and the Commission’s Rules ofPractice and Procedure, a hearing willbe held without further notice before theCommission or its designee on thisapplication if no motion to intervene isfiled within the time required herein, ifthe Commission on its own review ofthe matter finds that a grant of thecertificate for the proposal is requiredby the public convenience andnecessity. If a motion for leave tointervene is timely filed, or if theCommission on its own motion believesthat formal hearing is required, furthernotice of such hearing will be dulygiven.

Under the procedure herein providedfor, unless otherwise advised, it will beunnecessary for National Fuel to appearor be represented at the hearing.Lois D. Cashell,Secretary.[FR Doc. 96–15502 Filed 6–18–96; 8:45 am]BILLING CODE 6717–01–M

[Docket Nos. PR95–16–000 and PR95–17–000]

Olympic Natural Gas Company; Noticeof Staff Panel

June 13, 1996.Take notice that a Staff Panel shall be

convened in accordance with theCommission order 1 in the above-captioned dockets to allow opportunityfor written comments and for the oralpresentation of views, data, andarguments regarding the fair andequitable rates to be established fortransportation service under section 311of the Natural Gas Policy Act of 1978 onOlympic Natural Gas Company’s Cajunand Manchester systems. The StaffPanel will not be a judicial orevidentiary-type hearing and there willno cross-examination of persons

presenting statements. Membersparticipating on the Staff Panel beforewhom the presentations are made mayask questions. If time permits, StaffPanel members may also ask suchrelevant questions as are submitted tothem by participants. Other proceduralrules relating to the panel will beannounced at the time the proceedingcommences.

The Staff Panel will be held onTuesday, July 16, 1996, at 10:00 a.m. ina room to be designated at the offices ofthe Federal Energy RegulatoryCommission, 888 First Street, N.E.,Washington, D.C. 20426.

Attendance is open to all interestedparties and staff. Any questionsregarding these proceedings should bedirected to Mark Zendel at (202) 208–0804.Lois D. Cashell,Secretary.[FR Doc. 96–15503 Filed 6–18–96; 8:45 am]BILLING CODE 6717–01–M

[Docket No. ER96–1599–000]

Notice of Issuance of Order; PacificPower Solutions, LLC

June 13, 1996.Pacific Power Solutions, Inc. (Pacific

Power) submitted for filing a rateschedule under which Pacific Powerwill engage in wholesale electric powerand energy transactions as a marketer.Pacific Power also requested waiver ofvarious Commission regulations. Inparticular, Pacific Power requested thatthe Commission grant blanket approvalunder 18 CFR Part 34 of all futureissuances of securities and assumptionsof liability by Pacific Power.


Within thirty days of the date of theorder, any person desiring to be heardor to protest the blanket approval ofissuances of securities or assumptions ofliability by Pacific Power should file amotion to intervene or protest with theFederal Energy Regulatory Commission,888 First Street, N.E., Washington, D.C.20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214).

Absent a request for hearing withinthis period, Pacific Power is authorizedto issue securities and assumeobligations or liabilities as a guarantor,indorser, surety, or otherwise in respectof any security of another person;

provided that such issuance orassumption is for some lawful objectwithin the corporate purposes of theapplicant, and compatible with thepublic interest, and is reasonablynecessary or appropriate for suchpurposes.

The Commission reserves the right torequire a further showing that neitherpublic nor private interests will beadversely affected by continuedapproval of Pacific Power’s issuances ofsecurities or assumptions of liability.


Copies of the full text of the order areavailable from the Commission’s PublicReference Branch, 888 First Street, N.E.,Washington, D.C. 20426.Lois D. Cashell,Secretary.[FR Doc. 96–15654 Filed 6–18–96; 8:45 am]BILLING CODE 6717–01–M

[Docket No. EL96–20–001, et al.]

Illinois Power Company, et al.; ElectricRate and Corporate Regulation Filings

June 12, 1996.Take notice that the following filings

have been made with the Commission:

1. Illinois Power Company

[Docket No. EL96–20–001]Take notice that on June 3, 1996,

Illinois Power Company tendered forfiling a report detailing all non-firmtransmission service provided under itstariff.

Comment date: June 26, 1996, inaccordance with Standard Paragraph Eat the end of this notice.

2. Toroco Marketing Energy, Inc., LG&EPower Marketing, Inc., and BoydRosene and Associates, Inc.

[Docket Nos. ER92–429–008, ER94–1188–010, ER95–1572–001 (not consolidated)]

Take notice that the followinginformational filings have been madewith the Commission and are on fileand available for inspection andcopying in the Commission’s PublicReference Room:

On May 20, 1996, Toroco MarketingEnergy, Inc. filed certain information asrequired by the Commission’s May 18,1992, order in Docket No. ER92–429–000.

On May 1, 1996, LG&E PowerMarketing, Inc. filed certain informationas required by the Commission’s August19, 1994, order in Docket No. ER94–1188–000.

On June 4, 1996, Boyd Rosene andAssociates, Inc. filed certain information


as required by the Commission’sOctober 23, 1995, order in Docket No.ER95–1572–000.

3. Public Service Company of Colorado

[Docket No. ER96–1734–000]Take notice that on June 4, 1996,

Public Service Company of Colorado(Public Service) tendered for filing anamendment in Docket No. ER96–1734–000. Public Service is requesting thatSchedule 2, Loss Compensation Service,to the Network Integration TransmissionService Agreement designated as PublicService’s FERC Electric Tariff, OriginalVolume No. 4 be attached to the filingunder Docket No. ER96–1734–000.

Copies of the filing were served uponHoly Cross Electric Association, Inc.,the Colorado Public UtilitiesCommission, and the Colorado Office ofConsumer Counsel.


4. Southern California Edison Company

[Docket No. ER96–1952–000]Take notice that on May 30, 1996,

Southern California Edison Companytendered for filing a Notice ofCancellation of FERC Rate Schedule No.343, FERC Rate Schedule No. 325.31,and all supplements thereto.


5. Southern California Edison Company


Southern California Edison Companytendered for filing a Notice ofCancellation of FERC Rate Schedule No.345, FERC Rate Schedule No. 249.30,and all supplements thereto.


6. San Diego Gas & Electric Company

[Docket No. ER96–1986–000]Take notice that on May 31, 1996, San

Diego Gas & Electric Company (SDG&E),tendered for filing and acceptance,pursuant to 18 CFR 35.13, AmendmentNo. 1 to the Service Area ReciprocalPower Supply Agreement (Agreement)between San Diego Gas & ElectricCompany and Southern CaliforniaEdison Company (Edison).

The Amendment increases thenumber of connection points andcustomers that will be served under theAgreement.

Copies of this filing were served uponthe Public Utilities Commission of theState of California and Edison.




Diego Gas & Electric Company (SDG&E),tendered for filing and acceptance,pursuant to 18 CFR 35.12, anInterchange Agreement (Agreement)between SDG&E and SouthernCalifornia Water Company (SCWC).

SDG&E requests that the Commissionallow the Agreement to become effectiveon the 1st of August 1996 or at theearliest possible date.

Copies of this filing were served uponthe Public Utilities Commission of theState of California and SCWC.




Diego Gas & Electric Company (SDG&E),tendered for filing and acceptance,pursuant to 18 CFR 35.12, anInterchange Agreement (Agreement)between SDG&E and Federal EnergySales, Inc. (Federal Energy).

SDG&E requests that the Commissionallow the Agreement to become effectiveon the 1st of August 1996 or at theearliest possible date.

Copies of this filing were served uponthe Public Utilities Commission of theState of California and Federal Energy.


9. Central Vermont Public ServiceCorporation


Central Vermont Public ServiceCorporation (CVPS), tendered for filingthe Actual 1995 Cost Report inaccordance with Article IV, Section A(2)of the North Hartland TransmissionService Contract (Agreement) betweenCentral Vermont Public ServiceCorporation (CVPS or Company) and theVermont Electric Generation andTransmission Cooperative, Inc. (VG&T)under which CVPS transmits the outputof the VG&T’s 4.0 MW hydroelectricgenerating facility located in NorthHartland, Vermont via a 12.5 Kv circuitowned and maintained by CVPS toCVPS’s substation in Quechee, Vermont.The North Hartland TransmissionService Contract was filed with theCommission on September 6, 1984 inDocket No. ER84–674–000 and was

designated as Rate Schedule FERC No.121.

Under Article IV, Section A(2) of theAgreement, the annual charges to VG&Tare based on estimated data which aresubject to a reconciliation or ‘‘true-up’’,after the year is over, using actual dataas reported in the Company’s FERCForm No. 1.




Central Vermont Public ServiceCorporation (CVPS), tendered for filingthe Actual 1995 Cost Report requiredunder Paragraph Q–1 on Original SheetNo. 18 of the Rate Schedule FERC No.135 (RS–2 rate schedule) under whichCentral Vermont Public ServiceCorporation (Company) sells electricpower to Connecticut Valley ElectricCompany Inc. (Customer). TheCompany states that the Cost Reportreflects changes to the RS–2 rateschedule which were approved by theCommission’s June 6, 1989 order inDocket No. ER88–456–000.




Central Vermont Public ServiceCorporation (CVPS), tendered for filingthe Actual 1995 Cost Report requiredunder Article 2.4 on Second RevisedSheet No. 18 of FERC Electric Tariff,Original Volume No. 3, of CentralVermont under which Central Vermontprovides transmission and distributionservice to the following Customers:Vermont Electric Cooperative, Inc.Lyndonville Electric DepartmentVillage of Ludlow Electric Light DepartmentVillage of Johnson Water and Light

DepartmentVillage of Hyde Park Water and Light

DepartmentRochester Electric Light and Power CompanyWoodsville Fire District Water and Light

DepartmentNew Hampshire Electric Cooperative, Inc.




Central Vermont Public Service


Corporation (CVPS), tendered for filingthe Actual 1995 Cost Report for CVPSand the Actual 1995 Cost Report forConnecticut Valley Electric Company,Inc. (CVEC), its wholly-ownedsubsidiary, as required under Article 4.2on Original Sheet Nos. 40 and 41 ofFERC Transmission Tariff, OriginalVolume No. 6 (Tariff No. 6). CVPS andCVEC provided transmission anddistribution service to the NewHampshire Electric Cooperative, Inc.under Tariff No. 6, which becameeffective on August 15, 1995, subject torefund, in Docket No. ER95–680–000.


13. Southern Company Services, Inc.

[Docket No. ER96–1993–000]

Take notice that on May 31, 1996,Southern Company Services, Inc., solelyas administrative agent for AlabamaPower Company, tendered for filing aTransmission Service Delivery PointAgreement dated March 1, 1996,reflecting the revision of a deliverypoint to Dixie Electric Cooperative. Thisdelivery point is served under the termsand conditions of the Agreement forTransmission Service to DistributionCooperative Member of AlabamaElectric Cooperative, Inc., dated August28, 1980 (designed FERC Rate ScheduleNo. 147). The parties request aneffective date of July 1, 1996, for therevision of the delivery point to DixieElectric Cooperative.



[Docket No. ER96–1994–000]

Take notice that on May 31, 1996,Southern Company Services, Inc., solelyas administrative agent for AlabamaPower Company, tendered for filing aTransmission Service Delivery PointAgreement dated March 1, 1996,reflecting the revision of a deliverypoint to Pea River Electric Cooperative.This delivery point is served under theterms and conditions of the Agreementfor Transmission Service to DistributionCooperative Member of AlabamaElectric Cooperative, Inc., dated August28, 1980 (designed FERC Rate ScheduleNo. 147). The parties request aneffective date of July 1, 1996, for therevision of the delivery points to PeaRiver Electric Cooperative.




Southern Company Services, Inc., solelyas administrative agent for AlabamaPower Company, tendered for filing aTransmission Service Delivery PointAgreement dated March 1, 1996,reflecting the revision of delivery pointsto Central Alabama Electric Cooperative.These delivery points are served underthe terms and conditions of theAgreement for Transmission Service toDistribution Cooperative Member ofAlabama Electric Cooperative, Inc.,dated August 28, 1980 (designed FERCRate Schedule No. 147). The partiesrequest an effective date of July 1, 1996,for the revision of the delivery points toCentral Alabama Electric Cooperative.




Southern Company Services, Inc., solelyas administrative agent for AlabamaPower Company, tendered for filing aTransmission Service Delivery PointAgreement dated March 1, 1996,reflecting the revision of delivery pointvoltage levels. The affected deliverypoints are served under the terms andconditions of the Agreement forTransmission Service to DistributionCooperative Member of AlabamaElectric Cooperative, Inc., dated August28, 1980 (designed FERC Rate ScheduleNo. 147). The parties request aneffective date of July 1, 1996, for therevision of the delivery points toPioneer Electric Cooperative.




Southern Company Services, Inc. solelyas administrative agent for AlabamaPower Company, tendered for filing aTransmission Service Delivery PointAgreement dated March 1, 1996,reflecting the revision of severaldelivery point voltage levels. Thesedelivery points are served under theterms and conditions of the Agreementfor Transmission Service to DistributionCooperative Member of AlabamaElectric Cooperative, Inc., dated August28, 1980 (designed FERC Rate ScheduleNo. 147). The parties request aneffective date of July 1, 1996, for theministerial revision of designatedvoltage levels applicable to delivery

points to Tallapoosa River ElectricCooperative.


18. Louisville Gas and ElectricCompany


Louisville Gas and Electric Company,tendered for filing copies of a Purchaseand Sales Agreement between LouisvilleGas and Electric Company and EastexPower Marketing pursuant to LG&E’sRate Schedule GSS.




Louisville Gas and Electric Companytendered for filing copies of a Purchaseand Sales Agreement between LouisvilleGas and Electric Company and CitizensLehman Power pursuant to LG&E’s RateSchedule GSS.




Louisville Gas and Electric Company,tendered for filing copies of a Purchaseand Sales Agreement between LouisvilleGas and Electric Company andTennessee Power Company pursuant toLG&E’s Rate Schedule GSS.




Louisville Gas and Electric Company,tendered for filing copies of a Purchaseand Sales Agreement between LouisvilleGas and Electric Company andHeartland Energy Services pursuant toLG&E’s Rate Schedule GSS.




Louisville Gas and Electric Company,tendered for filing copies of a Purchase


and Sales Agreement between LouisvilleGas and Electric Company andTransCanada Power Corp. pursuant toLG&E’s Rate Schedule GSS.



[Docket No. ER96–2003–000]

Take notice that on June 3, 1996,Louisville Gas and Electric Companytendered for filing copies of a Purchaseand Sales Agreement between LouisvilleGas and Electric Company and SonatPower Marketing, Inc., pursuant toLG&E’s Rate Schedule GSS.



[Docket No. ER96–2004–000]

Take notice that on June 3, 1996,Louisville Gas and Electric Company,tendered for filing copies of a Purchaseand Sales Agreement between LouisvilleGas and Electric Company and KimballPower Company pursuant to LG&E’sRate Schedule GSS.


25. MidAmerican Energy Company

[Docket No. ER96–2005–000]

Take notice that on June 3, 1996,MidAmerican Energy Company(MidAmerican), 106 East Second Street,Davenport, Iowa 52801, filed with theCommission Service Agreements withQST Energy Trading, Inc. (QST) datedMay 15, 1996, and VTEC Energy, Inc.(VTEC) dated May 30, 1996, enteredinto pursuant to MidAmerican’s RateSchedule for Power Sales, FERC ElectricTariff, Original Volume No. 5.

MidAmerican requests an effectivedate of May 15, 1996 for the Agreementwith QST, and May 30, 1996 for theAgreement with VTEC, and accordinglyseeks a waiver of the Commission’snotice requirement. MidAmerican hasserved a copy of the filing on QST,VTRC, the Iowa Utilities Board, theIllinois Commerce Commission and theSouth Dakota Public UtilitiesCommission.


26. The Dayton Power and LightCompany[Docket No. ER96–2006–000]

Take notice that on June 3, 1996, TheDayton Power and Light Company(Dayton), tendered for filing an executedMaster Power Sales Agreement betweenDayton and Wisconsin Power and LightCompany (Wisconsin).

Pursuant to the rate schedulesattached as Exhibit B to the Agreement,Dayton will provide to Wisconsin powerand/or energy for resale.


27. Southern California EdisonCompany[Docket No. ER96–2007–000]

Take notice that on June 3, 1996,Southern California Edison Company(Edison), tendered for filing thefollowing Supplemental Agreement(Supplemental Agreement) to the 1990Integrated Operations Agreementbetween the City of Azusa (Azusa) andEdison, FERC Rate Schedule No. 247:Supplemental Agreement for the Integration

of Non-Firm Energy From a Portion ofAzusa’s Entitlement in San Juan Unit 3Between Southern California EdisonCompany and City of Azusa

The Supplemental Agreement setsforth the terms and conditions by whichEdison will integrate Azusa’s remainingentitlement in San Juan Unit 3 isintegrated as a City Capacity Resourcein accordance with the terms of the1990 IOA. Edison is requesting waiverof the 60-day prior notice requirement,and requests that the Commission assignto the Supplemental Agreement aneffective date of June 4, 1996.

Copies of this filing were served uponthe Public Utilities Commission of theState of California and all interestedparties.


28. New England Power Company[Docket No. ER96–2008–000]

Take notice that on June 3, 1996, NewEngland Power Company filed a ServiceAgreement and Certificate ofConcurrence with PECO EnergyCompany under NEP’s FERC ElectricTariff, Original Volume No. 5.


29. New England Power Company[Docket No. ER96–2009–000]

Take notice that on June 3, 1996, NewEngland Power Company filed a Service

Agreement and Certificate ofConcurrence with Reading MunicipalLight Department under NEP’s FERCElectric Tariff, Original Volume No. 5.


30. Lowell Cogeneration Company, L.P.

[Docket No. QF86–435–003]

On June 5, 1996, Lowell CogenerationCompany, L.P., of 282 Western Avenue,Lowell, Massachusetts 01851, filed withthe Federal Energy RegulatoryCommission an application forrecertification of a facility as aqualifying cogeneration facilitypursuant to Section 292.207(b) of theCommission’s Regulations. Nodetermination has been made that thesubmittal constitutes a complete filing.

The cogeneration facility, which islocated in Lowell, Massachusetts, waspreviously certified as a qualifyingcogeneration facility, ConsolidatedPower Company, 35 FERC ¶ 62,139(1986). The instant request forrecertification reflects the reviseddispatching of the facility.

The electric utility which willpurchase the electric output of thefacility is Commonwealth ElectricCompany (Commonwealth), or, subjectto Commonwealth’s approval, suchother utility that may enter intopurchase agreements at market baserates.

Comment date: On of before July 5,1996, in accordance with StandardParagraph E at the end of this notice.

Standard Paragraph

E. Any person desiring to be heard orto protest said filing should file amotion to intervene or protest with theFederal Energy Regulatory Commission,888 First Street, N.E., Washington, D.C.20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 18 CFR 385.214). All such motionsor protests should be filed on or beforethe comment date. Protests will beconsidered by the Commission indetermining the appropriate action to betaken, but will not serve to makeprotestants parties to the proceeding.Any person wishing to become a partymust file a motion to intervene. Copiesof this filing are on file with theCommission and are available for publicinspection.Lois D. Cashell,Secretary.[FR Doc. 96–15651 Filed 6–18–96; 8:45 am]BILLING CODE 6717–01–P


[Docket No. CP88–171–031, et al.]

Tennessee Gas Pipeline Company, etal.; Natural Gas Certificate Filings

June 12, 1996.Take notice that the following filings

have been made with the Commission:

1. Tennessee Gas Pipeline Company

[Docket No. CP88–171–031]Take notice that on June 5, 1996,

Tennessee Gas Pipeline Company(Tennessee), 1010 Milam Street,Houston, Texas 77252, filed anabbreviated application pursuant toSection 7(c) of the Natural Gas Act toamend its certificate of publicconvenience and necessity previouslyissued in this proceeding to change theprimary receipt point authorized forTennessee’s firm transportation serviceprovided to Flagg Energy DevelopmentCorporation (Flagg Energy).

Tennessee states that on May 2, 1990,as amended on May 14, 1992, theCommission issued Tennessee acertificate of public convenience andnecessity under Section 7(c) of theNatural Gas Act and Part 157 of theCommission’s Regulations authorizingTennessee to, among other things,provide a firm transportation service ofup to 4,140 dekatherms per day onbehalf of Flagg Energy. Tennessee statesthat Flagg Energy has requested achange in its primary receipt point tothe existing Stingray-Johnson Bayoureceipt point in Cameron Parish,Louisiana, due to a change in FlaggEnergy’s gas supply portfolio.

Tennessee states that it has sufficientprimary firm capacity at this existingreceipt point to accommodate FlaggEnergy’s request without adverselyaffecting service to other firm customersand without construction of newfacilities. Accordingly, Tennessee statesthat there is no environmental impactassociated with the request.

Comment date: July 3, 1996, inaccordance with Standard Paragraph Fat the end of this notice.

2. Young Gas Storage Company, Ltd.


Young Gas Storage Company, Ltd.(Young), Post Office Box 1087, ColoradoSprings, Colorado 80944, filed in DocketNo. CP93–541–007, a petition to amendthe authorizations issued on June 22,1994 and October 5, 1995 in DocketNos. CP93–541–000 et al., pursuant toSection 7(c) of the Natural Gas Act(NGA), and Part 157 of the FederalEnergy Regulatory Commission’s(Commission) regulations, to drill andoperate two new injection/withdrawal

wells, all as more fully set forth in theapplication which is on file with theCommission and open to publicinspection.

Young states that upon further studyand data gained in the development ofthe storage field, certain changes to wellrequirements are needed to provide forthe continued development of thestorage field so that service may beprovided at certificated levels.Specifically, Young seeks authorizationto drill and operate two injection/withdrawal wells, well nos. 23 and 37,for the 1996/1997 withdrawal season.Young avers that these two wells willresult in 19 injection/withdrawal wellswhich is the same number as originallycertificated by the Commission.


3. Pacific Interstate TransmissionCompany

[Docket No. CP96–544–000]Take notice that on May 24, 1996,

Pacific Interstate TransmissionCompany (PITCO), 633 West 5th Street,Suite 5300, Los Angeles, California90071, filed in Docket No. CP96–544–000, an application pursuant to Section7(c) of the Natural Gas Act (NGA) andSection 9 of the Alaskan Natural GasTransportation Act (ANGTA), for a Part284 blanket certificate authorizingPITCO to operate as an open accesspipeline in compliance with Order No.636, et al., all as more fully set forth inthe application which is on file with theCommission and open to publicinspection.

Specifically, PITCO requests: (1)authority to credit revenues receivedfrom releases of capacity by PITCO as aPart 284 shipper on the Pacific GasTransmission Company (PGT) andNorthwest Pipeline Corporation(Northwest) systems that is excess to therequirements of its sole customer,Southern California Gas Company(SoCal); (2) a finding that, as a result ofthe restructuring of its gas purchaseobligation in 1994, conversion of itstransportation rights on PGT andNorthwest to Part 284 service, togetherwith this filing, PITCO is in compliance,to the extent applicable, with Order No.636, et al.; and (3) a Part 284 SubpartJ blanket certificate authorizing PITCOto provide self implementing unbundledsales service in addition to its bundledservice to SoCal.

PITCO filed pro-forma tariff sheets toeffectuate the restructuring of itsoperations.


4. CNG Transmission Corporation

[Docket No. CP96–558–000]

Take notice that on June 7, 1996, CNGTransmission Corporation (CNG), 445West Main Street, Clarksburg, WestVirginia 26301, filed in Docket No.CP96–558–000 an application pursuantto Section 7(b) of the Natural Gas Actand Part 157 of the Federal EnergyRegulatory Commission’s Regulationsfor permission and approval to abandonin place 67.07 miles of 14-inch pipelineknown as Line 14, located in PotterCounty, Pennsylvania and Livingston,Allegany, and Wyoming Counties, NewYork, all as more fully set forth in theapplication which is on file with theCommission and open to publicinspection.

CNG desires to retire Line 14 becauseof its age and condition. CNG states thatthe pipeline was originally constructedand placed in service in 1937 by G.L.Cabot. CNG notes that the abandonmentwill not have an affect on its existingservices because the markets served byLine 14 have declined and its existingparallel Lines 24 and 554 have sufficientcapacity to maintain services to themarkets served by this part of CNG’ssystems. CNG proposes to leave twosections of Line 14, one section betweenBarber Road and Randall and the othersection between Donovan and State LineProduction, in service. Additionally,CNG is planning to utilize certainsegments of Line 14, after it has beenabandoned in place, to provideadditional cathodic protection toparallel Line 24. CNG states that thework to enhance cathodic protection ofLine 24 will be an auxiliary installationauthorized under Section 2.55 of theCommission’s Regulations.

CNG states that the publicconvenience and necessity will beserved if the Commission authorizesthis abandonment because it will enableCNG to retire a deteriorated pipeline,thereby protecting the integrity andenhancing the safe operation of CNG’ssystem and it will lower the long-termcosts on the system. CNG states that costsavings will consist of a reduction inoperating and maintenance costs, fuelloss, and capital expenditures forreplacing segments of existing pipelines.

CNG’s proposed accounting treatmentfor the cost of property provides a debitAccount 108 (accumulated provision fordepreciation of gas plant in service) andcredit Account 101 (gas plant in service367-transmission lines) by $1,959,685.CNG asserts that the abandonment ofLine 14 in place will have no significantenvironmental impact.


1 Columbia Gas Transmission Corp., 22 FERCParagraph 62,029 (1983)

2 Texas Eastern Transmission Corp., 62 FERCParagraph 61,196 at p. 62,390–391 (1993).


5. ANR Pipeline Company

[Docket No. CP96–560–000]Take notice that on June 7, 1996, ANR

Pipeline Company, 500 RenaissanceCenter, Detroit, Michigan 48243, filed inDocket No. CP96–560–000 anabbreviated application pursuant toSection 7(b) of the Natural Gas Act(NGA), as amended, and Sections 157.7and 157.18 of the Federal EnergyRegulatory Commission’s (Commission)Regulations thereunder, for permissionand approval to abandon a natural gasstorage and transportation service, all asmore fully set forth in the applicationwhich is on file with the Commissionand open to public inspection.

ANR states that it proposes toabandon a storage and transportationservice for Wisconsin Electric PowerCompany (WEPCO). ANR further statesthat the service for which it now seeksabandonment authorization wasoriginally authorized by Commissionorder in Docket No. CP72–184 andperformed under ANR’s Rate ScheduleX–24. It is asserted that ANR ispresently authorized to accept fromWEPCO each year a daily volume of upto 2,000 Mcf and an annual volume ofup to 400,000 Mcf for storage andredelivery to WEPCO at a daily rate of6,000 Mcf during the periodcommencing November 1 to the nextsucceeding March 1. It is furtherasserted that it is the mutual consent ofthe parties to replace the existingcertificated service being performedunder Rate Schedule X–24 withagreements for transportation andstorage service under Rate SchedulesETS, FSS, and NNS of ANR’s FERC GasTariff. For ease of administration, ANRrequests that the abandonment of RateSchedule X–24 be made effective on thelast day of the calendar month in whichthe Commission grants theabandonment.


6. Columbia Gas TransmissionCorporation


Columbia Gas Transmission Corporation(Columbia), 1700 MacCorkle Avenue,S.E., Charleston, West Virginia 25314–1599, filed in Docket No. CP96–561–000, a request pursuant to Sections157.205 and 157.211 (18 CFR Sections157.205 and 157.211) of theCommission’s Regulations under the

Natural Gas Act, and Columbia’sauthorization in Docket No. CP83–76–000,1 to construct and operate a newpoint of delivery to National Gas andOil Corporation (NGO), Licking County,Ohio, all as more fully set forth in therequest which is on file with theCommission and open to publicinspection.

Columbia requests authorization toconstruct and operate a new deliverypoint for transportation service andwould provide the service pursuant toColumbia’s Blanket Certificate issued inDocket No. CP86–240–000 underexisting authorized rate schedules andwithin Columbia’s certificatedentitlements.2 Columbia states that theestimated daily and annual volumes ofnatural gas to be delivered would be 700Dth and 64,000, respectively, and wouldtransported under Columbia’s RateSchedule GTS.

Columbia states that the constructionand operation of the new point ofdelivery has been requested by NGO forfirm transportation service forresidential use. It is further stated thatNGO has not requested an increase in itstotal firm entitlements in conjunctionwith this request to establish this newpoint of delivery. Columbia states thatNGO has agreed to reimburse Columbia100% of the total actual cost toconstruct the new point of deliverwhich is estimated to cost $71,831,including tax gross-up.

Columbia states that it would complywith all of the environmentalrequirements of Sections 157.206(d) ofthe Commission’s Regulations prior tothe construction of any facilities.

Comment date: July 29, 1996, inaccordance with Standard Paragraph Gat the end of this notice.

Standard ParagraphsF. Any person desiring to be heard or

make any protest with reference to saidfiling should on or before the commentdate file with the Federal EnergyRegulatory Commission, 888 FirstStreet, N.E., Washington, D.C. 20426, amotion to intervene or a protest inaccordance with the requirements of theCommission’s Rules of Practice andProcedure (18 CFR 385.211 and385.214) and the Regulations under theNatural Gas Act (18 CFR 157.10). Allprotests filed with the Commission willbe considered by it in determining theappropriate action to be taken but willnot serve to make the protestants partiesto the proceeding. Any person wishing

to become a party to a proceeding or toparticipate as a party in any hearingtherein must file a motion to intervenein accordance with the Commission’sRules.

Take further notice that, pursuant tothe authority contained in and subject tojurisdiction conferred upon the FederalEnergy Regulatory Commission bySections 7 and 15 of the Natural Gas Actand the Commission’s Rules of Practiceand Procedure, a hearing will be heldwithout further notice before theCommission or its designee on thisfiling if no motion to intervene is filedwithin the time required herein, if theCommission on its own review of thematter finds that a grant of thecertificate is required by the publicconvenience and necessity. If a motionfor leave to intervene is timely filed, orif the Commission on its own motionbelieves that a formal hearing isrequired, further notice of such hearingwill be duly given.

Under the procedure herein providedfor, unless otherwise advised, it will beunnecessary for the applicant to appearor be represented at the hearing.

G. Any person or the Commission’sstaff may, within 45 days after theissuance of the instant notice by theCommission, file pursuant to Rule 214of the Commission’s Procedural Rules(18 CFR 385.214) a motion to interveneor notice of intervention and pursuantto Section 157.205 of the Regulationsunder the Natural Gas Act (18 CFR157.205) a protest to the request. If noprotest is filed within the time allowedtherefore, the proposed activity shall bedeemed to be authorized effective theday after the time allowed for filing aprotest. If a protest is filed and notwithdrawn within 30 days after the timeallowed for filing a protest, the instantrequest shall be treated as anapplication for authorization pursuantto Section 7 of the Natural Gas Act.Lois D. Cashell,Secretary.[FR Doc. 96–15650 Filed 6–18–96; 8:45 am]BILLING CODE 6717–01–P


[FRL–5523–3]

Agency Information CollectionActivities Under OMB Review;Standards of Performance forPetroleum Refineries OMB No. 2060–0067, EPA No. 0983.05

AGENCY: Environmental ProtectionAgency (EPA).ACTION: Notice.


SUMMARY: In compliance with thePaperwork Reduction Act (44 U.S.C.3507 (a)(1)(D)), this notice announcesthat the Information Collection Request(ICR) for Petroleum Refineries describedbelow has been forwarded to the Officeof Management and Budget (OMB) forreview and comment. The ICR describesthe nature of the information collectionand its expected burden and cost; whereappropriate, it includes the actual datacollection instrument.DATES: Comments must be submitted onor before July 19, 1996.FOR FURTHER INFORMATION OR A COPYCALL: Sandy Farmer at EPA, (202) 260–2740, and refer to EPA ICR No. 983.05.


Title: Standards of Performance forPetroleum Refineries (OMB No. 2060–0067; EPA ICR No. 0983.05). This is arequest for revision of a currentlyapproved collection.

Abstract: In the Administrator’sjudgement, volatile organic compound(VOC) emissions from petroleumrefineries cause or contribute to airpollution that may reasonably beanticipated to endanger public health orwelfare. In order to assure compliancewith the emissions standards, adequatemonitoring and recordkeeping isnecessary. If the information required bythe standards were not collected, theAgency would have no means forensuring that compliance with the NSPSis achieved and maintained by sourcessubject to the regulation. Theinformation collected is also used fortargeting inspections, and is of sufficientquality to be used as evidence in court.The information collected is requiredunder 40 C.F.R. Part 60 Subpart GGGand records of the information arerequired to be maintained for at leasttwo years. An agency may not conductor sponsor, and a person is not requiredto respond to, a collection ofinformation unless it displays acurrently valid OMB control number.The OMB control numbers for EPA’sregulations are listed in 40 CFR Part 9and 48 CFR Chapter 15. The FederalRegister Notice required under 5 CFR1320.8(d), soliciting comments on thiscollection of information was publishedon 3/26/96 (FR 61, No. 59 p 13181–82).Upon completion of this commentperiod, no comments were received.

Burden Statement: The annual publicreporting and recordkeeping burden forthis collection of information isestimated to average 0.3 hours perresponse. Burden means the total time,effort, or financial resources expendedby persons to generate, maintain, retain,or disclose or provide information to or

for a Federal agency. This includes thetime needed to review instructions;develop, acquire, install, and utilizetechnology and systems for the purposesof collecting, validating, and verifyinginformation, processing andmaintaining information, and disclosingand providing information; adjust theexisting ways to comply with anypreviously applicable instructions andrequirements; train personnel to be ableto respond to a collection ofinformation; search data sources;complete and review the collection ofinformation; and transmit or otherwisedisclose the information.Normal Data Collection:

Estimated Hours/Response: 0.344Estimated Number of Responses: 35Frequency of Response: 365Estimated Annual Hour Burden: 4393

Performance Test Burden:Estimated Hours/Response: 37.67Estimated Number of Responses: 3Frequency of Response: 1Estimated Annual Hour Burden: 113

Estimated Total Annual Hour Burden:4,506 hours.

Send comments on the Agency’s needfor this information, the accuracy of theprovided burden estimates, and anysuggested methods for minimizingrespondent burden, including throughthe use of automated collectiontechniques to the following addresses:(Please refer to EPA ICR No. 0983.05and OMB Control No. 2060–0067 in anycorrespondence.)Ms. Sandy Farmer,U.S. Environmental Protection Agency,OPPE Regulatory Information Division

(2137),401 M Street, SW,Washington, DC 20460.

andOffice of Information and Regulatory

Affairs,Office of Management and Budget,Attention: Desk Officer for EPA,725 17th Street, NW,Washington, DC 20503.


Joseph Retzer,Director, Regulatory Information Division.[FR Doc. 96–15618 Filed 6–18–96; 8:45 am]BILLING CODE 6560–50–P

[FRL–5522–1]

Contractor Access to ConfidentialBusiness Information Under the CleanAir Act


SUMMARY: The EPA has authorized thefollowing contractor for access toinformation that has been, or will be,submitted to EPA under section 114 ofthe Clean Air Act (CAA) as amended:Alpha-Gamma Technologies, Inc., 900Ridgefield Drive, Suite 350, Raleigh,North Carolina, 27609, contract number68D60006.

Some of the information may beclaimed to be confidential businessinformation (CBI) by the submitter.DATES: Access to confidential datasubmitted to EPA will occur no soonerthan ten days after issuance of thisnotice.FOR FURTHER INFORMATION CONTACT:Doris Maxwell, Document ControlOfficer, Office of Air Quality Planningand Standards (MD–13), U.S.Environmental Protection Agency,Research Triangle Park, North Carolina27711, (919) 541–5312.SUPPLEMENTARY INFORMATION: The EPAis issuing this notice to inform allsubmitters of information under section114 of the CAA that EPA may providethe above mentioned contractor accessto these materials on a need-to-knowbasis. This contractor will providetechnical support to the Office of AirQuality Planning and Standards(OAQPS) in source assessment or witha source category survey and proceedthrough development of standards for aFederal Air Pollution ControlRegulation or Control TechniquesGuidelines (CTG).

In accordance with 40 CFR 2.301(h),EPA has determined that this contractorrequires access to CBI submitted to EPAunder sections 112 and 114 of the CAAin order to perform work satisfactorilyunder the above noted contract. Thecontractor’s personnel will be givenaccess to information submitted undersection 114 of the CAA. Some of theinformation may be claimed ordetermined to be CBI. The contractor’spersonnel will be required to signnondisclosure agreements and will bebriefed on appropriate securityprocedures before they are permittedaccess to CBI. All contractor access toCAA CBI will take place at thecontractor’s facility. This contractor willhave appropriate procedures andfacilities in place to safeguard the CAACBI to which the contractor has access.

Clearance for access to CAA CBI isscheduled to expire on May 28, 2001under contract 68D60006.

Dated: June 11, 1996.Mary Nichols,Assistant Administrator for Air andRadiation.[FR Doc. 96–15444 Filed 6–18–96; 8:45 am]BILLING CODE 6560–50–P


[FRL–5523–4]

The National Response Team’sIntegrated Contingency Plan Guidance

AGENCY: Environmental ProtectionAgency (EPA), U.S. Coast Guard(USCG), Minerals Management Service(MMS), Research and Special ProgramsAdministration (RSPA), OccupationalSafety and Health Administration(OSHA).ACTION: Notice; corrections.

SUMMARY: This document containscorrections to the notice publishedWednesday, June 5, 1996 (61 FR 28642).The notice announced the availability ofthe NRT’s Integrated Contingency PlanGuidance (‘‘one plan’’), which isintended to be used by facilities toprepare emergency response plans.FOR FURTHER INFORMATION CONTACT:William Finan, U.S. EnvironmentalProtection Agency, Mail Code 5101, 401

M Street, SW., Washington, DC 20460,at (202) 260–0030 ([email protected]—please include ‘‘one plan’’ in the subjectline). In addition, the EPCRA/RCRA/Superfund Hotline can answer generalquestions about the guidance.


Background

EPA, USCG, MMS, RSPA, and OSHApublished a notice in the FederalRegister on June 5, 1996 (61 FR 28642),announcing the availability of the NRT’sIntegrated Contingency Plan Guidance(‘‘one plan’’). The guidance is intendedto be used by facilities to prepareemergency response plans. The intent ofthe NRT is to provide a mechanism forconsolidating multiple plans thatfacilities may have prepared to complywith various regulations into onefunctional emergency response plan or

integrated contingency plan (ICP). Thenotice contained the suggested ICPoutline as well as guidance on how todevelop an ICP and demonstratecompliance with various regulatoryrequirements.

Need for Correction

As published, the notice containedminor transcription errors that omittedcertain information and should becorrected.

Correction of Publication

Accordingly, the publication of thenotice on June 5, 1996 (61 FR 28642) iscorrected as follows:

1. On page 28660, the chart withinAttachment 3 labeled ‘‘DOT/RSPA FRP(49 CFR Part 194)’’ is replaced by thefollowing chart that removestranscription errors and incorporates 22lines of text omitted from the originalnotice.

DOT/RSPA FRP (49 CFR part 194) ICP citation(s)

194.101 Operators required to submit plans194.103 Significant and substantial harm: operator’s statement .......................................................... III.8.194.105 Worst case discharge .............................................................................................................. III.3.d.(1).194.107 General response plan requirements:

(a) Resource planning requirements .................................................................................................... III.3.d.(b) Language requirements.(c) Consistency with NCP and ACP(s) ................................................................................................. III.3.d.(3), III.8.(d) Each response plan must include:

(1) Core Plan Contents(i) An information summary as required in 194.113 .................................................................. I.4, III.1.

194.113(a) Core plan information summary(1) Name and address of operator ........................................................................................ I.4.b, I.4.d.(2) Description of each response zone .................................................................................. I.4.c.

(b) Response zone appendix information summary(1) Core plan information summary ....................................................................................... I.4, III.1.(2) Name, telephone of qualified individual available on 24-hour basis ................................ II.2.a, III.1.a.(3) Description of response zone ........................................................................................... I.4.c.(4) List of line sections for each pipeline ............................................................................... I.4.c.(5) Significant and substantial harm determination ................................................................ III.8.(6) Type of oil and volume of WCD ....................................................................................... III.3.d.(1).

(ii) Immediate notification procedures ........................................................................................ II.2.a, III.2.(iii) Spill detection and mitigation procedures ............................................................................ II.1, II.2.d.(2).(iv) The name, address, and telephone number of the oil spill response organization, if ap-

propriate.III.2.a.

(v) Response activities and response resources ....................................................................... II.2.b, II.2.d.(3), II.2.e–f, II.3, III.3,III.3.b.(2), III.3.c.(2), III.3.c.(4)–(6),III.3.c.(8), III.3.d.(4), III.3.e.(3).

(vi) Names and telephone numbers of federal, state, and local agencies which the operatorexpects to have pollution control responsibilities or support.

III.2.c.

(vii) Training procedures ............................................................................................................ III.5.(viii) Equipment testing .............................................................................................................. III.3.e.(6).(ix) Drill types, schedules, and procedures ............................................................................... III.5.(x) Plan review and update procedures .................................................................................... III.6.

(2) An appendix for each response zone 16

194.109 Submission of state response plans194.111 Response plan retention III.6.194.113 Information summary (see 194.107(d)(1)(i))194.115 Response resources ................................................................................................................ II.2.f, III.3.d, III.3.f.(5).194.117 Training .................................................................................................................................... III.5.194.119 Submission and approval procedures ..................................................................................... III.6.194.121 Response plan review and update procedures ....................................................................... III.6.Appendix A Recommended guidelines for the preparation of response plans ..................................... I.2.

Section 1 Information summary ......................................................................................................... I.4.b–c, II.2.a, II.2.f, III.8.Section 2 Notification procedures ...................................................................................................... II.2.a, III.2, III.3.b.(2), III.3.e.(3).Section 3 Spill detection and on-scene spill mitigation procedures .................................................. II.1, II.2.e–f, III.3.c.(2).Section 4 Response activities ............................................................................................................ II.2.b, III.3.b.(1).Section 5 List of contacts ................................................................................................................... II.2.a.


DOT/RSPA FRP (49 CFR part 194) ICP citation(s)

Section 6 Training procedures ........................................................................................................... III.5.Section 7 Drill procedures .................................................................................................................. III.5.Section 8 Response plan review and update procedures ................................................................. III.6.Section 9 Response zone appendices .............................................................................................. II.2.b, II.3, III.1.a–c, III.3.

2. On page 28660, in the reference to‘‘29 CFR 1910.38(a)(3) Alarm system’’ inthe chart within Attachment 3 labeled‘‘OSHA Emergency Action Plans (29CFR 1910.38(a)) and Process Safety (29CFR 1910.119),’’ the endnote numbered‘‘16’’ is renumbered ‘‘17’’ to reflect theinsertion of an additional, precedingendnote in the revised chart describedin item 1 of this correction notice.

3. On page 28663, after endnote 15 inthe list of Notes to Attachment 3, thefollowing text is inserted as endnote 16:‘‘16. Requires information contained in194.107(d)(1)(i)–(ix) that is specific tothe response zone and the worst casedischarge calculations.’’

4. On page 28663, in the list of Notesto Attachment 3, the endnote numbered‘‘16’’ is renumbered ‘‘17’’ to reflect theinsertion of an additional, precedingendnote in the revised chart describedin item 1 of this correction notice.

Dated: June 13, 1996.James L. Makris,Director, Chemical Emergency Preparednessand Prevention Office, U.S. EnvironmentalProtection Agency.[FR Doc. 96–15611 Filed 6–18–96; 8:45 am]BILLING CODE 6560–50–P

[OPP–30413; FRL–5376–2]

Certain Companies; Applications toRegister Pesticide Products


SUMMARY: This notice announces receiptof applications to register pesticideproducts containing a new activeingredient not included in anypreviously registered products pursuantto the provisions of section 3(c)(4) of theFederal Insecticide, Fungicide, andRodenticide Act (FIFRA), as amended.DATES: Written comments must besubmitted by July 19, 1996.ADDRESSES: By mail, submit writtencomments identified by the documentcontrol number [OPP–30413] and thefile symbol to: Public Response andProgram Resources Branch, FieldOperations Divisions (7506C), Office ofPesticide Programs, EnvironmentalProtection Agency, 401 M St., SW.,Washington, DC 20460. In person, bring

comments to: Environmental ProtectionAgency, Rm. 1132, CM #2, 1921Jefferson Davis Hwy., Arlington, VA.

Comments and data may also besubmitted electronically by sendingelectronic mail (e-mail) to: [email protected]. Electroniccomments must be submitted as anASCII file avoiding the use of specialcharacters and any form of encryption.Comments and data will be accepted ondisks in Wordperfect in 5.1 file formator ASCII file format. All comments anddata in electronic form must beidentified by the docket number [OPP–30413]. No ‘‘Confidential BusinessInformation’’ (CBI) should be submittedthrough e-mail. Electronic comments onthis notice may be filed online at manyFederal Depository Libraries. Additionalinformation on electronic submissioncan be found below in this document.

Information submitted as a commentconcerning this notice may be claimedconfidential by marking any part or allof that information as ‘‘ConfidentialBusiness Information’’ (CBI).Information so marked will not bedisclosed except in accordance withprocedures set forth in 40 CFR part 2.A copy of the comment that does notcontain CBI must be submitted forinclusion in the public record.Information not marked confidentialmay be disclosed publicly by EPAwithout prior notice. All writtencomments will be available for publicinspection in Rm. 1132 at the addressgiven above, from 8 a.m. to 4:30 p.m.,Monday through Friday, excludingholidays.

FOR FURTHER INFORMATION CONTACT: Bymail: Rita Kumar, Biopesticides andPollution Prevention Division (7501W),Office of Pesticide Programs,Environmental Protection Agency, 401M St., SW., Washington, DC 20460.Office location and telephone number:Rm. CS51B6, Westfield Building NorthTower, 2800 Crystal Drive, Arlington,VA 22202, (703) 308–8291; e-mail:[email protected].

SUPPLEMENTARY INFORMATION: EPAreceived applications to registerpesticide products containing an activeingredient not included in anypreviously registered products pursuantto the provisions of section 3(c)(4) ofFIFRA. Notice of receipt of these

applications does not imply a decisionby the Agency on the applications.

1. Products Containing ActiveIngredients Not Included In AnyPreviously Registered Products

1. File Symbol: 52991–I. Applicant:Bedoukian Research, Inc., 21 FinanceDrive, Danbury, CT 06810–4192.Product name: Bedoukian trans-11-Tetradecenyl Acetate TechnicalPheromone. Insecticide. Activeingredient: trans-11-Tetradecenylacetate at 90 percent. Proposedclassification/Use: None. Formanufacturing use only.

2. File Symbol: 52991–T. Applicant:Bedoukian Research, Inc. Product name:Bedoukian cis-11-Tetradecenyl AcetateTechnical Pheromone. Insecticide.Active ingredient: cis-11-Tetradecenylacetate at 96 percent. Proposedclassification/Use: None. Formanufacturing use only.

3. File Symbol: 55638–GI. Applicant:Ecogen Inc., 2005 Cabot Blvd., West,P.O. 3023, Langhorne, PA 19047–3023.Product name: NoMate OLR Spiral.Insecticide. Active ingredients: E-11-Tetradecen-l-yl acetate at 3.10 percentand Z-11-tetradecen-l-yl-acetate at 0.34percent. Proposed classification/Use:None. To prevent damage to grapes ortree fruit caused by omnivorousleafrollers.

4. File Symbol: 69579–R. Applicant:U.I.M. Agrochemicals (AUST.) PTY.Ltd., P.O. Box 72, Brisbane Market, Qld.,Australia, 4106. Product name: Foli-R-Fos 400. Fungicide. Active ingredient:Mono- and di-potassium salts ofphosphorous acid at 45.5 percent.Proposed classification/Use: None. Forthe suppression of Phytophthora andPythium in ornamentals, beddingplants, conifers, and turf.

Notice of approval or denial of anapplication to register a pesticideproduct will be announced in theFederal Register. The procedure forrequesting data will be given in theFederal Register if an application isapproved.

Comments received within thespecified time period will be consideredbefore a final decision is made;comments received after the timespecified will be considered only to theextent possible without delayingprocessing of the application.


A record has been established for thisnotice under docket number [OPP–30413] (including comments and datasubmitted electronically as describedbelow). A public version of this record,including printed, paper versions ofelectronic comments, which does notinclude any information claimed as CBI,is available for inspection from 8 a.m. to4:30 p.m., Monday through Friday,excluding legal holidays. The publicrecord is located in Rm. 1132 of thePublic Response and Program ResourcesBranch, Field Operations Division(7506C), Office of Pesticide Programs,Environmental Protection Agency,Crystal Mall #2, 1921 Jefferson DavisHighway, Arlington, VA.



submitted as an ASCII file avoiding theuse of special characters and any formof encryption.

The official record for this notice, aswell as the public version, as describedabove will be kept in paper form.Accordingly, EPA will transfer allcomments received electronically intoprinted, paper form as they are receivedand will place the paper copies in theofficial record which will also includeall comments submitted directly inwriting. The official record is the paperrecord maintained at the address in‘‘ADDRESSES’’ at the beginning of thisdocument.

Written comments filed pursuant tothis notice, will be available in thePublic Response and Program ResourcesBranch, Field Operations Division at theaddress provided from 8 a.m. to 4:30p.m., Monday through Friday, excluding

legal holidays. It is suggested thatpersons interested in reviewing theapplication file, telephone this office at(703–305–5805), to ensure that the fileis available on the date of intended visit.

Authority: 7 U.S.C. 136.

List of SubjectsEnvironmental protection, Pesticides

and pests, Product registration.Dated: June 11, 1996.

Janet L. Andersen,

Acting Director, Biopesticides and PollutionPrevention Division, Office of PesticidePrograms.


[OPP–34098; FRL 5373–4]

Notice of Receipt of Requests forAmendments to Delete uses in CertainPesticide Registrations


SUMMARY: In accordance with section6(f)(1) of the Federal Insecticide,Fungicide and Rodenticide Act (FIFRA),as amended, EPA is issuing a notice ofreceipt of request for amendment byregistrants to delete uses in certainpesticide registrations.DATES: Unless a request is withdrawn,the Agency will approve these usedeletions and the deletions will becomeeffective on September 17, 1996.FOR FURTHER INFORMATION CONTACT: Bymail: James A. Hollins, Office of

Pesticide Programs (7502C),Environmental Protection Agency, 401M St., SW., Washington, DC 20460.Office location for commercial courierdelivery and telephone number: Room216, Crystal Mall No. 2, 1921 JeffersonDavis Highway, Arlington, VA, (703)305–5761; e-mail:[email protected].


I. Introduction

Section 6(f)(1) of FIFRA provides thata registrant of a pesticide product mayat any time request that any of itspesticide registrations be amended todelete one or more uses. The Act furtherprovides that, before acting on therequest, EPA must publish a notice ofreceipt of any such request in theFederal Register. Thereafter, theAdministrator may approve such arequest.

II. Intent to Delete Uses

This notice announces receipt by theAgency of applications from registrantsto delete uses in the 76 pesticideregistrations listed in the followingTable 1. These registrations are listed byregistration number, product names,active ingredients and the specific usesdeleted. Users of these products whodesire continued use on crops or sitesbeing deleted should contact theapplicable registrant before September17, 1996, to discuss withdrawal of theapplications for amendment. This 90-day period will also permit interestedmembers of the public to intercede withregistrants prior to the Agency approvalof the deletion.

TABLE 1. — REGISTRATIONS WITH REQUESTS FOR AMENDMENTS TO DELETE USES IN CERTAIN PESTICIDE REGISTRATIONS

EPA Reg No. Product Name Active Ingredient Delete From Label

000352–00324 DuPont Diuron Technical Herbicide Diuron Bermudagrass

000407–00281 Sevin Brand Carbaryl Carbaryl Dogs & cats, including quarters

000432–00433 SBP-1382 Insecticide Concentrate 25% Formula I Resmethrin Commercial greenhouse uses

000432–00434 SBP-1382 Concentrate 40 Resmethrin Commercial greenhouse uses

000432–00439 SBP-1382 Insecticide Concentrate 15% Resmethrin Commercial greenhouse uses

000432–00485 SBP-1382/Bioallethrin Insecticide Concentrate 10%–5% Formula I

d-trans-Allethrin; Resmethrin Commercial greenhouse uses

000432–00487 SBP-1382 Technical w/Antioxidant Resmethrin Commercial greenhouse uses

000432–00488 SBP-1328/Bioallethrin Insecticide Concentrate 10%-7.5% Formula I




d-trans- Allethrin; Resmethrin Commercial greenhouse uses

000432–00510 SBP-1382 Technical-RF Refined Grade Resmethrin Commercial greenhouse uses

000432–00511 SBP-1382/Bioallethrin Insecticide Concentrate 30%–22.5% Formula I

d-trans- Allethrin; Resmethrin Commercial greenhouse uses


TABLE 1. — REGISTRATIONS WITH REQUESTS FOR AMENDMENTS TO DELETE USES IN CERTAIN PESTICIDE REGISTRATIONS—Continued










000432–00518 SBP-1382 Insecticide Concentrate 12% Formula Iw/Residual Additive

Resmethrin Commercial greenhouse uses

000432–00520 SBP-1382 Technical-90RF Refined Grade Resmethrin Commercial greenhouse uses

000432–00521 SBP-1382 Technical 96PR Premium Grade Resmethrin Commercial greenhouse uses



000432–00524 SBP-1382/Bioallethrin Insecticide Concentrate7.5%–5% Formula I


000432–00527 SBP-1382 Insecticide Concentrate 12.5% Formula I Resmethrin Commercial greenhouse uses

000432–00530 UltraTEC Insecticide w/SBP-1382 TransparentEmulsion Conc. 16%


000432–00531 SBP-1382/Bioallethrin Insecticide Concentrate 23%–38.4%


000432–00532 UltraTEC Insecticide w/SBP-1382/BioallethrinTranparent Emulsion



Commercial greenhouse uses

000432–00539 SBP-1382 Insecticide Concentrate 30% Formula w/Residual Additive


000432–00540 SBP-1382/Bioallethrin Insecticide Concentrate10.10%–67.28 Formula I


000432–00560 SBP-1382 24.3% Emulsifiable Insecticide Resmethrin Commercial greenhouse uses

000432–00564 SBP-1382 Concentrate 12.5% MP Resmethrin Commercial greenhouse uses

000432–00570 UltraTEC Insecticide w/SBP-1382/ChlorpyrifosTransparent Emulsion

Chlorpyrifos; Resmethrin Commercial greenhouse uses

000432–00571 UltraTEC Insecticide w/SBP-1382/ChlorpyrifosTransparent Emulsion


000432–00572 UltraTEC Insecticide w/SBP-1382 TransparentEmulsion Conc. 4.35%


000432–00574 SBP-1382/Bioallethrin Concentrate 10–5 d-trans-Allethrin; Resmethrin Commercial greenhouse uses

000432–00576 SBP-1382/Bioallethrin Concentrate 10–3.75 d-trans-Allethrin; Resmethrin Commercial greenhouse uses

000432–00577 SBP-1382/Bioallethrin Concentrate 10–2.5 d-trans-Allethrin; Resmethrin Commercial greenhouse uses


000432–00602 SBP-1382/Bioallethrin 19.268–48.202 Conc. d-trans-Allethrin; Resmethrin Commercial greenhouse uses

000432–00604 SBP-1382/Bioallethrin 27.9699–27.9699 Conc. d-trans-Allethrin; Resmethrin Commercial greenhouse uses

000432–00606 SBP-1382 Insecticide Emulsifiable 26% Resmethrin Commercial greenhouse uses

000432–00607 SBP-1382 Concentrate 16% Formula II Resmethrin Commercial greenhouse uses

000432–00610 SBP-1382 Insecticide Concentrate 40% Formula III Resmethrin Commercial greenhouse uses

000432–00623 SBP-1382 Insecticide 40% Formula I Resmethrin Commercial greenhouse uses

000432–00629 Crossfire Conc. 2 w/SBP-1382/Esbiothrin/ PiperonylButoxide Insecticide

d-trans-Allethrin; Resmethrin;piperonyl butoxide


000432–00630 Crossfire Conc. 3 w/SBP-1382/Esbiothrin/ PiperonylButoxide 6.45%+6.45%

d-trans-Allethrin; Resmethrin;Piperonyl butoxide


000432–00632 Crossfire Conc. I w/SBP-1382/Esbiothrin/ PiperonylButoxide



000432–00633 Crossfire Conc. 4 w/SBP-1382/Esbiothrin/ PiperonylButoxide 8%–7.8%–31.2




TABLE 1. — REGISTRATIONS WITH REQUESTS FOR AMENDMENTS TO DELETE USES IN CERTAIN PESTICIDE REGISTRATIONS—Continued


000432–00648 UltraTEC Insecticide w/SBP-1382/ChlorpyrifosTransparent Emulsion 3.2

Chlorpyrifos; Resmethrin; Commercial greenhouse uses

000432–00649 UltraTEC Insecticide w/SBP-1382/ChlorpyrifosTransparent Emulsion 1.6


000432–00669 UltraTEC Insecticide w/SBP1382/Bioallethrin Trans-parent Emulsion 4%


000432–00687 Crossfire TRA Conc. w/SBP-1382/Esbiothrin/Piperonyl Butoxide 3%–4.5%

d-trans-Allethrin; Piperonylbutoxide; Resmethrin


000432–00689 SBP-1382 Insecticide Concentrate 3% Resmethrin Commercial greenhouse uses

000432–00692 UltraTEC Insecticide w/SBP-1382/ChlorpyrifosTransparent Emul sion Concentrate


000432–00693 SBP-1382/Bioallethrin/Piperonyl Butoxide InsecticideConcentrate 11.9%–3.4



000432–00721 SBP-1382/Bioallethrin/Piperonyl Butoxide InsecticideConc. 11.90%



000432–00732 Bioresmethrin Technical (+)-trans-Resmethrin Commercial greenhouse uses

000572–00107 5% Sevin Brand Carbaryl Insecticide Dust Carbaryl Use on dogs & cats

000655–00003 Prentox Cube Powder Rotenone Terrestrial food crops, terres-trial non-food, greenhouse(household & ornamental),commmercial/ industrial, live-stock

000655–00069 Prentox Cube Resins Rotenone Terrestrial food crops, terres-trial non-food, greenhouse(household & ornamental),commercial/ industrial, live-stock

004816–00372 Synthrin Concentrate 40 Resmethrin Commercial greenhouse uses

004816–00391 Tetralate 25–10.6 WB Concentrate Tetramethrin; Resmethrin Commercial greenhouse uses

004816–00392 Tetralate Intermediate Concentrate Tetramethrin; Resmethrin Commercial greenhouse uses

004816–00402 Synthrin Concentrate 15 Insecticide Resmethrin Commercial greenhouse uses

004816–00403 Synthrin Technical w/Antioxidant Insecticide Resmethrin Commercial greenhouse uses

004816–00499 Tetralate 2.0–0.44 WB Tetramethrin; Resmethrin Commercial greenhouse uses



004816–00505 Tetralate 16.670–7.0655 Tetramethrin; Resmethrin Commercial greenhouse uses

004816–00506 Tetralate 20.84–20.84 Tetramethrin; Resmethrin Commercial greenhouse uses

004816–00647 Bioresmethrin Technical (+)-trans-Resmethrin Commercial greenhouse uses

033688–00006 MAXATA Industrial Herbicide Amitrole Ornamental plant nurseries

041835–00006 Durakyl Pet Dip Rotenone; Cube Resins otherthan Rotenone; Pyrethrins

Use on cats

049585–00024 Sevin Plus Multi-Purpose Garden Dust Piperonyl butoxide; Pyrethrins;Sulfur; Carbaryl

Pet application uses

051036–00013 Sevin 10% Dust Carbaryl Pet uses

051036–00048 Sevin Dust-5 Carbaryl Pet uses

051036–00225 Slug N Snail Plus Metaldehyde; Carbaryl Avocados

The following Table 2 includes the names and addresses of record for all registrants of the products in Table1, in sequence by EPA company number.

TABLE 2.—REGISTRANTS REQUESTING AMENDMENTS TO DELETE USES IN CERTAIN PESTICIDE REGISTRATIONS

Com-pany No. Company Name and Address

000352 DuPont Agricultural Products, Walker’s Mill, Barley Mill Plaza, P.O. Box 80038, Wilmington, DE 19880.

000407 Imperial Inc., 1280 Imperial Road, Box 536, Hampton, IA 50441.


TABLE 2.—REGISTRANTS REQUESTING AMENDMENTS TO DELETE USES IN CERTAIN PESTICIDE REGISTRATIONS—Continued

Com-pany No. Company Name and Address

000432 AgrEvo Environmental Health, 95 Chestnut Ridge Road, Montvale, NJ 07645.

000572 Rockland Corporation, P.O. Box 809, 686 Passaic Ave., West Caldwell, NJ 07007.

000655 Prentiss Incorporated, C.B. 2000, Floral Park, NY 11002.

004816 AgrEvo Environmental Health, 95 Chestnut Ridge Road, Montvale, NJ 07645.

033688 CFPI, Agro, S.A., c/o Richard J. Otten, 5116 Wood Valley Drive, Raleigh, NC 27613.

041835 DVM Pharmaceuticals, Inc., c/o RegWest Company, P.O. Box 2220, Greeley, CO 80632.

049585 Alljack, Division of United Industries Corp., P.O. Box 15842 St. Louis, MO 63114.

051036 Micro Flo Co., P.O. Box 5948, Lakeland, FL 33807.

III. Existing Stocks Provisions

The Agency has authorized registrantsto sell or distribute product under thepreviously approved labeling for aperiod of 18 months after approval ofthe revision, unless other restrictionshave been imposed, as in special reviewactions.

List of Subjects

Environmental protection, Pesticidesand pests, Product registrations.


Frank Sanders,Director, Program Management and SupportDivision, Office of Pesticide Programs.


[OPP–181014; FRL–5376–1]

Emergency Exemptions


SUMMARY: EPA has granted specificexemptions for the control of variouspests to 23 States listed below. Fourcrisis exemptions were initiated byvarious States and one by the UnitedStates Department of Agriculture(USDA). There were also five quarantineexemptions granted to the United StatesDepartment of Agriculture. Theseexemptions, issued during the monthsof March, April, and May 1996, aresubject to application and timingrestrictions and reporting requirementsdesigned to protect the environment tothe maximum extent possible.Information on these restrictions isavailable from the contact persons inEPA listed below.DATES: See each specific, crisis, andquarantine exemptions for its effectivedate.

FOR FURTHER INFORMATION CONTACT: Seeeach emergency exemption for the nameof the contact person. The followinginformation applies to all contactpersons: By mail: Registration Division(7505W), Office of Pesticide Programs,Environmental Protection Agency, 401M St., SW., Washington, DC 20460.Office location and telephone number:6th Floor, CS 1B1, 2800 Jefferson DavisHighway, Arlington, VA (703–308–8417); e-mail:[email protected] INFORMATION: EPA hasgranted specific exemptions to the:

1. California Department of PesticideRegulation for the use of metalaxyl onboysenberries to control downy mildew;March 8, 1996, to April 15, 1996. (PatCimino)

2. Delaware Department ofAgriculture for the use of terbacil onwatermelons to control annual broadleafweeds; April 19, 1996, to June 15, 1996.(Dave Deegan)

3. Delaware Department ofAgriculture for the use of clomazone onwatermelons to control weeds; April 4,1996, to June 30, 1996. (Dave Deegan)

4. Hawaii Department of Agriculturefor the use of hydramethylnon onpineapples to control big-headed antsand argentine ants; April 26, 1996, toApril 25, 1997. (Libby Pemberton)

5. Hawaii Department of Agriculturefor the use of imidacloprid onwatermelons to control whiteflies; April4, 1996, to April 3, 1997. Hawaii hadinitiated a crisis exemption for this use.(Andrea Beard)

6. Idaho Department of Agriculture forthe use of bifenthrin on canola tocontrol aphids; April 15, 1996, toAugust 15, 1996. (Andrea Beard)

7. Idaho Department of Agriculture forthe use of primisulfuron-methyl on bluegrass grown for seed to controlquackgrass, windgrass and other weeds;March 15, 1996, to November 30, 1996.(Pat Cimino)

8. Kansas Department of Agriculturefor the use of propazine on sorghum tocontrol pigweed; April 3, 1996, to June30, 1996. A notice published in theFederal Register of March 15, 1996 (61FR 10758). For the past the 3 years anemergency exemption has beenrequested and a complete applicationfor registration and tolerance petitionhas not yet been submitted to theAgency; additionally, propazine is anunregistered chemical. The situationappears to be urgent and nonroutine,and sorghum growers are expected tosuffer significant economic loss withoutthe use of propazine. (Andrea Beard)

9. Louisiana Department ofAgriculture and Forestry for the use ofPirate on cotton to control the beetarmyworms and tobacco budworms;April 15, 1996, to September 30, 1996.A notice published in the FederalRegister of March 20, 1996 (61 FR11413). The situation was urgent andnonroutine. There are no chemicalalternative methods of beet armywormor tobacco budworm control that can beused in Louisiana. Pirate has shown tobe the most effective conventionalalternative against resistant tobaccobudworm. The combination oftebufenozide and Pirate isenvironmentally the most acceptablecombination available against beetarmyworms. (Margarita Collantes)

10. Louisiana Department ofAgriculture and Forestry for the use oftebufenozide on cotton to control beetarmyworms; April 15, 1996, toSeptember 30, 1996. (MargaritaCollantes)

11. Maryland Department ofAgriculture for the use of terbacil onwatermelons to control annual broadleafweeds; April 19, 1996, to June 15, 1996.(Dave Deegan)

12. Maryland Department ofAgriculture for the use of clomazone onwatermelons to control weeds; April 4,1996, to June 30, 1996. (Dave Deegan)


13. New Jersey Department ofEnvironmental Protection for the use ofmetolachlor on spinach to controlweeds; April 3, 1996, to October 31,1996. (Margarita Collantes)

14. Oregon Department of Agriculturefor the use of bifenthrin on canola tocontrol aphids; April 15, 1996, to July31, 1996. (Andrea Beard)

15. Oregon Department of Agriculturefor the use of fenarimol on hazelnuts tocontrol eastern filbert blight; April 29,1996, to May 30, 1996. (Pat Cimino)

16. Oregon Department of Agriculturefor the use of lactofen on snap beans tocontrol nightshade and pigweed; April3, 1996, to July 31, 1996. (Dave Deegan)

17. Oregon Department of Agriculturefor the use of fenoxycarb on pears tocontrol pear psylla; April 1, 1996, toMay 1, 1996. (Pat Cimino)

18. Oregon Department of Agriculturefor the use of pirimicarb on alfalfagrown for seed to control lygus bugs andaphids; April 8, 1996, to August 31,1996. A notice published in the FederalRegister of April 24, 1996 (61 FR18141). Pirimicarb is the only knownpesticide that provides control of aphidsand lygus bugs without inflicting harmto Native Bee population followingapplication. (Margarita Collantes)

19. Washington Department ofAgriculture for the use of bifenthrin oncanola to control aphids; April 15, 1996,to August 15, 1996. (Andrea Beard)

20. Washington Department ofAgriculture for the use of primisulfuron-methyl on blue grass, grown for seed tocontrol quackgrass, windgrass, andother weeds; April 15, 1996, toNovember 30, 1996. (Pat Cimino)

21. Washington Department ofAgriculture for the use of fenoxycarb onpears to control pear psylla; April 1,1996, to May 1, 1996. (Pat Cimino)

22. Washington Department ofAgriculture for the use of metolachloron spinach to control grasses; April 1,1996, to July 1, 1996. (MargaritaCollantes)

The following States listed belowwere granted emergency exemptions forthe use of dimethomorph, cymoxanil,and propamocarb hydrochloride onpotatoes to control late blight; April 4,1996, to April 3, 1997, except forFlorida whose effective date is May 18,1996, to May 17, 1997.

1. Colorado Department ofAgriculture.

2. Delaware Department ofAgriculture.

3. Florida Department of Agricultureand Consumer Services.

4. Idaho Department of Agriculture.5. Maine Department of Agriculture.6. Maryland Department of

Agriculture.

7. Massachusetts Department ofFood and Agriculture.

8. Michigan Department ofAgriculture.

9. Minnesota Department ofAgriculture.

10. Montana Department ofAgriculture.

11. New York Department ofEnvironmental Conservation.

12. North Carolina Department ofAgriculture.

13. North Dakota Department ofAgriculture.

14. Ohio Department of Agriculture.15. Oregon Department of

Agriculture.16. Pennsylvania Department of

Agriculture.17. Washington Department of

Agriculture.18. Wisconsin Department of

Agriculture, Trade and ConsumerProtection. (Libby Pemberton)

Crisis exemptions were initiated bythe:

1. Idaho Department of Agriculture onMarch 25, 1996, for the use of carboxinon lentils to control ascochyta blight.This program has ended. (Andrea Beard)

2. Idaho Department of Agriculture onMarch 25, 1996, for the use ofthiabendazole on lentils to controlascochyta blight. This program hasended. (Andrea Beard)

3. Washington Department ofAgriculture on March 22, 1996, for theuse of carboxin on lentils to controlascochyta blight. This program hasended. (Andrea Beard)

4. Washington Department ofAgriculture on March 22, 1996, for theuse of thiabendazole on lentils tocontrol ascochyta blight. This programhas ended. (Andrea Beard)

5. United States Department ofAgriculture on March 25, 1996, for theuse of methyl bromide on conveyances,mechanized farm equipment, grainelevator and structures used for storingand handling wheat and wheat grainand plant or soil debris to control karnalbunt. This program is expected to lastuntil 1999. (Libby Pemberton)

EPA has granted quarantineexemptions to the:

1. United States Department ofAgriculture for the use of sodiumhypochloride on surfaces to controlanimal diseases; April 15, 1996, to April15, 1999. (Dave Deegan)

2. United States Department ofAgriculture for the use of sodiumcarbonate on aircraft surfaces to controlanimal diseases; April 15, 1996, to April15, 1999. (Dave Deegan)

3. United States Department ofAgriculture for the use of sodiumcarbonate on semen containers to

control animal diseases; April 15, 1996,to April 15, 1999. (Dave Deegan)

4. United States Department ofAgriculture for the use of methylbromide on fallow fields and small plotsof land to control witchweed in NorthCarolina and South Carolina; April 26,1996, to April 25, 1999. (LibbyPemberton)

5. United States Department ofAgriculture for the use of sodiumhydroxide on surfaces, containers, hayand straw to control animal diseases;April 15, 1996, to April 15, 1999. (DaveDeegan)

Authority: 7 U.S.C. 136.

List of SubjectsEnvironmental protection, Pesticides

and pests, Crisis exemptions.Dated: June 7, 1996.

Susan Lewis,Acting Director, Registration Division, Officeof Pesticide Programs.


[FRL–5522–7]

Strategic Plan for the Office ofResearch and Development

AGENCY: Environmental ProtectionAgency.ACTION: Correction—Notice ofAvailability.

SUMMARY: On June 7, 1996 EPAannounced the availability of theStrategic Plan for the Office of Researchand Development (EPA–600/R–96/059),prepared by the U.S. EnvironmentalProtection Agency’s (EPA) Office ofResearch and Development (ORD). TheFederal Register Notice (61 FR 29099)contained an incorrect phone numberfor interested parties to obtain a copy ofthe Strategic Plan. The correct phonenumber is (513) 569–7562, or you mayfax your request to (513) 569–7566. TheStrategic Plan describes the process andcriteria for selecting ORD’s high priorityresearch and defines the foundation forORD’s management and budgetplanning process.DATES: The Strategic Plan for the Officeof Research and Development was madeavailable to the public on June 7, 1996.Interested parties can now access theExecutive Summary of the Plan or theentire Plan via the Internet on the ORDHome Page (http://www.epa.gov/ORD).ADDRESSES: The document is availablefor inspection at the EPA HeadquartersLibrary, Waterside Mall, 401 M StreetSW., Washington, DC. EPA Libraryhours are 10 a.m. to 2 p.m., Monday


through Friday, excluding holidays.Interested parties can obtain a singlecopy of the Strategic Plan by contacting:ORD Publications Office, TechnologyTransfer Division, National RiskManagement Research Lab, U.S.Environmental Protection Agency, 26W. Martin Luther King Drive,Cincinnati, OH 45268; Telephone: (513–569–7562) or facsimile: (513) 569–7566.Please provide your name and mailingaddress, and request the document bythe title and EPA Document No. (EPA–600/R–96/059). A limited number ofpaper copies will be available from thissource, and requests will be filled on afirst come-first served basis. After thesupply is exhausted, copies of theStrategic Plan can be purchased fromthe National Technical InformationService (NTIS) by calling (703) 487–4650 or sending a facsimile to (703)321–8547. The NTIS order number forthe Strategic Plan is (PB96–175385.)FOR FURTHER INFORMATION CONTACT:Sherry Hawkins, Office of Research andScience Integration, (8104), U.S.Environmental Protection Agency,Washington, D.C. 20460. Telephone(202) 260–5593; Facsimile (202–260–0106.)

Dated: June 13, 1996.Dorothy E. Patton,Director, Office of Research and ScienceIntegration.[FR Doc. 96–15615 Filed 6–18–96; 8:45 am]BILLING CODE 6560–50–P

[FRL–5511–1]

Notice of Proposed ProspectivePurchaser Agreement Pursuant to theComprehensive EnvironmentalResponse, Compensation and LiabilityAct, as Amended by the SuperfundAmendments and Reauthorization Act;in Re Indiana WoodtreatingCorporation Superfund Site,Bloomington, IN

AGENCY: Environmental ProtectionAgency.ACTION: Notice; request for publiccomment.

SUMMARY: In accordance with theComprehensive EnvironmentalResponse, Compensation and LiabilityAct of 1980 (‘‘CERCLA’’), as amended,notice is hereby given that a proposedprospective purchaser agreementconcerning the Indiana WoodtreatingCorporation Superfund Site (‘‘the Site’’)was issued by the Agency on March 19,1996. Subject to review by the publicpursuant to this Notice, the agreementwas approved by the United StatesDepartment of Justice on April 17, 1996.

Under the terms of the Agreement, CRCorporation, the prospective purchaserof the Site, has agreed to operate andmaintain a pump and treatment systemat the Site and to establish a trust fundfor the performance of these operationand maintenance activities. This pumpand treatment system is designed toprevent contamination of thegroundwater and surface water at theSite. In exchange for thesecommitments, the United Statescovenants not to sue CR Corporation forany and all civil liability for injunctiverelief or reimbursement of responsecosts pursuant to Section 106 or 107(a)of CERCLA with respect to the existingcontamination at the Site.DATE: The Environmental ProtectionAgency will receive written commentsrelating to this settlement until July 19,1996.ADDRESS: Comments should beaddressed to the Docket Clerk, MailCode MFA–10J, U.S. EnvironmentalProtection Agency, Region 5, 77 WestJackson Boulevard, Chicago, Illinois,60604–3590, and should refer to theIndiana Woodtreating CorporationSuperfund Site, Bloomington, Indiana.FOR FURTHER INFORMATION: A copy of thesettlement agreement and additionalbackground information relating to thesettlement are available for review andmay be obtained in person or by mailfrom Richard M. Murawski, (312) 886–6721, Assistant Regional Counsel (C–29A), 77 West Jackson Boulevard,Chicago, Illinois 60604–3590.

Authority: The ComprehensiveEnvironmental Response, Compensation, andLiability Act of 1980, as amended, 42 U.S.C.Sections 9601–9675.David A. Ullrich,Acting Regional Administrator.[FR Doc. 96–15620 Filed 6–18–96; 8:45 am]BILLING CODE 6560–50–P

EQUAL EMPLOYMENT OPPORTUNITYCOMMISSION

Agency Information CollectionActivities: Proposed Collection;Comments Request

AGENCY: Equal EmploymentOpportunity Commission.ACTION: Extension Request—No Change.

SUMMARY: In accordance with thePaperwork Reduction Act of 1995, theEqual Employment OpportunityCommission (EEOC) announces that itintends to submit to the Office ofManagement and Budget (OMB) arequest for an extension of the existingcollection as listed below.

DATES: Written comments on this noticemust be submitted on or before August19, 1996.ADDRESSES: Comments should besubmitted to Frances M. Hart, ExecutiveOfficer, Executive Secretariat, EqualEmployment Opportunity Commission,10th Floor, 1801 L Street NW.,Washington, DC 20507. As aconvenience to commentators, theExecutive Secretariat will acceptcomments transmitted by facsimile(‘‘FAX’’) machine. The telephonenumber of the FAX receiver is (202)663–4114. (This is not a toll-freenumber.) Only comments of six or fewerpages will be accepted via FAXtransmittal. This limitation is necessaryto assure access to the equipment.Receipt of FAX transmittals will not beacknowledged, except that the sendermay request confirmation of receipt bycalling the Executive Secretariat staff at(202) 663–4078 (voice) or (202) 663–4074 (TDD). (These are not toll-freetelephone number.) Copies of commentssubmitted by the public will beavailable for review at the Commission’slibrary, Room 6502, 1801 L Street NW.,Washington, DC 20507 between thehours of 9:30 a.m. and 5:00 p.m.FOR FURTHER INFORMATION CONTACT:Joachim Neckere, Director, ProgramResearch and Surveys Division, 1801 LStreet NW., Room 9222, Washington,DC 20507, (202) 663–4958 (voice) or(202) 663–7063 (TDD).


Collection Title: Equal EmploymentOpportunity Employer InformationReport EEO–1.

Form Number: Standard Form 100.Frequency of Report: Annually.Type of Respondent: Private

employers with 100 or more employeesand certain federal governmentcontractors and first-tier subcontractorswith 50 or more employees.

Standard Industrial Classification(SIC) Code: Multiple.

Description of Affected Public: IND/HHID and Farms and Businesses/INST.

Responses: 126,700.Reporting Hours: 463,700.Federal Cost: $809,000.00.Number of Forms: 1.Abstract: Section 709(c) of Title VII of

the Civil Rights Act of 1964, asamended, 42 U.S.C. 2000e–8(c), requiresemployers to make and keep recordsrelevant to a determination of whetherunlawful employment practices havebeen or are being committed and tomake reports therefrom as required bythe EEOC. Pursuant to Title 29, ChapterXIV, Subpart B, § 1602.7, employers inthe private sector with 100 or more


employees and some federal contractorswith 50 or more employees are requiredto submit EEO–1 reports annually. TheEEO–1 data collection program hasexisted since 1966. The individualreports are confidential.

EEO–1 data are used by the EEOC toinvestigate charges of employmentdiscrimination against employers inprivate industry and to provideinformation on the employment statusof minorities and women. The data areshared with the Office of FederalContract Compliance Programs(OFCCP), U.S. Department of Labor, andseveral other federal agencies. Pursuantto Section 709(d) of Title VII of the CivilRights Act of 1964, as amended, EEO–1 data are also shared with 86 State andlocal Fair Employment PracticesAgencies (FEPAs).

Burden Statement: The estimatednumber of respondents included in theannual EEO–1 survey is 45,000 privateemployers. The estimated number ofresponses per respondent is between 2and 3 EEO–1 reports. The annualnumber of responses is approximately126,700, and the total hours of annualburden is 463,700. The estimated totalannual response hours is substantiallyreduced from that reported in the mostprevious EEO–1 OMB ClearancePackage. The reduction of 64,800 annualburden hours is directly linked to theever increasing number of employerswho choose to submit computergenerated reports.

Dated: June 13, 1996.For the Commission.

Maria Borrero,Executive Director.[FR Doc. 96–15588 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M


Notice of Public InformationCollections Submitted to OMB forReview and Approval

May 6, 1996.

SUMMARY: The Federal Communications,as part of its continuing effort to reducepaperwork burden invites the generalpublic and other Federal agencies totake this opportunity to comment on thefollowing proposed and/or continuinginformation collections, as required bythe Paperwork Reduction Act of 1995,Public Law 104–13. An agency may notconduct or sponsor a collection ofinformation unless it displays acurrently valid control number. Noperson shall be subject to any penalty

for failing to comply with a collectionof information subject to the PaperworkReduction Act (PRA) that does notdisplay a valid control number.Comments are requested concerning (a)whether the proposed collection ofinformation is necessary for the properperformance of the functions of theCommission, including whether theinformation shall have practical utility;(b) the accuracy of the Commissionsburden estimates; (c) ways to enhancethe quality, utility, and clarity of theinformation collected and (d) ways tominimize the burden of the collection ofinformation on the respondents,including the use of automatedcollection techniques or other forms ofinformation technology.

DATES: Written comments should besubmitted on or before [insert date 30days after date of publication in theFederal Register]. If you anticipate thatyou will be submitting comments, butfind it difficult to do so within theperiod of time allowed by this notice,you should advise the contact listedbelow as soon as possible.ADDRESS: Direct all comments toDorothy Conway, FederalCommunications, Room 234, 1919 MSt., NW., Washington, DC 20554 or viainternet to [email protected] andTimothy Fain, OMB Desk Officer, 10236NEOB 725 17th Street, NW.,Washington, DC 20503 [email protected] FURTHER INFORMATION CONTACT: Foradditional information or copies of theinformation collections contact DorothyConway at 202–418–0217 or via internetat [email protected] INFORMATION:OMB Approval Number: New

Collection.Title: Alternative Broadcast

Inspection Program.Form Number: N/A.Type of Review: New Collection.Respondents: Businesses or other for-

profit; Not-for-profit institutions.Number of Respondents: 50

respodents performing 50 inspectionsper year. The total annual responses is2,500.

Estimated Time Per Response: 6minutes per inspection.

Total Annual Burden: 250 hours.Estimated Costs Per Response:

Estimated to be $.50 per notification formailing.

Needs and Uses: The Commission isestablishing a voluntary ABIP whereentities that conduct the ABIPinspection (usually state broadcastassociations) will notify theCommission of the stations that have

passed inspection. This informationcollection will require entities to file astatement with their local FCC fieldoffice, by regular or electronic mail, thata given station within the field office’sgeographic district has passed an ABIPinspection. The Commission will usethe information to determine whichstations are exempted for a two or threeyear period from random inspectionsconducted by the local FCC field office.OMB Number: 3060-0214.

Title: Section 73.3526 Local PublicInspection File of Commercial Stations.

Form Number: None.Type of Review: Extension.Respondents: Business or other for-

profit.Number of Respondents: 10,215

commecial radio licenseesrecordkeepers; 1,181 commercial TVlicensees recordkeepers; 1,181commercial TV stations making must-carry/retransmission consent elections.

Estimated time per response: 104hours per year for radio recordkeeping;130 hours per year for TVrecordkeeping; 5 hours per electionstatement to 1 hour for 50 cable systemsper TV market.

Total annual burden hours: 2,101,640hours.

Needs and Uses: Section 73.3526requires that each licensee/permittee ofa commercial broadcast station maintaina file for public inspection. The contentsof the file vary according to type ofservice and status. The contentsinclude, but are not limited to, copies ofcertain applications tendered for filing,a statement concerning petitions to denyfiled against such applications, copies ofownership reports and annualemployment reports, statementscertifying compliance with filingannouncements in connection withrenewal applications, letters receivedfrom members of the public, etc. Thedata are used by the public and FCC toevaluate information about thebroadcast licensee’s performance, toensure that broadcast stations areaddressing issues concerning thecommunity to which it is licensed toserve and to ensure that radio stationsentering into time brokerage agreementscomply with Commission policiespertaining to licensee control and to theCommunications Act and the antitrustlaws. Broadcasters are required to sendeach cable operator in the station’smarket a copy of the election statementapplicable to that particular cableoperator. Placing these retransmissionconsent/must-carry elections in thepublic file provide public access todocumentation of station’s electionswhich are used by cable operators in


negotiations with television stations andby the public to ascertain why somestations are/are not carried by the cablesystems.OMB Number: 3060-0543.

Title: Section 21.913 Signal boosterstations.

Form Number: None.Type of Review: Revision of an

existing collection.Respondents: Business or other for-

profit.Number of Respondents: 600.Estimated time per response: 2.5

hours per certification. This includes0.5 hours for the licensee to convey itsdesire to install a low power boosterstation and 2 hours for a consultingengineer to prepare the certification.

Total annual burden: 300.Annual Cost Per Respondent: $250

per certification. This estimates is thecost for the licensee consulting anengineer to prepare the certification.

Needs and Uses: On 6/9/93, OMBapproved the Amendment of Parts 1, 2and 21 of the Commission’s RulesGoverning Use of the Frequencies in the2.1 amd 2.5 GHz Bands. That approvalcontained various rule parts containedin Parts 21 and 74 of the Commission’sRules. Since that time, all rule sectionsincorporated into that approval havebeen reapproved under different OMBcontrol numbers expect Section 21.913.Section 21.913(g) permits an MDS orITFS licensee to install and commenceoperation of low power signal boosterstations without a formal application.Licensees seeking to install a low powersignal booster station must, however,submit a certification demonstratingcompliance with the variouscomponents of Sections 21.913(g). Thiscertification must be submitted within48 hours of installation of the boosterstation. The data are used by FCC staffto verify that the licensee has compliedwith guidelines to use the certificationprocess and that the booster would notcause objectionable interference.Federal Communications Commission.William F. Caton,Acting Secretary.[FR Doc. 96–15474 Filed 6–18–96; 8:45 am]BILLING CODE 6712–01–F

Public Information CollectionsApproved by Office of Managementand Budget

June 12, 1996.The Federal Communications

Commission (FCC) has received Officeof Management and Budget (OMB)approval for the following publicinformation collections pursuant to the

Paperwork Reduction Act of 1995, Pub.L. 104–13. An agency may not conductor sponsor and a person is not requiredto respond to a collection of informationunless it displays a currently validcontrol number. For further informationcontact Shoko B. Hair, FederalCommunications Commission, (202)418–1379.

Federal Communications CommissionOMB Control No.: 3060–0536.

Expiration Date: 06/30/99.Title: Rules and Requirements for

Telecommunications Relay Services(TRS) Interstate Cost Recovery.

Form No.: FCC Form 431.Estimated Annual Burden: 15,593

total annual hours; 3.1 hours perrespondent (avg.); 5000 respondents.

Estimated Annual Reporting andRecordkeeping Cost Burden: $0.

Description: Title IV of the Americanswith Disabilities Act, Pub. L. No. 101–336, Section 401, 104 Stat. 327, 366–69requires the Federal CommunicationsCommission (Commission) to ensurethat telecommunications relay servicesare available to persons with hearingand speech disabilities in the UnitedStates. Among other things, theCommission is required by 47 U.S.C.Section 225(d)(3) to enact and oversee ashared-funding mechanism (TRS Fund)for recovering the costs of providinginterstate TRS. The Commission’s rulesrequire all carriers providing interstatetelecommunications services tocontribute to the TRS Fund on anannual basis. Contributions are theproduct of the carrier’s gross interstaterevenues for the previous year and acontribution factor determined annuallyby the Commission. The collectedcontributions are used to compensateTRS providers for the costs of providinginterstate TRS service. FCC Form 431 isthe form which carriers use to calculateand file their annual TRS Fundcontributions. FCC Form 431 is beingupdated to include the new expirationdate.OMB Control No.: 3060–0392.

Expiration Date: 05/31/99.Title: Pole Attachment Complaint

Procedures (Sections 1.1401–1.1415).Estimated Annual Burden: 42 total

annual hours; 3 hours per respondent(avg.); 14 respondents.

Estimated Annual Reporting andRecordkeeping Cost Burden: $0.

Description: Congress mandatedpursuant to 47 U.S.C. Section 224 thatthe FCC ensures that the rates, termsand conditions under which cabletelevision operators attach theirhardware to utility poles are just andreasonable. Section 224 also mandatesestablishment of an appropriate

mechanism to hear and resolvecomplaints concerning the rates, termsand conditions for pole attachments.Section 1.1401–1.1415 contained inSubpart J of part 1 were promulgated toimplement Section 224. See 47 CFRSections 1.1401–1.1415. Theinformation is submitted primarily bycable television operators in regards tocomplaints concerning the rates, termsand conditions for pole attachments.The information will be used to eitherdetermine the merits of the complaintincluding calculating the maximum rateunder the Commission’s formula. Therespondents affected are cable televisionoperators and utility companies.

Federal Communications Commission.

William F. Caton,

Acting Secretary.

[FR Doc. 96–15473 Filed 6–18–96; 8:45 am]

BILLING CODE 6712–01–F

FEDERAL EMERGENCYMANAGEMENT AGENCY

Agency Information CollectionActivities: Submission for OMBReview; Comment Request

ACTION: Notice and request forcomments.

SUMMARY: The Federal EmergencyManagement Agency (FEMA) issubmitting a request for review andapproval of an information collection inaccordance with the emergencyprocessing procedures under OMBregulation 5 CFR 1320.13. FEMA isrequesting this information collection beapproved for use through September1996. OMB clearance and approval isrequested by June 14, 1996.

SUPPLEMENTARY INFORMATION: TheNational Flood Insurance Reform Act of1994 (NFIRA), signed into law by thePresident in September 1994,established the Flood InsuranceInteragency Task Force to carry outcertain specific duties. One major dutyis to determine the reasonableness offees charged pursuant to section 102(h)of the Flood Disaster Protection Act of1973, for costs of determining whetherthe property securing a loan is locatedin an area having special flood hazards;and whether the fees charged pursuantto such section by lenders and servicersare greater than the amounts paid bysuch lenders and servicers to personsactually conducting suchdeterminations, and the extent to whichthe fees exceed such amounts.


Collection of Information

Title. Flood Zone Determination FeeSurvey.

Type of Review. New collection.Abstract. The Flood Zone

Determination Fee Survey will be usedto obtain information from flood zonedetermination companies on feescharged for flood hazard determinationsfor properties located in special floodhazard areas. The information will beused to determine whether the feescharged are reasonable.

Data collected from the flood zonedetermination companies will bereviewed, evaluated, and a report willbe submitted to Congress in October1996 indicating findings andrecommendations.

Affected Public. Business or other forprofit.

Number of Respondents. 100.Estimated Total Annual Burden

Hours. 25.

Estimated Time Per Response. 15minutes.

Frequency: One-time.Estimated Cost to Respondents: $6.00

per respondent.COMMENTS: Written comments aresolicited to (a) evaluate whether theproposed data collection is necessary forthe proper performance of the agency,including whether the information shallhave practical utility; (b) evaluate theaccuracy of the agency’s estimate of theburden of the proposed collection ofinformation, including the validity ofthe methodology and assumptions used;(c) enhance the quality, utility, andclarity of the information to becollected; and (d) minimize the burdenof the collection of information on thosewho are to respond, including throughthe use of appropriate automated,electronic, mechanical, or othertechnological collection techniques orother forms of information technology,

e.g., permitting electronic submission ofresponses.

ADDRESSEE: Direct written comments toVictoria Wassmer, FEMA Desk Officer,Office of Information and RegulatoryAffairs, Office of Management andBudget, Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Foradditional information contact Muriel B.Anderson, FEMA InformationCollections Officer, Federal EmergencyManagement Agency, 500 C Street, SW,Washington, DC 20472. Telephonenumber (202) 646–2625. FAX number(202) 646–3524. A copy of the proposedsurvey is attached.

Dated: June 6, 1996.Reginald Trujillo,Director, Program Services Division,Operations Support Directorate.

Attachment

BILLING CODE 6718–01–P


[FR Doc. 96–15408 Filed 6–18–96; 8:45 am]BILLING CODE 6718–01–C



ACTION: Notice and request forcomments.

SUMMARY: The Federal EmergencyManagement Agency has submitted thefollowing proposed collection ofinformation to the Office ofManagement and Budget for review andclearance in accordance with therequirements of the PaperworkReduction Act of 1995 (44 U.S.C. 3507).

Title: Notice of Interest/Private Non-Profit Checklist.

Type of Information Collection:Extension.

OMB Number: 3067–0033.Form Number: FEMA Form 90–49.Abstract: Section 406 of the Robert T.

Stafford Disaster Relief and EmergencyAssistance Act authorizes the Presidentto make contributions to State and localgovernments and private non-profitorganizations (PNP’s) for repair,restoration, reconstruction, orreplacement of a public or private non-profit facility damaged or destroyed bya major disaster and for associatedexpenses incurred by the applicant.FEMA regulation 44 CFR section202.202(c) requires applicants applyingfor Federal disaster assistance to submit

a completed Notice of Interest inApplying for Federal DisasterAssistance, FEMA Form 90–49.Applicants use the form to list damagesto property and facilities so thatinspections may be appropriatelyassigned for formal surveys. The form issigned by the applicant and submittedto the Governor’s AuthorizedRepresentative. The Private Non-ProfitChecklist documents the applicant’sprivate non-profit eligibility status andfacilitates the processing of theapplicant’s application for assistance.

Affected Public: State, local or tribalgovernments.

Burden Estimates Per Response:

FEMA Form 90–49 No. of re-spondents

Hours perresponse

Total annualburdenhours

Notice of Interest ...................................................................................................................................... 3,000 30 minutes 1,500Private Non-Profit Checklist ..................................................................................................................... 1,000 15 minutes 250

Estimated Total Annual BurdenHours: 1,750.COMMENTS: Interested persons areinvited to submit written comments onthe proposed information collection toVictoria Wassmer, Desk Officer for theFederal Emergency ManagementAgency, Office of Information andRegulatory Affairs, Office ofManagement and Budget, Washington,DC 20503 within 30 days of the date ofthis notice.FOR FURTHER INFORMATION CONTACT:Requests for additional information orcopies of the information collectionshould be made to Muriel B. Anderson,FEMA Information Collections Officer,Federal Emergency ManagementAgency, 500 C Street, SW, Rm. 311,Washington, DC 20472. Telephonenumber (202) 646–2625, FAX number(202) 646–3524.

Dated: May 29, 1996.Reginald Trujillo,Director, Program Services Division,Operations Support Directorate.[FR Doc. 96–15409 Filed 6–18–96; 8:45 am]BILLING CODE 6718–01–P

FEDERAL RESERVE SYSTEM

Change in Bank Control Notices;Acquisitions of Shares of Banks orBank Holding Companies

The notificants listed below haveapplied under the Change in BankControl Act (12 U.S.C. 1817(j)) and §225.41 of the Board’s Regulation Y (12CFR 225.41) to acquire a bank or bankholding company. The factors that are

considered in acting on the notices areset forth in paragraph 7 of the Act (12U.S.C. 1817(j)(7)).

The notices are available forimmediate inspection at the FederalReserve Bank indicated. Once thenotices have been accepted forprocessing, they will also be availablefor inspection at the offices of the Boardof Governors. Interested persons mayexpress their views in writing to theReserve Bank indicated for that noticeor to the offices of the Board ofGovernors. Comments must be receivednot later than July 3, 1996.

A. Federal Reserve Bank of KansasCity (John E. Yorke, Senior VicePresident) 925 Grand Avenue, KansasCity, Missouri 64198:

1. J.B. and Marjorie Burnham,Fairport, Missouri; to acquire anadditional 1.79 percent, for a total of10.68 percent, of the voting shares ofFairport Bancshares, Inc., Fairport,Missouri, and thereby indirectly acquireBank of Fairport, Fairport, Missouri.

B. Federal Reserve Bank of SanFrancisco (Kenneth R. Binning,Director, Bank Holding Company) 101Market Street, San Francisco, California94105:

1. Miles Jeffrey and Paige Qvale, SanFrancisco, California; to acquire anadditional 10.97 percent, for a total of36.03 percent, and Bruce Hummond andKathryn Qvale, San Francisco,California, to acquire an additional10.98 percent, for a total of 33.85percent, of the voting shares of MarinNational Bancorp, San Rafael,California, and thereby indirectly

acquire First National Bank of Marin,San Rafael, California.

Board of Governors of the Federal ReserveSystem, June 13, 1996.Jennifer J. Johnson,

Deputy Secretary of the Board.

[FR Doc. 96–15521 Filed 6–18–96; 8:45 am]

BILLING CODE 6210–01–F

Formations of, Acquisitions by, andMergers of Bank Holding Companies

The companies listed in this noticehave applied to the Board for approval,pursuant to the Bank Holding CompanyAct of 1956 (12 U.S.C. 1841 et seq.)(BHC Act), Regulation Y (12 CFR part225), and all other applicable statutesand regulations to become a bankholding company and/or to acquire theassets or the ownership of, control of, orthe power to vote shares of a bank orbank holding company and all of thebanks and nonbanking companiesowned by the bank holding company,including the companies listed below.

The applications listed below, as wellas other related filings required by theBoard, are available for immediateinspection at the Federal Reserve Bankindicated. Once the application hasbeen accepted for processing, it will alsobe available for inspection at the officesof the Board of Governors. Interestedpersons may express their views inwriting on the standards enumerated inthe BHC Act (12 U.S.C. 1842(c)). If theproposal also involves the acquisition ofa nonbanking company, the review alsoincludes whether the acquisition of the


nonbanking company complies with thestandards in section 4 of the BHC Act,including whether the acquisition of thenonbanking company can ‘‘reasonablybe expected to produce benefits to thepublic, such as greater convenience,increased competition, or gains inefficiency, that outweigh possibleadverse effects, such as undueconcentration of resources, decreased orunfair competition, conflicts ofinterests, or unsound banking practices’’(12 U.S.C. 1843). Any request fora hearing must be accompanied by astatement of the reasons a writtenpresentation would not suffice in lieu ofa hearing, identifying specifically anyquestions of fact that are in dispute,summarizing the evidence that wouldbe presented at a hearing, and indicatinghow the party commenting would beaggrieved by approval of the proposal.Unless otherwise noted, nonbankingactivities will be conducted throughoutthe United States.

Unless otherwise noted, commentsregarding each of these applicationsmust be received at the Reserve Bankindicated or the offices of the Board ofGovernors not later than July 12, 1996.

A. Federal Reserve Bank of Atlanta(Zane R. Kelley, Vice President) 104Marietta Street, N.W., Atlanta, Georgia30303:

1. Meriwether Bank Shares, Inc.,Greenville, Georgia; to become a bankholding company by acquiring 100percent of the voting shares of TheGreenville Banking Company,Greenville, Georgia.

2. Mid State Banks, Inc., Cordele,Georgia; to acquire 100 percent of thevoting shares of The First State Bank ofOcilla, Ocilla, Georgia.

B. Federal Reserve Bank of KansasCity (John E. Yorke, Senior VicePresident) 925 Grand Avenue, KansasCity, Missouri 64198:

1. CB Holding Company,, Edmond,Oklahoma; to become a bank holdingcompany by acquiring 95.8 percent ofthe voting shares of P.N.B. FinancialCorporation, Kingfisher, Oklahoma, andthereby indirectly acquire PeoplesNational Bank of Kingfisher, Kingfisher,Oklahoma, and First Bank of Hennessey,Hennessey, Oklahoma.

In addition, Applicant also willacquire 75 percent of the voting sharesof City National Bancshares ofWeatherford, Inc., Weatherford,Oklahoma, and thereby indirectlyacquire City Bank, Weatherford,Oklahoma.

C. Federal Reserve Bank of Dallas(Genie D. Short, Vice President) 2200North Pearl Street, Dallas, Texas 75201-2272:

1. Ouachita Bancshares Corp.,Monroe, Louisiana; to become a bankholding company by acquiring 100percent of the voting shares of OuachitaIndependent Bank, Monroe, Louisiana, ade novo bank.

Board of Governors of the Federal ReserveSystem, June 13, 1996.Jennifer J. Johnson,Deputy Secretary of the Board.[FR Doc. 96–15522 Filed 6–18–96; 8:45 am]BILLING CODE 6210–01–F

Notice of Proposals to Engage inPermissible Nonbanking Activities orto Acquire Companies that areEngaged in Permissible NonbankingActivities

The companies listed in this noticehave given notice under section 4 of theBank Holding Company Act (12 U.S.C.1843) (BHC Act) and RegulationY, (12 CFR part 225) to engage de novo,or to acquire or control voting securitiesor assets of a company that engageseither directly or through a subsidiary orother company, in a nonbanking activitythat is listed in § 225.25 of RegulationY (12 CFR 225.25) or that the Board hasdetermined by Order to be closelyrelated to banking and permissible forbank holding companies. Unlessotherwise noted, these activities will beconducted throughout the United States.

Each notice is available for inspectionat the Federal Reserve Bank indicated.Once the notice has been accepted forprocessing, it will also be available forinspection at the offices of the Board ofGovernors. Interested persons mayexpress their views in writing on thequestion whether the proposal complieswith the standards of section 4 of theBHC Act, including whetherconsummation of the proposal can‘‘reasonably be expected to producebenefits to the public, such as greaterconvenience, increased competition, orgains in efficiency, that outweighpossible adverse effects, such as undueconcentration of resources, decreased orunfair competition, conflicts ofinterests, or unsound banking practices’’(12 U.S.C. 1843). Any request for ahearing on this question must beaccompanied by a statement of thereasons a written presentation wouldnot suffice in lieu of a hearing,identifying specifically any questions offact that are in dispute, summarizing theevidence that would be presented at ahearing, and indicating how the partycommenting would be aggrieved byapproval of the proposal.

Unless otherwise noted, commentsregarding the applications must bereceived at the Reserve Bank indicated

or the offices of the Board of Governorsnot later than July 3, 1996.

A. Federal Reserve Bank of NewYork (Christopher J. McCurdy, SeniorVice President) 33 Liberty Street, NewYork, New York 10045:

1. Bankers Trust New YorkCorporation, New York, New York; toacquire Wolfensohn & Co., Inc., NewYork, New York, and thereby indirectlyacquire Fuji-Wolfensohn International,New York, New York, and therebyengage in providing financial advisoryservices to domestic and foreignindustrial corporations and financialinstitutions, pursuant to § 225.25(b)(4)of the Board’s Regulation Y. Thegeographic scope of this activity isworldwide.

B. Federal Reserve Bank ofRichmond (Lloyd W. Bostian, Jr., SeniorVice President) 701 East Byrd Street,Richmond, Virginia 23261:

1. Southern National Corporation,Winston-Salem, North Carolina; toacquire Regional AcceptanceCorporation, Greenville, North Carolina,and thereby engage in financingconsumer purchases of late-model usedautomobiles and other used motorvehicles and making direct loans tocustomers who typically have limitedaccess to credit, and in offeringinsurance products to customers inconnection with its financingoperations, pursuant to §§225.25(b)(1)(i), (b)(8)(i), and (b)(8)(ii) ofthe Board’s Regulation Y.

C. Federal Reserve Bank of Chicago(James A. Bluemle, Vice President) 230South LaSalle Street, Chicago, Illinois60690:

1. Libertyville Bancorp, Inc., LakeForest, Illinois, to engage de novo inmaking and servicing loans, pursuant to§ 225.25(b)(1) of the Board’s RegulationY.

Board of Governors of the Federal ReserveSystem, June 13, 1996.Jennifer J. Johnson,Deputy Secretary of the Board.[FR Doc. 96–15520 Filed 6–18–96; 8:45 am]BILLING CODE 6210–01–F

Sunshine Meeting Act

AGENCY HOLDING THE MEETING: Board ofGovernors of the Federal ReserveSystem.

TIME AND DATE: 11:00 a.m., Monday, June24, 1996.

PLACE: Marriner S. Eccles FederalReserve Board Building, C Streetentrance between 20th and 21st Streets,N.W., Washington, D.C. 20551.


1 Copies of the Modifying Order are availablefrom the Commission’s Public Reference Branch,H–130, 6th Street and Pennsylvania Avenue, N.W.,Washington, D.C. 20580.

1 Copies of the Complaint and the Decision andOrder are available from the Commission’s PublicReference Branch, H–130, 6th Street & PennsylvaniaAvenue, N.W., Washington, D.C. 20580.

1 Copies of the Consent Order, Set Aside Orderand Commissioner Starek’s statement are availablefrom the Commission’s Public Reference Branch,H–130, 6th Street and Pennsylvania Avenue, N.W.,Washington, D.C. 20580.

STATUS: Closed.MATTERS TO BE CONSIDERED:

1. Federal Reserve Bank and Branchdirector appointments.

2. Personnel actions (appointments,promotions, assignments, reassignments, andsalary actions) involving individual FederalReserve System employees.

3. Any items carried forward from apreviously announced meeting.

CONTACT PERSON FOR MORE INFORMATION:Mr. Joseph R. Coyne, Assistant to theBoard; (202) 452–3204. You may call(202) 452–3207, beginning atapproximately 5 p.m. two business daysbefore this meeting, for a recordedannouncement of bank and bankholding company applicationsscheduled for the meeting.

Dated: June 14, 1996.Jennifer J. Johnson,Deputy Secretary of the Board.[FR Doc. 96–15715 Filed 6–17–96; 8:45 am]BILLING CODE 6210–01–P

FEDERAL TRADE COMMISSION

[Dkt. C–3238]

American Stores Company, et al.;Prohibited Trade Practices andAffirmative Corrective Actions

AGENCY: Federal Trade CommissionACTION: Modifying order

SUMMARY: This order reopens a 1988consent order that required AmericanStores to divest certain retail grocerystores in parts of California and Nevadaand to obtain Commission approvalbefore acquiring certain grocery stores.This order modifies the consent orderby deleting the prior-approvalrequirements in Paragraph VIII of theconsent order pursuant to theCommission’s Prior Approval Policy—under which the Commission presumesthat the public interest requiresreopening and setting aside the prior-approval provisions in outstandingmerger orders, making them consistentwith the policy—and by replacing thatprovision with a prior notificationprovision.DATES: Consent order issued August 31,1988. Modifying order issued December1, 1995.1FOR FURTHER INFORMATION CONTACT:Roberta Baruch, FTC/S–2115,Washington, D.C. 20580. (202) 326–2861.SUPPLEMENTARY INFORMATION: In theMatter of American Stores Company, et

al. The prohibited trade practices and/or corrective actions are changed, inpart, as indicated in the summary.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretor apply sec. 5, 38 Stat. 719, as amended; sec.7, 38 Stat. 731, as amended; 15 U.S.C. 45, 18)Donald S. Clark,Secretary.[FR Doc. 96–15483 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M

[Dkt. C–3637]

BBDO Worldwide, Inc.; ProhibitedTrade Practices, and AffirmativeCorrective Actions

AGENCY: Federal Trade Commission.ACTION: Consent Order.

SUMMARY: In settlement of allegedviolations of federal law prohibitingunfair or deceptive acts or practices andunfair methods of competition, thisconsent order prohibits, among otherthings, a New York advertising firmfrom misrepresenting the amount of fat,calories, or cholesterol in any frozenyogurt, any frozen sorbet, and most icecream products. This action stems fromthe firm’s role in developing certainadvertisements for Haagen-Dazs frozenyogurt products.DATES: Complaint and Order issuedJanuary 24, 1996.1FOR FURTHER INFORMATION CONTACT:Anne Maher, FTC/S–4002, Washington,D.C. 20580. (202) 326–2987.SUPPLEMENTARY INFORMATION: On Friday,October 27, 1995, there was publishedin the Federal Register, 60 FR 55031, aproposed consent agreement withanalysis In the Matter of BBDOWorldwide, Inc., for the purpose ofsoliciting public comment. Interestedparties were given sixty (60) days inwhich to submit comments, suggestionsor objections regarding the proposedform of the order.

No comments having been received,the Commission has ordered theissuance of the complaint in the formcontemplated by the agreement, madeits jurisdictional findings and enteredan order to cease and desist, as set forthin the proposed consent agreement, indisposition of this proceeding.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretsor applies sec. 5, 38 Stat. 719, as amended;15 U.S.C. 45, 52)Donald S. Clark,Secretary.[FR Doc. 96–15484 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M

[Dkt. C–2967]

California Medical Association;Prohibited Trade Practices andAffirmative Corrective Actions

AGENCY: Federal Trade Commission.ACTION: Set Aside Order.

SUMMARY: This order reopens a 1979consent order, which prohibited themedical association from participatingin the creation or dissemination of feeschedules relating to physiciancompensation, and sets aside theconsent order pursuant to theCommission’s determination that thepublic interest requires reopening andsetting aside the order because the orderpresents an obstacle to the respondentforming and operating a managed caresubsidiary.DATES: Consent order issued April 17,1979. Set aside order issued October 27,1995.1FOR FURTHER INFORMATION CONTACT:Roberta Baruch, FTC/S–2115,Washington, D.C. 20580. (202) 326–2861.SUPPLEMENTARY INFORMATION: In theMatter of California MedicalAssociation. The prohibited tradepractices and/or corrective actions areremoved as indicated.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretsor applies sec. 5, 38 Stat. 719, as amended;15 U.S.C. 45)Donald S. Clark,Secretary.[FR Doc. 96–15485 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M

[Docket No. C–3594]

Eli Lilly and Company, Inc.,; ProhibitedTrade Practices, and AffirmativeCorrective Actions

AGENCY: Federal Trade Commission.ACTION: Consent order.

SUMMARY: In settlement of allegedviolations of federal law prohibitingunfair or deceptive acts or practices andunfair methods of competition, thisconsent order requires, among otherthings, and Indiana producer ofpharmaceutical products to: ensure thatthe acquired company, PCS HealthSystems (PCS), maintains an openformulary; appoint an independentPharmacy and Therapeutics (P&T)Committee of health care professionalsto objectively evaluate drugs for


1 Copies of the Complaint, the Decision andOrder, and statements from the Commission andCommissioner Azcuenaga are available from theCommission’s Public Reference Branch, H–130, 6thStreet & Pennsylvania Avenue, N.W., Washington,D.C. 20580.

1 Copies of the Consent Order and Set AsideOrder are available from the Commission’s PublicReference Branch, H–130, 6th Street andPennsylvania Avenue, N.W., Washington, D.C.20580.

1 Copies of the Complaint and Decision and Orderare available from the Commission’s PublicReference Branch, H–130, 6th Street & PennsylvaniaAvenue, N.W., Washington, D.C. 20580.

inclusion in the PCS open formulary;and, ensure that PCS accepts alldiscounts, rebates or other concessionsoffered by Eli Lilly’s competitors fordrugs that are accepted for listing on theopen formulary, and to accuratelyreflect such discounts in ranking thedrugs on the formulary. Pursuant to themodification of the proposed consentagreement, Eli Lilly would only need toobtain prior approval for an exclusivedistribution agreement with McKessonCorporation. In addition, the consentorder prohibits PCS and Eli Lilly fromsharing proprietary or other non-publicinformation, such as price data,obtained from Eli Lilly competitorswhose drugs may be placed on a PCSformulary.DATES: Complaint and Order issued July28, 1995.1FOR FURTHER INFORMATION CONTACT:Michael McNeely, FTC/S–3231,Washington, D.C. 20580 (202) 326–2904.SUPPLEMENTARY INFORMATION: OnMonday, November 28, 1994, there waspublished in the Federal Register, 59 FR60815, a proposed consent agreementwith analysis In the Matter of Eli Lillyand Company, Inc., for the purpose ofsoliciting public comment. Interestedparties were given sixty (60) days inwhich to submit comments, suggestionsor objections regarding the proposedform of the order.

Comments were filed and consideredby the Commission. The Commissionhas ordered the issuance of thecomplaint in the form contemplated bythe agreement, made its jurisdictionalfindings and entered an order to ceaseand desist, as modified, in dispositionof this proceeding.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretor apply sec. 5, 38 Stat. 719, as amended; sec.7, 38 Stat. 731, as amended; 15 U.S.C. 45, 18)Donald S. Clark,Secretary.[FR Doc. 96–15486 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M

[Docket No. 4433]

Food Service Equipment Industry Inc.,et al.; Prohibited Trade Practices andAffirmative Corrective Actions

AGENCY: Federal Trade Commission.ACTION: Set aside order.

SUMMARY: This order reopens a 1941consent order—which prohibited the

Food Service from selling certainequipment through anyone other thanrecognized dealers, and from sellingequipment directly to buyers—and setsaside the consent order, as torespondent Food Service EquipmentDistributors Association, pursuant to theCommission’s Sunset Policy Statement,under which the Commission presumesthat the public interest requiresterminating competition orders that aremore than 20 years old.DATES: Consent order issued October 15,1941. Set aside order issued September21, 1995.1FOR FURTHER INFORMATION CONTACT:Roberta Baruch, FTC/S–2115,Washington, D.C. 20580. (202) 326–2861.SUPPLEMENTARY INFORMATION: In theMatter of Food Service EquipmentIndustry Inc., et al. The prohibited tradepractices and/or corrective actions areremoved as indicated.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretsor applies sec. 5, 38 Stat. 719, as amended;15 U.S.C. 45)Donald S. Clark,Secretary.[FR Doc. 96–15487 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M


Genetus Alexandria, Inc., et al.;Prohibited Trade Practices, andAffirmative Corrective Actions


SUMMARY: In settlement of allegedviolations of federal law prohibitingunfair or deceptive acts or practices andunfair methods of competition, thisconsent order prohibits, among otherthings, the Virginia-based corporationsand their officers from misrepresentingthe nature of extent of a physician’sparticipation in any treatmentprocedure, the safety or efficacy of anytreatment procedure, and the extent towhich a treatment is covered by apatient’s medical insurance. Theconsent order requires the respondentsto pay $250,000 in consumer redress tothe Commission.DATES: Complaint and Order issuedFebruary 12, 1996.1

FOR FURTHER INFORMATION CONTACT:Sondra Mills or Eric Bash, FTC/H–200,Washington, D.C. 20580. (202) 326–2673or 326–2892.SUPPLEMENTARY INFORMATION: OnTuesday, September 26, 1995, there waspublished in the Federal Register, 60 FR49605, a proposed consent agreementwith analysis In the Matter of GenetusAlexandria, Inc., et al., for the purposeof soliciting public comment. Interestedparties were given sixty (60) days inwhich to submit comments, suggestionsor objections regarding the proposedform of the order.

Comments were filed and consideredby the Commission. The Commissionhas ordered the issuance of thecomplaint in the form contemplated bythe agreement, made its jurisdictionalfindings and entered an order to ceaseand desist, as set forth in the proposedconsent agreement, in disposition of thisproceeding.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretsor applies sec. 5, 38 Stat. 719, as amended;15 U.S.C. 45, 52)Donald S. Clark,Secretary.[FR Doc. 96–15488 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M

[Docket No. 5698]

Harley-Davidson Motor Co.; ProhibitedTrade Practices and AffirmativeCorrective Actions


SUMMARY: The Federal TradeCommission has set aside a 1954consent order with Harley-DavidsonMotor Co. pursuant to the Commission’sSunset Policy, under which theCommission presumes, in the context ofpetitions to reopen and modify orders,that the public interest requiresterminating orders that have been ineffect for more than 20 years.DATES: Consent order issued June 29,1954. Set aside order issued July 11,1995.FOR FURTHER INFORMATION CONTACT:Daniel Ducore, FTC/S–2115,Washington, DC 20580. (202) 326–2526.SUPPLEMENTARY INFORMATION: In theMatter of Harley-Davidson Motor Co.The prohibited trade practices and/orcorrective actions are removed asindicated.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretor apply sec. 3, 38 Stat. 731; 15 U.S.C. 14)

In the matter of: Harley-Davidson MotorCo., a corporation; Docket No. 5698


1 To accommodate numerous requests to provideadditional time to prepare and submit writtencomments concerning Harley-Davidson’s Petition,the Commission extended the initial publiccomment period in this matter by thirty days.

2 Sunset Policy Statement, (59 FR 45289).


1 Copies of the Complaint, the Decision andOrder, and Commissioner Azcuenaga’s statementare available from the Commission’s PublicReference Branch, H–130, 6th Street & PennsylvaniaAvenue, N.W., Washington, D.C. 20580.

Order Reopening Proceeding andSetting Aside Order

On February 8, 1995, Harley-DavidsonMotor Company (‘‘Harley-Davidson’’),the respondent subject to the orderissued by the Commission on June 29,1954, in Docket No. 5698, In the Matterof Harley-Davidson Co., 50 F.T.C. 1047(1954) (‘‘Order’’), filed a Petition toReopen Proceedings and Set AsideCease and Desist Order (‘‘Petition’’).Among other things, Harley-Davidsonrequests that the Commission set asidethe order in this matter pursuant toSection 2.51 of the Commission’s Rulesof Practice, 16 C.F.R. § 2.51, and theStatement of Policy With Respect toDuration of Competition Orders andStatement of Intention to Solicit PublicComment With Respect to Duration ofConsumer Protection Orders, issued onJuly 22, 1994, and published at 59 Fed.Reg. 45,286–92 (Sept. 1, 1994) (‘‘SunsetPolicy Statement’’). In the Petition,Harley-Davidson affirmatively statesthat it has not engaged in any conductviolating the terms of the order. ThePetition was placed on the publicrecord, and close to 200 comments werereceived.1

The Commission in its July 22, 1994,Sunset Policy Statement said, inrelevant part, that ‘‘effectiveimmediately, the Commission willpresume, in the context of petitions toreopen and modify existing orders, thatthe public interest requires setting asideorders in effect for more than twentyyears.’’ 2 The Commission’s order inDocket No. 5698 was issued on June 29,1954, and has been in effect for overtwenty years. Consistent with theSunset Policy Statement, thepresumption is that the order should beterminated. Nothing to overcome thepresumption having been presented, theCommission has determined to reopenthe proceeding and set aside the orderin Docket 5698.

In light of some of the commenters’belief that granting Harley-Davidson’sPetition would be commensurate withallowing it to engage in conduct thatmay violate the antitrust laws, and theirconcern that Harley-Davidson may usecertain marketing practices to engage inunlawful conduct in the event theCommission sets aside the order inDocket No. 5698, the Commission notesthat Harley-Davidson’s conduct wouldcontinue to be subject to a case-by-case,rule of reason analysis under the

antitrust laws. Harley-Davidson’sconduct would also continue be subjectto state motor vehicle dealer protectionlaws.

Accordingly, it is ordered that thismatter be, and it hereby is, reopened;

It is further ordered that theCommission’s order in Docket No. 5698be, and it hereby is, set aside, as of theeffective date of this order.

By the Commission.Donald S. Clark,Secretary.[FR Doc. 96–15489 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M


Frank A. Latronica, Jr., et al.;Prohibited Trade Practices, andAffirmative Corrective Actions


SUMMARY: In settlement of allegedviolations of federal law prohibitingunfair or deceptive acts or practices andunfair methods of competition, thisconsent order requires, among otherthings, the distributor and themanufacturer of the Duram EmergencyEscape Mask to possess competent andreliable scientific evidence tosubstantiate claims that their mask willabsorb, filter out, or otherwise protectthe user from any hazardous gas orfumes associated with fires, and forclaims that the mask is appropriate foruse in mines. In addition, the consentorder requires the respondents toprovide a disclosure statement on allpackage labels and inserts for the mask,or any substantially similar product.DATES: Complaint and Order issuedFebruary 12, 1996.1FOR FURTHER INFORMATION CONTACT:Alan E. Krause, Chicago Regional Office,Federal Trade Commission, 55 EastMonroe Street, Suite 1437, Chicago,Illinois 60603. (312) 353–4441.SUPPLEMENTARY INFORMATION: OnTuesday, June 6, 1995, there waspublished in the Federal Register, 60 FR29850, a proposed consent agreementwith analysis In the Matter of Frank A.Latronica, Jr., et al., for the purpose ofsoliciting public comment. Interestedparties were given sixty (60) days inwhich to submit comments, suggestionsor objections regarding the proposedform of the order.

Comments were filed and consideredby the Commission. The Commission

has ordered the issuance of thecomplaint in the form contemplated bythe agreement, made its jurisdictionalfindings and entered an order to ceaseand desist, as set forth in the proposedconsent agreement, in disposition of thisproceeding.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretsor applies sec. 5, 38 Stat. 719, as amended;15 U.S.C. 45)Donald S. Clark,Secretary.[FR Doc. 96–15490 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M


Local Health System, Inc., et al.;Prohibited Trade Practices, andAffirmative Corrective Actions


SUMMARY: In settlement of allegedviolations of federal law prohibitingunfair or deceptive acts or practices andunfair methods of competition, thisconsent order, among other things,prohibits the merger of the two largesthospitals in St. Clair County, Michigan,and requires the respondents, for threeyears, to notify the Commission orobtain Commission approval beforeacquiring certain hospital assets in thePort of Huron area.DATES: Complaint and Order issuedOctober 3, 1995.1

FOR FURTHER INFORMATION CONTACT:Phillip Broyles, Cleveland RegionalOffice. Federal Trade Commission, 668Euclid Ave., Suite 520–A, Cleveland,OH 44114. (216) 522–4207.SUPPLEMENTARY INFORMATION: OnThursday, August 3, 1995, there waspublished in the Federal Register, 60 FR39747, a proposed consent agreementwith analysis In the Matter of LocalHealth System, Inc., et al., for thepurpose of soliciting public comment.Interested parties were given sixty (60)days in which to submit comments,suggestions or objections regarding theproposed form of the order.

No comments having been received,the Commission has ordered theissuance of the complaint in the formcontemplated by the agreement, madeits jurisdictional findings and enteredan order to cease and desist, as set forthin the proposed consent agreement, indisposition of this proceeding.


1 Copies of the Consent Order and Set AsideOrder are available from the Commission’s PublicReference Branch, H–130, 6th Street andPennsylvania Avenue, N.W., Washington, D.C.20580.


1 Copies of the Modifying Order are availablefrom the Commission’s Public Reference Branch,H–130, 6th Street and Pennsylvania Avenue, N.W.,Washington, D.C. 20580.


(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretsor applies sec. 7, 38 Stat. 731, as amended;15 U.S.C. 18)Donald S. Clark,Secretary.[FR Doc. 96–15491 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M


Papermakers Felt Association, et al.;Prohibited Trade Practices andAffirmative Corrective Actions


SUMMARY: This order reopens a 1964consent order—which prohibitedPapermakers Felt Association and itsmembers from combining or conspiringto fix prices or terms of sale, or to enterinto specific other agreements torestrain competition in the papermakersfelt industry—and sets aside the consentorder pursuant to the Commission’sSunset Policy Statement, under whichthe Commission presumes that thepublic interest requires terminatingcompetition orders that are more than20 years old.DATES: Consent order issued September9, 1964. Set aside order issuedNovember 22, 1995.1FOR FURTHER INFORMATION CONTACT:Daniel Ducore, FTC/S–2115,Washington, D.C. 20580. (202) 326–2526.SUPPLEMENTARY INFORMATION: In theMatter of Papermakers Felt Association,et al. The prohibited trade practicesand/or corrective actions are removed asindicated.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretsor applies sec. 5, 38 Stat. 719, as amended;15 U.S.C. 45)Donald S. Clark,Secretary.[FR Doc. 96–15492 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M


Santa Clara County Motor Car DealersAssociation; Prohibited TradePractices, and Affirmative CorrectiveActions


SUMMARY: In settlement of allegedviolations of federal law prohibiting

unfair or deceptive acts or practices andunfair methods of competition, thisconsent order prohibits, among otherthings, a California association fromcarrying out, participating in, inducingor assisting any boycott or concertedrefusal to deal with any newspaper,periodical, television or radio station,and requires the association to amendits by-laws to incorporate the stipulatedprohibition, and to distribute theamended by-laws and the finalCommission order to each of itsmembers.DATES: Complaint and Order issuedDecember 13, 1995.1FOR FURTHER INFORMATION CONTACT:Ralph Stone, San Francisco RegionalOffice, Federal Trade Commission, 901Market St., Suite 570, San Francisco,CA. 94103. (415) 356–5270.SUPPLEMENTARY INFORMATION: On Friday,August 4, 1995, there was published inthe Federal Register, 60 FR 39959, aproposed consent agreement withanalysis In the Matter of Santa ClaraCounty Motor Car Dealers Association,for the purpose of soliciting publiccomment. Interested parties were givensixty (60) days in which to submitcomments, suggestions or objectionsregarding the proposed form of theorder.

No comments having been received,the Commission has ordered theissuance of the complaint in the formcontemplated by the agreement, madeits jurisdictional findings and enteredan order to cease and desist, as set forthin the proposed consent agreement, indisposition of this proceeding.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretsor applies sec. 5, 38 Stat. 719, as amended;15 U.S.C. 45)Donald S. Clark,Secretary.[FR Doc. 96–15493 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M


Supermarket DevelopmentCorporation, et. al.; Prohibited TradePractices and Affirmative CorrectiveActions

AGENCY: Federal Trade Commission.ACTION: Modifying order.

SUMMARY: This order reopens a 1988consent order that settled allegationsthat the acquisition of the El PasoDivision of Safeway Stores, Inc., bySupermarket Development Corporation

and Furr’s, Inc. would reducesupermarket competition in 12 towns inNew Mexico and western Texas, andrequired prior Commission approval, forten years, before acquiring supermarketassets. This order modifies the consentorder by substituting for the prior-approval requirement a provisionrequiring Furr’s Supermarket to notifythe Commission at least 30 days beforeacquiring certain supermarkets in thoseareas.DATES: Consent order issued March 17,1988. Modifying order issued September5, 1995.1

FOR FURTHER INFORMATION CONTACT:Elizabeth Piotrowski, FTC/S–2115,Washington, D.C. 20580. (202) 326–2623.SUPPLEMENTARY INFORMATION: In theMatter of Supermarket DevelopmentCorporation, et al. The prohibited tradepractices and/or corrective actions as setforth at 53 FR 11247, are changed, inpart, as indicated in the summary.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretor apply sec. 5, 38 Stat. 719, as amended; sec.7, 38 Stat. 731, as amended; 15 U.S.C. 45, 18)Donald S. Clark,Secretary.[FR Doc. 96–15494 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M


The Upjohn Company, et al.;Prohibited Trade Practices, andAffirmative Corrective Actions


SUMMARY: In settlement of allegedviolations of federal law prohibitingunfair or deceptive acts or practices andunfair methods of competition, thisconsent order requires, among otherthings, the respondents to divest, within12 months, Pharmacia Aktiebolag’s 9–AC assets, an inhibitor drug for thetreatment of colorectal cancer, to aCommission-approved acquirer. If thetransaction is not completed in theprescribed time, the Commission will beallowed to appoint a trustee.DATES: Complaint and Order issuedFebruary 8, 1996.2

FOR FURTHER INFORMATION CONTACT:


Ann Malester, FTC/S–2308,Washington, D.C. 20580. (202) 326–2682.

SUPPLEMENTARY INFORMATION: OnTuesday, November 7, 1995, there waspublished in the Federal Register, 60 FR56153, a proposed consent agreementwith analysis In the Matter of TheUpjohn Company, et al., for the purposeof soliciting public comment.

Interested parties were given sixty(60) days in which to submit comments,suggestions or objections regarding theproposed form of the order.

No comments having been received,the Commission has ordered theissuance of the complaint in the formcontemplated by the agreement, madeits jurisdictional findings and enteredan order to divest, as set forth in theproposed consent agreement, indisposition of this proceeding.(Sec. 6, 38 Stat. 721; 15 U.S.C. 46. Interpretor apply sec. 5, 38 Stat. 719, as amended; sec.7, 38 Stat. 731, as amended; 15 U.S.C. 45, 18)Donald S. Clark,Secretary.[FR Doc. 96–15495 Filed 6–18–96; 8:45 am]BILLING CODE 6750–01–M

GENERAL ACCOUNTING OFFICE

Federal Accounting StandardsAdvisory Board

AGENCY: General Accounting Office.

ACTION: Cancellation of meeting.

SUMMARY: Pursuant to section 10(a)(2) ofthe Federal Advisory Committee Act(Pub. L. 92–463), as amended, notice ishereby given that the FederalAccounting Standards Advisory Boardmeeting previously scheduled forThursday, June 20, 1996, is herebycancelled. The next meeting will beheld on Thursday, July 25, 1996, forwhich due notice will be given.

FOR FURTHER INFORMATION CONTACT:Ronald S. Young, Executive StaffDirector, 750 First St., N.E., Room 1001,Washington, D.C. 20002, or call (202)512–7350.

Authority: Federal Advisory CommitteeAct. Pub. L. No. 92–463, Section 10(a)(2), 86Stat. 770, 774 (1972) (current version at 5U.S.C. app. section 10(a)(2) (1988); 41 CFR101–6.1015 (1990).

Dated: June 14, 1996.Ronald S. Young,Executive Director.[FR Doc. 96–15586 Filed 6–18–96; 8:45 am]BILLING CODE 1610–01–M

DEPARTMENT OF HEALTH ANDHUMAN SERVICES

Centers for Disease Control andPrevention

[Announcement Number 663]

Applied Research in EmergingInfections—Genetics of AntimicrobialResistance and Novel Methods forDetection of Antiviral Resistance

IntroductionThe Centers for Disease Control and

Prevention (CDC) is implementing aprogram for competitive cooperativeagreement and/or research project grantapplications to support applied researchon emerging infections. CDC announcesthe availability of fiscal year (FY) 1996funds to provide assistance for a grant/cooperative agreement program toconduct research on the genetic analysisof antimicrobial resistancedeterminants.

The CDC is committed to achievingthe health promotion and diseaseprevention objectives of Healthy People2000, a national activity to reducemorbidity and mortality and improvethe quality of life. This announcementis related to the priority area ofImmunization and Infectious Diseases.(For ordering a copy of Healthy People2000, see the section WHERE TO OBTAINADDITIONAL INFORMATION.)

AuthorityThis program is authorized under

sections 301 and 317 of the PublicHealth Service Act, as amended (42U.S.C. 241 and 247b).

Smoke-Free WorkplaceThe CDC strongly encourages all grant

recipients to provide a smoke-freeworkplace and to promote the nonuse ofall tobacco products, and Public Law103–227, the Pro-Children Act of 1994,prohibits smoking in certain facilitiesthat receive Federal funds in whicheducation, library, day care, health care,and early childhood developmentservices are provided to children.

Eligible ApplicantsApplications may be submitted by

public and private, nonprofit and for-profit organizations and governmentsand their agencies. Thus, universities,colleges, research institutions, hospitals,other public and private organizations,including State and local governmentsor their bona fide agents, federallyrecognized Indian tribal governments,Indian tribes or Indian tribalorganizations, and small, minority- and/or women-owned businesses are eligibleto apply.

Availability of Funds

Approximately $250,000 is availablein FY 1996 to fund up to three awards.It is expected that the average awardwill be $125,000, ranging from $80,000to $250,000.

It is expected that the awards willbegin on or about September 30, 1996,and will be made for a 12-month budgetperiod within a project period of up totwo years. Funding estimates may varyand are subject to change. Continuationawards within an approved projectperiod will be made on the basis ofsatisfactory progress and availability offunds.

Purpose

The purpose of the emerginginfections extramural research programis to provide financial and technicalassistance for applied research projectson emerging infections in the UnitedStates. As a component of the emerginginfections extramural research program,the purpose of this grant/cooperativeagreement announcement is to provideassistance for projects addressing thefollowing two focus areas:

1. Mechanisms of Dissemination ofAntimicrobial Resistance Genes

The focus of the investigations shouldbe the examination of the role ofplasmids, transposons, and integrons inantimicrobial resistance genedissemination, the natural variation ofthe nucleotide sequences of resistancegenes, and the impact of those changeson the resistance phenotype mediatedby the genes. This should includeexamination of the role of antimicrobialuse in institutions and its effect on genedissemination. Assistance under thisfocus area will be provided for projectsspecifically addressing either of thefollowing:

a. Improving understanding of themechanisms by which vancomycinresistance genes in enterococci or genesencoding extended-spectrum β-lactamases in Klebsiella pneumoniae arespread in hospitals or other healthcareinstitutions (including nursing homesand clinics) and become part of theendemic flora of the institution.

b. Improving understanding of themechanisms by which macrolideresistance genes (such as those encodingerythromycin resistance) are acquiredand disseminated in Streptococcuspneumoniae in communities.

2. Antiviral SusceptibilityDetermination Methods: Developmentof improved methods for measuring thesusceptibility of herpes simplex virus(HSV) isolates to acyclovir. Currentmethods for measuring drug


susceptibility of HSV isolates are labor-intensive, expensive, and have not beenstandardized. These shortcomings standas impediments to surveillance foracyclovir-resistant HSV or resistance inother viral pathogens. Specifically,assistance will be provided for projectsfocusing on development of assaysbased on novel methods or approachesfor measuring the susceptibility of HSVto acyclovir. Such assays should becapable of providing results comparableto current plaque reduction and dye-uptake assays.

Applicants may submit separateapplications for projects under one orboth focus areas.

Program RequirementsRecipients may separately apply and

receive support for projects under oneor both of the two focus areas. Inconducting activities to achieve thepurpose of this program, the recipientshall be responsible for the activitiesunder A.1. or A.2. (depending uponwhich focus areas the recipient appliesand receives support for) and CDC shallbe responsible for conducting activitiesunder B., below:

A. Recipient Activities

1. Mechanisms of Dissemination ofAntimicrobial Resistance Genes

a. Select study sites: Study sites mayinclude (a) one or more hospitals orrelated health care institutions known tohave endemic or emerging problemswith antimicrobial-resistant organismsin which extensive monitoring ofantimicrobial-resistant strains has beenconducted or (b) communities withextensive active surveillance.

b. Collect isolates with correspondingepidemiologic and clinical data: Assurethat the isolates are well characterizedwith respect to phenotype, genotype,and mode of transmission from patientto patient. Collect bacterial strain typinginformation such as that derived bypulsed-field gel electrophoresis (PFGE),arbitrary primed polymerase chainreaction (PCR), restriction fragmentlength polymorphism (RFLP), plasmidfingerprinting, serotyping, or otherhighly discriminatory strain typingmethods. Obtain antibiograms expressedas minimal inhibitory concentrations(MICs) of common antibiotics. Oneexample of an appropriate approach tocollection of isolates and data would beto assemble a series of isolates ofvancomycin-resistant enterococci (VRE)from a single hospital with thecorresponding PFGE data documentingthe routes of transmission of the isolatesamong patients in the institution. Theoverall rates of infections over several

years and the diversity of strains presentin the institutions or communitieswould be determined. This wouldpresumably involve microbiologylaboratories, infection controlpractitioners (for health careinstitutions), public health officials, andepidemiologists. Additionally,collection of data regardingantimicrobial use (expressed as DefinedDaily Doses per 1000 patient-days) byarea of the institution (e.g., intensivecare unit or other inpatient ward) or incommunities would be useful.

c. Characterize the resistancedeterminants present by phenotypic andmolecular methods: Obtain MICs to anextended array of antimicrobial agentsto classify the phenotype (e.g.,teicoplanin to distinguish VanA fromVanB). Determine strain types (whenappropriate), the presence of plasmidsor other genetic elements, and thepresence of resistance genes in thestrains as identified by using DNAprobes or specific PCR, LCR, or othergenetic assays.

d. Monitor transmission and evaluatedata: Characterize the resistance genespresent in the isolates, the modes ofgenetic exchange of the resistancedeterminants among isolates in theinstitutions or communities, anddetermine whether changes in the DNAor amino acid sequences of the genes areassociated with broadening of thephenotype of the isolates carrying thegenes. Consider the influence ofantimicrobial use on frequency andmode of gene transmission and onchanges in the phenotype of the isolates.Depending on the studies conducted,questions that could be addressedinclude: (1) Is an initial period ofplasmid transfer among organismsfollowed by dissemination of atransposable element to multipleplasmids in strains of enterococciresulting in the vancomycin resistancephenotype being present in multiplestrains of enterococci (as evidenced bywidely divergent pulsed-field gelelectrophoresis types)? (2) Do changesin the sequence of vanB correlate withincreased resistance to teicoplanin? (3)Do the mode of transfer and thephenotype vary by antimicrobial usepatterns in the institution or in certainwards of the institution?

e. Disseminate research findings:Disseminate research results byappropriate methods such aspublication in journals, presentation atmeetings and conferences, etc.

2. Antiviral SusceptibilityDetermination Methods

a. Study isolates: Identify a source ofHSV isolates for study. Ideally, this

should include isolates from freshclinical specimens that can be tested inparallel with the plaque reduction ordye uptake methods and for whichacyclovir resistance has previously beendocumented.

b. Devise a novel assay fordetermining the level of acyclovirsusceptibility of clinical HSV isolates:Establish a quality control system toinsure the reproducibility of the assay.A quality control strain of HSV shouldbe designated as part of the testingmethod and data showing itseffectiveness should be established. Auseful novel assay should be at leastequivalent in performance and (ideally)substantially less expensive thancurrent assays. The new method shouldbe adaptable to a high-throughput, semi-automated format. Establish criteria fordesignating HSV isolates as‘‘susceptible’’ or ‘‘resistant’’ toacyclovir.

c. Evaluate the performance of thenew assay in comparison with theplaque reduction assay. To be useful forsurveillance of resistance, any newassay should be substantially equivalentto those in current use (Am. J. Med.73:380–382,1982).

B. CDC Activities

1. Research Project Grants

A research project grant is one inwhich substantial programmaticinvolvement by CDC is not anticipatedby the recipient during the projectperiod. Applicants for grants mustdemonstrate an ability to conduct theproposed research with minimalassistance, other than financial support,from CDC. This would includepossessing sufficient resources forclinical, laboratory, and datamanagement services and a level ofscientific expertise to achieve theobjectives described in their researchproposal without substantial technicalassistance from CDC.

2. Cooperative Agreements

In a cooperative agreement, CDC willassist recipients in conducting theproposed research. The applicationshould be presented in a manner thatdemonstrates the applicant’s ability toaddress the research problem in acollaborative manner with CDC. Inaddition to the financial supportprovided, CDC will collaborate by (1)providing technical assistance in thedesign and conduct of the research; (2)performing selected laboratory tests asappropriate; (3) participate in datamanagement, the analysis of researchdata, and the interpretation andpresentation of research findings; and


(4) providing biological materials (e.g.,strains) as necessary for studies, etc.

C. Determination of Which Instrumentto Use

Applicants must specify the type ofaward for which they are applying,either grant or cooperative agreement.CDC will review the applications inaccordance with the Evaluation Criteria.Before issuing awards, CDC will informthe proposed grantee whether a grant orcooperative agreement is theappropriate instrument based upon theneed for substantial CDC involvement inthe project.

Notice of Intent To Apply

In order to assist CDC in planning forand executing the evaluation ofapplications submitted under thisProgram Announcement, all partiesintending to submit an application arerequested to inform CDC of theirintention to do so at their earliestconvenience prior to the applicationdue date. Notification should include 1)name and address of institution, 2)name, address, and phone number ofcontact person, and 3) under whichfocus area(s) application(s) will besubmitted. Notification should beprovided to Greg Jones, M.P.A., byfacsimile (404) 639–4195, [email protected] or postal mailat National Center for InfectiousDiseases, Centers for Disease Controland Prevention, 1600 Clifton Road, NE.,Mailstop C–19, Atlanta, Georgia 30333.

Application Process

Applicants may apply for assistancefor projects in one or both of the specificprogrammatic focus areas identifiedunder Purpose and ProgramRequirements above. If applying forassistance for more than one of the twofocus areas, a separate and completeapplication must be submitted for eachproject/focus area.

Evaluation Criteria

The applications will be reviewed andevaluated according to the followingcriteria:

1. Background and Need (20 points):Extent to which applicant’s discussionof the background for the proposedproject demonstrates a clearunderstanding of the purpose andobjectives of this grant/cooperativeagreement program. Extent to whichapplicant illustrates and justifies theneed for the proposed project that isconsistent with the purpose andobjectives of this grant/cooperativeagreement program.

2. Capacity (40 points total):

a. Extent to which applicant describesadequate resources and facilities (bothtechnical and administrative) forconducting the project. (10 points)

b. Extent to which applicantdocuments that professional personnelinvolved in the project are qualified andhave past experience and achievementsin research related to that proposed asevidenced by curriculum vitae,publications, etc. (20 points)

c. Extent to which applicant includesletters of support from non-applicantorganizations, individuals, etc. Extent towhich the letters clearly indicate theauthor’s commitment to participate asdescribed in the operational plan. (10points)

3. Objectives and Technical Approach(40 points total):

a. Extent to which applicant describesspecific objectives of the proposedproject which are consistent with thepurpose and goals of this grant/cooperative agreement program andwhich are measurable and time-phased.(10 points)

b. Extent to which applicant presentsa detailed operational plan for initiatingand conducting the project, whichclearly and appropriately addresses allRecipient Activities. Extent to whichapplicant clearly identifies anddescribes appropriate study sites (perRecipient Activities 1.a.) or HSV isolates(per Recipient Activities 2.a.). Extent towhich applicant clearly identifiesspecific assigned responsibilities for allkey professional personnel. Extent towhich the plan clearly describesapplicant’s technical approach/methodsfor conducting the proposed studies andextent to which the plan is adequate toaccomplish the objectives. Extent towhich applicant describes specificstudy protocols or plans for thedevelopment of study protocols that areappropriate for achieving projectobjectives.

If the proposed project involveshuman subjects, the degree to which theapplicant has met the CDC policyrequirements regarding the inclusion ofwomen, ethnic, and racial groups in theproposed research. This includes:

(1) The proposed plan for theinclusion of both sexes and racial andethnic minority populations forappropriate representation.

(2) The proposed justification whenrepresentation is limited or absent.

(3) A statement as to whether thedesign of the study is adequate tomeasure differences when warranted.

(4) A statement as to whether theplans for recruitment and outreach forstudy participants include the processof establishing partnerships withcommunity(ies) and recognition of

mutual benefits will be documented.(see Other Requirements for additionalinformation regarding this requirementfor research projects). (15 points)

c. Extent to which applicant describesadequate and appropriate collaborationwith CDC and/or others during variousphases of the project. (10 points)

d. Extent to which applicant providesa detailed and adequate plan forevaluating study results and forevaluating progress toward achievingproject objectives. (5 points)

4. Budget (not scored):Extent to which the proposed budget

is reasonable, clearly justifiable, andconsistent with the intended use ofgrant/cooperative agreement funds.

5. Human Subjects (not scored):If the proposed project involves

human subjects, whether or not exemptfrom the DHHS regulations, the extentto which adequate procedures aredescribed for the protection of humansubjects. Note: Objective Review Group(ORG) recommendations on theadequacy of protections include: (1)Protections appear adequate and thereare no comments to make or concerns toraise, or (2) protections appear adequate,but there are comments regarding theprotocol, or (3) protections appearinadequate and the ORG has concernsrelated to human subjects, or (4)disapproval of the application isrecommended because the researchrisks are sufficiently serious.

Executive Order 12372 ReviewThis program is not subject to

Executive Order 12372,Intergovernmental Review of FederalPrograms.

Public Health System ReportingRequirements

This program is not subject to thePublic Health System ReportingRequirements.

Catalog of Federal Domestic AssistanceNumber

The Catalog of Federal Domestic AssistanceNumber is 93.283.

Other Requirements

Paperwork Reduction ActProjects that involve the collection of

information from ten or moreindividuals and funded by the grant/cooperative agreement will be subject toreview by the Office of Management andBudget (OMB) under the PaperworkReduction Act.

Human SubjectsIf the proposed project involves

research on human subjects, theapplicant must comply with the


Department of Health and HumanServices Regulations (45 CFR Part 46)regarding the protection of humansubjects. Assurance must be provided todemonstrate that the project will besubject to initial and continuing reviewby an appropriate institutional reviewcommittee. In addition to otherapplicable committees, Indian HealthService (IHS) institutional reviewcommittees also must review the projectif any component of IHS will beinvolved or will support the research. Ifany American Indian community isinvolved, its tribal government mustalso approve that portion of the projectapplicable to it. The applicant will beresponsible for providing evidence ofthis assurance in accordance with theappropriate guidelines and formprovided in the application kit.

Women, Racial and Ethnic MinoritiesIt is the policy of the Centers for

Disease Control and Prevention (CDC)and Agency for Toxic Substances andDisease Registry (ATSDR) to ensure thatindividuals of both sexes and thevarious racial and ethnic groups will beincluded in CDC/ATSDR-supportedresearch projects involving humansubjects, whenever feasible andappropriate. Racial and ethnic groupsare those defined in OMB Directive No.15 and include American Indian,Alaskan Native, Asian, Pacific Islander,Black, and Hispanic. Applicants shallensure that women, racial and ethnicminority populations are appropriatelyrepresented in applications for researchinvolving human subjects. Where clearand compelling rationale exists thatinclusion is inappropriate or notfeasible, this situation must beexplained as part of the application.This policy does not apply to researchstudies when the investigator cannotcontrol the race, ethnicity and/or sexsubjects. Further guidance to this policyis contained in the Federal Register,Vol. 60, No. 179, pages 47947–47951,dated Friday, September 15, 1995.

Application Submission and DeadlineThe original and two copies of each

application Form PHS–5161–1 (revised7/92, OMB Control Number 0937–0189)must be submitted to Sharron P. Orum,Grants Management Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E–18, Atlanta, Georgia 30305,Attention: Marsha Driggans, on or beforeAugust 5, 1996:

1. Deadline: Applications shall beconsidered as meeting the deadline ifthey are either:

a. Received on or before the deadlinedate; or

b. Sent on or before the deadline dateand received in time for submission tothe objective review group. (Applicantsmust request a legibly dated U.S. PostalService postmark or obtain a legiblydated receipt from a commercial carrieror U.S. Postal Service. Private meteredpostmarks shall not be acceptable asproof of timely mailing.)

2. Late Applications: Applicationswhich do not meet the criteria in 1.a. or1.b. above are considered lateapplications. Late applications will notbe considered in the currentcompetition and will be returned to theapplicant.

Where To Obtain AdditionalInformation

A complete program description andinformation on application proceduresare contained in the applicationpackage. An application package andbusiness management and technicalassistance may be obtained from MarshaDriggans, Grants ManagementSpecialist, Grants Management Branch,Procurement and Grants Office, Centersfor Disease Control and Prevention(CDC), 255 East Paces Ferry Road, NE.,Mailstop E–18, Room 300, Atlanta,Georgia 30305, telephone (404) 842–6523, [email protected], facsimile(404) 842–6513.

Programmatic technical assistancemay be obtained from Dr. Fred C.Tenover, Hospital Infections Program,National Center for Infectious Diseases,Centers for Disease Control andPrevention (CDC), 1600 Clifton Road,NE., Mailstop G–08, Atlanta, Georgia30333, E-mail [email protected],telephone (404) 639–3246.

Please refer to AnnouncementNumber 663 when requestinginformation regarding this program.

Important Notice: Atlanta, Georgia,will be the host of the 1996 SummerOlympics Games, July 19 throughAugust 4, 1996. As a result of this event,it is likely that the Procurement andGrants Office (PGO), CDC, mayexperience delays in the receipt of bothregular and overnight mail deliveries.Contacting PGO employees during thistime frame may also be hindered due tothe possible telephone disruptions. Tothe extent authorized, please considerthe use of voice mail, E-mail, andfacsimile transmission to the maximumextent practicable. However, do not faxlengthy documents or grantapplications.

You may obtain this announcementfrom one of two Internet sites on theactual publication date: CDC’s

homepage at http://www.cdc.gov or atthe Government Printing Officehomepage (including free on-line accessto the Federal Register at http://www.access.gpo.gov).

Potential applicants may obtain acopy of Healthy People 2000 (FullReport, Stock No. 017–001–00474–0) orHealthy People 2000 (Summary Report,Stock No. 017–001–00473–1) referencedin the Introduction through theSuperintendent of Documents,Government Printing Office,Washington, DC 20402–9325, telephone(202) 512–1800.

Dated: June 11, 1996.Joseph R. Carter,Acting Associate Director for ManagementAnd Operations, Centers for Disease Controland Prevention (CDC).[FR Doc. 96–15558 Filed 6–18–96; 8:45 am]BILLING CODE 4163–18–P

[Announcement Number 532A]

Cooperative Agreements for a NationalSystem of Integrated Activities ToPrevent HIV Infection and OtherSerious Health Problems AmongStudents, Especially PostsecondaryStudents and Those in High-RiskSituations


Prevention (CDC) announces theavailability of fiscal year (FY) 1996funds for cooperative agreements toestablish a national system of integratedactivities for preventing HIV infectionand other serious health problemsamong the nation’s students, especiallypostsecondary students and those inhigh-risk situations. This programannouncement is an amendment toAnnouncement Number 532 publishedin the Federal Register on June 16,1995, pages 31721 through 31724 [60 FR31721]. (A cooperative agreement is alegal agreement in which CDC providesfinancial assistance and substantialprogrammatic assistance to the recipientduring the project.)

The CDC is committed toimplementing the recommendationsoutlined in the External Review of HIVPrevention Strategies and the healthpromotion and disease preventionobjectives of Healthy People 2000, anational activity to reduce morbidityand mortality and improve the qualityof life. This program announcement isrelated to the priority areas of HealthPromotion and Preventive Services witha particular focus on HIV InfectionObjective 18.11, to ‘‘Provide HIVeducation for students and staff in atleast 90% of colleges and universities’’;


Objective 8.5, ‘‘Increase to at least 50%the proportion of postsecondaryinstitutions with institutionwide healthpromotion programs for students,faculty, and staff’’; Objective 8.4,‘‘Increase to at least 75 percent theproportion of the Nation’s elementaryand secondary schools that provideplanned and sequential kindergartenthrough 12th grade quality school healtheducation’’; and Objective 8.6, ‘‘Increaseto at least 85 percent the proportion ofworkplaces with 50 or more employeesthat offer health promotion activities fortheir employees, preferably as part of acomprehensive employee healthpromotion program.’’ The most recentdescription of CDC efforts to preventHIV infection is included in PublicHealth Reports, including CDC efforts toprevent HIV infection among youth. (Toorder a copy of the External Review ofHIV Prevention Strategies, HealthyPeople 2000, and Public Health Reports,see the section on Reference Materials.)

Authority

This program is authorized undersections 311(c) [42 U.S.C. 243(c)], and317(k) [42 U.S.C. 247(k)] of the PublicHealth Service Act, as amended.Regulations are set forth in 42 CFR Part51b.

Eligible Applicants

To be considered eligible for thisannouncement, applicants must meet allfive of the criteria listed below.Applicants must provide evidence ofeligibility in a cover letter to the GrantsManagement Officer. Please attach thiscover letter and any supportivedocumentation to your application.

1. Eligible applicants must be anational organization whose focus iseducation, health, or social service thatalso is private, nonprofit, professional,or voluntary. Postsecondary institutionsare not eligible to apply for fundingunder this announcement. NOTE:Public Law 104–65 dated December 19,1995, prohibits an organizationdescribed in section 501(c)(4) of IRSCode of 1986, that engages in lobbyingactivities to influence the FederalGovernment, from receiving Federalfunds.

2. The grantee, as the direct andprimary recipient of grant funds, mustperform a substantive role in carryingout project activities and not merelyserve as a conduit for an award toanother party or to provide funds to anineligible party.

3. Eligible applicants must haveaffiliate offices, organizations, orconstituencies in a minimum of 10States and territories.

4. The organization must possess adocumented history of directly servingpostsecondary constituencies,institutions, or programs through itsoffices at the national level for at least24 months prior to submission of theapplication to CDC.

5. Eligible applicants must have theorganizational capacity to help developan ongoing national system of integratedactivities to prevent HIV infection andother serious health problems amongstudents, especially postsecondarystudents and those in high-risksituations.

National organizations that receivedfunding for a priority area underProgram Announcement 532 in FY 1995are ineligible to apply for funding underthis announcement. These organizationsinclude the American College HealthAssociation, Association of AmericanColleges and Universities, AmericanAssociation of Community Colleges, andthe American Association of Collegesfor Teacher Education.

Smoke-Free WorkplaceCDC strongly encourages all grant

recipients to provide a smoke-freeworkplace and to promote the nonuse ofall tobacco products, and Public Law103–227, the Pro-Children Act of 1994,prohibits smoking in certain facilitiesthat receive Federal funds in whicheducation, library, day care, health care,and early childhood developmentservices are provided to children.

Availability of FundsApproximately $1 million is available

in FY 1996 to fund approximately 4awards. It is expected that the averageaward will be $250,000, ranging from$200,000 to $300,000. It is expected thatawards will begin on or aboutSeptember 25, 1996, and will be madefor a 12-month budget period within aproject period of up to 4 years. Fundingestimates may vary and are subject tochange. Continuation awards for newbudget periods will be based onsatisfactory performance, receipt of anacceptable continuation application,and the availability of funds.

Applicants may apply for funding tocarry out activities in one or more of thefollowing priority areas:

Priority One—Educate Policy andDecision-Makers

To educate and encourage policy anddecision-making members ofpostsecondary institutions across thenation to support programs to preventHIV infection and other serious healthproblems among students, especiallypostsecondary students and those inhigh-risk situations.

Priority Two—Support Institution-WideHealth Promotion Programs

To build the capacity ofpostsecondary institutions across thenation to implement comprehensiveintegrated strategies designed to preventHIV infection and other serious healthproblems as part of institution-widehealth promotion and diseaseprevention programs for postsecondarystudents, especially those in high-risksituations.

Priority Three—Support PreserviceEducation

To provide technical assistance andtraining to personnel in postsecondaryinstitutions across the nation about theskills that health, education, socialservice, and other professionals need inorder to help young people, includingstudents in grades K–12, postsecondaryinstitutions, and those in high-risksituations, avoid HIV infection andother serious health problems.

Funds must be used for categoricalactivities to prevent HIV infectionamong youth. Activities can also beincluded that support the integration ofHIV activities as part of broaderprograms to improve the health of youth(e.g., related STD and pregnancyprevention programs; related alcoholand other drug prevention programs;related institution-wide healthpromotion programs for students,faculty, and staff). These funds may notbe used to conduct research.

PurposeThe purpose of this program is to

support national organizations inestablishing an ongoing national systemof integrated activities to prevent HIVinfection and other serious healthproblems among students, especiallypostsecondary students and those inhigh-risk situations.

Program RequirementsIn conducting activities to achieve the

purpose of this program, the recipientwill be responsible for the activitiesunder A. Recipient Activities, and CDCwill be responsible for the activitieslisted under B. CDC Activities.

A. Recipient Activities1. Collaborate with constituents; other

national organizations whose foci arepostsecondary institutions; communityplanning groups; State and localeducation, health, and social serviceagencies; and CDC to develop a nationalsystem to achieve the purpose of thisprogram announcement.

2. Establish and implement anoperational plan that could include, butis not limited to:


(a) Including as a priority within theorganization, health promotion anddisease prevention programs to reduceHIV risk behaviors of students,especially postsecondary students andthose in high-risk situations.

(b) Developing and promoting theimplementation of State, and localpolicies designed to reduce the HIV riskbehaviors of students, especiallypostsecondary students and those inhigh-risk situations.

(c) Developing and promoting theimplementation of activities designed toprevent HIV risk behaviors amongstudents, especially postsecondarystudents and those in high-risksituations.

(d) Educating and encouraging policyand decision-making members of othernational organizations and theirconstituents, to support HIV preventioneducation programs for students,especially postsecondary students andthose in high-risk situations.

3. Evaluate the project’s effectivenessin achieving goals and objectives.

4. Disseminate programmaticinformation to other interestedrecipients as well as CDC throughappropriate methods that include:

(a) Identifying and submittingpertinent programmatic information forincorporation into a computerizeddatabase of health information andhealth promotion resources, such as theCombined Health Information Database(CHID).

(b) Sharing information throughelectronic bulletin boards, such as theComprehensive Health EducationNetwork (CHEN).

5. Participate with CDC and otherappropriate agencies in planning andconvening meetings that support thepurpose of this program announcement.The budget request should include thecost of a five-day trip to Atlanta for twoindividuals to attend a CDC annualconference and a two-day trip to Atlantafor two individuals to attend anadditional meeting.

B. CDC Activities1. Provide and periodically update

information related to the purposes oractivities of this programannouncement.

2. Collaborate with national, State,and local education and health agenciesand other relevant organizations inplanning and conducting nationalstrategies designed to strengthenprograms for preventing HIV infectionand other serious health problemsamong youth.

3. Provide substantial programmaticconsultation and guidance related toprogram planning, implementation, and

evaluation; assessment of programobjectives; and dissemination ofsuccessful strategies, experiences, andevaluation reports.

4. Plan meetings of national, State,and local education agencies and otherappropriate agencies to address issuesand program activities related toimproving the health of postsecondarystudents; and strengthening the capacityof education, health, and other relevantagencies to prevent HIV infection andother serious health problems amongyouth, especially those in high-risksituations.

5. Assist in the evaluation of programactivities.

Review and Evaluation Criteria

Each application will be allocated atotal of 100 points, and will be reviewedand evaluated according to thefollowing criteria:

A. Background/Need (10 Points)

The extent to which the applicantjustifies the need for the activitiesincluding:

1. Identifying target populations;2. Identifying the barriers in reaching

the target population; and3. Identifying what might move HIV

prevention efforts forward within thetarget population.

B. Capacity and Impact (30 Points)

The extent to which the applicantdemonstrates the capacity and ability to:

1. Develop and conduct the proposedactivities;

2. Involve postsecondary institutionsor programs; and,

3. Institutionalize activities that canreduce HIV infection among students,especially postsecondary students andthose students who may be in high-risksituations.

4. Perform a substantive role incarrying out project activities and notmerely serve as a conduit for an awardto another party or to provide funds toan ineligible party.

C. Goals and Objectives (10 Points)

1. Goals. The extent to which theapplicant has submitted realistic goalsfor the projected four-year projectperiod.

2. Objectives. The extent to which theapplicant has submitted specific,measurable, and feasible objectives forthe one-year budget period that directlyrelate to the applicant’s goals.

D. Operational Plan (15 Points)

1. The extent to which proposedactivities:

(a) Involve the applicant’sconstituencies nation-wide.

(b) Are likely to reduce HIV infectionand related health problems amongstudents, especially postsecondarystudents and those in high risksituations.

(c) Achieve the stated objectiveswithin the first budget period.

2. The extent to which the applicantincludes a reasonable timeline forconducting proposed activities.

3. The extent to which the applicantprovides a brief description of theactivities anticipated for years 2, 3, and4 of the project.

E. Project Management and Staffing (15Points)

The extent to which the applicantidentifies staff and other agencies thathave the responsibility and authority tocarry out each activity, including:

1. Organizational chartsdemonstrating that the staff have theauthority needed to carry out thoseresponsibilities.

2. Job descriptions and curricula vitaedemonstrating that the staff havebackgrounds that qualify them to fulfillthe proposed responsibilities.

3. Commitment of at least one full-time staff member to provide directionfor the proposed activities.

4. Letters from collaboratingorganizations indicating their intent andcapacity to carry out their designatedresponsibilities.

F. Sharing Experiences and Resources (5Points)

The extent to which the applicantindicates how it will share effectivematerials and activities.

G. Collaborating (5 Points)

The extent to which the applicantdescribes how it will collaborate withCDC and with other relevant agencies.

H. Evaluation (10 Points)

The extent to which the applicant:1. Identifies how it will monitor

progress in meeting objectives.2. Identifies how program

effectiveness will be measured andpresents a reasonable plan for obtainingdata, reporting results, and using theresults for programmatic decisions.

I. Budget and AccompanyingJustification (Not Scored)

The extent to which the applicantprovides a detailed and clear budgetnarrative consistent with the statedobjectives and planned activities of theproject.

Executive Order 12372 Review

This program is not subject to theExecutive Order 12372 review,


Intergovernmental Review of FederalPrograms.

Public Health Systems ReportingRequirements

This program is not subject to thePublic Health Systems ReportingRequirements.


The Catalog of Federal DomesticAssistance Number is 93.938.

Other Requirements


information from 10 or more individualsand funded by the cooperativeagreement will be subject to review andapproval by the Office of Managementand Budget (OMB) under the PaperworkReduction Act.

HIV/AIDS RequirementsRecipients must comply with the

document entitled: ‘‘Interim Revision ofRequirements of the Content of AIDS-Related Written Materials, Pictorials,Audiovisuals, Questionnaires, SurveyInstruments, and Educational Sessionsin Centers for Disease Control andPrevention Assistance Programs’’ (June15, 1992), a copy of which is includedin the application kit. The names andaffiliations of the review panel membersmust be listed on the Assurance ofCompliance form CDC 0.1113, which isalso included in the application kit. Inprogress reports, the recipient mustsubmit the program review panel’sreport indicating all materials have beenreviewed and approved.

Application Submission and DeadlineThe original and two copies of the

application Form PHS–5161–1 (Revised7/92) (OMB Number 0937–0189) mustbe submitted to Sharron P. Orum,Grants Management Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E18, Atlanta, GA 30305,Attention: Marsha Driggans, on or beforeAugust 9, 1996. Facsimile copies willnot be accepted.


(a) Received on or before the deadlinedate. or,

(b) Sent on or before the deadline dateand received in time for submission tothe independent review group.Applicants must request a legibly datedU.S. Postal Service postmark or obtaina legibly dated receipt from a

commercial mail carrier or U.S. PostalService. Private metered postmarks shallnot be accepted as proof of timelymailing.

2. Late Applications: Applicationsthat do not meet the criteria in 1(a) or1(b) above are considered lateapplications. Late applications will notbe considered in the currentcompetition and will be returned to theapplicant.


A complete program description,information on application procedures,application package, and businessmanagement technical assistance maybe obtained from Marsha Driggans,Grants Management Specialist, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Rd., NE., Room 300,Mailstop E18, Atlanta, GA, 30305;telephone (404) 842–6523, [email protected], facsimile(404) 842–6513.

Programmatic technical assistancemay be obtained from ElizabethMajestic, Chief, Special PopulationsProgram Section, Program Developmentand Services Branch, Division ofAdolescent and School Health, NationalCenter for Chronic Disease Preventionand Health Promotion, Centers forDisease Control and Prevention (CDC),4770 Buford Highway, NE., MailstopK31, Atlanta, GA 30341–3724,telephone (404) 488–5356, [email protected], facsimile(404) 488–5972.

Please refer to Announcement 532Awhen requesting information orsubmitting an application.

Important Notice: Atlanta, Georgia,will be the host of the 1996 SummerOlympics Games, July 19 throughAugust 4, 1996. As a result of this event,it is likely that the Procurement andGrants Office (PGO), CDC, mayexperience delays in the receipt of bothregular and overnight mail deliveries.Contacting PGO employees during thistime frame may also be hindered due tothe possible telephone disruptions. Tothe extent authorized, please considerthe use of voice mail, E-mail, andfacsimile transmission to the maximumextent practicable. However, do not faxlengthy documents or grantapplications.

You may obtain this announcementfrom one of two Internet sites on theactual publication date: CDC’shomepage at http://www.cdc.gov or atthe Government Printing Officehomepage (including free on-line access

to the Federal Register at http://www.access.gpo.gov).

Reference Materials(1) Potential applicants may obtain a

copy of Healthy People 2000 (FullReport, Stock No. 017–001–00474–0),Healthy People 2000 (Summary Report,Stock No. 017–001–00473–1), andAdolescent Health (Volume 1, Stock No.052–00301234–1; Volume 2, Stock No.052–003–01235–9; Volume 3, Stock No.052–003–01236–7), referenced in theIntroduction, through theSuperintendent of Documents,Government Printing Office,Washington, DC 20402–9325, telephone(202) 512–1800, facsimile (202) 512–2250.

(2) Potential applicants may obtain acopy of the External Review of HIVPrevention Strategies, from the Centersfor Disease Control and Prevention,National Center for HIV, STD, and TBPrevention,(name of Center pending),Division of HIV/AIDS Prevention, 1600Clifton Rd., Mailstop D21, Atlanta, GA30333; telephone (404) 639–0900.

(3) Potential applicants may obtain acopy of Public Health Reports, Volume106, Number 6, from the National AIDSInformation Clearinghouse, P.O. Box6003, Rockville, MD, 20850; telephone(800) 458–5231, select option 2.

(4) Potential applicants can obtainadditional information about HIVPrevention Community PlanningGroups, by contacting MaryWillingham, Centers for Disease Controland Prevention, National Center forHIV, STD and TB Prevention (name ofCenter pending), Division of HIV/AIDSPrevention, 1600 Clifton Rd., MailstopD21, Atlanta, GA 30333; telephone (404)639–0965.

(5) Potential applicants may obtain acopy of The Second Annual NationalSchool Health Conference Proceedings,from the Centers for Disease Control andPrevention, National Center for ChronicDisease Prevention and HealthPromotion, Division of Adolescent andSchool Health, 1600 Clifton Rd.,Mailstop K31, Atlanta, GA 30333;telephone (404) 488–5324.

Special Guidelines for TechnicalAssistance Workshop

A one-day technical assistanceworkshop will be held in Washington,DC, approximately two weeks after thepublication date in the Federal Register.The purpose of this meeting is to helppotential applicants to:

1. Understand the scope and intent ofAnnouncement 532A; and

2. Understand the Public HealthService grants policies, applications,and review procedures.


Attendance at this workshop is notmandatory. Applicants who arecurrently funded by CDC may not useproject funds to attend this workshop.

Each potential applicant may send nomore than two representatives to thismeeting. Please provide the names ofthe persons that are planning to attendthis meeting to Elizabeth Majestic,Chief, Special Populations Section,Division of Adolescent and SchoolHealth; telephone (404) 488–5356; nolater than July 2, 1996.

Dated: June 11, 1996.Joseph R. Carter,Acting Associate Director for Managementand Operations, Centers for Disease Controland Prevention (CDC).[FR Doc. 96–15556 Filed 6–18–96; 8:45 am]BILLING CODE 4163–18–P

[Announcement 628]

Outcome Evaluations of HIV/AIDSPrevention Interventions

Introduction

The Centers for Disease Control andPrevention (CDC) announces theavailability of fiscal year (FY) 1996funds for a cooperative agreementprogram to conduct outcomeevaluations of existing innovativeinterventions designed to reduce thetransmission of the humanimmunodeficiency virus (HIV).

CDC is committed to achieving thehealth promotion and diseaseprevention objectives of ‘‘HealthyPeople 2000,’’ a national activity toreduce morbidity and mortality andimprove the quality of life. Thisannouncement is related to the priorityarea of Human Immunodeficiency Virus(HIV) Infection. (For ordering a copy of‘‘Healthy People 2000,’’ see the section‘‘Where To Obtain AdditionalInformation.’’)

Authority

This program is authorized underSections 301 and 317(k)(2), of the PublicHealth Service Act (42 U.S.C. 241 and247b(k)(2)) as amended.

Smoke-Free Workplace

CDC strongly encourages allrecipients to provide a smoke-freeworkplace and to promote the nonuse ofall tobacco products, and Public Law103–227, the Pro-Children Act of 1994,prohibits smoking in certain facilitiesthat receive Federal funds in whicheducation, library, day care, health care,and early childhood developmentservices are provided to children.

Eligible ApplicantsApplications may be submitted by

public and private, nonprofit and for-profit organizations and governmentsand their agencies. Thus, universities,colleges, research institutes, hospitals,other public and private organizations,State and local health departments ortheir bona fide agents orinstrumentalities, federally recognizedIndian tribal governments, Indian tribesor Indian tribal organizations, andsmall, minority- and/or women-ownedbusinesses are eligible to apply.

Note: Organizations described in section501(c)(4) of the Internal Revenue Code of1986 that engage in lobbying are not eligibleto receive Federal grant/cooperativeagreement funds.

Availability of FundsApproximately $500,000 is available

in FY 1996 to fund approximately threeawards each evaluating a differentintervention strategy in a different high-risk population. It is expected that theaverage award will be $150,000, rangingfrom $125,000 to $175,000. Awards areexpected to begin on or aboutSeptember 30, 1996, and will be madefor a 12-month budget period within aproject period of up to three years.Funding estimates may vary and aresubject to change.

Continuation awards within theproject period will be made on the basisof satisfactory progress and theavailability of funds.

DefinitionsFor the purposes of this program, an

Innovative HIV Prevention Interventionis an HIV prevention strategy that hasnot been extensively researched in thecontext in which it is being applied orone that represents a new approach tothe integration of known preventionstrategies. The terms OutcomeEvaluation and Effectiveness Study areused somewhat interchangeably andrefer to the design and methods used toassess the short- or long-term effects thatcan be reasonably attributed to theintervention.

The term HIV Community PlanningPriorities are priorities based upon theepidemiologic profile of HIV in acommunity as determined by theCommunity Planning Group (CPG). Forexample, if a CPG determined that thereis a significant problem of HIVintravenous drug (ID) use in thecommunity then the funding of HIVprevention strategy for ID use would bea priority for HIV community planning.

PurposeThe purpose of this program is to

support intervention effectiveness

studies that assess social, behavioral,programmatic, and policy outcomes ofspecific innovative HIV preventioninterventions. These outcomeevaluations should assess preventioninterventions that are innovative, havenew components or involve theinnovative application of interventionsthat are commonly employed (e.g. HIVcounseling and testing) and havepotentially broad relevance to the fieldof HIV prevention. These evaluationstudies will use methods common torigorous outcome evaluation research(e.g. comparison groups, individualbaseline data, cohorts, cross-sectionalsurveys) within the limits of the fundingavailable and appropriately matched tothe nature and size of the intervention.

This program is designed to provideevaluation resources to organizationsthat might not otherwise have theresources to determine the effectivenessof their programs. Funds are intendedsolely to implement the evaluation andnot to support the intervention itself.Interventions being evaluated shouldtarget high-risk populations (e.g. menwho have sex with men, injection drugusers and their partners, youth in highrisk situations).

Lastly, this program is to devisepractical, yet reasonably rigorous,outcome evaluation methods anddesigns that integrate both qualitativeand quantitative data, possibly frommultiple sources, in the analysis andinterpretation of the findings.

Program Requirements

The application should demonstratethe applicant’s ability to design andimplement the evaluation, analyze thedata, and disseminate the findings. Inconducting activities to achieve thepurpose of this program, the recipientwill be responsible for the activitiesunder A. (Recipient Activities), andCDC will be responsible for theactivities listed under B. (CDCActivities).


Recipients will be asked to attendmeetings in Atlanta approximatelytwice a year to brief CDC staff on theproject and discuss key decisions.Additionally the recipient shouldexpect to host periodic (up to 4 per year)site visits by the CDC project officer.

1. Prepare a detailed evaluationprotocol, including a description of theintervention and how it is innovative,the study research questions, proposedmethods, including sampling,assessment, and analysis plans, draftmeasurement instruments, and projecttimelines.


2. Develop measures to evaluate theintervention. New instruments shouldbe field-tested.

3. Develop procedures to ensureconfidentiality and informed consentwhen appropriate and obtain IRBclearances as needed.

4. Recruit study subjects andcomparison groups according to theevaluation design.

5. Conduct individual baseline andrepeat assessments according to theevaluation design.

6. Establish data managementsystems, analyze and interpret the data.

7. Prepare a final report for CDC,including submission of a cleaned dataset.

8. Prepare a paper that summarizesthe results and recommends futureresearch and describes programmaticimplications.

9. Present the findings locally.Collaborate with other recipients inpresenting the findings at nationalmeetings.

B. CDC Activities

1. Assist the recipient in planning andimplementing the evaluation, includingproviding technical guidance in thedevelopment of the study design, datacollection instruments, selection ofcomparison groups, outcome measures,data collection protocols, and pretestingof methods and instruments.

2. Provide project oversight andtechnical assistance.

3. Assist in analyzing the data andinterpreting the results.

4. Assist in presenting the findings.

Evaluation CriteriaBefore submitting an application,

applicants will need to identify aninnovative behavioral or social HIVprevention intervention that is designedto reduce risk behaviors by high-riskpersons or within high-riskcommunities. Communities may bedefined by geopolitical boundaries or byrelational affiliations (e.g., men whohave sex with men, African Americancommunity, youth in high risksituations).

Evaluation criteria are based upon theresponsiveness to, and the quality of,specific information requested in the‘‘Application Content’’ section of theprogram announcement included in theapplication kit.

1. Justification and Significance of theIntervention (30 Points)

The degree to which the interventionis innovative, i.e., new or represents anew approach to the integration ofknown prevention strategies and has notyet been extensively evaluated in the

context in which it is being applied. Theextent to which the intervention hasbroader significance or relevance forHIV prevention. In determiningsignificance, consideration will be givento the degree to which the selectedintervention is based on behavioral orsocial science theory, public healthpractice or program experience and therelevant research literature, including adescription of the social and contextualissues if relevant. Degree to which clearintervention goals and objectives arearticulated. Degree to which thebehavioral or social interventionscomplement other biomedical orsocioenvironmental interventions. Thedegree to which the proposed activity issignificant to HIV prevention. Thedegree to which the intervention isgeneralizable.

2. Evidence That Target PopulationReflects HIV Community PlanningPriorities (10 Points)

Degree to which the local, regional orState HIV prevention community plan,especially the epidemiologic profile andbehavioral data, were used in theselection of the intervention. The degreeto which the target population isdescribed clearly and concisely.Evidence that the intervention hasaccess to sufficient numbers of the targetpopulation to show intervention effectsis also important.

3. Soundness of the Evaluation Plan (30Points)

The extent to which the evaluationplan, including the stated research orevaluation question, study design andmethods, comparison groups, datacollection instruments and plans foranalysis, are scientifically sound andcapable of producing the intendedresults. The degree to which the plan isclear, complete, and includes time-related milestones that CDC andrecipients can use to gauge progress.The degree to which plans for datamanagement, analysis, andinterpretation are appropriate andreflect the intention to collaborate withCDC. Reasonableness of plans forcollecting and integrating qualitativeand quantitative data from multiplesources.

4. Adequacy of the Dissemination Plan(10 Points)

Degree to which a dissemination planis articulated. Evidence that theapplicant is committed to disseminatingfindings locally and collaborating withCDC in disseminating findingsnationally. The degree to which theapplicant is committed to collaboratingwith CDC in coauthoring papers.

5. Evidence of Collaboration andCapacity To Undertake the Evaluation(20 Points)

Quality of supporting evidence(letters and memorandums ofagreement) that the applicant has thefull support of all specifiedcollaborators. The degree to which theapplicant has the scientific andprogrammatic capacity and proven trackrecord in successfully designing,implementing and completing similarevaluations, either alone or inpartnership with the proposedcollaborator. The degree to which theaffected population seems to beinvolved in planning the evaluation. (Toobtain specific information on thecommunity plan for your location,please contact your local healthdepartment.)

In addition, the degree to which theapplicant has met the CDC policyrequirements regarding the inclusion ofwomen, ethnic, and racial groups in theproposed research. This includes:

a. The proposed plan for the inclusionof both sexes and racial and ethnicminority populations for appropriaterepresentation.

b. The appropriateness of theproposed justification whenrepresentation is limited or absent.

c. Whether the design of the study isadequate to measure differences whenwarranted.

d. Whether the plans for recruitmentand outreach for study participantsinclude the process of establishingpartnerships with community(ies) andrecognition of mutual benefits.

6. Budget (Not Scored)

The extent to which the budget isreasonable, itemized, clearly justified,and consistent with intended use offunds.

Funding Preferences

All applicants are encouraged toprovide evidence of support from theirlocal health departments. Preferencewill be given to applicants whocollaborate with representatives of targetpopulations at highest risk for HIVinfection and who are served by theprogram being evaluated. Specialconsideration will be given toapplications to evaluate innovativeinterventions to integrate or linkmultiple intervention components, forexample, provision of HIV counselingand testing services bynongovernmental organizations (NGOs)that serve high-risk communities andalso provide innovative behavior-changeservices.


Executive Order 12372 ReviewApplications are subject to

Intergovernmental Review of FederalPrograms as governed by ExecutiveOrder (E.O.) 12372. E.O. 12372 sets upa system for State and local governmentreview of proposed Federal assistanceapplications. Applicants (other thanfederally recognized Indian tribalgovernments) should contact their StateSingle Point of Contact (SPOC) as earlyas possible to alert them to theprospective applications and receiveany necessary instructions on the Stateprocess. For proposed projects servingmore than one State, the applicant isadvised to contact the SPOC for eachaffected State. A current list of SPOCsis included in the application kit. IfSPOCs have any State processrecommendations on applicationssubmitted to CDC, they should sendthem to Van Malone, GrantsManagement Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E15, Atlanta, GA 30305, nolater than 30 days after the applicationdeadline (the appropriation for thisfinancial assistance program wasreceived late in the fiscal year andwould not allow for an applicationreceipt date which would accommodatethe 60-day State recommendationprocess period). The granting agencydoes not guarantee to ‘‘accommodate orexplain’’ for State processrecommendations it receives after thatdate.

Indian tribes are strongly encouragedto request tribal government review ofthe proposed application. If tribalgovernments have any tribal processrecommendations on applicationssubmitted to the CDC, they shouldforward them to Van Malone, GrantsManagement Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E15, Atlanta, GA 30305. Thisshould be done no later than 30 daysafter the application deadline date. Thegranting agency does not guarantee to‘‘accommodate or explain’’ for tribalprocess recommendations it receivesafter that date.


This program is subject to the PublicHealth System Reporting Requirements.Under these requirements, allcommunity-based nongovernmentalapplicants must prepare and submit the

items identified below to the head of theappropriate State and/or local healthagency(s) in the program area(s) thatmay be impacted by the proposedproject no later than the receipt date ofthe Federal application. The appropriateState and/or local health agency isdetermined by the applicant. Thefollowing information must beprovided:

A. A copy of the face page of theapplication (SF 424).

B. A summary of the project thatshould be titled ‘‘Public Health SystemImpact Statement’’ (PHSIS), not exceedone page, and include the following:

1. A description of the population tobe served;

2. A summary of the services to beprovided; and

3. A description of the coordinationplans with the appropriate State and/orlocal health agencies.

If the State and/or local health officialshould desire a copy of the entireapplication, it may be obtained from theSingle Point of Contact (SPOC) ordirectly from the applicant.


The Catalog of Federal DomesticAssistance number is 93.941.

Other Requirements


information from 10 or more individualsand funded by cooperative agreementwill be subject to review by the Officeof Management and Budget (OMB)under the Paperwork Reduction Act.

Human SubjectsIf the proposed project involves

research on human subjects, theapplicant must comply with theDepartment of Health and HumanServices Regulations, 45 CFR Part 46,regarding the protection of humansubjects. Assurance must be provided todemonstrate that the project will besubject to initial and continuing reviewby an appropriate institutional reviewcommittee. In addition to otherapplicable committees, Indian HealthService (IHS) institutional reviewcommittees also must review the projectif any component of IHS will beinvolved or will support the research. Ifany American Indian community isinvolved, its tribal government mustalso approve that portion of the projectapplicable to it. The applicant will beresponsible for providing assurance inaccordance with the appropriateguidelines and form provided in theapplication kit.

Women, Racial and Ethnic MinoritiesIt is the policy of the Centers for

Disease Control and Prevention (CDC)and the Agency for Toxic Substancesand Disease Registry (ATSDR) to ensurethat individuals of both sexes and thevarious racial and ethnic groups will beincluded in CDC/ATSDR-supportedresearch projects involving humansubjects, whenever feasible andappropriate. Racial and ethnic groupsare those defined in OMB Directive No.15 and include American Indian,Alaskan Native, Asian, Pacific Islander,Black and Hispanic. Applicants shallensure that racial and ethnic minoritypopulations are appropriatelyrepresented in applications for researchinvolving human subjects. Where clearand compelling rationale exist thatinclusion is inappropriate or notfeasible, this situation must beexplained as part of the application.This policy does not apply to researchstudies when the investigator cannotcontrol the race, ethnicity and/or sex ofsubjects. Further guidance to this policyis contained in the Federal Register,Vol. 60, No. 179, pages 47947–47951,dated Friday, September 15, 1995.


application PHS Form 5161–1 (OMBNumber 0937–0189) must be submittedto Van Malone, Grants ManagementOfficer, Grants Management Branch,Procurement and Grants Office, Centersfor Disease Control and Prevention, 255East Paces Ferry Road, NE., Room 300,Mailstop E–15, Atlanta, GA 30305, on orbefore August 5, 1996.


a. Received on or before the deadline;or

b. Sent on or before the deadline dateand received in time for submission tothe objective review committee.(Applicants must request a legibly datedU.S. Postal Service postmark or obtaina legibly dated receipt from acommercial carrier or the U.S. PostalService. Private metered postmarks willnot be acceptable proof of timelymailing.)

2. Late Applications: Applicationsthat do not meet the criteria in 1.a. or1.b. above are considered lateapplications. Late applications will notbe considered in the currentcompetition and will be returned to theapplicant.


To receive additional writteninformation call (404) 332–4561. You


will be asked to leave your name,address, and telephone number and willneed to refer to Announcement 628.You will receive a complete programdescription, information on applicationprocedures and application forms. Ifyou have questions after reviewing thecontents of all the documents, businessmanagement technical assistance maybe obtained from Adrienne Brown,Grants Management Specialist, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E–15, Atlanta, GA 30305,telephone (404) 842–6634,email:<[email protected]>.Programmatic technical assistance beobtained from Deborah L. Rugg, Ph.D.,Program Evaluation Branch, Division ofHIV/AIDS Prevention, National Centerfor HIV, STD, and TB Prevention,Centers for Disease Control andPrevention, 1600 Clifton Road, NE.,Mailstop E–59, Atlanta, GA 30333,telephone (404) 639–0952, FAX (404)639–0923, e-mail:<[email protected]>.

Please refer to Announcement 628when requesting information andsubmitting an application.

Potential applicants may obtain acopy of ‘‘Healthy People 2000,’’ (FullReport, Stock No. 017–001–00474–0) or‘‘Healthy People 2000,’’ (SummaryReport, Stock No. 017–001–00473–1)referenced in the ‘‘Introduction,’’through the Superintendent ofDocuments, Government PrintingOffice, Washington, DC 20402–9325,telephone (202) 512–1800.

Internet Home PageThe announcement will be available

on one of two Internet sites on thepublication date: CDC’s home page at<http://www.cdc.gov>, or at theGovernment Printing Office home page(including free access to the FederalRegister) at <http://www.access.gpo.gov.>.

There may be delays in mail deliveryand difficulty in reaching the CDCAtlanta offices during the 1996 SummerOlympics. Therefore, CDC suggestsusing Internet, following all instructionsin this announcement and leavingmessages on the contact person’s voicemail for more timely responses to anyquestions.


[Announcement Number 639]

Resident Postdoctoral ResearchAssociates Program in Microbiology

Introduction

The Centers for Disease Control andPrevention (CDC) announces theavailability of fiscal year (FY) 1996funds to provide assistance fordeveloping and conducting a ResidentPostdoctoral Research AssociatesProgram in Microbiology.

CDC is committed to achieving thehealth promotion and diseaseprevention objectives of Healthy People2000, a national activity to reducemorbidity and mortality and improvethe quality of life. This announcementis related to the priority area ofImmunization and Infectious Diseases.(For ordering a copy of Healthy People2000, see the section Where To ObtainAdditional Information.)

Authority

This program is authorized undersections 301 [42 U.S.C. 241] and 317(k)[42 U.S.C. 247b(k)] of the Public HealthService Act, as amended.

Smoke-Free Workplace

CDC encourages all grant recipients toprovide a smoke-free workplace and topromote the non-use of all tobaccoproducts. Public Law 103–227, the Pro-Children Act of 1994, prohibits smokingin certain facilities that receive Federalfunds in which education, library, daycare, health care, and early childhooddevelopment services are provided tochildren.

Eligible Applicants

Assistance will be provided only topublic or nonprofit, private scientificorganizations. Eligible applicants mustbe national in scope, devoted toscientific pursuits in all areas ofmicrobiology that relate to infectiousdiseases, including general, clinical,medical, environmental, animalvirology, molecular microbiology,immunology and medical technology,and have experience in administeringpostdoctoral training programs inmedical microbiology and public healthmicrobiology which are designed toassist associates conductingmicrobiologic research to solve medicaland public health problems.

Availability of Funds

Approximately $800,000 is availablein FY1996 to fund one award. It isexpected that the award will begin on orabout September 30, 1996, and is madefor a 12-month budget period within aproject period of up to 5 years. Funding

estimates may vary and are subject tochange. Continuation awards within anapproved project period will be madeon the basis of satisfactory progress andavailability of funds.

PurposeThe purpose of this cooperative

agreement is to assist the recipient indeveloping and conducting a ResidentPostdoctoral Research AssociatesProgram in Microbiology. The programemphasizes microbiology related toinfectious disease prevention andcontrol. Particular emphasis is given tostudies at the molecular level. Areas ofinvestigation may include: viral andrickettsial infections, nosocomialinfections, acquired immunodeficiencysyndrome, vector-borne infectiousdiseases, respiratory and food-bornebacterial diseases, sexually transmitteddiseases, parasitic diseases, and otherdiseases or conditions relevant to thedisciplines of bacteriology, virology,parasitology, medical entomology,mycology, immunology, and pathology.The recipient must be able to providesupport for postdoctoral scientists ofunusual ability and promise or provenachievement by giving them anopportunity to conduct applied andoperational research on significantpublic health problems identified withthese research interests. Associateshipsshould be for a two year period.

Program RequirementsIn conducting activities to achieve the

purpose of this program, the recipientshall be responsible for the activitiesunder A., below, and CDC shall beresponsible for conducting activitiesunder B., below:

A. Recipient Activities1. Develop and conduct a Resident

Postdoctoral Research AssociatesProgram in Microbiology to supportdevelopment of new approaches,methodologies, and knowledge ininfectious disease prevention andcontrol.

2. Identify specific researchopportunities from descriptionsprovided by CDC.

3. Establish program policies/procedures for application and selection(e.g., establish applicant eligibilitycriteria).

4. Develop announcements/advertisements and an applicationpackage describing the program, listingresearch opportunities, and providingapplication instructions. Widelydistribute the announcements andapplication package with the objectiveof soliciting applications from qualifiedindividuals throughout the United


States. Contribute to the racial andgender diversity of the program byassuring a wide distribution of thematerials among eligible women andminority microbiologists.

5. Develop a competitive associateapplication review and approvalprocess. Based on the review process,select applicants to be awarded two yearassociateships.

6. Provide administrative support toassociates during their tenure, includingthe payment of a stipend (consistentwith PHS levels identified in theapplication kit), enrollment in a healthinsurance plan, and reimbursement ofexpenses for professional travel.Administer the program such thatassociates will not be employees ofeither recipient organization or CDC.

7. Establish associate publication/presentation policies which encouragethe dissemination of associate researchresults.

8. Develop a plan for monitoring andevaluating the progress of associates andprogress toward achieving goals of theprogram.

B. CDC Activities

1. Provide assistance in developingand conducting the ResidentPostdoctoral Research AssociatesProgram in Microbiology.

2. Provide descriptions ofmicrobiological research and areas ofinvestigation that are appropriate forpotential associates.

3. Provide a list of potential scientificadvisers for associates.

4. Assist in review of potentialresearch proposals and providecomments and/or suggested changes inthe scope or method of the research.

5. Review publications andpresentations resulting from researchinvestigations conducted under theprogram.

6. Assist in the development of a planfor monitoring progress of the programand achieving program goals.

Evaluation CriteriaThe applications will be reviewed and

evaluated based on the followingweighted criteria:

1. Background (10 Points)

The extent to which applicantdemonstrates a clear understanding ofthe background and objectives of thiscooperative agreement program.

2. Capacity (55 Points Total)

a. The extent to which the applicantdemonstrates that the organization has asignificant history of promoting thescience of microbiology as it relates toinfectious diseases. The extent to which

the applicant demonstrates it haspromoted the science of microbiologyby conducting regular national meetingsand workshops devoted to currenttopics. (10 points)

b. The extent to which the applicantdemonstrates experience inmicrobiology education and training.The extent to which the applicantdemonstrates experience in conductingpostdoctoral programs similar to thatproposed in this cooperative agreementannouncement. (30 points)

c. The extent to which the applicantdemonstrates it has adequate resourcesand facilities (e.g., administrative andfinancial management operations, officefunctions, etc.) to conduct the proposedprogram. (5 points)

d. The extent to which applicantdocuments (e.g., by curriculum vitae)that all key personnel have adequaterelevant experience to successfullydevelop and conduct the proposedprogram. (10 points)

3. Operational Plan (35 Points Total)a. Extent to which applicant presents

a detailed and time-phased operationalplan for developing and conducting theprogram. The extent to which the planclearly and appropriately addresses allRecipient Activities. Extent to whichapplicant clearly identifies specificassigned responsibilities of all keyprofessional personnel. The extent towhich applicant’s plan appears feasibleand likely to achieve programobjectives. (15 points)

b. The extent to which applicantclearly describes collaboration withCDC that utilizes CDC’s uniqueexpertise in public health infectiousdisease microbiology. (15 points)

c. The extent to which applicantdescribes in detail a plan for evaluatingprogress of individual associates and forevaluating progress toward achievingoverall program objectives. (5 points)

4. BudgetThe extent to which the proposed

budget is reasonable, clearly justifiable,and consistent with the intended use ofcooperative agreement funds. (notscored)

5. Human SubjectWhether or not exempt from the

Department of Health and HumanServices (DHHS) regulations, areprocedures adequate for the protectionof human subjects? Recommendationson the adequacy of protections include:(1) Protections appear adequate andthere are no comments to make orconcerns to raise, or (2) protectionsappear adequate, but there arecomments regarding the protocol, or (3)

protections appear inadequate and theObjective Review Group (ORG) hasconcerns related to human subjects; (4)disapproval of the application isrecommended because the researchrisks are sufficiently serious andprotection against the risks areinadequate as to make the entireapplication unacceptable. (not scored)

Executive Order 12372 ReviewApplications are not subject to review

as governed by Executive Order 12372,‘‘Intergovernmental Review of FederalPrograms.’’


This program is not subject to thePublic Health System ReportingRequirements.




application PHS Form 5161–1 (OMBNumber 0937–0189) must be submittedto Sharron Orum, Grants ManagementOfficer, Grants Management Branch,Procurement and Grants Office, Centersfor Disease Control and Prevention(CDC), 255 East Paces Ferry Road, NE.,Room 300, Mailstop E–09, Atlanta,Georgia 30305, on or before August 5,1996.


(a) Received on or before the deadlinedate; or

(b) Sent on or before the deadline dateand received in time for submission tothe objective review group. (Applicantsmust request a legibly dated U.S. PostalService postmark or obtain a legiblydated receipt from a commercial carrieror U.S. Postal Service. Private meteredpostmarks shall not be acceptable asproof of timely mailing.)

2. Late Applications: Applicationswhich do not meet the criteria in 1.(a.)or 1.(b.) above are considered lateapplications. Late applications will notbe considered in the currentcompetition and will be returned to theapplicant.


A complete program description,information on application procedures,an application package businessmanagement technical assistance maybe obtained from Nealean K. Austin,Grants Management Specialist, Grants


Management Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E–09, Atlanta, Georgia 30305;by telephone on (404) 842–6512; by faxon (404) 842–6513; or by Internet orCDC WONDER electronic mail at<[email protected]>.

Programmatic technical assistancemay be obtained from Joseph E.McDade, Ph.D., Associate Director forLaboratory Science, National Center forInfectious Diseases, Centers for DiseaseControl and Prevention (CDC), Atlanta,Georgia 30333; by telephone on (404)639–3967; by fax (404) 639–3039; byInternet or CDC WONDER electronicmail at <[email protected]>.

Please refer to AnnouncementNumber 639 when requestinginformation regarding this program.

Potential applicants may obtain acopy of Healthy People 2000 (FullReport, Stock No. 017–001–00474–0) orHealthy People 2000 (Summary Report,Stock No. 017–001–00473–1) referencedin the Introduction through theSuperintendent of Documents,Government Printing Office,Washington, DC 20402–9325, telephone(202) 512–1800.

There may be delays in mail deliveryand difficulty in reaching the CDCAtlanta offices during the 1996 SummerOlympics. Therefore, CDC suggestsusing Internet, following all instructionsin this announcement and leavingmessages on the contact person’s voicemail for more timely responses to anyquestions.


[Announcement 633]

Violence Prevention Programs; Noticeof Availability of Funds for Fiscal Year1996


Prevention (CDC), announces theavailability of fiscal year (FY) 1996funds for cooperative agreements forViolence Prevention Programs. Theseprojects will develop, implement, andevaluate multifaceted violenceprevention programs to reduce theincidence of injuries, disabilities, anddeaths due to interpersonal violenceamong youth. The cooperativeagreements which supported the

development of scientific understandingof interventions and programs that areeffective in preventing violence-relatedinjuries, disabilities, and deaths amongadolescents and young adults willextend and build upon the work begunin the group of cooperative agreementsfunded under CDC’s ProgramAnnouncement No. 329, which began inFY 1993.

CDC is committed to achieving thehealth promotion and diseaseprevention objectives described in‘‘Healthy People 2000,’’ a nationalactivity to reduce morbidity andmortality and improve the quality oflife. This announcement is related to thepriority area of Violent and AbusiveBehavior—(For ordering a copy of‘‘Healthy People 2000,’’ see the Section‘‘Where to Obtain AdditionalInformation’’).

AuthorityThis program announcement is

authorized under Sections 301, 317, and391–394 (42 U.S.C. 241, 247b, and280b–280b–3) of the Public HealthService Act as amended.


recipients to provide a smoke- freeworkplace and promote the non-use ofall tobacco products, and Public Law103–227, the Pro-Children Act of 1994,prohibits smoking in certain facilitiesthat receive Federal funds in whicheducation, library, day care, health care,and early childhood developmentservices are provided to children.

Eligible ApplicantsApplications will be accepted from

public and private, non-profit and for-profit organizations and governmentsand their agencies. Thus, community-based organizations, other public andprivate organizations, State, territorial,and local governments or their bona fideagents, federally recognized Indiantribal governments, Indian tribes, orIndian tribal organizations, hospitals,churches, and small, minority- and/orwomen-owned businesses, universities,colleges, and other research institutions,are eligible to apply.

Availability of FundsApproximately $1,600,000 is available

in FY 1996 to fund up to four projectsto develop, implement, and evaluateintervention programs designed toprevent violent injury in one, or somecombination, of the two priority areas,Creating Pro-social Environments forChild Development and CreatingOpportunity for Youth-at-risk. Awardsare expected to range from $350,000 to

$420,000 with an average award of$400,000 for each 12-month budgetperiod.

It is expected that the new awardswill begin on or about September 30,1996. Awards will be made for a 12-month budget period within a 3-yearproject period. Funding estimates mayvary and are subject to change.

Continuation awards within theproject periods will be made on thebasis of satisfactory progress asevidenced by required reports and theavailability of funds. At the request ofthe applicant, Federal personnel may beassigned to a project area in lieu of aportion of the financial assistance.


agreement program is to support theimplementation and evaluation ofmultifaceted interventions which aredesigned to prevent violence-relatedinjuries and demonstrate strongpotential for broad-scaleimplementation in the Nation’scommunities. Applicants may proposeto develop, implement, and evaluateinterventions to prevent injuries due tointerpersonal youth violence in one, oftwo main areas:

A. Creating Pro-Social Environmentsfor Child Development—refers to effortsto encourage development of pro-socialbehavior and attitudes among childrenbetween 3 and 10 years of age bymodifying institutional environments incommunities exhibiting high rates ofviolent behavior (e.g., homicide rates).Numerous interventions have alreadybeen evaluated in schools, and, whileschool settings are appropriate, westrongly encourage applications whoseproposed interventions occur in othersettings, such as; homes, churches,daycare, after school programs, andother community settings, or in somecombination of school and othersettings.

Interventions proposed in this priorityarea must include significantcomponents in non-school settings, andmust be directed toward strengtheningparent-child relationships and pro-social family environments. Efforts tostrengthen parent-child relationshipsare one of the most challenging, and oneof the most promising areas forpreventing the development of violentbehavior among youth. In particular,strategies that attempt to improvetraining in parenting skills and providesupport services to empower parents tomonitor and supervise their childrenmore effectively are of interest.

B. Creating Opportunity for Youth-at-Risk—refers to efforts to createeconomic opportunities for youth.


Efforts to identify, recruit, and retainyouth from high-risk environments andsituations into programs designed toimprove their life-choices andopportunities and reduce their risk ofbeing victims or perpetrators of violenceshould also be incorporated. Youth inhigh-risk environments include youthwho are found: (1) in settings withlimited opportunities to develop theskills needed to participate adequatelyin societal institutions, and/or (2) inenvironments that are associated withelevated risk for becoming victims orperpetrators of violent behavior.

In an effort to develop economicopportunity for youth in high riskenvironments, applicants who proposeinterventions in this priority area mustdevelop collaborative relationships withbusiness, corporate, or business alliancepartners that will, at a minimum,provide assistance in development ofjob training and placement components.

Whenever possible, applicants areencouraged to utilize existing deliverysystems rather than create new ones inorder to maximize acceptance of theprogram by potential participants,increase the likelihood that theintervention will be continued afterresearch has been completed, andexpedite the evaluation.

Program Requirements

Successful completion of the projectwill require a close working relationshipbetween the recipient and CDC.Recipient and CDC activities are listedbelow:


In conducting activities to achieve thepurpose of this program, the recipientwill:

1. Collect, compile, and analyzeinformation relevant to the proposedproject.

2. Develop a final written scientificprotocol for a comprehensive evaluationof the specific intervention(s) throughconsultation with CDC staff. Thisprotocol will contain the followingelements:

a. Statement of the questions to beanswered (hypotheses to be tested);

b. Description of the intervention tobe evaluated;

c. Data collected and analyzed toassess intervention implementation(monitoring), outcome (impact), andcost, including data used to monitor andmanage the intervention;

d. Description of data collectionmethods (both scientific andoperational) for monitoring, impactassessment, and cost data;

e. Description of how data will bemaintained (i.e., in what databases);and,

f. Description of statistical techniquesthat will be used to analyze the data.

3. Obtain the necessary clearancesand agreements to proceed with allaspects of the proposed violenceprevention project. These shall includeappropriate human subjects clearancesand agreements with other organizationsand individuals needed to complete theproject.

4. Identify or develop, and pilot testdata collection instruments.

5. Establish baseline rates for thepertinent outcomes within the targetgroup.

6. Monitor progress towardachievement of project goals throughuse of realistic, measurable, time-oriented objectives for all phases of theproject.

7. Implement the proposedintervention(s).

8. Evaluate the impact of theintervention.

9. Collect and compile monitoringand prevention effectiveness data in anongoing fashion. Compile ‘‘lessonslearned’’ from the project.

10. Establish an advisory structure toaddress issues related to violence toensure community input, and togenerate community support. Thisadvisory structure must includeindividuals, or representatives ofagencies or organizations withexperience, expertise and interest inpreventing violence. Additionally, theadvisory structure must includeindividuals who represent the targetpopulation.

11. Develop collaborativerelationships with voluntary,community-based public and privateorganizations and agencies alreadyinvolved in preventing violence.

B. CDC ActivitiesAs required for the proper direction of

these cooperative agreements, CDC will:1. Provide technical consultation on

implementing the intervention,determining the impact of theevaluation, and designing the scientificprotocols.

2. Collaborate in the design of allphases of the project, consult with theapplicant on data collection instrumentsand procedures, on the choice andtiming of the intervention, and ontraining needs and composition of theimplementation team.

3. Monitor interventionimplementation, and the collection andanalysis of process and impactassessment (outcome) data.

4. Facilitate information sharingamong DVP/NCIPC’s various evaluation

projects, and with similar projectsfunded by other agencies or privatefoundations.

5. Provide up-to-date scientificinformation about youth violenceprevention.

6. Assist in the transfer of informationand methods developed in theseprojects to other prevention programs.

Evaluation Criteria

Applicants will be evaluatedaccording to the following criteria(Maximum of 100 total points):

A. Target Group

The extent to which the target groupis described and access to the targetpopulation is demonstrated. The extentto which the target group has a highincidence or prevalence of the riskfactors to be influenced by the proposedintervention and the extent to whichappropriate demographic and morbiditydata are described. The extent to whichyouth, who are the direct or indirecttarget group, have a high incidence ofinterpersonal violence and violence-related injuries, disabilities, and deaths.(13 points)

The extent to which the applicantdemonstrates a capability to achieve asufficient level of participation by thetarget group in order to evaluate theintervention in an unbiased fashion.






B. Goals and Objectives

The extent to which the proposedgoals and objectives are clearly stated,time-phased, and measurable. Theextent to which they encompassmonitoring both process and outcomefeatures of the intervention. The extentto which specific questions to beanswered about the effectiveness andreplicability of the intervention aredescribed. (12 points)


C. Intervention Description

The extent to which the potentialeffectiveness of the intervention istheoretically justified and supported byepidemiologic, or social and behavioralresearch. The extent to which theintervention is feasible and can beexpected to produce the expectedresults in the target group of interest.The extent to which the intervention, itsimplementation, the development of allnecessary materials, and all necessarytraining are clearly described. Theextent to which the desired outcomes(e.g., behavioral change, injury,disability, or death) are specified anddefinitions of measurable endpoints areprovided. The extent to which thesetting in which the intervention is to beimplemented is clearly described andshown to be adequate for reaching thetarget group and achieving the desiredobjectives. The status of all necessarymeasurement instruments or trainingmaterials must be described; if any ofthis material is not extant, methods andtime frames for their development mustbe described. Necessary collaboratorsmust be identified, and evidence of theirability and intention to participate mustbe supplied. (25 points)

D. Evaluation Design and Analysis

The extent to which the evaluationdesign and the data analysis plan areclearly described and are appropriate forthe target group, intervention, datacollection opportunities, and proposedproject period. The extent to which thevarious threats to the validity of theevaluation are recognized andaddressed. The extent to which thesampling methods, sample sizeestimates, power estimates, and attritionof the participating population areclarified. The extent to which datacollection, data processing, andmanagement activities are clearlydescribed.

The extent to which the major phasesof the project are clearly presented andlogically and realistically sequenced.(25 points)

E. Project Management and StaffingPlan

The extent to which projectmanagement staff and their workingpartners are clearly described,appropriately assigned, and possesspertinent skills and experiences toconduct the project successfully tocompletion. The extent to which theapplicant has arranged to involveappropriate researchers and otherpersonnel who reflect the racial/ethniccomposition of the target group. Theextent to which the applicant or a full

working partner demonstrates thecapacity and facilities to design,implement, and evaluate the proposedintervention. (13 points)

F. Collaboration

The extent to which the necessarypartners are clearly described and theirqualifications and intentions toparticipate explicitly stated. The extentto which the applicant provides proof ofsupport (e.g., letters of support and/ormemoranda of understanding) forproposed activities. The extent to whicha full working partnership between acommunity-based organization, auniversity or other academic institution,and a State or local health departmenthas been established for applicantsseeking funds for a 3-year projectperiod. Evidence must be provided thatthese funds do not duplicate alreadyfunded components of ongoing projects.(12 points)

G. Proposed Budget

The extent to which the budgetrequest is clearly explained, adequatelyjustified, reasonable, sufficient for theproposed project activities, andconsistent with the intended use of thecooperative agreement funds. (Notscored)

H. Human Subjects

If human subjects will be involved,how they will be protected, i.e., describethe review process which will governtheir participation. (Not scored)

Funding PriorityImportant considerations for funding

will be geographic balance, arepresentative mixture of target groups,and diversity of intervention strategies.

Interested persons are invited tocomment on the proposed fundingpriority. All comments received on orbefore July 19, 1996 will be consideredbefore the final funding priority isestablished. If the funding priorityshould change as a result of anycomments received, a revisedAnnouncement will be published in theFederal Register prior to the finalreceipt of applications.

Written comments should beaddressed to Ron S. Van Duyne, GrantsManagement Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E–13, Atlanta, GA 30305.


Intergovernmental Review of FederalPrograms as governed by Executive

Order (E.O.) 12372. E.O. 12372 sets upa system for State and local governmentreview of proposed Federal assistanceapplications. Applicants (other thanfederally recognized Indian tribalgovernments) must contact their StateSingle Point of Contact (SPOC) as earlyas possible to alert them to theprospective applications and receiveany necessary instructions on the Stateprocess. For proposed projects servingmore than one State, applicants areadvised to contact the SPOC of eachaffected State. A current list of SPOCsis included in the application kit. IfSPOCs have any State processrecommendations on applicationssubmitted to CDC, they must forwardthem to Ron S. Van Duyne, GrantsManagement Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E13, Atlanta, GA 30305, nolater than 30 days after the applicationdeadline. (The appropriation for thisfinancial assistance program wasreceived late in the fiscal year andwould not allow for the applicationreceipt date which would accommodatethe 60-day State recommendationprocess period.) The AnnouncementNumber and Program Title should bereferenced on the document. Thegranting agency does not guarantee to‘‘accommodate or explain’’ for Stateprocess recommendations it receivesafter that date.

Indian tribes are strongly encouragedto request tribal government review ofthe proposed application. If tribalgovernments have any tribal processrecommendations on applicationssubmitted to CDC, they should forwardthem to Ron S. Van Duyne, GrantsManagement Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E–13, Atlanta, GA 30305. Thisshould be done no later than 30 daysafter the application deadline date. Thegranting agency does not guarantee to‘‘accommodate or explain’’ for tribalprocess recommendations it receivesafter that date.


This program subject to the PublicHealth System Reporting Requirements.Under these requirements, allcommunity-based nongovernmentalapplicants must prepare and submit theitems identified below to the head of theappropriate State and/or local healthagency(s) in the program area(s) that


may be impacted by the proposedproject no later than the receipt date ofthe Federal application. The appropriateState and/or local health agency isdetermined by the applicant. Thefollowing information must beprovided:

A. A copy of the face page of theapplication.

B. A summary of the project thatshould be titled —Public Health SystemImpact Statement— (PHSIS), not exceedone page, and include the following:




If the State and/or local health officialshould desire a copy of the entireapplication, it may be obtained from theState Single Point of Contact (SPOC) ordirectly from the applicant.



Other Requirements

A. Paperwork Reduction ActProjects that involve the collection of

information from 10 or more individualsand funded by cooperative agreementwill be subject to review by the Officeof Management and Budget under thePaperwork Reduction Act.

B. Human SubjectsIf the proposed project involves

research on human subjects, theapplicant must comply with theDepartment of Health and HumanServices Regulations, 45 CFR Part 46,regarding the protection of humansubjects. Assurance must be provided todemonstrate that the project will besubject to initial and continuing reviewby the appropriate institutional reviewcommittees. In addition to otherapplicable committees, Indian HealthService (IHS) institutional reviewcommittees also must review the projectif any component of IHS will beinvolved or will support the research. Ifany American Indian community isinvolved, its tribal government mustalso approve that portion of the projectapplicable to it. The applicant will beresponsible for providing assurance inaccordance with the appropriateguidelines and form provided in theapplication kit.

C. Confidentiality of RecordsAll identifying information obtained

in connection with the provision of

services to any person in any programthat is being carried out with acooperative agreement made under thisannouncement shall not be disclosedunless required by a law of a State orpolitical subdivision thereof unlesswritten, voluntary informed consent isprovided by persons who receivedservices.

D. Women, Racial, and EthnicMinorities

It is the policy of CDC to ensure thatindividuals of both sexes and thevarious racial and ethnic groups will beincluded in CDC supported researchprojects involving human subjects,whenever feasible and appropriate.Racial and ethnic groups are thosedefined in OMB Directive No. 15 andinclude American Indian, AlaskanNative, Asian, Pacific Islander, Blackand Hispanic. Applicants shall ensurethat women, racial and ethnic minoritypopulations are appropriatelyrepresented in applications for researchinvolving human subjects. Where clearand compelling rationale exist thatinclusion is inappropriate or notfeasible, this situation must beexplained as part of the application. Inconducting review for scientific merit,review groups will evaluate proposedplans for inclusion of minorities andboth sexes as part of the scientificassessment and scoring. This policydoes not apply to research studies whenthe investigator cannot control the race,ethnicity and/or sex of subject. Furtherguidance to this policy is contained inthe Federal Register, Vol. 60, No. 179,pages 47947–47951, Friday, September15, 1995.

E. Accounting SystemsThe services of a certified public

accountant licensed by the State Boardof Accountancy or equivalent must beretained throughout the budget periodas a part of the recipient’s staff, or as aconsultant to the recipient’s accountingpersonnel. These services may includethe design, implementation, andmaintenance of an accounting systemthat will record receipts andexpenditures of Federal funds inaccordance with accounting principles,Federal regulations, and terms of thecooperative agreement.

F. AuditsFunds claimed for reimbursement

under this cooperative agreement mustbe audited annually by an independentcertified public accountant (separateand independent of the consultantreferenced above or recipient’s staffcertified public accountant). This auditmust be performed within 60 days after

the end of the budget period, or at theclose of an organization’s fiscal year.The audit must be performed inaccordance with generally acceptedauditing standards (established by theAmerican Institute of Certified PublicAccountant (AICPA)), governmentalauditing standards (established by theGeneral Accounting Office (GAO)), andOffice of Management and Budget(OMB) Circular A–133.


application PHS Form 5161–1 (OMBNumber 0937–0189) must be submittedto Joanne A. Wojcik, GrantsManagement Specialist, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E13, Atlanta, GA 30305, on orbefore August 13, 1996.

A. DeadlinesApplications shall be considered as

meeting the deadline if they are either:1. Received on or before the deadline

date; or2. Sent on or before the deadline date

and received in time for submission tothe independent review committee. Forproof of timely mailing, applicants mustrequest a legibly dated U.S. PostalService postmark or obtain a legiblydated receipt from a commercial carrieror the U.S. Postal Service. Privatemetered postmarks will not beacceptable as proof of timely mailing.

B. Late ApplicationsApplications that do not meet the

criteria in A.1. or A.2. above areconsidered late. Late applications willnot be considered in the currentcompetition and will be returned to theapplicant.


To receive additional information call(404) 332–4561. You will be asked toleave your name, address and phonenumber and will need to refer toAnnouncement 633. You will receive acomplete program description,information on application proceduresand application forms. Theannouncement is also available throughthe CDC home page on the Internet. Theaddress for the CDC home page is http://www.cdc.gov.

If you have questions after reviewingthe contents of all documents, businessmanagement assistance may be obtainedfrom Joanne A. Wojcik, GrantsManagement Specialist, GrantsManagement Branch, Procurement and


Grants Office, Centers for DiseaseControl and Prevention (CDC), 255 E.Paces Ferry Road, NE., Mailstop E13,Atlanta, GA 30305, telephone (404)842–6535, or INTERNET [email protected].

Programmatic assistance may beobtained from Mark S. Long, Division ofViolence Prevention, National Center forInjury Prevention and Control, Centersfor Disease Control and Prevention(CDC), 4770 Buford Highway, NE,Mailstop K60, Atlanta, GA 30341–3724,telephone, (770) 488–4224, INTERNETaddress, [email protected].

Please Refer to Announcement Number633 When Requesting Information andSubmitting an Application

There may be delays in mail deliveryas well as difficulty in reaching the CDCAtlanta offices during the 1996 SummerOlympics (July 19–August 4). Therefore,in order to receive more timely responseto questions please use INTERNET/E-Mail, follow all instructions in thisannouncement and leave messages onthe contact person’s voice mail.

Potential applicants may obtain acopy of ‘‘Healthy People 2000’’ (FullReport, Stock No. 017–001–00474–0) or‘‘Healthy People 2000’’ (SummaryReport, Stock No. 017–001–00473–1)referenced in the Introduction throughthe Superintendent of Documents,Government Printing Office,Washington, DC 20402–9325, telephone,(202) 512–1800.


[Announcement 634]

Violence Prevention Programs(Longitudinal Evaluations)


Prevention (CDC), announces theavailability of fiscal year (FY) 1996funds for cooperative agreements forViolence Prevention Programs(Longitudinal Evaluations). Theseprojects will evaluate injury preventionprograms designed to reduce theincidence of injuries, disabilities, anddeaths due to interpersonal violenceamong youth. The cooperativeagreements will extend and build uponthe work begun in the group ofcooperative agreements funded underCDC’s Program Announcement 329,which began in fiscal year (FY) 1993.

The cooperative agreements fundedunder Program Announcement 329supported the continuing developmentof applied research to evaluate theeffectiveness of interventions andprograms designed to prevent violence-related injuries, disabilities, and deathsamong children, adolescents, and youngadults.

CDC is committed to achieving thehealth promotion and diseaseprevention objectives described in‘‘Healthy People 2000,’’ a nationalactivity to reduce morbidity andmortality and improve the quality oflife. This announcement is related to thepriority area of Violent and AbusiveBehavior (to order a copy of ‘‘HealthyPeople 2000,’’ see the Section Where toObtain Additional Information).

AuthorityThis program announcement is

authorized under Sections 301, 317, and391–394 (42 U.S.C. 241, 247b, and280b–280b–3) of the Public HealthService Act, as amended.


recipients to provide a smoke-freeworkplace and promote the non-use ofall tobacco products, and Public Law103–227, the Pro-Children Act of 1994,prohibits smoking in certain facilitiesthat receive Federal funds in whicheducation, library, day care, health care,and early childhood developmentservices are provided to children.

Eligible ApplicantsApplications will be accepted from

public and private, non-profit and for-profit organizations and governmentsand their agencies. Thus, community-based organizations, other public andprivate organizations, State, territorial,and local governments or their bona fideagents, federally recognized Indiantribal governments, Indian tribes, orIndian tribal organizations, hospitals,and small, minority- and/or women-owned businesses, universities,colleges, and other research institutions,are eligible to apply.

Availability of FundsApproximately $500,000 is available

in FY 1996 to fund up to four follow-up evaluations of previouslyimplemented and evaluated violenceprevention programs that targeted youthbelow the age of 19 years. Institutionsmay request funds for more than oneproject as long as the proposed projectsare submitted separately and aredistinctly different. Awards areexpected to range from $100,000 to$166,000 with an average award of

$125,000 for each 12-month budgetperiod.

It is expected that the new awardswill begin on or about September 30,1996, and will be made for a 12-monthbudget period. Programs funded underthis announcement will have a 3-yearproject period. Funding estimates mayvary and are subject to change.

Continuation funds within the projectperiods will be awarded on the basis ofsatisfactory progress as evidenced byrequired reports and the availability offunds. The estimates outlined abovemay vary, based on the quality of theapplications received within eachproject period.


agreement is to support extendedassessments of the impact of previouslyimplemented and evaluated violenceprevention programs that targeted youthbelow the age of 19 years whichdemonstrated promising outcomes.Specifically, this announcement seeksapplications to assess the residualeffects of previously evaluatedinterventions that initially exhibitedsignificant effects in reducing violentbehavior, violence-related injuries, orintermediate indicators (e.g.aggressiveness).

Of particular interest are: (1) assessingwhether the effects of the initialintervention persist, and (2) assessingthe effects of continued long-termintervention such as efforts to reinforcegains made in the initial interventionagainst both those who receive nosignificant additional reinforcement andthose who received no significantintervention.

Program RequirementsSuccessful completion of the project

will require a close working relationshipbetween the recipient and CDC.Recipient and CDC Activities are listedbelow:

A. Recipient ActivitiesIn conducting activities to achieve the

purpose of this program, the recipientwill:

1. Collect, compile, and analyzeinformation relevant to the proposedproject.

2. Develop a final written protocol fora comprehensive longitudinalevaluation of the intervention’s impact.

This protocol must contain thefollowing elements:

a. Statement of the questions to beanswered (hypotheses to be tested);

b. Description of the intervention tobe evaluated;

c. Specific monitoring data that hasbeen collected and analyzed;


d. Specific impact assessment datathat will be collected and analyzed;

e. A description of methods (bothscientific and operational) for collectingimpact assessment data;

f. A description of how data will bemaintained (i.e., in what format anddatabases, and how subjects’confidentiality will be protected); and,

g. A description of statisticaltechniques that will be used to analyzethe data.

3. Obtain the necessary clearancesand agreements to proceed with allaspects of the proposed violenceprevention project. These shall includeappropriate human subjects clearancesand agreements with other organizationsand individuals needed to complete theproject.

4. Identify or develop, and pilot testdata collection instruments.

5. Establish baseline rates forpertinent outcomes within the targetgroup.

6. Monitor progress towardachievement of project goals through theuse of realistic, measurable, time-oriented objectives for all phases of theproject.

7. Evaluate the longitudinal impact ofthe intervention.

8. Develop collaborative relationshipswith voluntary, community-basedpublic and private organizations andagencies already involved in preventingviolence.

B. CDC ActivitiesAs required for the proper direction of

these cooperative agreements, CDC will:1. Provide technical consultation on

determining the impact of theevaluation; and on designing thescientific protocols;

2. Collaborate in the design of allphases of the project;

3. Advise the awardee on datacollection instruments and procedures;

4. Monitor implementation ofcollection and analysis of impactassessment data;

5. Arrange for information sharingamong the various evaluation projects;

6. Provide up-to-date scientificinformation about youth violenceprevention; and

7. Assist in the transfer of informationand methods developed in theseprojects to other prevention programs.

Evaluation CriteriaApplications will be reviewed and

evaluated according to the followingcriteria (maximum 100 total points):

A. Intervention Description, InitialEvaluation Results (25%)

The extent to which the applicantdescribes in detail the intervention to be

evaluated, including the theoretical andscientific bases for the intervention’spotential effectiveness in reducingviolent behavior or injury among youth.

1. The extent to which the influenceof gender, ethnicity, life experiences,and social setting on pertinent risk andprotective factors are addressed.

2. The extent to which the applicantprovides quantitative evidence that theinitial intervention achieved significantbehavioral improvement in the targetgroup exposed to the intervention.

B. Goals and Objectives (10%)

1. The extent to which the applicanthas included goals which are relevant tothe purpose of the application andfeasible to be accomplished during theproject period, and the extent to whichthese goals are specific and measurable.

2. The extent to which the applicanthas included objectives which arefeasible to be accomplished during thebudget period, and which address allactivities necessary to achieve the statedgoals of the application.

3. The extent to which the objectivesare specific, time-framed, andmeasurable.

C. Evaluation (30%)

1. The extent to which the applicantprovides a comprehensive plan forevaluating the long-term effects of theintervention that includes:

a. A detailed description of theevaluation design and methods, and theanalysis plan to be used to answerresearch questions and to evaluate thepreviously implemented intervention.

b. A discussion of the feasibility andethical considerations relevant to theselected evaluation method.

c. A reasonable and completeschedule for implementing all projectactivities.

d. A detailed data management planwhich describes how monitoring andimpact assessment data will becollected, processed, and maintained foranalysis.

2. The extent to which barriers tovalidity are described and addressed.

3. The extent to which the samplepopulation is described, including:

a. Selection methods for assignmentto treatment or control groups;

b. A description of the community inwhich the target group lives;

c. A discussion that demonstrates thatthe target group is of sufficient size toyield an adequate sample for testing theproposed evaluation questions; and

d. A detailed discussion of the effectof attrition on sample size, and theapplicant’s plan for preserving access tothe target group in spite of this threat.

D. Project Management (20%)

1. The extent to which roles of eachunit, organization, or agency aredescribed, and coordination andsupervision of staff, organizations andagencies involved in activities isapparent.

2. The extent to which documentationof program organizational location isclear, and shows a coordinatedrelationship among staff andcollaborators in the applicant’sevaluation effort.

3. The extent to which positiondescriptions, CV’s, and lines ofcommand are appropriate toaccomplishment of program goals andobjectives.

4. The extent to which concurrencewith the applicant’s plans by all otherinvolved parties, including consultants,is specific and documented.






E. Collaboration (15%)

The extent to which the applicant:1. Describes current and proposed

collaborations with appropriategovernment, health, youth agencies,community-based organizations,minority organizations, and otherresearchers working with the specifiedtarget group;

2. Documents collaborativerelationships with letters of support andmemoranda of understanding whichprecisely specify the nature of past,present, and proposed collaborations,and the data products or services to beprovided to the applicant through theproject period.

F. Budget and Justification (NotWeighted)

The extent to which the applicantprovides a detailed budget and narrativejustification consistent with statedobjectives and planned programactivities.


G. Human Subjects (Not Weighted)

The extent to which the applicantdescribes the review process which willgovern the participation of humansubjects in order to insure theirprotection and privacy.


Intergovernmental Review of FederalPrograms as governed by ExecutiveOrder (E.O.) 12372. E.O. 12372 sets upa system for State and local governmentreview of proposed Federal assistanceapplications. Applicants (other thanfederally recognized Indian tribalgovernments) should contact their StateSingle Point of Contact (SPOC) as earlyas possible to alert them to theprospective applications and receiveany necessary instructions on the Stateprocess. For proposed projects servingmore than one State, applicants areadvised to contact the SPOC of eachaffected State. A current list of SPOCsis included in the application kit. IfSPOCs have any State processrecommendations on applicationssubmitted to CDC, they should sendthem to Ronald S. Van Duyne, GrantsManagement Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E13, Atlanta, GA 30305, nolater than 30 days after the applicationdeadline. (The appropriation for thisfinancial assistance program wasreceived late in the fiscal year andwould not allow for the applicationreceipt date which would accommodatethe 60-day State recommendationprocess period.) The AnnouncementNumber and Program Title should bereferenced on the document. Thegranting agency does not guarantee to‘‘accommodate or explain’’ for Stateprocess recommendations it receivesafter that date.

Indian tribes are strongly encouragedto request tribal government review ofthe proposed application. If tribalgovernments have any tribal processrecommendations on applicationssubmitted to CDC, they should forwardthem to Ronald S. Van Duyne, GrantsManagement Officer, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E13, Atlanta, GA 30305, nolater than 30 days after the applicationdeadline. The Announcement Numberand Program Title should be referencedon the document. The granting agencydoes not guarantee to ‘‘accommodate or

explain’’ for tribal processrecommendations it receives after thatdate.


This program subject to the PublicHealth System Reporting Requirements.Under these requirements, allcommunity-based nongovernmentalapplicants must prepare and submit theitems identified below to the head of theappropriate State and/or local healthagency(s) in the program area(s) thatmay be impacted by the proposedproject no later than the receipt date ofthe Federal application. The appropriateState and/or local health agency isdetermined by the applicant. Thefollowing information must beprovided:

A. A copy of the face page of theapplication.

B. A summary of the project thatshould be titled ‘‘Public Health SystemImpact Statement’’ (PHSIS), not exceedone page, and include the following:




If the State and/or local health officialshould desire a copy of the entireapplication, it may be obtained from theState Single Point of Contact (SPOC) ordirectly from the applicant.



Other Requirements

A. Paperwork Reduction ActProjects that involve the collection of

information from 10 or more individualsand funded by cooperative agreementwill be subject to review by the Officeof Management and Budget under thePaperwork Reduction Act.

B. Protection of Human SubjectsIf the proposed project involves

research on human subjects, theapplicant must comply with theDepartment of Health and HumanServices Regulations (45 CFR Part 46)regarding the protection of humansubjects. Assurance must be provided(in accordance with the appropriateguidelines and form provided in theapplication kit) to demonstrate that theproject will be subject to initial andcontinuing review by an appropriateinstitutional review committee. Inaddition to other applicable committees,

Indian Health Service (IHS) institutionalreview committees also must review theproject if any component of IHS will beinvolved or will support the research. Ifany American Indian community isinvolved, its tribal government mustalso approve that portion of the projectapplicable to it. The applicant will beresponsible for providing assurance inaccordance with the appropriateguidelines and form provided in theapplication kit.

C. Confidentiality of Records

All identifying information obtainedin connection with the provision ofservices to any person in any programthat is being carried out with acooperative agreement made under thisannouncement shall not be disclosedunless required by a law of a State orpolitical subdivision thereof unlesswritten, voluntary informed consent isprovided by persons who receivedservices.

D. Women, Racial and Ethnic Minorities

It is the policy of the Centers forDisease Control and Prevention (CDC) toensure that individuals of both sexesand the various racial and ethnic groupswill be included in CDC-supportedresearch projects involving humansubjects, whenever feasible andappropriate. Racial and ethnic groupsare those defined in OMB DirectiveNo.15 and include American Indian,Alaskan Native, Asian, Pacific Islander,Black and Hispanic. Applicants shallensure that women racial and ethnicminority populations are appropriatelyrepresented in applications for researchinvolving human subjects. Where a clearand compelling rationale exists thatinclusion is inappropriate or notfeasible, this situation must beexplained as part of the application.This policy does not apply to researchstudies when the investigator cannotcontrol the race, ethnicity, and/or sex ofsubjects. Further guidance to this policyis contained in the Federal Register,Vol. 60, No. 179, pages 47947–47951,dated Friday, September 15, 1995.

E. Accounting Systems

The services of a certified publicaccountant licensed by the State Boardof Accountancy or equivalent must beretained throughout the budget periodas a part of the recipient’s staff, or as aconsultant to the recipient’s accountingpersonnel. These services may includethe design, implementation, andmaintenance of an accounting systemthat will record receipts andexpenditures of Federal funds inaccordance with accounting principles,


Federal regulations, and terms of thecooperative agreement.

F. Audits

Funds claimed for reimbursementunder this cooperative agreement mustbe audited annually by an independentcertified public accountant (separateand independent of the consultantreferenced above or recipient’s staffcertified public accountant). This auditmust be performed within 60 days afterthe end of the budget period, or at theclose of an organization’s fiscal year.The audit must be performed inaccordance with generally acceptedauditing standards (established by theAmerican Institute of Certified PublicAccountant (AICPA)), governmentalauditing standards (established by theGeneral Accounting Office (GAO)), andOffice of Management and Budget(OMB) Circular A–133.


application PHS Form 5161–1 (OMBNumber 0937–0189) must be submittedto Joanne A. Wojcik, GrantsManagement Specialist, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 EastPaces Ferry Road, NE., Room 300,Mailstop E13, Atlanta, GA 30305, on orbefore August 15, 1996.

A. Deadlines

Applications shall be considered asmeeting the deadline if they are either:

1. Received on or before the deadlinedate; or

2. Sent on or before the deadline dateand received in time for submission tothe independent review committee. Forproof of timely mailing, applicants mustrequest a legibly dated U.S. PostalService postmark or obtain a legiblydated receipt from a commercial carrieror the U.S. Postal Service. Privatemetered postmarks will not beacceptable as proof of timely mailing.

Late Applications

Applications that do not meet thecriteria in A.1. or A.2. above areconsidered late. Late applications willnot be considered in the currentcompetition and will be returned to theapplicant.


To receive additional information call(404) 332–4561. You will be asked toleave your name, address and phonenumber and will need to refer toAnnouncement 634. You will receive acomplete program description,information on application proceduresand application forms. Theannouncement is also available throughthe CDC home page on the Internet. Theaddress for the CDC home page is http://www.cdc.gov.

If you have questions after reviewingthe contents of all documents, businessmanagement assistance may be obtainedfrom Joanne A. Wojcik, GrantsManagement Specialist, GrantsManagement Branch, Procurement andGrants Office, Centers for DiseaseControl and Prevention (CDC), 255 E.Paces Ferry Road, NE., Mailstop E13,Atlanta, GA 30305, telephone (404)842–6535, or INTERNET [email protected].

Programmatic assistance may beobtained from Mark S. Long, Division ofViolence Prevention, National Center forInjury Prevention and Control, Centersfor Disease Control and Prevention(CDC), 4770 Buford Highway, NE.,Mailstop K60, Atlanta, GA 30341–3724,telephone: (770) 488–4224, E-mail:[email protected].

Note: Please refer to announcementnumber 634 when requesting informationand submitting an application.

There may be delays in mail deliveryas well as difficulty in reaching the CDCAtlanta offices during the 1996 SummerOlympics (July 19 - August 4).Therefore, in order to receive more

timely response to questions please useINTERNET/E-Mail, follow allinstructions in this announcement andleave messages on the contact person’svoice mail.

Potential applicants may obtain acopy of ‘‘Healthy People 2000’’ (FullReport, Stock No. 017–001–00474–0) or‘‘Healthy People 2000’’ (SummaryReport, Stock No. 017–001–00473–1)referenced in the Introduction throughthe Superintendent of Documents,Government Printing Office,Washington, DC 20402–9325, telephone,(202) 512–1800.


Administration for Children andFamilies

Submission for OMB Review;Comment Request

Title: Jobs Opportunity Basic Skills(JOBS) Participation Rate QuarterlyReport.

OMB No.: 0970–0098.Description: The information received

from this collection will provide ACFthe information to determine if eachState has met the required JOBSparticipation rates and adjust the FFPrate accordingly. States must establishthat the specified percentage of thoserequired to participate in the JOBSprogram actually participate. Theroutine collection participation rate dataalso provides ACF with sufficientinformation to adequately respond toinquiries from Congress and otherinterested parties regarding nationwideJOBS participation rates.

Respondents: State governments.Annual Burden Estimates:

Instrument Number ofrespondents

Number of re-sponses perrespondent

Average bur-den hours per

response

Total burdenhours

ACF–103 ........................................................................................................... 54 4 12 2,592

Estimated Total Annual Burden Hours: 2,592.

Additional Information: Copies of theproposed collection may be obtained bywriting to The Administration forChildren and Families, Office ofInformation Services, Division ofInformation Resource ManagementServices, 370 L’Enfant Promenade, SW.,

Washington, DC 20447, Attn: ACFReports Clearance Officer.

OMB Comment: OMB is required tomake a decision concerning thecollection of information between 30and 60 days after publication of thisdocument in the Federal Register.Therefore, a comment is best assured of

having its full effect if OMB receives itwithin 30 days of publication. Writtencomments and recommendations for theproposed information collection shouldbe sent directly to the following: Officeof Management and Budget, PaperworkReduction Project, 725 17th Street, NW.,


Washington, DC 20503, Attn: Ms.Wendy Taylor.

Dated: June 10, 1996.Larry Guerrero,Acting Director, Office of InformationResource Management Services.[FR Doc. 96–15219 Filed 6–18–96; 8:45 am]BILLING CODE 4184–01–M

Food and Drug Administration

[Docket No. 96F–0101]

General Electric Co.; Filing of FoodAdditive Petition

AGENCY: Food and Drug Administration,HHS.ACTION: Notice.

SUMMARY: The Food and DrugAdministration (FDA) is announcingthat General Electric Co. has filed apetition proposing that the food additiveregulations be amended to provide forthe safe use of triisopropanolamine as acomponent of phosphorous acid, cyclicbutylethyl propanediol, 2,4,6-tri-tert-butylphenyl ester, a stabilizer for olefinpolymers intended for use in contactwith food.DATES: Written comments onpetitioner’s environmental assessmentby July 19, 1996.ADDRESSES: Submit written commentsto the Dockets Management Branch(HFA–305), Food and DrugAdministration, 12420 Parklawn Dr.,rm. 1–23, Rockville, MD 20857.FOR FURTHER INFORMATION CONTACT: VirD. Anand, Center for Food Safety andApplied Nutrition (HFS–216), Food andDrug Administration, 200 C St. SW.,Washington, DC 20204, 202–418–3081.SUPPLEMENTARY INFORMATION: Under theFederal Food, Drug, and Cosmetic Act(sec. 409(b)(5) (21 U.S.C. 348(b)(5))),notice is given that a food additivepetition (FAP 6B4507) has been filed byGeneral Electric Co., 1 Lexan Lane, Mt.Vernon, IN 47620–9364. The petitionproposes to amend the food additiveregulations in § 178.2010 Antioxidantsand/or stabilizers for polymers (21 CFR178.2010) to provide for the safe use oftriisopropanolamine as a component ofphosphorous acid, cyclic butylphenylpropanediol, 2,4,6-tri-tert-butylphenylester, a stabilizer for olefin polymersintended for use in contact with food.

The potential environmental impactof this action is being reviewed. Toencourage public participationconsistent with regulations promulgatedunder the National EnvironmentalPolicy Act (40 CFR 1501.4(b)), theagency is placing the environmentalassessment submitted with the petition

that is the subject of this notice ondisplay at the Dockets ManagementBranch (address above) for publicreview and comment. Interested personsmay, on or before July 19, 1996, submitto the Dockets Management Branch(address above) written comments. Twocopies of any comments are to besubmitted, except that individuals maysubmit one copy. Comments are to beidentified with the docket numberfound in brackets in the heading of thisdocument. Received comments may beseen in the office above between 9 a.m.and 4 p.m., Monday through Friday.FDA will also place on public displayany amendments to, or comments on,the petitioner’s environmentalassessment without furtherannouncement in the Federal Register.If, based on its review, the agency findsthat an environmental impact statementis not required and this petition resultsin a regulation, the notice of availabilityof the agency’s finding of no significantimpact and the evidence supporting thatfinding will be published with theregulation in the Federal Register inaccordance with 21 CFR 25.40(c).

Dated: June 4, 1996.Alan M. Rulis,Director, Office of Premarket Approval,Center for Food Safety and Applied Nutrition.[FR Doc. 96–15467 Filed 6–18–96; 8:45 am]BILLING CODE 4160–01–F

Health Care Financing Administration

Agency Information CollectionActivities: Proposed Collection;Comment Request

AGENCY: Health Care FinancingAdministration, HHS.

In compliance with the requirementof section 3506(c)(2)(A) of thePaperwork Reduction Act of 1995, theHealth Care Financing Administration(HCFA), Department of Health andHuman Services, is publishing thefollowing summaries of proposedcollections for public comment.Interested persons are invited to sendcomments regarding this burdenestimate or any other aspect of thiscollection of information, including anyof the following subjects: (1) Thenecessity and utility of the proposedinformation collection for the properperformance of the agency’s functions;(2) the accuracy of the estimatedburden; (3) ways to enhance the quality,utility, and clarity of the information tobe collected; and (4) the use ofautomated collection techniques orother forms of information technology tominimize the information collectionburden.

1. Type of Information CollectionRequest: Reinstatement, without change,of previously approved collection forwhich approval has expired; Title ofInformation Collection: AuthorizationAgreement for Electronic FundsTransfer; Form No.: HCFA–588; Use:This information is needed to allowproviders to receive funds electronicallyin their bank; Frequency: On occasion;Affected Public: Business or other forprofit, not for profit institutions;Number of Respondents: 78,550; TotalAnnual Responses: 78,550; TotalAnnual Hours: 9,819. Number ofRespondents: 16,000; Total AnnualResponses: 16,000; Total Annual Hours:20,000.

2. Type of Information CollectionRequest: Reinstatement, without change,of previously approved collection forwhich approval has expired; Title ofInformation Collection: Application forHealth Insurance Under Medicare forIndividuals with Chronic Renal Disease;Form No.: HCFA–43; Use: This form isused as a standard method of elicitinginformation necessary to determineentitlement to Medicare under the endstage renal disease provision of the law;Frequency: On occasion; AffectedPublic: Individuals and households,Federal government; Number ofRespondents: 80,000; Total AnnualResponses: 80,000; Total Annual Hours:34,400.

3. Type of Information CollectionRequest: Extension of a currentlyapproved collection; Title ofInformation Collection: ClinicalLaboratory Improvement AmendmentsApplication Form; Form No.: HCFA–116; Use: This application is completedby entities performing laboratory testingon human specimens for healthpurposes; Frequency: Biennially;Affected Public: Business or other forprofit, not for profit institutions, Federalgovernment and State, local or tribalgovernments; Number of Respondents:16,000; Total Annual Responses:16,000; Total Annual Hours: 20,000.

4. Type of Information CollectionRequest: Reinstatement, without change,of previously approved collection forwhich approval has expired; Title ofInformation Collection: Post LaboratorySurvey Questionnaire-Surveyor; FormNo.: HCFA–668A; Use: This surveyprovides the surveyor with anopportunity to evaluate the surveyprocess. The form is completed inconjunction with the HCFA form 668B.This information with help HCFAevaluate the entire survey process fromthe surveyor’s prospective; Frequency:Biennially; Affected Public: Business orother for profit, not for profitinstitutions, Federal government and


State, local or tribal governments;Number of Respondents: 1,560; TotalAnnual Responses: 1,560; Total AnnualHours: 390.

5. Type of Information CollectionRequest: Reinstatement, without change,of previously approved collection forwhich approval has expired; Title ofInformation Collection: Post LaboratorySurvey Questionnaire-Laboratory; FormNo.: HCFA–668B; Use: This surveyprovides the laboratory with anopportunity to evaluate the surveyprocess. The form is completed inconjunction with the HCFA form 668A.This information will help HCFAevaluate the entire survey process fromthe laboratory’s prospective; Frequency:Biennially; Affected Public: Business orother for profit, not for profitinstitutions, Federal government andState, local or tribal governments;Number of Respondents: 1,560; TotalAnnual Responses: 1,560: Total AnnualHours: 390.

Total Annual Hours: 390.To obtain copies of the supporting

statement for the proposed paperworkcollections referenced above, accessHCFA’s WEB SITE ADDRESS at [http://www.hcfa.gov], or to obtain thesupporting statement and any relatedforms, E-mail your request, includingyour address and phone number, [email protected], or call the ReportsClearance Office on (410) 786–1326.Written comments andrecommendations for the proposedinformation collections must be mailedwithin 60 days of this notice directly toHCFA Paperwork Clearance Officerdesignated at the following address:HCFA, Office of Financial and HumanResources, Management Planning andAnalysis Staff, Attention: John Burke,Room C2–26–17, 7500 SecurityBoulevard, Baltimore, Maryland 21244–1850.

Dated: June 13, 1996.Kathleen B. Larson,Director, Management Planning and AnalysisStaff, Office of Financial and HumanResources, Health Care FinancingAdministration.[FR Doc. 96–15612 Filed 6–18–96; 8:45 am]BILLING CODE 4120–03–P


AGENCY: Health Care FinancingAdministration, HHS.

In compliance with the PaperworkReduction Act of 1995 (44 U.S.C. 3501et seq.), the Health Care FinancingAdministration (HCFA), Department ofHealth and Human Services, has

submitted to the Office of Managementand Budget (OMB) the followingproposals for the collection ofinformation. Interested persons areinvited to send comments regarding theburden estimate or any other aspect ofthis collection of information, includingany of the following subjects: (1) Thenecessity and utility of the proposedinformation collection for the properperformance of the agency’s functions;(2) the accuracy of the estimatedburden; (3) ways to enhance the quality,utility, and clarity of the information tobe collected; and (4) the use ofautomated collection techniques orother forms of information technology tominimize the information collectionburden.

1. Type of Information CollectionRequest: Revision of a currentlyapproved collection; Title ofInformation Collection: MedicareCurrent Beneficiary Survey: Round-16 ;Form No.: HCFA–P–15A; Use: TheOffice of the Actuary, HCFA, proposesto supplement the questionnaire andsample for the September, 1996 Round-16 of the Medicare Current BeneficiarySurvey (MCBS) to facilitate comparisonsof the experiences of beneficiaries usingmanaged care and those in the fee-for-service medical care delivery system.The MCBS, is a national survey ofpersons served by Medicare, used tosupport policy and research bymeasuring use and cost of services,sources of payment, insurance coverage,health status, access, satisfaction andother information; Frequency: Annually;Affected Public: Individuals andhouseholds; Number of Respondents:1,900; Total Annual Hours: 1,900.

To obtain copies of the supportingstatement and any related forms, E-mailyour request, including your addressand phone number, [email protected], or call the ReportsClearance Office on (410) 786–1326.Written comments andrecommendations for the proposedinformation collections should be sentwithin 30 days of this notice directly tothe OMB Desk Officer designated at thefollowing address: OMB HumanResources and Housing Branch,Attention: Allison Eydt, New ExecutiveOffice Building, Room 10235,Washington, D.C. 20503.

Dated: June 13, 1996.Kathleen B. Larson,Director, Management Planning and AnalysisStaff, Office of Financial and HumanResources, Health Care FinancingAdministration.[FR Doc. 96–15613 Filed 6–18–96; 8:45 am]BILLING CODE 4120–03–P

[R–106]


In compliance with the requirementof section 3506(c)(2)(A) of thePaperwork Reduction Act of 1995, theHealth Care Financing Administration(HCFA), Department of Health andHuman Services, is publishing thefollowing summary of proposedcollections for public comment.Interested persons are invited to sendcomments regarding the burdenestimate or any other aspect of thiscollection of information, including anyof the following subjects: (1) Thenecessity and utility of the proposedinformation collection for the properperformance of the agency’s functions;(2) the accuracy of the estimatedburden; (3) ways to enhance the quality,utility, and clarity of the information tobe collected; and (4) the use ofautomated collection techniques orother forms of information technology tominimize the information collectionburden.

Type of Information CollectionRequest: Reinstatement, with change, ofa previously approved collection forwhich approval has expired; Title ofInformation Collection: Criteria forMedicare Coverage of Heart Transplants;Form No.: HCFA-R–106; Use: Medicareparticipating hospitals must file anapplication to be approved for coverageand payment of heart transplantsperformed on Medicare beneficiaries.Frequency: Annually; Affected Public:Business or other for-profit; Number ofRespondents: 5; Total AnnualResponses: 5; Total Annual HoursRequested: 500.

To request copies of the proposedpaperwork collections referenced above,call the Reports Clearance Office on(410) 786–1326. Written comments andrecommendations for the proposedinformation collections should be sentwithin 60 days of this notice directly tothe HCFA Paperwork Clearance Officerdesignated at the following address:HCFA, Office of Financial and HumanResources, Management Planning andAnalysis Staff, Attention: Louis Blank,Room C2–26–17, 7500 SecurityBoulevard, Baltimore, Maryland 21244–1850.

Dated: June 11, 1996.Kathleen B. Larson,Director, Management Planning and AnalysisStaff, Office of Financial and HumanResources.[FR Doc. 96–15515 Filed 6–18–96; 8:45 am]BILLING CODE 4120–03–P


Health Resources and ServicesAdministration


In compliance with the requirementof Section 3506(c)(2)(A) of thePaperwork Reduction Act of 1995 foropportunity for public comment onproposed data collection projects, theHealth Resources and ServicesAdministration (HRSA) will publishperiodic summaries of proposedprojects being developed for submissionto OMB under the Paperwork ReductionAct of 1995. To request moreinformation on the proposed project orto obtain a copy of the data collectionplans and instruments, call the HRSAReports Clearance Officer on (301) 443–1129.

Comments are invited on: (a) whetherthe proposed collection of information

is necessary for the proper performanceof the functions of the agency, includingwhether the information shall havepractical utility; (b) the accuracy of theagency’s estimate of the burden of theproposed collection of information; (c)ways to enhance the quality, utility, andclarity of the information to becollected; and (d) ways to minimize theburden of the collection of informationon respondents, including through theuse of automated collection techniquesor other forms of informationtechnology.

Proposed Projects

Health Professions Student Loan(HPSL) and Nursing Student Loan (NSL)Programs—Forms (OMB No. 0915–0044)—Extension and Revision—TheHPSL Program provides long-term, low-interest loans to students attendingschools of medicine, osteopathicmedicine, dentistry, veterinary

medicine, optometry, podiatricmedicine, and pharmacy. The NSLProgram provides long-term, low-interest loans to students who attendeligible schools of nursing in programsleading to a diploma in nursing, anassociate degree, a baccalaureate degree,or a graduate degree in nursing.Participating HPSL and NSL schools areresponsible for determining eligibility ofapplicants, making loans, and collectingmonies owed by borrowers on theiroutstanding loans. The Deferment form(HRSA Form 519) provides the schoolswith documentation of a borrower’seligibility for deferment. The AnnualOperating Report (AOR—HRSA Form501) provides the Federal Governmentwith information from participatingschools relating to HPSL & NSL programoperations and financial activities.

The estimated annual responseburden is as follows:

Form Number ofrespondents

Responsesper re-

spondent

Hours per re-spondent

Total annualhour burden

Deferment-519 ............................................................................................................... 10,375 1 10 min ......... 1,729 hrs.AOR-501 ........................................................................................................................ 1,178 1 5 hrs ............ 5,890 hrs.

Total .................................................................................................................... 11,553 .................... ..................... 7,619 hrs.

Three additional forms werepreviously approved under the OMBnumber cited above. These forms havebeen discontinued for the followingreasons:

HRSA–514, HPSL & NSL Applicationto Participate: This form was used byschools to apply to participate in theprograms. Because there have been noprogram appropriations for severalyears, and the schools are operating theprogram only with revolving loan funds,the application form is no longer used.

HRSA 518, Request for Postponementof Installment Payment, and HRSA 520,Request for Partial Cancellation of Loan:These forms, which were used byborrowers to request cancellation orpostponement of their student loanpayments in return for service as aRegistered Nurse, are no longer needed.The NSL cancellation provision forservice as a Registered Nurse has beenrepealed for loans made on or afterSeptember 29, 1979. There are now nostudents eligible for these benefits.

Send comments to Patricia Royston,HRSA Reports Clearance Officer, Room14–36, Parklawn Building, 5600 FishersLane, Rockville, MD 20857. Writtencomments should be received by August19, 1996.

Dated: June 13, 1996.J. Henry Montes,Associate Administrator for PolicyCoordination.[FR Doc. 96–15561 Filed 6–18–96; 8:45 am]BILLING CODE 4160–15–P

DEPARTMENT OF HOUSING ANDURBAN DEVELOPMENT

Office of Native American Programs;Redelegation of Authority for theEmergency Shelter Grants Program

[Docket No. FR–4093–D–01]

AGENCY: Office of Public and IndianHousing, HUD.ACTION: Notice of redelegation ofauthority.

SUMMARY: In this notice of redelegationof authority, the Deputy AssistantSecretary for the Office of NativeAmerican Programs, formerly known asthe Director, Office of Native AmericanPrograms, is redelegating to Field Officeof Native American Programs(‘‘FONAP’’) Administrators all powerand authority, subject to certainspecified exceptions, within theirrespective jurisdictions, for themanagement and administration of theEmergency Shelter Grants (‘‘ESG’’)program.

EFFECTIVE DATE: May 26, 1996.

FOR FURTHER INFORMATION CONTACT:Dominic A. Nessi, Deputy AssistantSecretary for Native AmericanPrograms, Office of Public and IndianHousing, Department of Housing andUrban Development, 451 Seventh Street,S.W., Room B–133, Washington, D.C.20410, (202) 755–0032. Atelecommunications device for thehearing-impaired is available at (202)708–1455. These are not toll-freenumbers.

SUPPLEMENTARY INFORMATION: By statute,Indian tribes receive a set aside of 1%of funds appropriated for the ESGprogram for Indian and Alaskan nativesunder Subtitle B of Title IV of theStewart B. McKinney HomelessAssistance Act, as amended, 42 U.S.C.§ 11371 et seq. Originally this set asideof ESG Program funds was administeredby the Office of Community Planningand Development (‘‘CPD’’). On March27, 1995, there were two noticespublished in the Federal Registerpertaining to the ESG Program. The firstnotice, published at 60 FR 15783, onMarch 27, 1995, revoked authority toadminister the ESG Program from theAssistant Secretary for CPD, anddelegated the authority to administerthe ESG program to the AssistantSecretary for Public and Indian Housing


(‘‘PIH’’). The second notice, publishedat 60 FR 15784, on March 27, 1995,redelegated from the Assistant Secretaryfor PIH, individually to the Director,Office of Native American Programs(currently known as the DeputyAssistant Secretary, Office of NativeAmerican Programs), to the DeputyDirector of Headquarters Operations,Office of Native American Programs,and to the Deputy Director of FieldOperations, Office of Native AmericanPrograms, all power and authority withrespect to the ESG program for Indiantribes and Alaskan natives, with theexception of the power to sue or besued.

In this notice, the Deputy AssistantSecretary for Native AmericanPrograms, formerly known as theDirector, Office of Native AmericanPrograms, is redelegating to FONAPAdministrators all power and authority,subject to certain specified exceptions,within their respective jurisdictions forthe administration and management ofthe ESG program under Subtitle B ofPart IV of the Stewart B. McKinneyHomeless Assistant Act, as amended, 42U.S.C. 11371 et seq.

Accordingly, the Deputy AssistantSecretary for Native American Programsredelegates as follows:

Section A. Authority Redelegated

Each Field Office of Native AmericanPrograms (FONAP) Administrator isauthorized by the Deputy AssistantSecretary for Native American Programsto exercise all power and authorityrequired to administer the ESG program,within his or her respective jurisdiction,subject to the exceptions stated inSection B, below.

Section B. Authority Excepted

With respect to Section A, theauthority redelegated does not includethe authority to:

(a) Effect remedies for noncompliancerequiring notice and an opportunity foran administrative hearing;

(b) Grant waivers of the general termsand conditions of the communitydevelopment block grant agreement;

(c) Determine that an applicant lacksthe legal capacity to assume or carry outenvironmental review responsibilities;and

(d) Make determinations of theeligibility of Indian Tribes and AlaskaNative Villages to participate in the ESGprogram except that those officialsdesignated in Section A may make thosedeterminations of eligibility that can bemade form lists provided to them eachfiscal year by the Assistant Secretary forPublic and Indian Housing.

The authority redelegated underSection A also does not include theauthority to issue or waive rules and/orstatutes.

Authority: Section 7(d), Department ofHousing and Urban Development Act, 42U.S.C. § 3535(d).

Dated: May 26, 1996.Dominic A. Nessi,Deputy Assistant Secretary for NativeAmerican Programs.[FR Doc. 96–15625 Filed 6–18–96; 8:45 am]BILLING CODE 4210–33–M


Fish and Wildlife Service

Notice of Receipt of Applications forPermit

The following applicants haveapplied for a permit to conduct certainactivities with endangered species. Thisnotice is provided pursuant to Section10(c) of the Endangered Species Act of1973, as amended (16 U.S.C. 1531, etseq.):PRT–781606Applicant: University of Florida, Department

Zoologogy, Gaineville, FL.

The applicant request a permit toimport samples of green (Cheloniamydas), hawksbill (Eretmochelysimbricata), loggerhead (Caretta caretta),and leatherback (Dermochelys coriacea)from Nicaraugua. This notice coversactivities conducted by the applicantover a period of five years.PRT–815734Applicant: Jordan Productions, Las Vegas,

NV.

The applicant requests a permit toreexport and reimport captive-borntigers (Panthera tigris) and progeny ofthe animals currently held by theapplicant and any animals acquired inthe United States by the applicant to/from worldwide locations to enhancethe survival of the species throughconservation education. Thisnotificatation covers activitiesconducted by the applicant over a threeyear period.PRT–815514Applicant: African Lion Safari & Game Farm,

Ontario, Canada.

The applicant requests a permit to re-export and re-import wild Asianelephants (Elephas maximus) andprogeny of the animals currently heldby the applicant and any animalsacquired in the United States by theapplicant to/from worldwide locationsto enhance the survival of the speciesthrough conservation education. This

notificatation covers activitiesconducted by the applicant over a threeyear period.PRT–812190Applicant: San Diego Zoo/Center for

Reproduction of Endangered Species, SanDiego, CA.

The applicant requests a permit toexport extracted DNA samples fromcaptive-born and captive-held blackrhinos (Diceros bicornis) to the NationalMuseum of Kenya for the purposes ofscientific research.PRT–815940Applicant: Dreher Park Zoo, W. Palm Beach,

FL.

The applicant requests a permit toimport a captive-held male jaguar(Panthera onca) from a privateindividual in Iquitos, Peru, to enhancethe propagation and survival of thespecies through captive breeding.

Written data or comments should besubmitted to the Director, U.S. Fish andWildlife Service, Office of ManagementAuthority, 4401 North Fairfax Drive,Room 430, Arlington, Virginia 22203and must be received by the Directorwithin 30 days of the date of thispublication.

Documents and other informationsubmitted with these applications areavailable for review, subject to therequirements of the Privacy Act andFreedom of Information Act, by anyparty who submits a written request fora copy of such documents to thefollowing office within 30 days of thedate of publication of this notice: U.S.Fish and Wildlife Service, Office ofManagement Authority, 4401 NorthFairfax Drive, Room 430, Arlington,Virginia 22203. Phone: (703/358–2104);FAX: (703/358–2281).

Dated: June 14, 1996.Caroline Anderson,Acting Chief, Branch of Permits, Office ofManagement Authority.[FR Doc. 96–15647 Filed 6–18–96; 8:45 am]BILLING CODE 4310–55–P

Bureau of Land Management

[AK–962–1410–00–P]

Notice for Publication (AA–55482);Alaska Native Claims Selection

In accordance with Departmentalregulation 43 CFR 2650.7(d), notice ishereby given that a decision to modifyeasement identification of Patent No.50–85–0412 and Interim ConveyanceNo. 1048, issued pursuant to Par. II andAppendix C, of the Terms andConditions for Land Consolidation andManagement in the Cook Inlet Area, as


clarified August 31, 1976, will be issuedto Cook Inlet Region, Inc., forapproximately 4,027 acres. The landsinvolved are in the vicinity ofSalamatof, Alaska.

Seward Meridian, AlaskaT. 4 N., R. 11 W., T. 7 N., R. 11 W., T. 4 N.,

R. 12 W., T. 6 N., R. 12 W., T. 7 N., R.12 W., T. 8 N., R. 12 W., T. 7 N., R. 14W.

A notice of the decision will bepublished once a week, for four (4)consecutive weeks, in the AnchorageDaily News. Copies of the decision maybe obtained by contacting the AlaskaState Office of the Bureau of LandManagement, 222 West SeventhAvenue, #13, Anchorage, Alaska 99513–7599 ((907) 271–5960).

Any party claiming a property interestwhich is adversely affected by thedecision, an agency of the Federalgovernment or regional corporation,shall have until July 19, 1996, to file anappeal. However, parties receivingservice by certified mail shall have 30days from the date of receipt to file anappeal. Appeals must be filed in theBureau of Land Management at theaddress identified above, where therequirements for filing an appeal may beobtained. Parties who do not file anappeal in accordance with therequirements of 43 CFR part 4, subpartE, shall be deemed to have waived theirrights.Gary L. Cunningham,Land Law Examiner, ANCSA Team, Branchof 962 Adjudication.[FR Doc. 96–15553 Filed 6–18–96; 8:45 am]BILLING CODE 4310–$$–P

[WY–040–05–1310–01]

Expanded Moxa Arch Area Natural GasDevelopment Project, Sweetwater,Lincoln, and Uinta Counties, WY;Availability of Final EnvironmentalImpact Statement

AGENCY: Lead Agency—Interior, Bureauof Land Management; CooperatingAgencies—Interior, Bureau ofReclamation and Fish and WildlifeService; Agriculture, Forest Service.ACTION: Notice of Availability of FinalEnvironmental Impact Statement (EIS).

SUMMARY: The Bureau of LandManagement (BLM) announces theavailability of the Expanded Moxa ArchArea Natural Gas Development ProjectFinal EIS. The draft EIS was releasedApril 14, 1995, for a 60-day publicreview. Over 300 copies of the draft EISwere issued and 23 comment letterswere received. Some comments receivedexpressed concern that the analysis of

cumulative effects of mineraldevelopment on the non-mineralresources of southwestern Wyomingwas lacking, including wildlife, and airquality; some felt a regional, cumulativeEIS should be prepared before anyfurther development is authorized; andsome felt land use changes would occurcausing industrialization of southwestWyoming. The final EIS contains acumulative air quality analysisaddendum to the draft EIS and Errataaddressing all concerns expressed bycommentors.DATES: Comments on the final EIS willbe accepted for 30 days following thedate that the Environmental ProtectionAgency (EPA) publishes their Notice ofAvailability in the Federal Register. TheEPA notice is expected to be publishedon June 21, 1996.ADDRESSES: Comments on the final EISshould be sent to Bureau of LandManagement, Bill McMahan (ProjectCoordinator), 280 Highway 191 North,Rock Springs, Wyoming 82901.SUPPLEMENTARY INFORMATION: The MoxaArch Operators (Amoco ProductionCompany, Union Pacific ResourcesCompany, Wexpro/Celsius EnergyCompany, Bannon Energy, Marathon OilCompany, Presidio Exploration, andother companies) propose to continue toinfill drill additional development wellsin their leased acreage within the MoxaArch oil and gas development area(approximately 476,261 acres) ofsouthwestern Wyoming. The expandedarea, combined with the lands analyzedin two previous environmental analysisdocuments, forms the Expanded MoxaArch Natural Gas Development (Moxa)analysis area.

Collectively, the Moxa Operators’proposal would continue to infill drillin the Moxa natural gas field, where 957wells are presently active and up to1,325 additional wells could be drilledover the next 10 years. The MoxaOperators’ plans and drilling scheduleswould be contingent upon both anincreased demand for natural gassupplies in response to the Clean AirAct amendments of 1990 and anadequate price for the gas at thewellhead.

The Moxa Arch EIS analyzes theimpacts of the Proposed Action—whichwould allow up to 1,325 new wells,Alternative A—which would allow upto 795 new wells (530 fewer than theProposed Action), and Alternative B—the No Action Alternative. The draft andfinal EIS impact analysis focuses on theresource issues and concerns identifiedduring public scoping and in responseto comments received on the draft EIS.This draft EIS, in compliance with

Section 7(c) of the Endangered SpeciesAct (as amended), includes theBiological Assessment for the purposeof identifying any endangered orthreatened species which are likely tobe affected by the proposed action.

Dated: June 6, 1996.Alan L. Kesterke,Associate State Director.[FR Doc. 96–15579 Filed 6–18–96; 8:45 am]BILLING CODE 4310–84–P

[AZ-054–06–1990–00; AZA 25589]

Notice of Realty Action; Recreationand Public Purposes (R&PP) ActClassification; Arizona

AGENCY: Bureau of Land Management,Interior.

ACTION: Notice.

SUMMARY: The following public landswere examined and found suitable forclassification and lease under the R&PPAct of June 14, 1926, as amended, 43U.S.C. 869 et seq. (see 56 FR 43034,August 30, 1991). The lands have nowbeen found suitable for conveyanceunder the same act:

Gila and Salt River Meridian, ArizonaT. 19 N., R. 22 W.,

Sec. 2, S1⁄2S1⁄2NE1⁄4, N1⁄2N1⁄2SE1⁄4.The area described contains 80 acres.

The land is not needed for Federalpurposes. Conveyance is consistent withcurrent BLM land use planning andwould be in the public interest.

The patent, when issued, will reserveditches and canals and all minerals tothe United States and be subject to theterms, conditions and reservationscontained in the R&PP Act, allapplicable regulations of the Secretaryof the Interior, and all existing third-party rights.

FOR FURTHER INFORMATION CONTACT:Janice Easley, Land Law Examiner,Havasu Resource Area, 3189 SweetwaterAvenue, Lake Havasu City, Arizona86406, Phone: (520) 855–8017.

SUPPLEMENTARY INFORMATION: The landwill remain segregated from all otherforms of appropriation under the publicland laws, including the general mininglaws, except for conveyance under theR&PP Act and leasing under the mineralleasing laws.

In the absence of any adversecomments, the classification willbecome effective 60 days from the dateof publication of this notice in theFederal Register.


Dated: June 12, 1996.Mary Jo Yoas,Chief, Lands and Minerals AdjudicationSection.[FR Doc. 96–15572 Filed 6–18–96; 8:45 am]BILLING CODE 4310–32–P

National Park Service

Notice of Availability of the DraftDevelopment Concept Plan/Environmental Impact Statement forthe Entrance Area/Road Corridor,Denali National Park and Preserve

AGENCY: National Park Service, Interior.ACTION: Notice of Availability of theDraft Development Concept Plan/Environmental Impact Statement for theEntrance Area/Road Corridor, DenaliNational Park and Preserve.

SUMMARY: The National Park Serviceannounces the availability of a DraftDevelopment Concept Plan/Environmental Impact Statement (DCP/EIS) for the Entrance Area/RoadCorridor (Front Country) of DenaliNational Park and Preserve. Thedocument describes and analyzes theenvironmental impacts of a proposedaction and three other actionalternatives for visitor facilities andservices. A no action alternative also isevaluated. This notice announces thedates and locations of public hearings tosolicit comments on the draft DCP/EIS.DATES: Comments on the draft DCP/EISmust be received no later than August19, 1996. Hearing dates, times, andlocations are listed underSupplementary Information, below.ADDRESSES: Comments on the draftDCP/EIS should be submitted to theSuperintendent, Denali National Parkand Preserve, Post Office Box 9, DenaliPark, Alaska 99755. Copies of the draftDCP/EIS are available by request fromthe aforementioned address.FOR FURTHER INFORMATION CONTACT:Mike Tranel, Denali National Park andPreserve. Telephone: (907) 683–9552FAX: (907) 683–9612.SUPPLEMENTARY INFORMATION: Pursuantto section 102(2)(C) of the NationalEnvironmental Policy Act of 1969 (P.L.91–190, as amended), the National ParkService, has prepared a draft DCP/EISfor proposed visitor facilities andservices on the front country DenaliNational Park and Preserve in Alaska.Information meetings and publichearings are scheduled in Alaska on thedates and at the times and locationsindicated below.

• August 5 (Monday), Anchorage,Egan Center, Room 56, 6:30 to 10:00 pm.

• August 6 (Tuesday), Talkeetna/Trapper Creek, Upper Susitna ValleySenior Center, 6:30 to 10:30 pm.

• August 7 (Wednesday), Healy, Tri-Valley Community Center, 6:30 to 10:00pm.

• August 8 (Thursday), Fairbanks,Westmark Hotel, 6:30 to 10:00 pm.

• August 13 (Tuesday), Cantwell,Community Hall, 6:30 to 10:00 pm.

• August 14 (Wednesday), DenaliPark, Denali Park Hotel, 6:30 to 10:00pm.

The first hour of each meeting will bea discussion session. Representatives ofthe NPS planning team will be availableto answer questions and hear yourcomments in a more informal setting.The rest of the meeting will be a publichearing; a brief introduction by theplanning team will be followed bypublic testimony on the plan.

The draft DCP/EIS includes fivealternatives for providing for visitor useand resource protection and relatedfacility development in the frontcountry of Denali National Park andPreserve. The front country includes allnon-wilderness areas along the ParksHighway, the Riley Creek/headquartersarea, and the park road corridor to theKantishna airstrip. The five alternativesinclude a no action alternative and fouraction alternatives. The proposed actionis based on the recommendations of theDenali Task Force, a committee formedat the request of the Secretary of theInterior in 1994, on proposals receivedduring public scoping, on previousplans, and on planning team work andimpact analysis.

Facilities and services considered inthe proposed action and in eachalternative include visitoraccommodations, campgrounds, camperconveniences, interpretive facilities,transportation, parking, bus tours,bicycle use, rest and picnic areas,concessions, road maintenance, trails,employee housing, administrative andsupport facilities, airstrips, and utilitysystems. The alternatives differ inconstruction costs, extent and locationof visitor facilities, and correspondingenvironmental, social, and economicimpacts.

The Proposed Action (Alternative D)would provide visitor facilities andservices in the front country to meet awide range of visitor needs andinterests. Front country developmentswould be limited to actions in whichthe NPS has traditionally specialized,such as interpretive centers,environmental education opportunities,trails, and campgrounds. The park hotelwould be closed, and the NPS wouldencourage the private sector to developvisitor service facilities

(accommodations, food service, andother commercial services) outside thepark. The existing Visitor Access Centerwould be remodeled and expanded toserve as an interpretive/science center,and a new visitor services building andparking would be constructed nearby.Camper convenience services would beprovided in this same area and theexisting store and temporary showerbuilding removed. Some buildings inthe former hotel area would beadaptively used to provide anenvironmental education facility. Newpermanent rest areas would beconstructed at Savage and Toklat.Additional trails would be constructedprimarily in the Nenana River andSavage River areas. New campsiteswould be developed in the entrancearea, the Nenana River corridor, and inthe Kantishna area. Road maintenanceand repair would be upgraded toaddress safety concerns and majorstructural failures along the park road.These actions would be phased in overthe 15- to 20-year life of the plan.

Alternative A (No Action—ContinueCurrent Management Direction)represents no change from currentmanagement direction. With theexception of development concepts notyet implemented, it continues thepresent course of action set forth inexisting management plans andguidance documents including theStatement for Management (1995) andthe General Management Plan/LandProtection Plan/Wilderness SuitabilityReview (1986). This alternativerepresents the existing situation in thepark, so existing facilities and serviceswould remain. For example, thetemporary park hotel would berehabilitated as funds allow, adaptiveuse of historic structures andovercrowding of administrative spacewould continue, campgrounds wouldnot be expanded, and no new trailconstruction or additional trailmaintenance would be done.

Alternative B (ImplementDevelopment Concepts from PreviousPlans) would fully implement previousplanning decisions and developmentconcepts contained in approved planssuch as the 1986 General ManagementPlan and the 1992 Amendment to the1983 Development Concept Plan/Environmental Assessment for the parkroad corridor and 1987 addendum (1992Riley Creek Amendment). Thesedocuments not only propose additionalfacilities throughout the park to supportNPS operations; they also proposeincreased visitor services and facilitieswithin the park entrance area. Examplesof new facilities proposed include a newhotel and camper convenience center to


replace existing temporary facilities, ahostel in the entrance area, a newinterpretive center with additionaladministrative space, a 50-siteexpansion to Riley Creek campground,and upgraded trail maintenance in theentrance area.

Alternative C (Reduce Facilities andServices Inside Park) would reduce thelevel of development and visitorservices inside the park and encouragethe private sector to provide necessarynew facilities such as overnightaccommodations, campgrounds, andcamper conveniences outside the parkboundary. Major new park facilitiessuch as an interpretive center and anenvironmental education center wouldbe constructed outside the park as well.The park entrance area would functionprimarily as a staging area for tripsfarther into the park rather than as adestination in itself. This alternativeallows for minimizing resource impactsand therefore maximizing resourceprotection inside the park.

Alternative E (Emphasize VisitorServices and Recreational OpportunitiesWithin the Park) would significantlyenhance the visitor experience byconcentrating new development insidethe park and providing a diversity ofvisitor facilities and services in the frontcountry to meet a wide range of visitorneeds and interests. The NPS wouldtake the leading role in providing newvisitor services. A new hotel wouldreplace the existing temporary building,and a hostel or similar low-costaccommodations would be constructedat a separate location. A newinterpretive center, a camperconveniences center, and anenvironmental education facility wouldbe constructed just north of Riley CreekCampground. Additional campsiteswould be developed throughout thefront country. New permanent rest areaswould be constructed at Toklat andSavage, and trails would be upgradedand expanded at several locations. Roadmaintenance and repair along the parkroad would be upgraded to addressdocumented structural problems as wellas safety concerns and actual structuralfailures.


Robert D. Barbee,Field Director, Alaska Field Office.[FR Doc. 96–15451 Filed 6–18–96; 8:45 am]


Office of Surface Mining Reclamationand Enforcement

Notice of Proposed InformationCollection

AGENCY: Office of Surface MiningReclamation and Enforcement.ACTION: Notice and request forcomments.

SUMMARY: In compliance with thePaperwork Reduction Act of 1995, theOffice of Surface Mining Reclamationand Enforcement (OSM) is announcingits intention to request approval for thecollections of information for 30 CFRparts 886 and 887.DATES: Comments on the proposedinformation collection must be receivedby August 19, 1996 to be assured ofconsideration.ADDRESSES: . Comments may be mailedto John A. Trelease, Office of SurfaceMining Reclamation and Enforcement,1951 Constitution Ave, NW., Room 120–SIB, Washington, DC 20240.FOR FURTHER INFORMATION CONTACT:To request a copy of the informationcollection request, explanatoryinformation and related forms, contactJohn A. Trelease, at (202) 208–2783.SUPPLEMENTARY INFORMATION: The Officeof Management and Budget (OMB)regulations at 5 CFR 1320, whichimplement provisions of the PaperworkReduction Act of 1995 (Pub. L. 104–13),require that interested members of thepublic and affected agencies have anopportunity to comment on informationcollection and recordkeeping activities(see 5 CFR 1320.8 (d)). This noticeidentifies information collections thatOSM will be submitting to OMB forextension. These collections arecontained in 30 CFR part 886, State andTribal Reclamation Grants; and part 887,Subsidence Insurance Program Grants.

OSM has revised burden estimates,where appropriate, to reflect currentreporting levels or adjustments based onreestimates of burden or respondents.OSM will request a 3-year term ofapproval for each information collectionactivity.

Comments are invited on: (1) the needfor the collection of information for theperformance of the functions of theagency; (2) the accuracy of the agency’sburden estimates; (3) ways to enhancethe quality, utility and clarity of theinformation collection; and (4) ways tominimize the information collectionburden on respondents, such as use of

automated means of collection of theinformation. A summary of the publiccomments will be included in OSM’ssubmissions of the informationcollection requests to OMB.

The following information is providedfor each information collection: (1) titleof the information collection; (2) OMBcontrol number; (3) summary of theinformation collection activity; and (4)frequency of collection, description ofthe respondents, estimated total annualresponses, and the total annualreporting and recordkeeping burden forthe collection of information.

Title: State and Tribal ReclamationGrants—30 CFR 886.

OMB control Number: 1029–0059.Summary: States and Indian tribes

participating in the Abandoned MinedLand Reclamation Fund (AMLR)Program are requested to cooperate withOSM in developing budget informationfor use by the Director, OSM, in thepreparation of his request to Congressfor appropriation of monies from theAMLR as authorized by section 405(f) ofthe Surface Mining Control andReclamation Act of 1977.

Bureau Form Number: OSM–49.Frequency of Collection: Annually.Description of Respondents: State and

Tribal reclamation authorities.Total Annual Responses: 26.Tatal Annual Burden Hours: 130

hoursTitle: Subsidence Insurance Program

Grants—30 CFR 887.OMB Control Number: 1029–0107.Summary: States having an approved

reclamation plan may establish,administer and operate self-sustainingstate-administered programs to insureprivate property against damages causedby land subsidence resulting fromunderground mining. States interestedin requesting monies for their insuranceprograms would apply to the Director ofOSM.

Bureau Form Number: None.Frequency of Collection: Once.Description of Respondents: States

with approved coal reclamation plans.Total Annual Responses: 0.Total Annual Burden Hours: 1.Dated: June 14, 1996.

Gene E. Krueger,Acting Chief, Office of TechnologyDevelopment and Transfer.[FR Doc. 96–15623 Filed 6–18–96; 8:45 am]BILLING CODE 4310–05–M


INTERNATIONAL TRADECOMMISSION

[Investigation No. 337–TA–380]

Certain Agricultural Tractors Under 50Power Take-Off Horsepower; Notice ofCommission Determination Not ToReview an Initial Determination FindingThree Respondents To Be in Default

AGENCY: U.S. International TradeCommission.ACTION: Notice.

SUMMARY: Notice is hereby given thatthe U.S. International TradeCommission had determined not toreview the initial determination (ID) ofthe presiding administrative law judge(ALJ) in the above-captionedinvestigation finding respondentsTractor Company, Sonica Trading, Inc.(Sonica Trading), and Toyo Service Co.,Ltd. (Toyo Service) in default, and tohave waived their respective rights toappear, to be served with documents,and to contest the allegations at issue inthe investigation.FOR FURTHER INFORMATION CONTACT:Shara L. Aranoff, Esq., Office of theGeneral Counsel, U.S. InternationalTrade Commission, 500 E Street, S.W.,Washington, D.C. 20436, telephone 202–205–3090.SUPPLEMENTARY INFORMATION: NeitherTractor Company, Sonica Trading, norToyo Service filed a response to thenotice of investigation or the complaint,a discovery statement, a target datestatement, or responses to complainants’discovery requests. On April 8, 1996,complainants Kubota TractorCorporation, Kubota Manufacturing ofAmerica Corporation, and KubotaCorporation moved that TractorCompany, Sonica Trading, and ToyoService be ordered to show cause whythey should not be found in default, andif they failed to make such a showing,that an ID be issued finding them to bein default. On April 17, 1996, the ALJordered the subject respondents to showcause no later than May 3, 1996, whyeach should not be found in default(Order No. 8). None of the threerespondents filed a response to theorder. Accordingly, on May 8, 1996, theALJ issued an ID (Order No. 13) findingTractor Company, Sonica Trading, andToyo Service in default pursuant toCommission final rule 210.16, andruling that they had waived theirrespective rights to appear, to be servedwith documents, and to contest theallegations at issue in the investigation.No petitions for review of the ID werereceived.

This action is taken under theauthority of section 337 of the Tariff Act

of 1930, as amended (19 U.S.C. § 1337),and section 210.42 of the Commission’sfinal Rules of Practice and Procedure(19 CFR § 210.42).

Copies of the ID and all othernonconfidential documents filed inconnection with this investigation areavailable for inspection during officialbusiness hours (8:45 a.m. to 5:15 p.m.)in the Office of the Secretary, U.S.International Trade Commission, 500 EStreet, S.W., Washington, D.C. 20436,telephone 202–205–2000. Hearingimpaired persons are advised thatinformation on the matter can beobtained by contacting theCommission’s TDD terminal at 202–205–1810.

Issued: June 10, 1996.By order of the Commission.

Donna R. Koehnke,Secretary.[FR Doc. 96–15610 Filed 6–18–96; 8:45 am]BILLING CODE 7020–02–P

[Inv. No. 337–TA–388]

Certain Dynamic Random AccessMemory Controllers and Certain Multi-Layer Integrated Circuits, as well asChipsets and Products ContainingSame; Notice of Investigation

AGENCY: U.S. International TradeCommission.ACTION: Institution of investigationpursuant to 19 U.S.C. § 1337.

SUMMARY: Notice is hereby given that acomplaint was filed with the U.S.International Trade Commission on May13, 1996, under section 337 of the TariffAct of 1930, as amended, 19 U.S.C.§ 1337, on behalf of Intel Corporation,2200 Mission College Boulevard, SantaClara, California 95052- 8119. Thecomplaint was amended on May 24,1996, and June 4, 1996, andsupplemented on May 28, 1996. Thecomplaint, as amended andsupplemented, alleges violations ofsection 337 in the importation into theUnited States, the sale for importation,and the sale within the United Statesafter importation of certain dynamicrandom access memory controllers andcertain multi-layer integrated circuits, aswell as chipsets and productscontaining same, that infringe claims 1,2, 5, 7, and 15 of United States LettersPatent 5,307,320, and claims 1 and 11of United States Letters Patent4,775,550.

The complainant requests that theCommission institute an investigationand, after a hearing, issue a permanentexclusion order and permanent ceaseand desist orders.

ADDRESSES: The complaint, except forany confidential information containedtherein, is available for inspectionduring official business hours (8:45 a.m.to 5:15 p.m.) in the Office of theSecretary, U.S. International TradeCommission, 500 E Street, S.W., Room112, Washington, D.C. 20436, telephone202–205–1802. Hearing-impairedindividuals are advised that informationon this matter can be obtained bycontacting the Commission’s TDDterminal on 202–205–1810.FOR FURTHER INFORMATION CONTACT:Smith R. Brittingham IV, Esq., Office ofUnfair Import Investigations, U.S.International Trade Commission,telephone 202–205–2576.

Authority: The authority for institution ofthis investigation is contained in section 337of the Tariff Act of 1930, as amended, andin section 210.10 of the Commission’s Rulesof Practice and Procedure, 19 CFR 210.10.

SCOPE OF INVESTIGATION: Havingconsidered the complaint, the U.S.International Trade Commission, onJune 12, 1996, ORDERED THAT—

(1) Pursuant to subsection (b) ofsection 337 of the Tariff Act of 1930, asamended, an investigation be institutedto determine whether there is aviolation of subsection (a)(1)(B) ofsection 337 in the importation into theUnited States, the sale for importation,or the sale within the United States afterimportation of certain dynamic randomaccess memory controllers and certainmulti-layer integrated circuits, as wellas chipsets and products containingsame, by reason of infringement ofclaims 1, 2, 5, 7, or 15 of United StatesLetters Patent 5,307,320, or claims 1 or11 of United States Letters Patent4,775,550; and whether there exists anindustry in the United States as requiredby subsection (a)(2) of section 337.

(2) For the purpose of theinvestigation so instituted, the followingare hereby named as parties upon whichthis notice of investigation shall beserved:

(a) The complainant is—IntelCorporation, 2200 Mission CollegeBoulevard, Santa Clara, California95052–8119.

(b) The respondents are the followingcompanies alleged to be in violation ofsection 337, and are the parties uponwhich the complaint is to be served:United Microelectronics Corporation,

No. 13 Innovation Road I, Science-Based Industrial Park, Hsinchu,Taiwan

Silicon Integrated Systems Corporation,2F No. 17 Innovation Rd. I, Science-Based Industrial Park, Hsinchu,Taiwan


Silicon Integrated Systems Corporation(U.S.), 240 North Wolfe Road,Sunnyvale, California 94806

Integrated Technology Express, 2388Walsh Avenue, Santa Clara, California95051(c) Smith R. Brittingham IV, Esq.,

Office of Unfair Import Investigations,U.S. International Trade Commission,500 E Street, S.W., Room 401–M,Washington, D.C. 20436, shall be theCommission investigative attorney,party to this investigation; and

(3) For the investigation so instituted,the Honorable Sidney Harris isdesignated as the presidingadministrative law judge.

Responses to the complaint and thenotice of investigation must besubmitted by the named respondents inaccordance with section 210.13 of theCommission’s Rules of Practice andProcedure, 19 CFR 210.13. Pursuant tosections 201.16(d) and 210.13(a) of theCommission’s Rules, 19 CFR 201.16(d)and 210.13(a), such responses will beconsidered by the Commission ifreceived not later than 20 days after thedate of service by the Commission of thecomplaint and the notice ofinvestigation. Extensions of time forsubmitting responses to the complaintwill not be granted unless good causetherefor is shown.

Failure of a respondent to file a timelyresponse to each allegation in thecomplaint and in this notice may bedeemed to constitute a waiver of theright to appear and contest theallegations of the complaint and thisnotice, and to authorize theadministrative law judge and theCommission, without further notice tothe respondent, to find the facts to be asalleged in the complaint and this noticeand to enter both an initialdetermination and a final determinationcontaining such findings, and mayresult in the issuance of a limitedexclusion order or a cease and desistorder or both directed against suchrespondent.

Issued: June 12, 1996.

By order of the Commission.Donna R. Koehnke,Secretary.[FR Doc. 96–15608 Filed 6–18–96; 8:45 am]BILLING CODE 7020–02–P


Certain Flash Memory Circuits andProducts Containing Same; Notice ofChange of Commission InvestigativeAttorney

Notice is hereby given that, as of thisdate, Juan S. Cockburn, Esq. of the

Office of Unfair Import Investigations isdesignated as the Commissioninvestigative attorney in the above-citedinvestigation instead of John M.Whealan, Esq.

Dated: June 10, 1996.Lynn I. Levine,Director, Office of Unfair ImportInvestigations, 500 E Street, S.W.,Washington, D.C. 20436.[FR Doc. 96–15605 Filed 6–18–96; 8:45 am]BILLING CODE 7020–02–P


Certain Hardware Logic EmulationSystems and Components Thereof;Notice of Commission Determinationnot to Review an Initial DeterminationGranting the Motion of Bull HNInformation Systems, Inc. To Intervenein the Permanent Relief Phase of theInvestigation

AGENCY: U.S. International TradeCommission.ACTION: Notice.

SUMMARY: Notice is hereby given thatthe U.S. International TradeCommission has determined not toreview the presiding administrative lawjudge’s (ALJ’s) initial determination (ID)in the above-captioned investigationgranting the motion of Bull HNInformation Systems, Inc. to intervenein the permanent relief phase of theinvestigation.FOR FURTHER INFORMATION CONTACT: TimYaworski, Esq., Office of the GeneralCounsel, U.S. International TradeCommission, 500 E Street, S.W.,Washington, D.C. 20436, telephone 202–205–3096.SUPPLEMENTARY INFORMATION: OnJanuary 26, 1996, Quickturn DesignSystems, Inc. of Mountain View,California filed a complaint with theCommission alleging a violation ofsection 337 of Tariff Act of 1930 in theimportation, the sale for importation,and the sale within the United Statesafter importation of certain hardwarelogic emulation systems andcomponents thereof by reason ofinfringement of certain U.S. patentsowned by Quickturn. Quickturn alsofiled a motion for temporary relief onthe same date.

The Commission instituted aninvestigation of Quickturn’s complaint,provisionally accepted its motion fortemporary relief, and published a noticeof investigation in the Federal Registeron March 8, 1996. 61 Fed. Reg. 9486.The notice named Mentor GraphicsCorp. of Wilsonville, Oregon and Meta

Systems of Saclay, France asrespondents.

On May 1, 1996, Bull HN InformationSystems, Inc. of Billerica, Massachusettsmoved to intervene in the permanentrelief phase of the investigation. Themotion was opposed by Quickturn andsupported by Mentor and Meta. TheCommission investigative attorney didnot oppose the motion.

On May 14, 1996 the presiding ALJissued an ID (Order No. 30) grantingBull’s motion to intervene. Quickturnfiled a petition for review of the ID, andMentor, Meta, and Bull filedoppositions to the petition.

This action is taken pursuant tosection 337 of the Tariff Act of 1930, asamended (19 U.S.C. § 1337), andCommission rule 210.42 (19 C.F.R.§ 210.42).

Copies of the ALJ’s ID and all othernonconfidential documents filed inconnection with this investigation are orwill be available for inspection duringofficial business hours (8:45 a.m. to 5:15p.m.) in the Office of the Secretary, U.S.International Trade Commission, 500 EStreet, S.W., Washington, D.C. 20436,telephone 202–205–2000. Hearing-impaired individuals are advised thatinformation about this matter can beobtained by contacting theCommission’s TDD terminal, 202–205–1810.

Issued: June 12, 1996.By order of the Commission.

Donna R. Koehnke,Secretary.[FR Doc. 96–15607 Filed 6–18–96; 8:45 am]BILLING CODE 7020–02–P

DEPARTMENT OF JUSTICE

Federal Prison Industries, Inc.

Planning, Research and ActivationBranch; Agency Information CollectionActivities: Proposed Collection;Comment Request

ACTION: Notice of Information Collectionunder Review; Public InvolvementProcedures Regarding Proposals toProduce New Products or Expand theProduction of Existing Products.

The proposed information collectionis published to obtain comments fromthe public. Emergency review of thiscollection has been requested from OMBby June 14, 1996. This approval is onlyvalid for 90 days. Regular review of thisproposed collection is also beingundertaken at this time. Comments areencouraged and will be accepted for 60days from the date listed at the top ofthis page in the Federal Register.


I. SummaryFPI is administered by a board of six

directors who are appointed by thePresident to oversee FPI’s operations.The Board of Directors representIndustry, Labor, Agriculture, Retailers &Consumers, the Department of Defense,and the Attorney General. All proposalsfor the production of new products orthe expansion of existing productionmust be approved by the Board.

The product approval process wasarticulated by Congress in 1988revisions to 18 U.S.C. 4122. FPI, inconjunction with private industry,established the Public InvolvementProcedures and definitions. Theseprocedures implement the requirementsset forth in 18 U.S.C. 4122. The statuterequires FPI to ‘‘invite such tradeassociations to submit comments onthose plans.’’ In addition, the statuterequires that the FPI provide industryrepresentatives ‘‘a reasonableopportunity * * * to present commentsdirectly to the board of directors on theproposal.’’ The public involvementprocedures allows for input by allinterested parties both in writing andthrough in-person hearings before theBoard of Directors. There are severalmethods through which information iscollected. Private Industry may providecomments directly to the research teamthat is writing the proposal to the Board,the Ombudsman who serves as a liaisonbetween private industry and the Boardor they can make comments directly atthe Board hearing on the proposedexpansion or new product. Thesecomments become part of the publicrecord presented to the Board ofDirectors on the new product orexpansion proposal. As such, they areconsidered by the Board of Directors inmaking a decision on an FPI proposal.

II. Request for CommentsThe purpose of this notice is to

request written comments andsuggestions from the public and affectedagencies concerning the proposedcollection of information. Yourcomments should address one or moreof the following points:

(1) Evaluate whether the proposedcollection of information is necessaryfor the proper performance of thefunctions of the agency, includingwhether the information will havepractical utility;

(2) Evaluate the accuracy of theagency’s estimate of the burden of theproposed collection of information;

(3) Enhance the quality, utility andclarity of the information to becollected; and

(4) Minimize the burden of thecollection of information on those who

are to respond, including through theuse of appropriate automated,electronic, mechanical or othertechnological collection techniques orother forms of information technology,e.g., permitting electronic submission ofresponses.

If you have comments, suggestions orneed a copy of the proposed informationcollection, please contact Edward J.Spear, Planning, Research andActivation, 202–508–8400, FederalPrison Industries, Inc., ACACIABuilding, 320 First Street, NW,Washington, D.C. 20534 or via facsimileat 202–628–0855.

III. Overview of this informationcollection

(1) Type of information collection:New Collection.

(2) Title: Public InvolvementProcedures Information Collection.

(3) Affected public: Business,including for profit manufacturers anddealers of the particular product that isunder consideration for expanded ornew production by FPI.

(4) Burden Statement: An estimate ofthe total number of respondents and theamount of time estimated for an averagerespondent to respond: 125 responses at3.5 hours, or 210 minutes per comment.The total public burden (in hours)associated with this collection isestimated at 437.5 total annual burdenhours.

If additional information is requiredcontact: Mr. Robert B. Briggs, ClearanceOfficer, United States Department ofJustice, Information Management andSecurity Staff, Justice ManagementDivision, Suite 850, Washington, D.C.20530.

Dated: June 13, 1996.Robert B. Briggs,Department Clearance Officer, United StatesDepartment of Justice.[FR Doc. 96–15457 Filed 6–18–96; 8:45 am]BILLING CODE 4410–06–M

DEPARTMENT OF LABOR

Office of the Secretary


June 13, 1996.The Department of Labor (DOL) has

submitted the following publicinformation collection requests (ICRs) tothe Office of Management and Budget(OMB) for review and approval inaccordance with the PaperworkReduction Act of 1995 (P.L. 104–13, 44U.S.C. Chapter 35). Copies of theseindividual ICRs, with applicable

supporting documentation, may beobtained by calling the Department ofLabor Acting Departmental ClearanceOfficer, Theresa M. O’Malley (202 219–5095). Individuals who use atelecommunications device for the deaf(TTY/TDD) may call 202 219–4720between 1:00 p.m. and 4:00 p.m. Easterntime, Monday through Friday.

Comments should be sent to Office ofInformation and Regulatory Affairs,Attn: OMB Desk Officer for (BLS/DM/ESA/ETA/OAW/MSHA/OSHA/PWBA/VETS), Office of Management andBudget, Room 10235, Washington, DC20503 (202 395–7316), by July 19, 1996.

The OMB is particularly interested incomments which:

• Evaluate whether the proposedcollection of information is necessaryfor the proper performance of thefunctions of the agency, includingwhether the information will havepractical utility;

• Evaluate the accuracy of theagency’s estimate of the burden of theproposed collection of information,including the validity of themethodology and assumptions used;

• Enhance the quality, utility, andclarity of the information to becollected; and

• Minimize the burden of thecollection of information on those whoare to respond, including through theuse of appropriate automated,electronic, mechanical, or othertechnological collection techniques orother forms of information technology,e.g., permitting electronic submission ofresponses.

Agency: Bureau of Labor Statistics.Title: Report on Occupational

Employment.OMB Number: 1220–0042.Agency Number: BLS 2877.Frequency: Annually.Affected Public: Business or other for-

profit; Not-for-profit institutions; State,Local or Tribal Government.

Number of Respondents: 316,680.Estimated Time Per Respondent: 30

minutes to 4 hours.Total Burden Hours: 237,510.Total Annualized capital/startup

costs: 0.Total annual costs (operating/

maintaining systems or purchasingservices): 0.

Description: The OccupationalEmployment Statistics (OES) survey is aFederal/State sample survey ofemployment by occupation of non-farmestablishments that is used to producedata on current occupationalemployment and wages. The survey is acomponent in the development ofemployment and training programs, andoccupational information systems.


Agency: Bureau of Labor Statistics.Title: Hours at Work Survey.

OMB Number: 1220–0076.Frequency: Annually.

Affected Public: Business or other for-profit.

Form No. Affected industries Respondents Average time per response Total burden

BLS 2000N ..................................... Service-Producing .......................... 2,125 1 hour ............................................. 2,125BLS 2000N1 ................................... Service-Producing .......................... 2,215 1 hour ............................................. 2,125BLS 2000P ..................................... Goods-Producing ........................... 2,875 1 hour ............................................. 2,875BLS 2000P1 ................................... Goods-Producing ........................... 2,875 1 hour ............................................. 2,875RAS ................................................ ......................................................... 1,000 15 minutes ...................................... 250

Total Burden Hours ................. ......................................................... ........................ ......................................................... 10,250

Total Annualized capital/startupcosts: 0.

Total annual costs (operating/maintaining systems or purchasingservices): 0.

Description: Ratios of hours at work tohours paid are needed to measure laborinput for productivity statistics. Theratios of hours at work to hours paidprovided by this survey are used toconvert hours paid by employees, whichare based on data from the CurrentEmployment Statistic Program, to hoursat work. The resulting hours at workmeasures are then incorporated into theBureau’s labor and multifactorproductivity statistics publishedannually and quarterly. The collectionof information on hours at work beganin 1982 and must be done annuallybecause of the cyclical sensitivity ofproductivity measures.

Agency: Employment StandardsAdministration.

Title: Application for Certificate toEmploy Learners at SubminimumWages.

OMB Number: 1215–0012.Agency Number: WH–209.Frequency: Annually.Affected Public: Individuals or

households; Business or other for-profit;Not-for-profit institutions; Farms; State,Local or Tribal Government.

Number of Respondents: 2.Estimated Time Per Respondent: 30

minutes.Total Burden Hours: 1.Total Annualized capital/startup

costs: 0.Total annual costs (operating/

maintaining systems or purchasingservices): 0007.

Description: Employers are requiredby the Department of Labor to submit anapplication for authorization to paylearners subminimum wages under theprovisions of section 14(a) of the FairLabor Standards Act. The Departmentreviews this information to determinewhether the statutory and regulatory

requirements for such authorizationhave been met.Theresa M. O’Malley,Acting Departmental Clearance Officer.[FR Doc. 96–15533 Filed 6–18–96; 8:45 am]BILLING CODE 4510–24–M

Submission for OMB EmergencyReview; Comment Request

June 13, 1996.The Department of Labor has

submitted the following (see below)information collection request (ICR),utilizing emergency review procedures,to the Office of Management and Budget(OMB) for review and clearance inaccordance with the PaperworkReduction Act of 1995 (Pub. L. 104–13,44 U.S.C. Chapter 35). OMB approvalhas been requested by June 20, 1996. Acopy of this ICR, with applicablesupporting documentation, may beobtained by calling the Department ofLabor Acting Departmental ClearanceOfficer, Theresa M. O’Malley ((202)219–5095).

Comments and questions about theICR listed below should be forwarded tothe Office of Information and RegulatoryAffairs, Attn: OMB Desk Officer for theEmployment and TrainingAdministration, Office of Managementand Budget, Room 10235, Washington,DC 20503 ((202) 395–7316).

The Office of Management and Budgetis particularly interested in commentswhich:



• Enhance the quality, utility, andclarity of the information to becollected; and

• Minimize the burden of thecollection of information on those whoare to respond, including through the

use of appropriate automated,electronic, mechanical, or othertechnological collection techniques orother forms of information technology,e.g., permitting electronic submissionsof responses.

Agency: Employment and TrainingAdministration.

Title: Summer Youth Employmentand Training Program.

OMB Number: 1205–0new.Frequency: Other (mid/end of

summer).Affected Public: State, local, or tribal

government.Number of Respondents: 640.Estimated Time Per Respondent: 1

hour.Total Burden Hours: 1,280.Total Burden Cost (capital/startup): 0.Total Burden Cost (operating/

maintaining): 0.Description: The Employment and

Training Administration (ETA) hasoversight responsibilities for theSummer Youth Employment TrainingProgram (SYETP) under the Job TrainingPartnership Act (JTPA) (Pub. L. 102–376). As part of this oversight effort, thesummer enrollment levels will bemonitored. The State and servicedelivery area enrollment data, collectedon July 22 and September 20, willinclude planned enrollment, a ‘‘bestestimate’’ total cumulative enrollment,and a ‘‘best estimate’’ of the numberenrolled in educational services. Thelatter enrollment estimate is forinformational purposes only, as there isno goal for educational serviceparticipation this year. This enrollmentdata will reflect only those participantswho have been enrolled in aneducational and/or work experience-type activity. Those youth who receiveonly objective assessment andindividual service strategy services willnot be included in the enrollmentreports.Theresa M. O’Malley,Acting Departmental Clearance Officer.[FR Doc. 96–15552 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M


Job Training Partnership Act (JTPA),Title IV–D, Demonstration Program:Women in Apprenticeship andNontraditional Occupations

AGENCY: Women’s Bureau, U.S.Department of Labor.ACTION: Notice of Availability of Fundsand Solicitation for Grant Applications(SGA 96–05).

SUMMARY: All information required tosubmit a proposal is contained in thisannouncement. All applicants for grantfunds should read this notice in itsentirety and respond to its specificity.The U.S. Department of Labor (DOL),Women’s Bureau (WB) announces itsSolicitation for Grant Applications(SGA) first authorized under the Womenin Apprenticeship and NontraditionalOccupations (WANTO) Act by itscompetitive technical assistance grantprogram for community-basedorganizations (CBOs). The WANTOcompetitive grant program is fundedthrough Job Training Partnership Act(JTPA), Title IV-D demonstrationprogram. WANTO is co-administered bythe Women’s Bureau (WB) and theBureau of Apprenticeship and Training(BAT), Employment and TrainingAdministration (ETA), with the WBhaving responsibility for implementingthe competitive technical assistanceprogram grants. The Department expectsto award up to five (5) grants toCommunity-Based Organizations (CBOs)to provide technical assistance toprivate sector employers and labororganizations to encourage theemployment of women inapprenticeship and nontraditionaloccupations in private sectoremployment.

With this year’s competition, theDepartment will give priorityconsideration to applications whereproposals are:

(1) LARGE PROJECT SPECIFIC: Theproposed technical assistance program(submitted by a CBO with documentedactivity-specific experience) is designedto assist private sector employers andlabor organizations (with large projectcontracts) to increase women’semployment on large employmentprojects (multi-year and $multi-million)in private and/or public economicdevelopment (including building)projects in construction, transportation,utilities and telecommunicationsindustries. Such technical assistanceactivities include strategies fordeveloping and implementing changesin workplace policy and work practicesto support the employment of women,particularly in entering and completing

registered apprenticeship employmentprograms.

(2) COMPUTER-BASEDTELECOMMUNICATIONS NETWORK:The proposed program (submitted by aCBO with documented activity-specificexperience) is designed to provide forthe maintenance and development ofregional and national computer-basedtelecommunications networks toprovide customized off-site technicalassistance to small and medium sizeprivate sector employers and labororganizations in their development andimplementation of strategies to makeworkplace policy and work practicechanges to support the recruitment,training, and retention of women inapprenticeship and nontraditionaloccupations in individual private sectorworkplaces. Such technical assistanceactivities should promote theemployment of women inapprenticeship and nontraditionaloccupations.

(3) GEOGRAPHIC SPECIFIC: Theproposed technical assistance program(submitted by a CBO with documentedactivity-specific experience) is designedto implement activities to strengthentechnical assistance to private-sectoremployers and labor organizations inthe Southeast and Southwest regions ofthe United States who want assistancein the development and implementationof strategies that provide for workplacechanges in policies and work practicesto support women in apprenticeshipand nontraditional occupations,particularly as cited in (1) and (2) above.Such technical assistance activitiesshould promote the employment ofminority women in apprenticeship andnontraditional occupations.

MOREOVER, the Department willgive up to twenty-five (25) bonus ratingpoints to proposals reflecting the abovecriteria when the proposal includes (1)established partnership with theemployers and labor organizations thatexpands the dollar amount, size andscope of the proposal; and (2) specificand written commitment with timelinefor the employment of women inregistered apprenticeship and/ornontraditional employment.

This notice describes the background,the application process, statement ofwork, evaluation criteria, and reportingrequirements for Solicitation for GrantApplications (SGA 96–05). WBanticipates that a total amount of$610,000 will be available for thesupport of all grants usingdemonstration funding. The WB willprovide the technical and policyleadership with this project.DATES: One (1) ink-signed original,complete grant application (plus five (5)

copies of the Technical Proposal andtwo (2) copies of the Cost Proposal)shall be submitted to the U.S.Department of Labor, Office ofProcurement Services, Room N–5416,Reference SGA 96–05, 200 ConstitutionAvenue, N.W., Washington, D.C. 20210,not later than 4:45 p.m. EST, July 31,1996. All applications must be receivedby the Office of Procurement Servicesby that time.ADDRESSES: Applications shall bemailed to the U.S. Department of Labor,Office of Procurement Services,Attention: Lisa Harvey, Reference SGA96–05, Room N–5416, 200 ConstitutionAvenue, N.W., Washington, D.C. 20210.SUPPLEMENTARY INFORMATION: Thisannouncement consists of five parts:Part I describes the background of thisWANTO grant program and identifiesits policy and topics. Part II describesthe application process, providingdetailed guidelines for use in applyingfor demonstration grants. Part IIIincludes the Statement of Work and KeyFeatures of the demonstration program.Part IV identifies and defines theevaluation criteria to be used inreviewing and evaluating applications.Part V describes the deliverables andreporting requirements.

Part I. Background

Improving women’s employmentopportunities and other employmentrelated equity and social issues topromote women in the work force hasbeen the driving force of the Women’sBureau since its inception in 1920.Within the Department of Labor, theDirector serves as the policy advisor onwomen’s issues to the Secretary andother DOL agencies charged withimproving the economic and workplacelife of American workers.

The Women’s Bureau has a history ofencouraging women to consider thewide array of apprenticeable and otheroccupations nontraditional to women.These jobs include the traditionalskilled trades such as carpenter,plumber, electrician, sheetmetal worker,or welder in the construction industry,as well as jobs in the electronicsindustries, other technical jobs thatrequire computer-based skills tocustomize, service, build and repairprecision machinery in manufacturing,and other technical computer-based jobsin the service sector industries such ashealth care, finance, utilities,telecommunications and transportation.In fulfilling their responsibilities topromote profitable employmentopportunities for women, the Bureau ofApprenticeship and Training and theWomen’s Bureau have come together to


jointly administer the Women inApprenticeship and NontraditionalOccupations (WANTO) Act and itstechnical assistance demonstrationprogram grants.

The Women’s Bureau co-administersWANTO with the Bureau ofApprenticeship and Training (BAT),formerly the Apprentice-TrainingService. BAT was established in 1937 asthe national administrative agency inthe Department of Labor to carry out theobjectives of the NationalApprenticeship Law, guided by therecommendations of the FederalCommittee on Apprenticeship. BAT hasthe objective to stimulate and assistindustry in the development, expansion,and improvement of apprenticeship andtraining programs designed to providethe skilled workers required by theAmerican economy.

Definitions. NontraditionalOccupations are those where womenaccount for less than 25 percent of thepersons employed in a singleoccupational group. Generally speaking,Apprenticeship includes a formal paidtraining-work agreement where laborand management work together topromote learning on the job; to supportthe ‘‘hands on’’ learning, there must berelated theoretical instruction (oftenclassroom). After completing theprogram standards successfully—usually 3 to 5 years—the apprentice isawarded a certificate of completion byeither the Bureau of Apprenticeship andTraining or the State ApprenticeshipCommittee Agency.

A. AuthoritiesThe technical assistance grants were

first authorized under the Women inApprenticeship and NontraditionalOccupations (WANTO) Act, Public Law102–530, approved October 27, 1992.Funded through the Job TrainingPartnership Act (JTPA), Title IV–D, theBureau of Apprenticeship (BAT/ETA)and the Women’s Bureau have a Intra-agency Agreement to co-administerWANTO. The WB has responsibility forimplementing the Solicitation for GrantApplications (SGA) process for theTechnical Assistance (TA) grants toCommunity-Based Organizations(CBOs).

B. Purpose of the DemonstrationThe purpose of the WANTO

demonstration program is to providetechnical assistance to employers andlabor organizations to encourage theincreased employment of women inapprenticeship and nontraditionaloccupations.

Further, in accordance with thedirectives of the Women in

Apprenticeship and NontraditionalOccupations (WANTO) Act, theWomen’s Bureau is continuing todevelop a data bank of (1) employersand labor organizations seekingtechnical assistance and (2)organizations with experience workingto promote the employment of womenin apprenticeship and nontraditionalemployment. The Bureau will updateand expand its directory ofapprenticeship and nontraditionaltraining and employment programsserving women to function as a catalystin developing a listing of employers andlabor organizations and experiencedNTO community-based organizations(CBOs) into a data base referred to as the‘‘WANTO Referral Network.’’ To listyour preapprenticeship, apprenticeship,or nontraditional occupational trainingor placement program with the Bureau’s‘‘WANTO Referral Network,’’ pleaseprovide the following information:

(1) Program Name:(2) Administrative Agency:(3) Address:(4) Executive Director:(5) Contact Person:(6) Contact Telephone Number:(7) Brief Description of Services:Please send your response to:

Women’s Bureau, Office of theSecretary, WANTO Network, Room S–3317, U.S. Department of Labor, 200Constitution Avenue, N.W.,Washington, D.C. 20210. (Telephone(202) 219–8913 x114)

Part II. Application Process

A. Eligible Applicants

1. Community-Based Organizations(CBOs) are eligible applicants to receivetechnical assistance grants. The term‘‘community-based organization’’ asdefined in section 4(5) of the JobTraining Partnership Act (29 U.S.C1501(5)), means private nonprofitorganizations which are representativeof communities or significant segmentsof communities and which provide jobtraining services. For this solicitationcommunities or significant segments ofcommunities are the private nonprofitorganizations that have demonstratedexperience administering programs thatrecruit, select, train, place, retain, andotherwise prepare women foremployment in apprenticeship andother nontraditional occupations (NTO).

2. Employers and Labor Organizationsare eligible to receive technicalassistance provided by community-based organizations receiving WANTOgrants. To be selected to receivetechnical assistance, employers, andlabor organizations must submit atechnical assistance request either (1)

directly to the Department of Labor,OASAM, Office of ProcurementServices, Attention: Lisa Harvey,Washington, D.C. 20210 or (2) therequest may be included with the CBOswith whom there is an agreement topartnership in preparing the response toSGA 96–05.

B. ContentsTo be considered responsive to the

Solicitation for Grant Applications(SGA), each application must consist ofand follow the order of the sectionslisted in Part III of this solicitation. Theapplicant must also include informationwhich the applicant believes willaddress the selection criteria identifiedin Part IV. Technical proposals shall notexceed 20 single sided, double spaced,10 to 12 pitch typed pages (notincluding attachments). ANYPROPOSALS THAT DO NOTCONFORM TO THESE STANDARDSSHALL BE DEEMED NON-RESPONSIVETO THIS SGA AND WILL NOT BEEVALUATED.

1. Technical ProposalEach proposal shall include (a) a two

(2) page abstract which summarizes theproposal and (b) a full description of theCBO’s program for technical assistance,including information required in PartIII and IV. No cost data or reference toprice shall be included in the technicalproposal.

2. Cost ProposalThe cost (business) proposal must be

separate from the technical proposal.The transmittal letter and the grantassurances and certifications form(Appendix A) shall be attached to thebusiness proposal, which shall consistof the following:

a. Standard Form 424 ‘‘Applicationfor Federal Assistance,’’ (Appendix B)signed by an official from the applicantorganization who is authorized to enterthe organization into a grant agreementwith the Department of Labor. TheCatalog of Federal Domestic AssistanceNumber (CFDA) is 17.700;

b. Standard Budget Form 424A‘‘Budget Information Form,’’ (AppendixC); and

c. Budget Narrative: Provide anarrative explanation of the budgetwhich describes all proposed costs andindicates how they are related to theoperation of the project. Provide thisinformation separately for the amount ofrequested Federal funding and theamount of proposed Non-Federalcontribution. In those applicationswhich propose to fund staff positions,the budget narrative must provideinformation which describes the


number of proposed positions by titleand by the amount of staff time andsalary charged to Federal and Non-Federal funding resources. The BudgetNarrative provides the detaileddescription of the costs reflected on theSF 424A.

C. Funding LevelsThe Department expects to have

$610,000 to be disbursed throughWANTO grants. The Departmentexpects to make up to five (5) awards toCommunity-Based Organizations(CBOs). The Women’s Bureau expectsawards to range from approximately$75,000 to $150,000.

D. Length of Grant and Grant AwardsThe initial performance period for the

grants awarded under this SGA shall befor eighteen (18) months of programperformance, with the option to extendfor up to three months as a no costextension to complete final reports.Each applicant shall reflect in theirapplication the intention to beginoperation no later than September 30,1996.

E. SubmissionOne (1) ink-signed original, complete

grant application (plus five (5) copies ofthe Technical Proposal and two (2)copies of the Cost Proposal must besubmitted to the U.S. Department ofLabor, Office of Procurement Services,Room N–5416, 200 ConstitutionAvenue, N.W., Washington, D.C. 20210,not later than 4:45 pm EST, July 31,1996. All applications must be receivedby the Office of Procurement Servicesby that time. Applications sent bytelegram or facsimile (FAX) will not beaccepted.

Any application received at the Officeof Procurement Services after 4:45 pmEST will not be considered unless it isreceived before award is made and:

1. It was sent by registered or certifiedmail not later than the fifth calendar daybefore July 31, 1996 (i.e., not later thanJuly 26, 1996);

2. It is determined by the Governmentthat the late receipt was due solely tomishandling by the Government afterreceipt at the U.S. Department of Laborat the above address; or

3. It was sent by U.S. Postal ServiceExpress Mail Next Day Service-PostOffice to Addressee, not later than 5:00pm at the place of mailing two workingdays, excluding weekends and Federalholidays, prior to July 31, 1996 (i.e., notlater than 5:00 pm July 29, 1996).

The only acceptable evidence toestablish the date of mailing of a lateapplication sent by registered orcertified mail is the U.S. Postal Service

postmark on the envelope or wrapperand on the original receipt from the U.S.Postal Service. If the postmark is notlegible, an application received after theabove closing time and date shall beprocessed as if mailed late. ‘‘Postmark’’means a printed, stamped or otherwiseplaced impression (not a postage metermachine impression) that is readilyidentifiable without further action ashaving been applied and affixed by anemployee of the U.S. Postal Service onthe date of mailing. Therefore,applicants shall request that the postalclerk place a legible hand cancellationbull’s-eye postmark on both the receiptand the wrapper or envelope. The onlyacceptable evidence to establish the dateof mailing of a late application sent byU.S. Postal Service Mail Next DayService-Post Office to Addressee is thedate entered by the post office receivingclerk on the ‘‘Express Mail Next DayService-Post Office to Addressee’’ labeland the postmark on the envelope orwrapper and on the original receiptfrom the U.S. Postal Service.‘‘Postmark’’ has the same meaning asdefined above. Therefore, applicantsshall request that the postal clerk placea legible hand cancellation bull’s-eyepostmark on both the receipt and theenvelope or wrapper.

The only acceptable evidence toestablish the time of receipt at the U.S.Department of Labor is the date/timestamp of the Office of ProcurementServices on the application wrapper orother documentary evidence of receiptmaintained by that office.

Part III. Statement of Work—KeyFeatures

A. IntroductionThe Women’s Bureau (Washington,

D.C.) announces the Solicitation forGrant Applications (SGA) forcompetitive grant awards first fundedunder the technical assistance programauthorized by the Women inApprenticeship and NontraditionalOccupations (WANTO) Act and fundedthrough JTPA Title IV–D. Since then,the Employment and TrainingAdministration, Bureau ofApprenticeship and Training (ETA/BAT) has continued to fund the programthrough JTPA Title IV–D and transferfunds to the WB to continue thetechnical assistance program authorizedunder the WANTO Act. The WBanticipates a transfer of fundsamounting to $610,000 for Fiscal Year1996 and expects to make up to five (5)grants to CBOs that will provide directtechnical assistance to change theworkplaces of private sector jobcreators—employers and labor

organizations—to make private sectorworkplaces more supportive toincreasing the employment of women inapprenticeship and nontraditionaloccupations (NTO).

1. CBOs may solicit employers andlabor organizations that requesttechnical assistance in preparing theirworkplace to promote women inapprenticeship and nontraditionaloccupations (NTOs) and include suchagreements in their proposal in responseto SGA 96–05. Priority will be given toproposals that include specificprovisions to providing technicalassistance to employers and labororganizations with (1) contracts for workon large employment projects; (2)regional and national computer-basedtelecommunications networks; and (3)emphasis on geographic areas of theSoutheast and Southwest.

2. At the same time, the Departmentwill continue to build an inventory (asdirected by the WANTO legislation) ofworkplace technical assistance requestsfrom employers and labor organizationsto promote the increase in employmentof women in apprenticeship andnontraditional occupations sent directlyto the Office of Procurement Services,Room N–5416, Reference SGA 96–05,U.S. Department of Labor, 200Constitution Avenue, N.W.,Washington, D.C. 20210, Attention: LisaHarvey.

3. Technical assistance requests fromboth CBOs (as a part of the technicalproposal) and requests sent directly tothe Department of Labor by employersand labor organizations should be inwriting.

4. The Department will award onlyone grant per CBO, with or withoutmultiple service providers orsubcontractors. The total amount ofeach grant will depend upon the totalamount of direct technical assistance tobe provided. Applicants should provideestimated cost (hourly or fixed rates) forspecific technical assistance servicesthey are prepared to perform in the costproposal.

5. Since the thrust of this SGA istechnical assistance to employers andlabor organizations to attain workplacechange responsive to the increase inwomen in apprenticeship andnontraditional occupations, the programof this SGA is designed to be employer-workplace driven. Allowable grantactivities do not include CBO capacitybuilding services, or the operation ofCBO ongoing training activities unlessthey are directly related to the provisionof technical assistance to make jobcreators’ workplaces—employers andlabor organizations—more responsive toincreased employment and support for


women in apprenticeship andnontraditional occupations.B. Program Requirements

The Department, through thiscompetition, is seeking Community-Based Organization grantees with arecord of accomplishment, with overallorganizational experience and facilities,and with staff who can demonstrate thenecessary technical knowledge andexperience that can ensure successfulcompletion of provision of technicalassistance to employers and labororganizations.

In the grant application process,Community-Based Organization grantapplicants should include a specificprogram for providing technicalassistance to mega project contractorsand others, including the name andaddress of projects that they havedeveloped working relationships withfor this round of WANTO activities.CBOs are also required to presentevidence of their experience,qualifications, technical knowledge ofprograms to assist job creators to recruit,select, train, place and retain women inapprenticeship and nontraditionaloccupations.1. Provide Technical Assistance

Community-Based Organization(CBO) Eligibility: Definition. The term‘‘community-based organization’’ asdefined in section 4(5) of the JobTraining Partnership Act (29 U.S.C1501(5)), means private nonprofitorganizations which are representativeof communities or significant segmentsof communities that provide job trainingservices.

a. For this solicitation, the significantsegment of communities areorganizations that have demonstratedand documented experience inproviding and administering programsthat prepare women for employment inapprenticeable occupations or othernontraditional occupations.

b. Community-Based Organizations(CBOs), for this competition, do notinclude for profit or public entities suchas, the Job Training Partnership System,hospitals, educational institutions—schools, colleges and universities.2. Community-Based Organizations:Scope of Work

The Women’s Bureau, is seekingCommunity-Based Organizations (CBOs)with a record of accomplishment in theareas related to increasing theemployment of women inapprenticeship and nontraditionaloccupations.

a. CBOs will provide TechnicalAssistance (TA) to employers and labororganizations to assist them in preparingtheir workplaces to increase the

employment of women inapprenticeship training andnontraditional occupations.

Each proposal for funding shouldinclude a direct and specific statementon how the proposed activities willincrease the employment of women inapprenticeship and nontraditionalemployment in private sectorworkplaces, increasing self-sufficiencyfor them and their families. . . . Eachproposal for funding should include (1)a specific feasibility study/examinationto produce a proposed ‘‘plan of action’’for providing technical assistance toemployers and labor organizationsincluded with the proposal; (2) plan forassessing and evaluating the technicalassistance activities provided during thegrant period, in addition to the grant’sfinal report; (3) plan for a ‘‘how-to-do-it’’ technical assistance manual as aresult of the grant activities.3. Scope of CBO Technical AssistanceActivities—Key Features

CBOs’ technical assistance tasksinclude employer or labor organizationrequests that will promote the increasedemployment of women inapprenticeship and nontraditionaloccupations in the requester’sworkplace. These technical assistanceactivities include strategies toimplement policy and work practiceschanges which may include a widevariety of technical assistance toprepare, recruit, promote and retainwomen in apprentice and nontraditionalemployment.

While WANTO proposals can besubmitted for any employer and/or labororganization technical assistanceprogram that is designed to increase theemployment of women inapprenticeship and nontraditionaloccupations, the Department will givepriority consideration to applicationswhere proposals focus on:

(1) LARGE PROJECT SPECIFIC: Theproposed technical assistance program(submitted by a CBO with documentedactivity-specific experience) is designedto assist private sector employers andlabor organizations (with large projectcontracts) to increase women’semployment on large (multi-year and$multi-million) in private and/or publiceconomic development (includingbuilding) projects in construction,transportation, utilities andtelecommunications industries. Suchtechnical assistance activities includestrategies for developing andimplementing changes in workplacepolicy and work practices to support theemployment of women, particularly inentering and completing registeredapprenticeship employment programs.

(2) COMPUTER-BASEDTELECOMMUNICATIONS NETWORK:The proposed program (submitted by aCBO with documented activity-specificexperience) is designed to provide forthe maintenance and development ofregional and national computer-basedtelecommunications networks toprovide customized off-site technicalassistance to small and medium sizeprivate-sector employers and labororganizations in their development andimplementation of strategies to makeworkplace policy and work practicechanges to support the recruitment,training, and retention of women inapprenticeship and nontraditionaloccupations in individual private-sectorworkplaces. Such technical assistanceactivities should promote theemployment of women inapprenticeship and nontraditionaloccupations.

(3) GEOGRAPHIC SPECIFIC: Theproposed technical assistance program(submitted by a CBO with documentedactivity-specific experience) is designedto implement activities to strengthentechnical assistance to private-sectoremployers and labor organizations inthe Southeast and Southwest regions ofthe United States who want assistancein the development and implementationof strategies that provide for workplacechanges in policies and work practicesto support women in apprenticeshipand nontraditional occupations,particularly as cited in (1) and (2) above.Such technical assistance activitiesshould promote the employment ofminority women in apprenticeship andnontraditional occupations.

MOREOVER, the Department willaward twenty-five (25) bonus ratingpoints to proposals reflecting the abovecriteria when the proposal includes (1)established partnership with theemployers and labor organizations thatexpands the dollar amount, size andscope of the proposal; and (2) specificand written commitment with timelinefor the employment of women inregistered apprenticeship and/ornontraditional employment.

4. Capabilities and Qualifications ofCBO and Staff

Applicant CBOs are asked to provideinformation on organizational capacity,organizational management and staffingcharts, and technical assistanceexperience with employers and labororganization, qualifications of theprincipal investigator(s) and staff whowill provide both the ‘‘hands on’’services and related written productsthat describe the project activities in aprofessional manner in the managementand staff loading plans. In addition,


applicant CBOs shall provide responsesto items a–e and their subparts listedbelow:

a. Briefly describe and* * * Provide complete resumes that

describe the qualifications of persons toprovide technical assistance in the areaof increasing employment of women inapprenticeship and nontraditionaloccupations. Include both educationand work experience.

* * * Provide work references, tosupport principal investigator andsupport staff qualifications to providetechnical assistance in the area ofwomen in apprenticeship andnontraditional occupations.

* * * Briefly describe physicalresource facilities that support yourorganization’s human resources deliveryof the technical assistance—book andvideo library, conference rooms,computer hardware and software, etc.

b. Briefly describe your organization’sexperience in preparing women to gainemployment in apprenticeableoccupations or other nontraditionaloccupations;

* * * Briefly describe yourorganization’s current services.

* * * State your organization’scurrent funding level and sources offunds.

* * * Describe your organization’sexperience and success in the provisionof services to women in preparing themfor gainful employment inapprenticeable and other nontraditionaloccupations.

* * * Describe what yourorganization would consider as its mostoutstanding success over the last twoyears?

* * * Provide customer referencesthat specifically support yourorganization’s experience andqualifications to provide technicalassistance in the area of women inapprenticeship and nontraditionaloccupations.

c. Briefly describe your organization’sexperience in delivering technicalassistance.

* * * Briefly describe the geographiclocation of your organization’s technicalassistance services and any experiencein policy and/or written technicalpublications, including ‘‘how-to.’’

* * * Include (in the appendix)copies of publications, such as, policypapers/studies, manuals or ‘‘how-tos’’and feasibility studies related to womenin apprenticeship and nontraditionaloccupations that your organization hasdeveloped.

* * * Briefly describe target groups ofwomen to which your organization hasprovided recruitment, training,placement, retention and promotion

services; for what types of occupationsand industries.

* * * Briefly describe yourorganization’s relationship with theBureau of Apprenticeship and Trainingor the State Apprenticeship Committee.

d. Briefly describe your organization’sexperience working with the businesscommunity to prepare business to placewomen in apprenticeable occupationsor other nontraditional occupations;

* * * Briefly describe yourorganization’s relationship andexperience with employers and laborunions who offer apprenticeable andnontraditional occupations.

* * * Briefly describe the type(s) oftechnical assistance to employersprovided previously by yourorganization. What were the results ofthese services.

* * * Provide business references tosupport your work with the businesscommunity to prepare business to placewomen in apprenticeship andnontraditional occupations.

* * * Briefly list the employer andlabor unions for which yourorganization has provided technicalassistance.

e. List the tradeswomen or women innontraditional occupations as activemembers of your organization, as eitheremployed staff or board members.

* * * List name, trade, andorganizational position of tradeswomenand other women in nontraditionaloccupations on staff or on yourorganization’s Board of Directors.

* * * Include the dates whentradeswomen served in active paid orunpaid positions in your organization.

In addition, all applications must alsoinclude a management and staff loadingplan. The management plan is toinclude a project organization chart andaccompanying narrative whichdifferentiates between elements of theapplicant’s staff and subcontractors orconsultants who will be retained.

The staff loading plan must identifyall key tasks and the person-daysrequired to complete each task. Laborestimates for each task must be brokendown by individuals assigned to thetask, including subcontractors andconsultants. All key tasks must becharted to show time required toperform them by months or weeks.

5. Use of FundsThe Technical Proposal of CBO

applicants shall describe both knownand anticipated expenditures that mayarise in the conduct of providingtechnical assistance to and onemployers and labor organizationsrelevant to workplace change for womenin apprenticeship and nontraditional

occupations. The Department is alsoseeking proposals with leverage or otherpartnership activities that will enlargethe dollar amount, size, and scope of theproposed WANTO financial application.

a. List activities on which grant fundswill be expended but not the dollar cost.

b. List any leverage of funds activitiestaken or anticipated with this grant—any partnerships, linkages orcoordination of activities, cooperativefunding, etc.

c. List specific activities on whichgrant funds will be expended bysubgrantees (if applicable) but not thedollar cost.

6. Continuation of ActivitiesThe Technical Proposal of CBO

applicants shall describe anyanticipated strategies proposed by themto encourage and promote thecontinuation or expansion of grantactivities beyond the grant’s period ofprogram performance.

a. Briefly describe your organization’sapproach and activities to support andencourage employers and labororganizations in your/their efforts tocontinue activities that support womenemployed in apprenticeship andnontraditional occupations in theirworkplaces after they are in theworkplace and after the completion ofthis project.

b. Briefly describe how yourorganization will approach employersand organizations to incorporatetechnical assistance into labor/management agreements and/oremployer policy and work practicechanges as a result of this WANTOtechnical assistance funding.

c. To what extend will the changedpolicy and work practices be made apart of supervisory and employeeemployment handbooks?

G. Technical Assistance Requests1. The Department is seeking

technical assistance requests fromprivate-sector employers and labororganizations who want to receivetechnical assistance provided by thecommunity-based organizations withWANTO grant funds to provide suchassistance. Requesting employers andlabor organizations should submittechnical assistance requests to theDepartment of Labor, Attention: LisaHarvey, Office of Procurement Services,Room N–5416, Reference SGA 96–05,200 Constitution Avenue, N.W.,Washington, D.C. 20210.

2. Employers and Labor Organizationsmay also choose to submit theirtechnical assistance requests tocommunity-based organizations theyhave established a partnership with in


the CBO’s application to the Departmentof Labor for grant award. A descriptionof the technical assistance request, nameand address of the requester shall beattached to the end of the TechnicalProposal.

Part IV. Evaluation Criteria andSelection

Applicants are advised that selectionfor a grant award is to be made aftercareful evaluation of technicalapplications by a panel. Each panelistwill evaluate applications against thevarious criteria on the basis of 100

points and a maximum additional 25points for the bonus category.

The scores will then serve as theprimary basis to select applications forpotential award. Clarification may berequested of grant applicants if thesituation so warrants. Please see PartIII., Section B. for additionalinformation on the elements againstwhich proposal will be reviewed.

Points

1. Technical Criteria

a. Capabilities and Qualifications of CBO and Staff ............................................................................................................................... 50b. Use of Funds ....................................................................................................................................................................................... 25c. Continuation of Activities ..................................................................................................................................................................... 25

2. Bonus Points

(See Part III, B–3, Scope of CBOs’ Technical Assistance Activities—Key Features)Total .............................................................................................................................................................................................. 25

a. Proposal Focus on Large Project; Telecommunications Network or Southeast/Southwest Geographic Area combined with .......... 5b. Established Partnership ....................................................................................................................................................................... 10c. Written Commitment ............................................................................................................................................................................ 10

3. Cost CriteriaProposals will be scored, based on

their costs in relation to other proposalssubmitted in response to this SGA.Specifically, the lowest priced proposalwill receive 25 points, based on thefollowing formula: (lowest pricedproposal/proposal cost) × 25

All other proposals will receive pointsusing the above formula. For example,if the lowest priced proposal had a totalFederal budget of $5,000, it wouldreceive a cost score of 25. If anotherproposal had a total Federal budget of$10,000, it would receive a score of 12.5(i.e. $5,000/$10,000) × 25).

4. Total ScoreUsing the above example, if the

proposal requesting $5,000 of Federalfunding received a technical score of 50,the Total Score would be 75 points(50 + 25 = 75); if the proposal requesting$10,000 of Federal funding received atechnical score of 75, the Total Scorewould be 87.5.

Proposals received will be evaluatedby a review panel based on the criteriaimmediately following. The panel’srecommendations will be advisory, andfinal awards will be made based on thebest interests of the Government,including but not limited to such factorsas technical quality, geographic balance.

The Department wishes to make itclear that it is not simply the best-written proposals that will be chosen,but rather those which demonstrate thegreatest experience and commitment toassisting business to successfullyrecruit, train, and retain women in

apprenticeable occupations andnontraditional occupations and toexpand the employment and self-sufficiency options of women.

During the technical panel evaluationof all proposals and requests, theDepartment will bring together CBOqualifications and capabilities withemployers/labor unions and othernonunion labor organizations requeststo develop final grant activities. Inaddition, the Department will alsoconsider geographic coverage andoccupational/industrial impact in thefinal TA grant awards, as well asbroadening coverage of different CBOservice providers.

Allowable Costs: Determinations ofallowable costs shall be made inaccordance with the followingapplicable Federal cost principles:State and Local Governments—OMB

Circular A–87Educational Institutions—OMB Circular

A–21Non-Profit Organizations—OMB

Circular A–122Profit Making Commercial Firms—FAR

31.2Profit will not be considered an

allowable cost in any case.Administrative Provisions: The grant

awarded under this SGA shall be subjectto the following administrativestandards and provisions:29 CFR Part 97—Uniform

Administrative Requirements forGrants and Cooperative Agreements toState and Local Governments; for allothers 29 CFR Part 95.

29 CFR Part 96—Federal Standards forAudit of Federally Funded Grants,Contracts and Agreements.

Part V.

A. Deliverables

(This section is provided only so thatgrantees may more accurately estimatethe staffing budgetary requirementswhen preparing their proposal.Applicants are to exclude from theircost proposal the cost of any requestedtravel to Washington, D.C.)

1. No later than four (4) weeks afteraward, the grantee shall meet with theWomen’s Bureau and the Bureau ofApprenticeship and Training to discusstechnical assistance activities, timelines,and technical assistance outcomesassessment for comment and finalapproval. At that time the grantee’s finaltechnical assistance requests and CBOswill be matched. The CBO and theDepartment will discuss and makedecisions on the following programactivities:

a. The number of employers and labororganizations to be served.

b. The methodology to be used tochange management and employeeattitudes about women in non-traditional occupations.

c. The types of systemic changeanticipated by technical assistancestrategies anticipated to be incorporatedinto employer ongoing recruitment,hiring, training and promotion ofwomen in apprenticeship andapprenticeable nontraditionaloccupations.


d. The occupational, industrial andgeographical impact anticipated.

e. The supportive services to beprovided to employers and women aftersuccessful placement intoapprenticeship or apprenticeablenontraditional occupations.

f. The plan for the development andmaintenance of a relationship with theState level of the Federal Bureau ofApprenticeship and Training.

The Women’s Bureau and the Bureauof Apprenticeship and Training willprovide input orally and in writing, ifnecessary, within ten (10) working daysafter the Post-Award Meeting.

2. No later than ten (10) weeks afteraward, the grantee and the Women’sBureau will confirm the employers andlabor organizations to be served withWANTO grant funds in a final ‘‘plan ofaction’’ that can be added to as requestsincrease. Such a plan will reflect thegrantee’s study/examination workplacevia an on-site visit and review of thefeasibility of the TA request by theemployer.

3. No later than twelve (12) weeksafter award, the grantee shall begin theprogram of technical assistance toemployers and labor organizations torecruit, promote and retain women inapprenticeable occupations and othernontraditional training for women,characterized by employment growthand above average earnings.

4. No later than sixteen (16) weeksafter award, the first quarterly progress

report of work done under this grantwill be due. Thereafter, quarterly reportswill be due ten (10) working days afterthe end of each of the three remainingquarters.

Quarterly progress reports shouldinclude:

a. A description of overall progress onwork performed during the reportingperiod, including (1) number, name,address, size of the workplace,including proportion of women withbrief profiles of employers and labororganizations provided technicalassistance during the period; (2)systemic workplace and policychanges—actual or in process, includingthe hiring and promotion of womenalready in the workplace, career laddersor other training activities; (3) publicpresentations; (4) media articles orappearances; (5) publicationsdisseminated and (6) publicationsdeveloped.

b. An indication of any currentproblems which may impedeperformance and the proposedcorrective action.

c. A discussion of work to beperformed during the next reportingperiod.

Between scheduled reporting datesthe grantee shall also immediatelyinform the Grant Officer’s TechnicalRepresentative of significantdevelopments affecting the grantee’sability to accomplish the work.

5. No later than sixty (64) weeks afteraward, the grantee shall submit, three(3) copies of the draft final report, anintegrated draft report of the processand results of the technical assistanceactivities during the year. The Women’sBureau and the Bureau ofApprenticeship and Training willprovide written comments on the draftreport within twenty (20) working daysif substantive problems are identified.The grantee’s response to thesecomments shall be incorporated into thefinal report.

6. No later than seventy-four (74)weeks after award, the grantee shallsubmit one (1) DOL customer-readycamera ready copy and four (4) copiesof the final report; one (1) diskette (IBMcompatible, WordPerfect 5.1) of theFinal Report. The report shall coverfindings, final performance data,outcome results and assessment, andemployer or labor organization plans forfollow-up of participants. Copies oftechnical assistance curricula shall beincluded, as well as any plans forreplication and dissemination ofinformation. An Executive Summary ofthe findings and recommendations,shall either be included in the report oraccompany the report.

Signed at Washington, D.C. June 7, 1996.

Lawrence J. Kuss,Grant Officer.



Appendices


Notice of Interim Assignment ofDepartmental Duties RetainedFollowing Congressional Action WithRespect to the Elimination of the Officeof the American Workplace

By memorandum effective June 16,1996, I have delegated authority andassigned responsibility to John Kotch,Deputy Assistant Secretary, forperforming all of the following dutiesprescribed under Secretary’s Orders 2–93, 58 FR 42578, and 2–95, 60 FR13602:

(1) The Labor-Management Reportingand Disclosure Act of 1959, as amended,29 U.S.C. 401 et seq.;

(2) Section 701 (Standards of Conductfor Labor Organizations) of the CivilService Reform Act of 1978, 5 U.S.C.7120;

(3) Section 1017 of the ForeignService Act of 1980, 22 U.S.C. 4117;

(4) Section 1209 of the PostalReorganization Act of 1970, 30 U.S.C.1209;

(5) The employee protectionprovisions of the Federal Transit law, ascodified at 49 U.S.C. 5333(b) and relatedprovisions;

(6) Section 405(a), (b), (c), and (e) ofthe Rail Passenger Service Act of 1970,45 U.S.C. 565(a), (b), (c), and (e);

(7) Section 43(d) of the AirlineDeregulation Act of 1978, repealed andreenacted at 49 U.S.C. 42101–42103;and

(8) Executive Order 12954, March 8,1995, 60 FR 13023, to the extent that theexercise of authority or responsibilitiesunder this Order is consistent withapplicable court decisions.

This notice supersedes my noticepublished in the Federal Register onMay 14, 1996 at 61 FR 24334. I currentlyanticipate that this delegation ofauthority will be superseded again atthe beginning of fiscal year 1997.Nonetheless, this delegation will remainin effect until a further delegation ofthese duties, or other notice, is executedby me. Any of the above duties may beredelegated, as appropriate, by him.

Signed at Washington, D.C. this 13th dayof June 1996.Robert B. Reich,Secretary of Labor.[FR Doc. 96–15534 Filed 6–18–96; 8:45 am]BILLING CODE 4510–23–M

Employment and TrainingAdministration

[TA–W–31,942]

Carter-Wallace, Inc., Trenton, NewJersey; Notice of NegativeDetermination Regarding Applicationfor Reconsideration

By an application dated May 10, 1996,the United Steelworkers of America(USWA), Local No. 514L, requestedadministrative reconsideration of thesubject petition for Trade AdjustmentAssistance (TAA). The denial noticewas signed on April 5, 1996 andpublished in the Federal Register onApril 29, 1996 (61 FR 18757).

Pursuant to 29 CFR 90.18(c)reconsideration may be granted underthe following circumstances:

(1) If it appears on the basis of facts notpreviously considered that the determinationcomplained of was erroneous;

(2) if it appears that the determinationcomplained of was based on a mistake in thedetermination of facts not previouslyconsidered; or

(3) if in the opinion of the CertifyingOfficer, a misinterpretation of facts or of thelaw justified reconsideration of the decision.

Workers at the subject firm wereengaged in employment related to theproduction of condoms. The Unionquestions why the Department, inmaking its determination, usedcorporate wide sales and production atthe Trenton, New Jersey productionfacility, as opposed to limiting the dateinquiry to the appropriate subdivision.The Union also claims that the 40%increase in U.S. imports of condomsbetween 1994 and 1995 contributedimportantly to worker separations atCarter-Wallace.

The Department’s denial of TAA forworker of Carter-Wallace, Trenton, NewJersey was based on the fact the criteria(2) and (3) of the group eligibilityrequirements of Section 222 of theTrade Act of 1974 were not met. Failureto meet any one of the worker groupeligibility requirements is basis fordenial.

The Department’s findings in theinvestigation showed that Carter-Wallace made the decision to transferproduction from Trenton to anotherdomestic facility. A domestic transfer ofproduction would not provide a basisfor certification.

Since layoffs at the subject firm wereattributable to a domestic transfer ofproduction, the Department examinedcorporate-wide sales. Corporate salesand production of condoms increasedfor the time period relevant to theinvestigation. Therefore, criterion (2) of

the group eligibility requirements is notmet.

The Union also raises issues related toforeign ownership of U.S.-basedcondom manufacturers. Foreignownership of U.S.-based companiesproducing articles that are competitivewith the condoms produced by Carter-Wallace is irrelevant to this case.

The Union cites that workers ofanother domestic producer of condomswas certified eligible for TAA benefits.This producer had declining sales,production and employment, andincreased its import purchases ofcondoms, thereby meeting all thecertification criteria.

Conclusion

After review of the application andinvestigative findings, I conclude thatthere has been no error ormisinterpretation of the law or of thefacts which would justifyreconsideration of the Department ofLabor’s prior decision. Accordingly, theapplication is denied.

Signed at Washington, D.C., this 5th day ofJune 1996.Curtis K. Kooser,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15537 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M

[TA–W–32,268]

Casablanca Fan Company, City ofIndustry, California; Notice ofTermination of Investigation

Pursuant to Section 221 of the TradeAct of 1974, an investigation wasinitiated on April 29, 1996 in responseto a worker petition which was filed onApril 29, 1996 on behalf of workers atCasablanca Fan Company, City ofIndustry, California.

An active certification covering thepetitioning group of workers remains ineffect (TA–W–32,160). Consequently,further investigation in this case wouldserve no purpose, and the investigationhas been terminated.

Signed in Washington, D.C. this 2nd day ofJune, 1996.Russell T. Kile,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15547 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M


[TA–W–32,009]

Chevron Overseas Petroleum, Inc., SanRamon, California; Notice of NegativeDetermination Regarding Applicationfor Reconsideration

By an application dated April 5, 1996,the petitioners requested administrativereconsideration of the subject petitionfor trade adjustment assistance (TAA).The denial notice was signed on March25, 1996 and published in the FederalRegister on April 9, 1996 (61 FR 15832).


(1) If it appears on the basis of facts notpreviously considered that the determinationcomplained of was erroneous;

(2) if it appears that the determinationcomplained of was based on a mistake in thedetermination of facts not previouslyconsidered; or

(3) if in the opinion of the CertifyingOfficer, a misinterpretation of facts or of thelaw justified reconsideration of the decision.

The petitioners claim that a factualerror contributed to the negativedetermination. The petitioners claimthat the determination states that thepetition was filed on behalf of workersat Chevron Overseas Petroleum, Inc.(COPI), and that is incorrect. At the timeof their separation, the workers wereCalifornia-based employees of ChevronUSA, Inc., a Delaware corporation.

The Department conducted itsfactfinding investigation based oninformation provided by the petitionerson the TAA petition form. The petitionwas filed with the Department on behalfof workers of Chevron OverseasPetroleum Division of Chevron USAInc., San Ramon, California. The subjectfirm is a wholly-owned subsidiary of theChevron Corporation. The investigationfindings show that the workers providedsupport services for international oiland gas production. The workers are notassigned to a domestic operatingcompany producing oil and gas in theUnited States. The Trade Act of 1974, asamended does not provide workerbenefits for loss of employment relatedto the support of overseas activities.

The petitioners cite the 1988amendments to the Trade Act—theOmnibus Trade and CompetitivenessAct (OTCA), as a basis for certification.Section 1421 (a)(1)(A) of the OTCAamends section 222 of the Trade Act toadd certain oil and gas workers aspotentially eligible to apply for programbenefits under the TAA Program. Thiswas accomplished by adding a newsubsection to section 222 which

provides that any firm which engages inexploration or drilling for oil or naturalgas shall be considered to be a firmproducing oil or natural gas andproducing articles that are directlycompetitive with imports of oil andnatural gas. This provision does notapply to service workers supporting oiland gas production overseas.

Conclusion


Signed at Washington, D.C., this 4th day ofJune 1996.Curtis K. Kooser,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15535 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30––M

[TA–W–31,718]

Controlled Power Corporation, Canton,Ohio; Notice of AffirmativeDetermination Regarding Applicationfor Reconsideration

By letter of April 17, 1996, thepetitioners requested administrativereconsideration of the Department ofLabor’s Notice of NegativeDetermination Regarding Eligibility toApply for Worker AdjustmentAssistance for workers of the subjectfirm. The denial notice was signed onMarch 20, 1996 and published in theFederal Register on April 3, 1996 (61 FR14820).

The petitioner presents evidence thatthe Department’s survey of the subjectfirm’s customers was incomplete.

Conclusion

After careful review of theapplication, I conclude that the claim isof sufficient weight to justifyreconsideration of the Department ofLabor’s prior decision. The applicationis, therefore, granted.

Signed at Washington, DC, this 29th day ofMay 1996.Linda Poole,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15549 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M

[TA–W–31,465; TA–W–31,465A]

Cranston Print Works Company,Cranston, Rhode Island, and CranstonPrints Works Company UniversalEngravers Division Providence, RhodeIsland; Amended CertificationRegarding Eligibility To Apply forWorker Adjustment Assistance

In accordance with section 223 of theTrade Act of 1974 (19 USC 2273) theDepartment of Labor issued a Notice ofCertification Regarding Eligibility toApply for Worker AdjustmentAssistance on November 30, 1995,applicable to all workers of CranstonPrint Works Company located inCranston, Rhode Island. The Notice waspublished in the Federal Register onDecember 12, 1995 (60 FR 63732).

At the request of the company, theDepartment reviewed the certificationfor workers of the subject firm. Newfindings show that worker separationshave occurred at the subject firm’sUniversal Engravers Division inProvidence, Rhode Island. The workersat the Universal Engravers Divisionengrave screen used to print the designsfor the printed textile fabrics producedby Cranston Print Works.

The intent of the Department’scertification is to include all workers ofCranston Print Works Company whowere adversely affected by increasedimports. Accordingly, the Department isamending the certification to include allworkers of Universal Engravers Divisionin Providence, Rhode Island.

The amended notice applicable toTA–W–31,465 is hereby issued asfollows:

All workers of Cranston Print WorksCompany, Cranston, Rhode Island (TA–W–31,465), and Cranston Print Works Company,Universal Engravers Division, Providence,Rhode Island (TA–W–31,465A) who becametotally or partially separated fromemployment on or after September 13, 1994are eligible to apply for adjustment assistanceunder section 223 of the Trade Act of 1974.

Signed at Washington, D.C. this 7th day ofJune 1996.

Curtis K. Kooser,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15540 Filed 6–18–96; 8:45 am]

BILLING CODE 4510–30–M


[TA–W–32,113]

Eagle Garment Finishing, Inc. A/K/APastar, Inc. El Paso, Texas; AmendedCertification Regarding Eligibility toApply for Worker AdjustmentAssistance

In accordance with Section 223 of theTrade Act of 1974 (19 USC 2273) theDepartment of Labor issued aCertification of Eligibility to Apply forWorker Adjustment Assistance on April24, 1996, applicable to all workers ofEagle Garment Finishing, Inc. located inEl Paso, Texas. The notice waspublished in the Federal Register onMay 24, 1996 (61 FR 26219).

At the request of the State Agency, theDepartment reviewed the certificationfor workers of the subject firm. Theworkers are engaged in employmentrelated to the production of denimapparel. New Information submitted tothe Department shows that some of theworkers had their wages reported to aseparate unemployment insurance (UI)tax account, Pastar, Inc., which is theparent company of Eagle GarmentFinishing, Inc.

The intent of the Department’scertification is to include all workers ofthe subject firms who were adverselyaffected by increased imports.Accordingly, the Department isamending the certification to coverworkers of Pastar, Inc.


All workers of Eagle Garment FinishingInc., a/k/a Pastar, Inc., El Paso, Texas, whobecame totally or partially separated fromemployment on or after March 18, 1995, areeligible to apply for adjustment assistanceunder Section 223 of the Trade Act of 1974.

Signed at Washington, D.C. this 6th day ofJune 1996.Curtis K. Kooser,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15543 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M

[TA–W–32,162]

Joe Benbasset, Incorporated, NewYork, New York; Notice of Terminationof Investigation

Pursuant to Section 221 of the TradeAct of 1974, an investigation wasinitiated on April 8, 1996 in response toa worker petition which was filed onbehalf of workers and former workers atJoe Benbasset, Incorporated, located inNew York, New York (TA–W–32,162).

The petitioner has requested that thepetition be withdrawn. Consequently,

further investigation in this case wouldserve no purpose, and the investigationhas been terminated.

Signed at Washington, DC, this 7th day ofJune 1996.Curtis K. Kooser,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15544 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M

[TA–W–32,054; TA–W–32,054A]

Norminjil Sportswear Corporation,Luzerne, Pennsylvania, and NorminjilSportswear Corporation, d.b.a. Sea IsleSportswear, New York, New York;Amended Certification RegardingEligibility To Apply for WorkerAdjustment Assistance

In accordance with section 223 of theTrade Act of 1974 (19 U.S.C. 2273) theDepartment of Labor issued aCertification of Eligibility to Apply forWorker Adjustment Assistance on May13, 1996, applicable to all workers ofNorminjil Sportswear Corporationlocated in Luzerne, Pennsylvania. Thenotice was published in the FederalRegister on May 24, 1996 (61 FR 26219).

At the request of petitioners, theDepartment reviewed the certificationfor workers of the subject firm. Newinformation provided by the companyshows that worker separations haveoccurred at Norminjil’s Sea IsleSportswear, New York City location. SeaIsle Sportswear is the sales office forNorminjil, and the workers support theproduction of girls’ sportswear.

The intent of the Department’scertification is to include all workers ofthe subject firm who were adverselyaffected by increased imports of apparel.The Department is amending thecertification to cover the workers ofNorminjil Sportswear, d.b.a. Sea IsleSportswear, New York, New York.


All workers of Norminjil SportswearCorporation, Luzerne, Pennsylvania (TA–W–32,054), and Norminjil SportswearCorporation, d.b.a. Sea Isle Sportswear, NewYork, New York (TA–W–32,054A) whobecame totally or partially separated fromemployment on or after March 1, 1995, areeligible to apply for adjustment assistanceunder section 223 of the Trade Act of 1974.


[TA–W–32,231]

Roseburg Forest Product, Sawmill #1,Dillard, Oregon; Amended CertificationRegarding Eligibility To Apply forWorker Adjustment Assistance

In accordance with section 223 of thetrade Act of 1974 (19 U.S.C. 2273) theDepartment of Labor issued aCertification of Eligibility to Apply forWorker Adjustment Assistance on May20, 1996, applicable to all workers ofRoseburg Forest Product, Sawmill #1,located in Dillard, Oregon. The noticewill soon be published in the FederalRegister.

The Department reviewed thecertification for workers of the subjectfirm. The Department is amending thecertification for workers of the subjectfirm to change the impact date. Newfindings show that workers of thesubject firm in Dillard, Oregon, engagedin the production of lumber products,were covered under a previouscertification, TA–W–29–108, thatexpired February 8, 1996.


All workers of Roseburg Forest Product,Sawmill #1, Dillard, Oregon who becametotally or partially separated fromemployment on or before February 8, 1996,are eligible to apply for adjustment assistanceunder Section 223 of the Trade Act of 1974.


[TA–W–32,197]

Sea Isle Sportswear, New York, NewYork; Notice of Termination ofInvestigation

Pursuant to section 221 of the TradeAct of 1974, an investigation wasinitiated on April 8, 1996 in response toa worker petition which was filedMarch 26, 1996 on behalf of workers atSea Isle Sportswear, New York, NewYork (TA–W–32,197).


The petitioning group of workers arecovered under an existing TradeAdjustment Assistance certification(TA–W–32,054A). Consequently, furtherinvestigation in this case would serveno purpose, and the investigation hasbeen terminated.


[TA–W–31,919]

Toymax, Incorporated, Westbury, NewYork; Dismissal of Application forReconsideration

Pursuant to 29 CFR 90.18(C) anapplication for administrativereconsideration was filed with theProgram Manager of the Office of TradeAdjustment Assistance for workers atToymax, Incorporated, Westbury, NewYork. The review indicated that theapplication contained no newsubstantial information which wouldbear importantly on the Department’sdetermination. Therefore, dismissal ofthe application was issued.

TA–W–31,919; Toymax, Incorporated,Westbury, New York (June 7, 1996)

Signed in Washington, D.C. this 11th dayof June, 1996.Russell T. Kile,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15541 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M

[TA–W–32,284]

United Technologies Automotive, Inc.,Newton, Illinois; Notice of Terminationof Investigation

Pursuant to Section 221 of the TradeAct of 1974, an investigation wasinitiated on April 29, 1996 in responseto a worker petition which was filed onMarch 21, 1996 on behalf of workers atUnited Technologies Automotive, Inc.,Newton, Illinois.

The petitioner has requested that thepetition be withdrawn. Consequently,further investigation in this case wouldserve no purpose, and the investigationhas been terminated.

Signed in Washington, D.C. this 6th day ofJune 1996.Curtis K. Kooser,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15546 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M

Proposed Collection; CommentRequest

ACTION: Notice.

SUMMARY: The Department of Labor, aspart of its continuing effort to reducepaperwork and respondent burdenconducts a preclearance consultationprogram to provide the general publicand Federal agencies with anopportunity to comment on proposedand/or continuing collections ofinformation in accordance with thePaperwork Reduction Act of 1995(PRA95) [44 U.S.C. 3506(c)(2)(A)]. Thisprogram helps to ensure that requesteddata can be provided in the desiredformat, reporting burden (time andfinancial resources) is minimized,collection instruments are clearlyunderstood, and the impact of collectionrequirements on respondents can beproperly assessed. Currently, theEmployment and TrainingAdministration is soliciting commentsconcerning the proposed extension ofthe Dislocated Worker Special ProjectReport, ETA Form 9038. A copy of theproposed information collection request(ICR) can be obtained by contacting theoffice listed below in the addresseesection of this notice.DATES: Written comments must besubmitted to the office listed in theaddressee section below on or beforeAugust 19, 1996.

The Department of Labor isparticularly interested in commentswhich:



• Enhance the quality, utility, andclarify of the information to becollected; and

• Minimize the burden of thecollection of information on those whoare to respond, including through theuse of appropriate automated,electronic, mechanical, or other

technological collection techniques orother forms of information technology,e.g., permitting electronic submissionsof responses.ADDRESSES: Eric Johnson, Office ofWorker Retraining and AdjustmentPrograms, Office of Work-BasedLearning, Employment and TrainingAdministration, U.S. Department ofLabor, Room N–5426, 200 ConstitutionAvenue N.W., Washington, D.C. 20210,202–219–5577 (this is not a toll-freenumber).


I. Background

The collection of the information inthe Dislocated Worker Special ProjectReport (DWSPR) is necessary in order tosatisfy the requirements of theprovisions of the Job TrainingPartnership Act (JTPA), as amended.The provisions are related to theSecretary’s responsibilities andauthority for monitoring performanceand expenditures, and for recordkeepingand reporting related to JTPA Title III.

II. Current Actions

This is a request for OMB approval ofan extension of an existing collection ofinformation previously approved byOMB. The extension will allow theDepartment to continue to monitorperformance of the discretionaryprograms under Title III of JTPA, toreport to Congress and the Treasury, andto prepare annual budget reports.

Type of Review: Extension.Agency: Employment and Training

Administration.Title: Dislocated Worker Special

Project Report.OMB Number: 1205–0318.Affected Public: State, Local or Tribal

Government/Business or other for-profit/Not-for-profit institutions.

Total Respondents: 170.Frequency: Quarterly.Average Time per Response: 15.7

hours.Estimated Total Burden Hours:

10,650.Comments submitted in response to

this comment request will besummarized and/or included in therequest for Office of Management andBudget approval of the informationcollection request; they will alsobecome a matter of public record.

Dated: June 11, 1996.Grace A. Kilbane,Administrator, Office of Work-BasedLearning, Employment and TrainingAdministration.[FR Doc. 96–15532 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M


[NAFTA–00785]

Burlington Industries, IncorporatedMenswear Division, New York, NewYork; Dismissal of Application forReconsideration

Pursuant to 29 CFR 90.18(C) anapplication for administrativereconsideration was filed with theProgram Manager of the Office of TradeAdjustment Assistance for workers atBurlington Industries, Inc., MenswearDivision, New York, New York. Thereview indicated that the applicationcontained no new substantialinformation which would bearimportantly on the Department’sdetermination. Therefore, dismissal ofthe application was issued.NAFTA–00785; Burlington Industries, Inc.,

Menswear Div., New York, NY (May 23,1996)

Signed at Washington, D.C. this 3rd day ofJune, 1996.Russell T. Kile,Acting Program Manager, Policy &Reemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15548 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M

[NAFTA–00982]

Cambridge Industries, Inc. (FormerlyKnown as GenCorp); CommercialTruck Group, Ionia, Michigan;Amended Certification RegardingEligibility To Apply for NAFTATransitional Adjustment Assistance

In accordance with section 250(a),subchapter D, chapter 2, title II, of theTrade Act of 1974, as amended (19U.S.C. 2273), the Department of Laborissued a Certification for NAFTATransitional Adjustment Assistance onMay 13, 1996, applicable to workers ofCambridge Industries, Inc., CommercialTruck Group, Ionia, Michigan. Thenotice was published in the FederalRegister on May 24, 1996 (61 FR 26220).

At the request of the State agency, theDepartment reviewed the certificationfor workers of the subject firm. Theworkers produce reinforcement parts forauto and truck body panels. Newfindings show that some of the workersof Cambridge Industries, Inc. had theirunemployment insurance (UI) taxespaid under the former company name,GenCorp. Other new findings show thatsome of the workers of GenCorp arecovered under an existing certification,NAFTA–00170, that will expire August11, 1996.

The intent of the Department’scertification is to include all workers ofCambridge Industries, Inc. who were

adversely affected by increased importsfrom Mexico or Canada. Accordingly,the Department is amending thecertification to include workers of thesubject firm who were formerlyemployed by GenCorp, and to excludeuntil August 11, 1996, those workerscovered under NAFTA–00170.

The amended notice applicable toNAFTA–00982 is hereby issued asfollows:

All workers of Cambridge Industries, Inc.,formerly known as GenCorp, CommercialTruck Group, Ionia, Michigan, who becametotally or partially separated fromemployment on or after April 9, 1995;excluding all workers of GenCorp, ReinforcedPlastics Division, Ionia, Michigan engaged inemployment related to the production ofreinforced fiberglass grill opening panels forthe Buick Century and the Oldsmobile Cieralines who became totally or partiallyseparated from employment betweenDecember 3, 1993 and August 11, 1996, areeligible to apply for NAFTA–TAA undersection 250 of the Trade Act of 1974.

Signed at Washington, DC this 6th day ofJune 1996.Curtis K. Kooser,Acting Program Manager, Policy andReemployment Services, Office of TradeAdjustment Assistance.[FR Doc. 96–15542 Filed 6–18–96; 8:45 am]BILLING CODE 4510–30–M

[NAFTA–00992]

Crown Pacific Limited Partnership,Albeni Falls, Oldtown, Idaho; Notice ofTermination of Investigation

Pursuant to Title V of the NorthAmerican Free Trade AgreementImplementation Act (P.L. 103–182)concerning transitional adjustmentassistance, hereinafter called (NAFTA–TAA), and in accordance with Section250(a), Subchapter D, Chapter 2, Title II,of the Trade Act of 1974, as amended(19 U.S.C. 2273), an investigation wasinitiated on April 22, 1996 in responseto a petition filed on behalf of workersat Crown Pacific Limited Partnership,Albeni Falls, Oldtown, Idaho.

The petitioning worker group isalready covered under a previous activecertification (NAFTA–00477).Consequently, further investigation inthis case would serve no purpose, andthe investigation has been terminated.


[NAFTA–00937]

Eagle Garment Finishing Inc., a/k/aPastar, Inc., El Paso, Texas; AmendedCertification Regarding Eligibility ToApply for NAFTA TransitionalAdjustment Assistance

In accordance with Section 250(a),Subchapter D, Chapter 2, Title II, of theTrade Act of 1974, as amended (19 USC2273), the Department of Labor issued aCertification for NAFTA TransitionalAdjustment Assistance on May 14,1996, applicable to workers of EagleGarment Finishing, Inc., El Paso, Texas.The notice was published in the FederalRegister on May 24, 1996 (61 FR 26220).

At the request of the State agency, theDepartment reviewed the certificationfor workers of the subject firm. Theworkers are engaged in employmentrelated to the production of denimapparel. New information submitted tothe Department shows that some of theworkers had their wages reported to aseparate unemployment insurance (UI)tax account, Pastar, Inc., which is theparent company of Eagle GarmentFinishing, Inc.

The intent of the Department’scertification is to include all workers ofEagle Garment Finishing, Inc. who wereadversely affected by increased importsfrom Mexico or Canada. Accordingly,the Department is amending thecertification to include workers ofPastar, Inc.

The amended notice applicable toNAFTA–00937 is hereby issued asfollows:

All workers of Eagle Garment Finishing,Inc., a/k/a Pastar, Inc., El Paso, Texas, whobecame totally or partially separated fromemployment on or after March 18, 1995, areeligible to apply for NAFTA–TAA underSection 250 of the Trade Act of 1974.


[NAFTA–00810]

Pope & Talbot, Inc., Eau Claire,Wisconsin; Notice of NegativeDetermination Regarding Applicationfor Reconsideration

By an application dated May 6, 1996,the United Paperworkers InternationalUnion, Local No. 42, requestedadministrative reconsideration of thesubject petition for North American FreeTrade Agreement-Transitional


Adjustment Assistance (NAFTA-TAA).The denial notice was signed on March25, 1996 and published in the FederalRegister on April 3, 1996 (61 FR 14812).


(1) If it appears on the basis of factsnot previously considered that thedetermination complained of waserroneous;

(2) if it appears that the determinationcomplained of was based on a mistakein the determination of facts notpreviously considered; or

(3) if in the opinion of the CertifyingOfficer, a misinterpretation of facts or ofthe law justified reconsideration of thedecision.

Workers at the subject firm wereengaged in employment related to theproduction of diapers. The Unionclaims that sales, production andemployment at the Eau Claire,Wisconsin production facility havedeclined. The Union also claims thatcompetitors in the diaper industryproduced articles of sort in Mexico andCanada and those articles are beingexported to the United States. TheUnion further claims that Paragon TradeBrands, the owner of the Pope & Talbotproduction facility since January 1995,has purchased the Mabesa diaperfacility in Mexico.

The Department’s denial of NAFTA-TAA for workers of Pope & Talbot, Inc.,Eau Claire, Wisconsin was based on thefact the increased import criteria (3) and(4) were not met. There was no shift ofproduction from the subject plant toMexico or Canada, nor was there anycompany or customer imports ofdisposable baby diapers that are like ordirectly competitive with thoseproduced by Pope & Talbot, Inc.

Paragon Trade Brands, Inc.announced intent to enter into acontract with a Mexican firm to producedisposable baby diapers would notprovide a basis for a worker groupcertification.

Conclusion



FEDERAL MINE SAFETY AND HEALTHREVIEW COMMISSION


June 13, 1996.TIME AND DATE: 10:00 a.m., Thursday,June 20, 1995.PLACE: Room 6005, 6th Floor, 1730 KStreet, N.W., Washington, DC.STATUS: Open.MATTERS TO BE CONSIDERED: TheCommission will consider and act uponthe following:

1. Ambrosia Coal & Construction Co., andSteen, emp. by Ambrosia Coal &Construction Co., Docket Nos. PENN 93–233and PENN 94–15. (Issues include whetherthe judge correctly determined that theoperator violated 30 C.F.R. § 77.404(a) andthat the violation was significant andsubstantial and the result of unwarrantablefailure, whether Steen’s conduct wasimputable to the operator, whether Steen wasliable under section 110(c) of the Mine Act,and whether the penalty assessments wereappropriate.)

Any person attending this meetingwho requires special accessibilityfeatures and/or auxiliary aids, such assign language interpreters, must informthe Commission in advance of thoseneeds. Subject to 29 C.F.R.§ 2706.150(a)(3) and § 2706.160(d).CONTACT PERSON FOR MORE INFO: JeanEllen (202) 653–5629 / (202) 708–9300for TDD Relay / 1–800–877–8339 for tollfree.Jean H. Ellen,Chief Docket Clerk.[FR Doc. 96–15714 Filed 6–17–96; 8:45 am]BILLING CODE 6735–01–M

NATIONAL AERONAUTICS ANDSPACE ADMINISTRATION

[Notice 96–064]

NASA Advisory Council, AdvisoryCommittee on the International SpaceStation (ACISS); Meeting

AGENCY: National Aeronautics andSpace Administration.ACTION: Notice of meeting.

SUMMARY: In accordance with theFederal Advisory Committee Act, Pub.

L. 92–463, as amended, the NationalAeronautics and Space Administrationannounces a meeting of the NASAAdvisory Council, Advisory Committeeon the International Space Station.DATES: July 8, 1996, 10:00 a.m. to 5:00p.m.; and July 9, 1996, 11:00 a.m. to5:00 p.m.ADDRESSES: Lyndon B. Johnson SpaceCenter, Building 1, Room 966, Houston,TX 77058–3696.FOR FURTHER INFORMATION CONTACT:Mr. Bruce Luna, Code M–4, NationalAeronautics and Space Administration,Washington, DC 20546, 202/358–1101.SUPPLEMENTARY INFORMATION: Themeeting will be open to the public upto the seating capacity of the room. Theagenda for the meeting is as follows:—International Partnerships—Hardware Status—Test and Verification—Space Station Science and

Technology Program—XCRV Status

It is imperative that the meeting beheld on these dates to accommodate thescheduling priorities of the keyparticipants. Visitors will be requestedto sign a visitor’s register.

Dated: June 13, 1996.Leslie M. Nolan,Advisory Committee Management Officer,National Aeronautics and SpaceAdministration.[FR Doc. 96–15500 Filed 6–18–96; 8:45 am]BILLING CODE 7510–01–M

NUCLEAR REGULATORYCOMMISSION

Conversion to the Metric System;Policy Statement

AGENCY: Nuclear RegulatoryCommission.ACTION: Final policy statement.

SUMMARY: On September 27, 1995, theU. S. Nuclear Regulatory Commission(NRC) published a request for publiccomment on its existing metricationpolicy. This action was taken inaccordance with the NRC’s policystatement of October 7, 1992, in whichthe Commission was to assess the stateof metric use by the licensed nuclearindustry in the United States after 3years to determine whether the policyshould be modified. The purpose of thisnotice is to inform the public of theCommission’s decision that itsStatement of Policy on Conversion tothe Metric System does not need to bemodified, that it considers this policyfinal, and that its conversion to themetric system is complete.


1 The metric system refers to units belonging tothe Internationale System of Units, which isabbreviated SI (from the French Le SystèmeInternationale d’Unitès), as interpreted or modifiedfor use in the United States by the Secretary ofCommerce.

2 On August 10, 1988, Congress passed theOmnibus Trade and Competitiveness Act (the Act),(19 U.S.C. 2901 et seq.), which amended the MetricConversion Act of 1975, (15 U.S.C. 205a et seq.).Section 5164 of the Act (15 U.S.C. 205a) designatesthe metric system as the preferred system of weights

and measures for the United States trade andcommerce. The Act also requires that all Federalagencies convert to the metric system ofmeasurement in their procurements, grants, andother business-related activities by the end of fiscalyear 1992.

EFFECTIVE DATE: June 19, 1996.FOR FURTHER INFORMATION CONTACT: Dr.Frank A. Costanzi, Chairman, NRCMetrication Oversight Committee, U.S.Nuclear Regulatory Commission,Washington, DC 20555; telephone: (301)415–6250; e-mail [email protected].


Background

On September 27, 1995 (60 FR 49928),the U.S. Nuclear RegulatoryCommission (NRC) published a requestfor public comment on its policystatement on Conversion to the MetricSystem 1 in the Federal Register. Thisrequest for public comment was inaccordance with the Policy Statementpublished on October 7, 1992 (57 FR46202), which called for theCommission to determine, after 3 years,whether the policy should be modified.

Before the publication of the requestfor public comment, the NRC staffcontacted various industrial, standards,and governmental organizations todetermine their view of the policy. Theorganizations contacted included theAmerican National Standards Institute(ANSI), the American Society forTesting and Materials (ASTM), theAmerican Society of MechanicalEngineers (ASME), the Institute ofElectrical and Electronics Engineers(IEEE), Inc., the Nuclear Energy Institute(NEI), the Nuclear Utility Backfittingand Reform Group (NUBARG), theUnited States PharmacopeialConvention (USP), Inc., the Society ofNuclear Medicine, and the Organizationof Agreement States (OAS).

Comments Received

With few exceptions, these variousorganizations stated their support forthe current NRC policy. The nuclearpower industry position seems to beexemplified by the NEI comments inwhich they continue to support thecurrent NRC Metrication Policy and ‘‘atransition to the metric system that ismarket-driven and avoids a sudden orprecipitous move to conduct licensingand regulatory matters in metric units.’’

As for the standards-setting groups,ASME strongly supports the OmnibusTrade and Competitiveness Act 2 and

believes that the NRC policy is inaccordance with those requirements.IEEE related that its ‘‘standards are to beprimarily metric beginning in 1998 and,with minor exceptions, exclusivelymetric beginning in 2000.’’ Also, IEEEbelieves that the United StatesGovernment ‘‘can and should do morethan it has done to further themetrication process in this country.’’ Inresponse to the NRC’s request, IEEEprovided the following three commentsrelating directly to the NRC’s position:

(1) The NRC should drop the use ofdual units in its publications and to use‘‘metric units exclusively except wheredoing so would clearly be detrimental topublic health and safety.’’

(2) The NRC policy of using theEnglish system for all event reportingand emergency responsecommunications, although prudent in1992, may now cause confusion andhave a negative impact after variousrelevant standards have been converted.

(3) The NRC should include thefollowing statement in its policy:‘‘Nothing in this statement of policyshould be interpreted to require the useof the English system of measurement,or to forbid the use of consensus basedstandards that are exclusively metric.’’This was proposed so those in theprivate sector who wish to move fasterthan the Government may be protected.

With respect to IEEE’s first commentconcerning the dropping of dual units,the NRC believes that because of therelatively low number of licenseesoperating in the metric system, it wouldnot be beneficial to make such a change,especially because it would not lead toany improvement in the public healthand safety. IEEE’s second comment callsfor dropping that portion of the policyrequiring event reporting andemergency communication betweenlicensees and any Government agency tobe in the English system ofmeasurement. IEEE believes that theEnglish-only event reporting andemergency communication may have anegative impact after various relevantstandards have been converted to themetric system. To consider such achange is premature, because thestandards referred to by IEEE have notbeen converted. The IEEE’s lastcomment calls for the insertion of astatement noting that use of the Englishsystem is not required and that the useof metric standards is not prohibited.This statement is consistent with the

NRC policy as written, with theexception of the use of the Englishsystem in event reporting andemergency communication as discussedabove.

The USP pointed out that the use ofdual units by NRC is in line with USP’sposition and practice. However, theOAS position is that ‘‘to be trulyresponsive to Congress the Commissionnow should go on record as requiringthe use of SI units in all itscommunication and documentation.’’Also, OAS recommended that the NRC‘‘support the dual citation standard withthe SI unit appearing first and theEnglish or special units following inbrackets or parentheses’’ toaccommodate the editing style of thevarious States. As noted in the October7, 1992, Federal Register noticeannouncing the NRC’s metricationpolicy, the NRC believed and continuesto believe that if metrication were mademandatory by a rulemaking, nocorresponding improvement in publichealth and safety would result but costswould be incurred without benefit. Theediting style recommended by OAS isconsistent with NRC policy. Commentswere not received from the remaininggroups contacted by the NRC staff.

Four letters were received in responseto the September 27, 1995, request forpublic comment. They were from NEIand three nuclear power utilities. NEI’sstatement remained consistent withtheir earlier positions on metrication,namely that they did not believe that itwould be in the best interest of safetyfor the NRC to require nuclear powerreactors to be operated using SI units.Also, NEI continues to support theNRC’s policy and recommended that thepolicy remain unchanged.

With respect to the individual utilitieswhich responded, one requested thatthe NRC not change the part of thepolicy which requires that all eventreporting and emergency responsecommunications between licensees andany Government authority be in theEnglish system of measurement.Another utility endorsed NEI’s positionand believes the existing policy isreasonable. The third utility alsoendorsed the NEI position and ‘‘stronglydiscourage(d)’’ any change to that partof the policy requiring event reportingand emergency responsecommunications between licensees andany Government authorities to be in theEnglish system of measurement.

Small Business Regulatory EnforcementFairness Act

In accordance with the SmallBusiness Regulatory EnforcementFairness Act of 1996, the NRC has


determined that this action is not amajor rule and has verified thisdetermination with the Office ofInformation and Regulatory Affairs ofOMB.

Statement of PolicyThe Commission’s policy on

Conversion to the Metric Systemremains essentially as stated in theFederal Register (57 FR 46202) ofOctober 7, 1992.

The NRC supports and encourages theuse of the metric system ofmeasurement by licensed nuclearindustry. In order to facilitate the use ofthe metric system by licensees andapplicants, beginning January 7, 1993,the NRC will publish the followingdocuments in dual units: Newregulations, major amendments toexisting regulations, regulatory guides,NUREG-series documents, policystatements, information notices, genericletters, bulletins, and all writtencommunications directed to the public.

Documents specific to a licensee, suchas inspection reports and docketedmaterial dealing with a particularlicensee, will be in the system of unitsemployed by the licensee. This protocolreflects a general approach that onlydocuments applicable to all licensees, orto all licensees of a given type in whicha licensee may operate in the metricsystem will contain dual units.Otherwise, English or metric units aloneare permissible. In dual-unit documents,the first unit presented will be in theInternational System of Units with theEnglish unit shown in brackets. TheNRC will modify existing documentsand procedures as needed to facilitateuse of the metric system by licenseesand applicants. In addition, the NRCwill provide staff training as needed.Further, through its participation innational, international, professional,and industry standards organizationsand committees and through its workwith other industry organizations andgroups, the NRC will encourage andfurther the use of the metric system informulating and adopting standards andpolicies for the licensed nuclearindustry.

However, if the NRC concludes thatthe use of any particular system ofmeasurement would be detrimental tothe public health and safety, theCommission will proscribe the use ofthat system by regulation, order, orother appropriate means. In particular,all event reporting and emergencyresponse communications betweenlicensees, the NRC, and State and localauthorities will be in the English systemof measurement. Further, the NRC willfollow the Federal Acquisition

Regulation and the General ServicesAdministration metrication program inexecuting procurements. Lastly, theCommission considers this policy finaland conversion to the metric systemcomplete. The Commission does notintend to revisit this policy unless it iscausing an undue burden or hardship.

Dated at Rockville, Maryland, this 12th dayof June 1996.

For the Nuclear Regulatory Commission.John C. Hoyle,Secretary of the Commission.[FR Doc. 96–15397 Filed 6–17–96; 8:45 am]BILLING CODE 7590–01–P

Biweekly Notice

Applications and Amendments toFacility Operating Licenses InvolvingNo Significant Hazards Considerations

I. Background

Pursuant to Public Law 97–415, theU.S. Nuclear Regulatory Commission(the Commission or NRC staff) ispublishing this regular biweekly notice.Public Law 97–415 revised section 189of the Atomic Energy Act of 1954, asamended (the Act), to require theCommission to publish notice of anyamendments issued, or proposed to beissued, under a new provision of section189 of the Act. This provision grants theCommission the authority to issue andmake immediately effective anyamendment to an operating licenseupon a determination by theCommission that such amendmentinvolves no significant hazardsconsideration, notwithstanding thependency before the Commission of arequest for a hearing from any person.

This biweekly notice includes allnotices of amendments issued, orproposed to be issued from May 24,1996, through June 7, 1996. The lastbiweekly notice was published on June5, 1996 (61 FR 28604).

Notice Of Consideration Of Issuance OfAmendments To Facility OperatingLicenses, Proposed No SignificantHazards Consideration Determination,And Opportunity For A Hearing

The Commission has made aproposed determination that thefollowing amendment requests involveno significant hazards consideration.Under the Commission’s regulations in10 CFR 50.92, this means that operationof the facility in accordance with theproposed amendment would not (1)involve a significant increase in theprobability or consequences of anaccident previously evaluated; or (2)

create the possibility of a new ordifferent kind of accident from anyaccident previously evaluated; or (3)involve a significant reduction in amargin of safety. The basis for thisproposed determination for eachamendment request is shown below.

The Commission is seeking publiccomments on this proposeddetermination. Any comments receivedwithin 30 days after the date ofpublication of this notice will beconsidered in making any finaldetermination.

Normally, the Commission will notissue the amendment until theexpiration of the 30-day notice period.However, should circumstances changeduring the notice period such thatfailure to act in a timely way wouldresult, for example, in derating orshutdown of the facility, theCommission may issue the licenseamendment before the expiration of the30-day notice period, provided that itsfinal determination is that theamendment involves no significanthazards consideration. The finaldetermination will consider all publicand State comments received beforeaction is taken. Should the Commissiontake this action, it will publish in theFederal Register a notice of issuanceand provide for opportunity for ahearing after issuance. The Commissionexpects that the need to take this actionwill occur very infrequently.

Written comments may be submittedby mail to the Chief, Rules Review andDirectives Branch, Division of Freedomof Information and PublicationsServices, Office of Administration, U.S.Nuclear Regulatory Commission,Washington, DC 20555–0001, andshould cite the publication date andpage number of this Federal Registernotice. Written comments may also bedelivered to Room 6D22, Two WhiteFlint North, 11545 Rockville Pike,Rockville, Maryland from 7:30 a.m. to4:15 p.m. Federal workdays. Copies ofwritten comments received may beexamined at the NRC Public DocumentRoom, the Gelman Building, 2120 LStreet, NW., Washington, DC. The filingof requests for a hearing and petitionsfor leave to intervene is discussedbelow.

By July 19, 1996, the licensee may filea request for a hearing with respect toissuance of the amendment to thesubject facility operating license andany person whose interest may beaffected by this proceeding and whowishes to participate as a party in theproceeding must file a written requestfor a hearing and a petition for leave tointervene. Requests for a hearing and a


petition for leave to intervene shall befiled in accordance with theCommission’s ‘‘Rules of Practice forDomestic Licensing Proceedings’’ in 10CFR Part 2. Interested persons shouldconsult a current copy of 10 CFR 2.714which is available at the Commission’sPublic Document Room, the GelmanBuilding, 2120 L Street, NW.,Washington, DC and at the local publicdocument room for the particularfacility involved. If a request for ahearing or petition for leave to interveneis filed by the above date, theCommission or an Atomic Safety andLicensing Board, designated by theCommission or by the Chairman of theAtomic Safety and Licensing BoardPanel, will rule on the request and/orpetition; and the Secretary or thedesignated Atomic Safety and LicensingBoard will issue a notice of a hearing oran appropriate order.

As required by 10 CFR 2.714, apetition for leave to intervene shall setforth with particularity the interest ofthe petitioner in the proceeding, andhow that interest may be affected by theresults of the proceeding. The petitionshould specifically explain the reasonswhy intervention should be permittedwith particular reference to thefollowing factors: (1) the nature of thepetitioner’s right under the Act to bemade a party to the proceeding; (2) thenature and extent of the petitioner’sproperty, financial, or other interest inthe proceeding; and (3) the possibleeffect of any order which may beentered in the proceeding on thepetitioner’s interest. The petition shouldalso identify the specific aspect(s) of thesubject matter of the proceeding as towhich petitioner wishes to intervene.Any person who has filed a petition forleave to intervene or who has beenadmitted as a party may amend thepetition without requesting leave of theBoard up to 15 days prior to the firstprehearing conference scheduled in theproceeding, but such an amendedpetition must satisfy the specificityrequirements described above.

Not later than 15 days prior to the firstprehearing conference scheduled in theproceeding, a petitioner shall file asupplement to the petition to intervenewhich must include a list of thecontentions which are sought to belitigated in the matter. Each contentionmust consist of a specific statement ofthe issue of law or fact to be raised orcontroverted. In addition, the petitionershall provide a brief explanation of thebases of the contention and a concisestatement of the alleged facts or expertopinion which support the contentionand on which the petitioner intends torely in proving the contention at the

hearing. The petitioner must alsoprovide references to those specificsources and documents of which thepetitioner is aware and on which thepetitioner intends to rely to establishthose facts or expert opinion. Petitionermust provide sufficient information toshow that a genuine dispute exists withthe applicant on a material issue of lawor fact. Contentions shall be limited tomatters within the scope of theamendment under consideration. Thecontention must be one which, ifproven, would entitle the petitioner torelief. A petitioner who fails to file sucha supplement which satisfies theserequirements with respect to at least onecontention will not be permitted toparticipate as a party.

Those permitted to intervene becomeparties to the proceeding, subject to anylimitations in the order granting leave tointervene, and have the opportunity toparticipate fully in the conduct of thehearing, including the opportunity topresent evidence and cross-examinewitnesses.

If a hearing is requested, theCommission will make a finaldetermination on the issue of nosignificant hazards consideration. Thefinal determination will serve to decidewhen the hearing is held.

If the final determination is that theamendment request involves nosignificant hazards consideration, theCommission may issue the amendmentand make it immediately effective,notwithstanding the request for ahearing. Any hearing held would takeplace after issuance of the amendment.

If the final determination is that theamendment request involves asignificant hazards consideration, anyhearing held would take place beforethe issuance of any amendment.

A request for a hearing or a petitionfor leave to intervene must be filed withthe Secretary of the Commission, U.S.Nuclear Regulatory Commission,Washington, DC 20555–0001, Attention:Docketing and Services Branch, or maybe delivered to the Commission’s PublicDocument Room, the Gelman Building,2120 L Street, NW., Washington DC, bythe above date. Where petitions are filedduring the last 10 days of the noticeperiod, it is requested that the petitionerpromptly so inform the Commission bya toll-free telephone call to WesternUnion at 1-(800) 248–5100 (in Missouri1-(800) 342–6700). The Western Unionoperator should be given DatagramIdentification Number N1023 and thefollowing message addressed to (ProjectDirector): petitioner’s name andtelephone number, date petition wasmailed, plant name, and publicationdate and page number of this Federal

Register notice. A copy of the petitionshould also be sent to the Office of theGeneral Counsel, U.S. NuclearRegulatory Commission, Washington,DC 20555–0001, and to the attorney forthe licensee.

Nontimely filings of petitions forleave to intervene, amended petitions,supplemental petitions and/or requestsfor a hearing will not be entertainedabsent a determination by theCommission, the presiding officer or theAtomic Safety and Licensing Board thatthe petition and/or request should begranted based upon a balancing offactors specified in 10 CFR2.714(a)(1)(i)-(v) and 2.714(d).

For further details with respect to thisaction, see the application foramendment which is available forpublic inspection at the Commission’sPublic Document Room, the GelmanBuilding, 2120 L Street, NW.,Washington, DC, and at the local publicdocument room for the particularfacility involved.

Boston Edison Company, Docket No.50–293, Pilgrim Nuclear Power Station,Plymouth County, Massachusetts

Date of amendment request: April 25,1996

Description of amendment request:The proposed amendment wouldchange the definition of Operable-Operability, revise TechnicalSpecifications (TSs) and associatedBases Section for TSs 3.5.F.1, ‘‘Core andContainment Cooling systems,’’ TSs3.9.B.1, 3.9.B.2, 3.9.B.3, 3.9.b.4,‘‘Auxiliary Electrical System,’’ and TSs3.7.B.1.a, c, and e, and 3.7.b.2.a, c, ande, ‘‘Standby Gas Treatment System andControl Room High Efficiency AirFiltration System,’’ and delete TSs4.5.F.1, ‘‘Core and Containment CoolingSystems,’’ and 3.7.B.1.f, ‘‘Standby GasTreatment System and Control RoomHigh Efficiency Air Filtration System.’’

Basis for proposed no significanthazards consideration determination:As required by 10 CFR 50.91(a), thelicensee has provided its analysis of theissue of no significant hazardsconsideration, which is presentedbelow:

1. The proposed amendment does notinvolve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

Operation of PNPS [Pilgrim Nuclear PowerStation] in accordance with the proposedlicense amendment will not involve asignificant increase in the probability orconsequences of an accident previouslyevaluated because of the following:

Definition of ‘‘Operable-Operability’’Definitions perform a supporting function

for other sections of the TS. The definitionof ‘‘Operable-Operability’’ affects the manner


in which the requirements for a LimitingCondition for Operation (LCO) and itsassociated remedial actions are applied whena support system is inoperable. Thisdefinition re-affirms the principle that asystem is operable when it is capable ofperforming its specified function and whenall necessary support systems are alsocapable of performing their related supportfunctions. The corollary is that a system isinoperable when it is not capable ofperforming its specified function or when anecessary support system is not capable ofperforming its related support function.

No changes are being made to the plantdesign, system configuration, or method ofoperation. The proposed change does notaffect the ability of the AC power sources toperform their required safety functions noraffect the ability of the features they supportto perform their respective safety functions.Therefore, the proposed change does notinvolve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

EDG [Emergency Diesel Generator]An Individual Plant Examination (IPE) for

Internal Events was submitted to the NRC inresponse to Generic Letter 88–20 inSeptember 1992. The IPE was used toquantify the overall impact of the proposed14 day allowed outage time on core damagefrequency. Part III provides the results of acomprehensive Probabilistic SafetyAssessment (PSA) of the impact of theproposed AOTs [allowed outage times] forthe EDGs and Startup and Shutdowntransformers. As shown in Part III, there isnot a significant increase in risk due to theproposed change. Thus the proposed changedoes not involve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

The existing specification 3.9.B.1 is beingseparated into two segments (a and b)because of the proposed and different AOTsfor the Startup and Shutdown transformers.As a result of the PSA, the AOT for theStartup transformer (a) is reduced from 7days to 72 hours, while the AOT for theShutdown transformer (b) remains at 7 days.The reduction of the AOT from 7 days to 3days is based on the relative risk importanceof the Startup transformers support to thebalance of plant systems. Similarly, anadditional reduction from 72 hours to 48hours is proposed in the AOT for asimultaneous loss of both the Startuptransformer and an EDG (TS 3.9.B.4.b) basedupon the Startup transformer’s contributionto risk in relation to the EDG 14-day AOTrisk assessment analysis and that two powersources have been removed from theassociated bus. The AOT reductionsrepresent a measurable decrease in risk asassessed in the PSA. Thus, the probability orconsequences of an accident previouslyevaluated are not significantly increased.

The current technical specifications allowone EDG to be out of service for three daysbased on the availability of the SUT [startuptransformer] and SDT [shutdowntransformer] and the fact that each EDGcarries sufficient engineered safeguardsequipment to cover all design basisaccidents. With one EDG out of service and

a Loss of Offsite Power (LOOP) condition, thecapability to power vital and auxiliarysystem components remains available via theother EDG, and for one train of ESFequipment via the SDT for all operating,transient and accident conditions. Increasingthe EDG AOT to 14 days provides flexibilityin the maintenance and repair of the EDGs.The EDG unavailability will be monitoredand trended in accordance with theMaintenance Rule. The PSA analysessupports the change to a 14 day AOT for theEDGs based on an insignificant increase inoverall risk. Implementation of the proposedchange is expected to result in less than a onepercent increase in the baseline core damagefrequency (2.84E–05/yr), which is consideredto be insignificant relative to the underlyinguncertainties involved with probabilisticsafety assessments. Additional conditions areadded to the Standby Liquid Control,Standby Gas Treatment, and Control RoomHigh Efficiency Air Filtration systemsrequiring the EDG associated with thesesystems to remain operable while in the 14day EDG AOT. Thus, the 14 day EDG AOTdoes not involve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

Eliminating the 4.5.F.1 requirement fordaily testing of the operable diesel generatorwhen the redundant diesel generatorbecomes inoperable is consistent with theguidance provided in Generic Letter 93–05.The change does not affect the ability of theemergency diesel generator to perform ondemand, and by actually lowering thenumber of demands to demonstrateoperability, reduces the probability ofequipment failure. The redundant EDG willremain in service during the entire period ofinoperability of the out-of-service EDG. If acommon cause failure cannot be ruled out,the redundant EDG will be tested to assureoperability. The proposed revisions do notinvolve a significant change to the plantdesign or operation, only to the manner inwhich remaining equipment is confirmed tobe operable, which is consistent with NRCguidance. Thus operation of PNPS inaccordance with the proposed licenseamendment will not involve a significantincrease in the probability or consequencesof an accident previously evaluated.

The 3.9.B.1 and 2 requirements todemonstrate both EDGs and associatedemergency buses operable are deleted. Thischange is based on the NRC guidanceprovided in item 10.1 of Generic Letter 93–05, ‘‘Line-Item Technical SpecificationImprovements to Reduce SurveillanceRequirements for Testing During PowerOperation.’’ Revising the methods forverifying EDG and emergency bus operabilitydoes not physically alter the plant or have anaffect on the probability or consequences ofan accident previously evaluated. Deletingthe testing requirements for an EDG when theother EDG is inoperable does not increase theprobability or consequences of an accidentpreviously evaluated because the reliabilityprogram and routinely performed TSsurveillances continue to provide the addedassurance sought by the testing. Theelimination of this testing will serve toimprove the overall reliability of the EDGs.

Since the proposed change does not affect thedesign or negatively affect the performance ofthe EDGs, the change will not result in asignificant increase in the consequences orprobability of an accident previouslyanalyzed.

SGT [Standby Gas Treatment] andCRHEAF [Control Room High Efficiency AirFiltration]

During normal plant operation, with oneSGT or CRHEAF subsystem inoperable, theinoperable subsystem must be restored tooperable status in 7 days. In this condition,the remaining operable SGT or CRHEAFsubsystem is adequate to perform therequired radioactivity release controlfunction. However, the overall systemreliability is reduced because a single failurein the operable subsystem could result in theradioactivity release control function notbeing adequately performed. The 7 daycompletion time is based on consideration ofsuch factors as the availability of the operableredundant SGT subsystem and the lowprobability of a DBA [design basis accident]occurring during this period.

If the SGT or CRHEAF subsystem cannotbe restored to operable status within 7 dayswhen in the Run, Startup, or Hot ShutdownMODE, the plant must be brought to a MODEin which the LCO does not apply. To achievethis status, the plant must be brought to atleast Hot Shutdown within 12 hours and toCold Shutdown within 36 hours. Theallowed completion times are reasonable,based on operating experience, to reach therequired plant conditions from full powerconditions in an orderly manner and withoutchallenging plant systems.

Current TS governing refueling operationsrestrict fuel movement if one train of SGTSor one train of CRHEAF are inoperable. Inthis condition the remaining operable SGTand CRHEAF trains are adequate to performthe required radioactivity release controlfunctions. However, the overall systemreliability is reduced because a single failurein the operable train could result in theradioactivity release control function of thesystems not being adequately performed.New requirements are added that require ifone train of SGT or CRHEAF is inoperable,the redundant train of SGT or CRHEAF mustbe demonstrated to be operable within 2hours. This substantiates the availability ofthe operable trains. Fuel handling is limitedonly to the following 7 days and if theinoperable train is not returned to anoperable condition within that time frame,the operable SGT train is placed in operationor fuel handling activities are suspended. ForCRHEAF, after 7 days, the operablesubsystem is demonstrated operable inaccordance with existing surveillances on adaily basis. The proposed changes do notmodify system design, use, or configurationin a manner different from their originaldesign and therefore do not involve asignificant increase in the consequences orprobability of an accident previouslyanalyzed.

The revisions to make the SGT andCRHEAF TS sections similar in wording aremade to enhance usability and alleviatepossible confusion. These changes are strictlyeditorial, have no impact, and do not alter


technical content or meaning of thespecifications. These editorial changes do notinvolve a significant increase in theprobability or consequences of an accidentpreviously analyzed.

2. The proposed amendment does notcreate the possibility of a new or differentkind of accident from any accidentpreviously evaluated.

The operation of PNPS in accordance withthe proposed license amendment will notcreate the possibility of a new or differentkind of accident from any accidentpreviously evaluated because of thefollowing:

Definition of ‘‘Operable-Operability’’The revised definition redefines the AC

power needs to allow either onsite or offsitepower available for systems/subsystems to beconsidered operable. This does notcompromise the level of safety alreadyafforded to such systems/subsystems becausethe functional operability requirementscontinue to be assured through the technicalspecifications applicable to such systems/subsystems. AC power availability continuesto be assured through existing and proposedsurveillances and action statementsapplicable to AC power systems. Reducingthe need for both onsite and offsite powersources in order to consider operable, thesystems/subsystems powered by these ACpower sources, provides additionaloperational flexibility by allowing redundantsystems/subsystems to still be considered‘‘operable’’ within the requirements of theirfunctional operability requirements. No newchange or modes of plant operation areinvolved. Therefore, operation in accordancewith the revised definition does notintroduce any new or different kind ofaccident from any accident previouslyevaluated.

EDGThe proposed amendment will extend the

action completion/allowed outage time for aninoperable emergency diesel generator from72 hours to 14 days. The EDGs are designedas backup AC power sources for essentialsafety systems in the event of loss of offsitepower. The proposed AOT does not changethe conditions, operating configurations orminimum amount of operating equipmentassumed in the safety analysis for accidentmitigation. The EDGs and AC equipment arenot accident initiators. No change is beingmade in the manner in which the EDG’sprovide plant protection. No new modes ofplant operation are involved. An extendedAOT for one EDG does not increase theprobability of occurrence of a new ordifferent kind of accident previouslyevaluated. The PSA results concluded thatthe risk contribution of the EDG AOTextension is insignificant.

The current Pilgrim TechnicalSpecifications requiring immediate and dailytesting of the redundant operable EDG isbased on the assumption that the increasedtesting provides additional assurance that theequipment is available should it be needed.Industry experience indicates that repetitivetesting can place demands and wear on theEDG without necessarily providingadditional confidence of availability. Also,the new surveillance requires verification

that offsite power is available and that acommon cause failure is not present. Theseactions provide assurance that the requiredemergency buses can be energized with noloss of functions to mitigate accident ortransient conditions. In addition, Pilgrim hasimplemented an EDG reliability program tomaintain reliability of EDGs. The proposedchange does not introduce any new mode ofplant operation or new accident precursors,involve any physical alterations to plantconfigurations, or make changes to system setpoints that could initiate a new or differentkind of accident. Therefore, operation inaccordance with the proposed change doesnot create the possibility of a new or differentkind of accident from any previouslyevaluated.

The AOT for an inoperable StartupTransformer is reduced from 7 days to 72hours based upon the PSA that wasperformed to quantitatively assess the riskimpact of the proposed amendment. Theproposed reduction in AOT improves overallAC power source availability because theSUT will potentially be inoperable for shortertime periods. Therefore, reducing the AOTdoes not create the possibility of a new ordifferent kind of accident from any accidentpreviously evaluated.

SGT and CRHEAFThe SGT system is designed to filter

radioactive materials from the secondarycontainment following a postulated DBA orfuel handling accident prior to release to theenvironment to ensure compliance with 10CFR 100 limits.

The CRHEAF is designed to filter intake airfor the control room atmosphere duringconditions when normal intake air may becontaminated.

The proposed revisions do not affect theability of the SGTS or CRHEAF to performtheir intended function, do not create thepossibility of a new or different kind ofaccident from the loss of coolant or fuelhandling accidents previously analyzed, anddo not modify system configuration, use, ordesign. Therefore, operating Pilgrim inaccordance with this change will not createthe possibility of a new or different kind ofaccident from any accident previouslyanalyzed.

The revisions to make the SGT andCRHEAF TS sections similar in wording aremade to enhance usability and alleviatepossible confusion. These changes are strictlyeditorial, have no impact, and do not altertechnical content or meaning of thespecifications. These editorial changes do notcreate the possibility of a new or differentkind of accident from any previouslyanalyzed.

3. The proposed amendment does notinvolve a significant reduction in a margin ofsafety.

The operation of PNPS in accordance withthe proposed license amendment will notinvolve a significant reduction in a margin ofsafety because of the following:

Definition of ‘‘Operable-Operability’’The implementation of the ‘‘Operability’’

definition clarifies the relationship betweenAC power supplies and the operability statusof the equipment requiring AC power. Nochange is being made in which the plant

systems relied upon in the safety analysesprovide plant protection. Plant safetymargins are maintained through thelimitations established in the TS LCOs. Sincethere will be no significant reduction to thephysical design or operation of the plantthere will be no significant reduction to anyof these margins.

EDGOperation of PNPS in accordance with the

proposed license amendment will notinvolve a significant reduction in a margin ofsafety. As shown in Part III [of theapplication dated April 25, 1996],incorporation of the proposed changeinvolves an insignificant reduction in themargin of safety.

The proposed changes do not significantlyreduce the basis for any technicalspecification related to the establishment of,or the maintenance of, a safety margin nor dothey require physical modifications to theplant. Additional conditions are added to theStandby Liquid Control, Standby GasTreatment, and Control Room HighEfficiency Air Filtration systems requiringthe diesel generator associated with theredundant operable trains of these systems toremain operable while in the 14 day EDGAOT. Moreover, the PSA results showed thatthe risk contribution of extending the AOTfor an inoperable EDG is insignificant. Thereduction in the AOT for the SUT couldimprove availability, therefore, reducingoverall risk. Likewise the proposed changesin the deletion of testing have no impact onthe safety margin.

As previously stated, implementation ofthe proposed changes is expected to result inan insignificant increase in: (1) powerunavailability to the emergency buses (giventhat a loss of offsite power has occurred), and(2) core damage frequency. Implementationof the proposed changes does not increasethe consequences of a previously analyzedaccident nor significantly reduce a margin ofsafety. Functioning of the EDGs and themanner in which limiting conditions ofoperation are established are unaffected.

SGT and CRHEAFSGT and CRHEAF contribute to the margin

of safety by supporting the secondarycontainment system during fuel handling bymitigating the consequences of a fuelhandling event. Allowing fuel movement tocontinue as established in the LCOs does notinvolve a significant reduction in the marginof safety because the first line of defense, theother SGT and CRHEAF trains will beoperable. The proposed change will allowplacing the Operable SGT subsystem inoperation, or in the case of CRHEAF,conducting daily testing, as an alternative tosuspending movement of irradiated fuel. Thisalternative is less restrictive than the existingrequirement, however, the proposedrequirements ensure that the remainingsubsystem is operable, that no failures thatcould prevent actuation have occurred, andthat any failure would be readily detected.The proposed change does not result in asignificant reduction in a margin of safetybecause it allows operations which have thepotential for releasing radioactive material tothe secondary containment to continue onlyif the system designed to mitigate the


consequences of this release is functioning.Proper operation of only one SGT or oneCRHEAF subsystem is sufficient to mitigatethe consequences of any analyzed accident.Therefore, this change does not change anyof the assumptions in the accident analysisand does not involve a significant reductionin a margin of safety.

The revisions to make the SGT andCRHEAF TS sections similar in wording aremade to enhance usability and alleviatepossible confusion. These changes are strictlyeditorial, have no impact, and do not altertechnical content or meaning of thespecifications. These editorial changes do notinvolve a significant reduction in the marginof safety.

The NRC staff has reviewed thelicensee’s analysis and, based on thisreview, it appears that the threestandards of 50.92(c) are satisfied.Therefore, the NRC staff proposes todetermine that the amendment requestinvolves no significant hazardsconsideration.

Local Public Document Roomlocation: Plymouth Public Library, 11North Street, Plymouth, Massachusetts02360.

Attorney for licensee: W. S. Stowe,Esquire, Boston Edison Company, 800Boylston Street, 36th Floor, Boston,Massachusetts 02199.

NRC Project Director: Jocelyn A.Mitchell, Acting

Connecticut Yankee Atomic PowerCompany, Docket No. 50–213, HaddamNeck Plant, Middlesex County,Connecticut


Description of amendment request:The licensee is proposing to change thetechnical specifications to reflect arevision to the overload cutoff limit onthe manipulator crane inside thecontainment at the Haddam Neck Plant.Due to a change in fuel design andsupplier, the heaviest fuel assemblydesign starting in Cycle 20 will be theWestinghouse-supplied LOPAR design.Therefore, the heaviest combinationbeginning in Cycle 20 will be theWestinghouse LOPAR fuel assemblywith a full-length rod cluster controlassembly (RCCA) inserted. It will nowbe used as the standard for the overloadcutoff limit on the manipulator crane.


1. [The proposed change does not] involvea significant increase in the probability orconsequences of an accident previouslyevaluated.

The proposed change will revise themethod of determining the overload cutoff

limit for the manipulator crane. The actualabsolute value of the cutoff limit will not beincreased and will not affect the [probability]of any plant accidents.

Since there is no actual increase in theabsolute overload cutoff limit, there will beno adverse effects to the crane, cables, orassociated hardware. Therefore, there is noimpact on the crane’s ability to perform itsintended function. Even though the netlifting forces on an individual assembly haveincreased 25 pounds, the limit is within therecommended Westinghouse guidelines withrespect to fuel handling and will not resultin potential damage to assembly grids duringfuel handling activities.

As such, CYAPCO [Connecticut YankeeAtomic Power Company] has concluded thatthese changes do not involve an increase inthe probability or consequences of anaccident previously evaluated.

2. [The proposed change does not] createthe possibility of a new or different kind ofaccident from any accident previouslyevaluated.

The changes conservatively revise themethod of determining the overload cutofflimit for the manipulator crane. There is noimpact on the basic functioning of plantsystems or equipment. Therefore, the changedoes not create a malfunction that is differentfrom those previously evaluated.

As such, the proposed changes describedabove do not create the possibility of a newor different kind of accident from anypreviously evaluated.

3. [The proposed change does not] involvea significant reduction in a margin of safety.

The proposed revisions in the methodologyfor determining the overload cutoff limit forthe manipulator crane is conservative and inaccordance with vendor standards. Thechanges do not adversely affect anyequipment credited in the safety analysis.Also, the changes do not adversely affect theprobability or consequences of any plantaccident, including the fuel handlingaccident or offsite doses associated withthose accidents.

As such, the proposed changes have nosignificant impact on a margin of safety.

The NRC staff has reviewed thelicensee’s analysis and, based on thisreview, it appears that the threestandards of 10 CFR 50.92(c) aresatisfied. Therefore, the NRC staffproposes to determine that theamendment request involves nosignificant hazards consideration.

Local Public Document Roomlocation: Russell Library, 123 BroadStreet, Middletown, CT 06457

Attorney for licensee: Lillian M.Cuoco, Esq., Senior Nuclear Counsel,Northeast Utilities Service Company,P.O. Box 270, Hartford, CT 06141–0270

NRC Project Director: Phillip F.McKee

Duke Power Company, Docket Nos. 50–413 and 50–414, Catawba NuclearStation, Units 1 and 2, York County,South Carolina

Date of amendment request:December 14, 1995, as supplemented byletter dated May 16, 1996

Description of amendment request:The proposed amendments wouldchange the Technical Specifications(TS) to improve the TS ActionStatements and SurveillanceRequirements for diesel generators inaccordance with the recommendationsand guidance in Generic Letter 93–05,Generic Letter 94–01, NUREG–1366,and NUREG–1431. The proposedamendments would also incorporatetechnical and administrative changes.


Criterion 1Operation of the facilities in accordance

with the requested amendments will notinvolve a significant increase in theprobability or consequences of an accidentpreviously evaluated. Improvements to theLCOs [limiting condition for operation] andsurveillance requirements for the emergencydiesel generators do not affect their capabilityto provide emergency power to plant vitalinstruments and safety related equipment. Infact, these improvements make the dieselgenerators more reliable since theysignificantly reduce the amount of wear andstress due to excessive and unnecessarytesting. The proposed monthly testing of thediesel generator continues to ensure that thesystem is ready for service when needed. Thefast starts and fast loadings continue toensure that the timing and loadingrequirements for engineered safety featuresactuation are met. The proposed changes donot affect any of the design basis accidentanalyses previously evaluated. Therefore,these proposed changes do not involve anyincrease in the probability or consequencesof any accident previously evaluated. Theproposed changes are fully consistent withthe recommendations and guidancecontained in GL [Generic Letter] 93–05, GL94–01, NUREG–1366, NUREG–1431, and arecompatible with plant operating experience.


with the requested amendments will notcreate the possibility of a new or differentkind of accident from any accidentpreviously evaluated. The proposed changesin fact improve the reliability of the dieselgenerators by eliminating unnecessary wearand stress. Improved reliability decreases thefailure probability which also decreases theprobability of an accident not previouslyevaluated. None of the requestedamendments increase the common modefailure probability thus would not increasethe chance of both EDG’s [emergency diesel


generators] for a particular nuclear unit beingout of service simultaneously. The proposedchanges are fully consistent with therecommendations and guidance contained inGL 93–05, GL 94–01, NUREG–1366, NUREG–1431, and are compatible with plantoperating experience.


with the requested amendments will notinvolve a significant reduction in a margin ofsafety. The proposed monthly testing of thediesel generators continues to ensure that thesystem is ready for service when needed. Thefast starts and fast loadings continue toensure that the timing and loadingrequirements for engineered safety featuresactuation are met. The proposed changesimprove the reliability of the dieselgenerators. Implementation of theMaintenance Rule also ensures continuedreliability of the diesel generators. No marginof safety is decreased as a result of these TSchanges.


Local Public Document Roomlocation: York County Library, 138 EastBlack Street, Rock Hill, South Carolina29730

Attorney for licensee: Mr. Albert Carr,Duke Power Company, 422 SouthChurch Street, Charlotte, North Carolina28242

NRC Project Director: Herbert N.Berkow

Entergy Operations, Inc., et al., DocketNo. 50–416, Grand Gulf NuclearStation, Unit 1, Claiborne County,Mississippi and Docket No. 40–458,River Bend Station, Unit 1, WestFeliciana Parish, Louisiana

Date of amendment request: April 18,1996, as supplemented by letter datedJune 4, 1996

Description of amendment request:The licensee has proposed to (1) amendLimiting Condition for Operation (LCO)3.10.6 and Surveillance Requirement3.10.6.3, and (2) add a SurveillanceRequirement 3.10.6.4 of the TechnicalSpecifications (TSs) for the Grand GulfNuclear Station, Unit 1, and the RiverBend Station, Unit 1, to allow anothermethod of fuel movement and loadingin the core when control rods areremoved or withdrawn from defueledcore cells. Currently, LCO 3.10.6 allowsonly fuel loading as part of the approvedspiral reloading sequence to preventfuel loading into core cells in which thecontrol rod has been removed orwithdrawn. This amendment requestdoes not withdraw this approved

method, revise the frequency ofperforming the surveillance during fuelloading, or alter the method of verifyingthe fuel is being loaded in compliancewith the approved method. Grand GulfUnit 1 and River Bend Unit 1 are bothGeneral Electric (GE) Boiling WaterReactor (BWR)-6 plants, the latestversion of the GE design series.


Entergy Operations, Inc. [(EOI)] propose[d]to change the current Grand Gulf NuclearStation (GGNS) and River Bend Station (RBS)Technical Specifications [(TSs)]. The specificproposed change is to add an additionalmethod of performing fuel loading into LCO3.10.6, ‘‘Multiple Control Rod Withdrawal -Refueling’’. The proposed change wouldallow fuel loading [in the core] if a positivemeans of assuring fuel assemblies cannot beloaded into a core cell with a withdrawn orremoved control rod is in effect. [Currently,the TSs for both plants allow fuel assemblesto be loaded in compliance with an approvedspiral reload sequence which is used toensure the reactivity additions areminimized. Spiral loadings encompassreloading a core cell on the edge of acontinuous fueled region.]

The Commission has provided standardsfor determining whether a no significanthazards consideration exists as stated in 10CFR 50.92(c). A proposed amendment to anoperating license involves no significanthazards consideration if operation of thefacility in accordance with the proposedamendment would not: (1) involve asignificant increase in the probability orconsequences of an accident previouslyevaluated; or (2) create the possibility of anew or different kind of accident from anyaccident previously evaluated; or (3) involvea significant reduction in a margin of safety.

Entergy Operations, Inc. [EOI] hasevaluated the no significant hazardsconsideration in its request for this licenseamendment and determined that nosignificant hazards consideration results fromthis change. In accordance with 10 CFR50.91(a), Entergy Operations, Inc. [EOI] isproviding the analysis of the proposedamendment against the three standards in 10CFR 50.92(c). A description of the nosignificant hazards considerationdetermination follows:

I. The proposed change does notsignificantly increase the probability orconsequences of an accident previouslyevaluated.

The refueling interlocks (i.e., the refuelingequipment and one-rod-out interlocks)allowed to be bypassed by TechnicalSpecification [TS] LCO 3.10.6 are explicitlyassumed in the analysis of the control rodremoval error or fuel loading error duringrefueling. This analysis evaluates theconsequences of control rod withdrawalduring refueling. Criticality and, therefore,

subsequent prompt reactivity excursions areprevented during the insertion of fuel,provided all control rods are fully insertedduring the fuel insertion. The refuelinginterlocks accomplish this by preventingloading fuel into the core with any controlrod withdrawn, or by preventing withdrawalof a rod from the core during fuel loading.

LCO 3.10.6 allows multiple control rodwithdrawals, control rod removals,associated control rod drive (CRD) removal,or any combination of these, and the ‘‘full in’’position indication input to the refuelinginterlocks is allowed to be bypassed for eachwithdrawn control rod if all fuel has beenremoved from the cell. This supports theGGNS Updated Final Safety Analyses Report(UFSAR) and RBS Updated Safety AnalysesReport (USAR) analyses since, with no fuelassemblies in the core cell, the associatedcontrol rod has no reactivity control functionand does not need to remain inserted. Priorto reloading fuel into the cell, however, theassociated control rod must be inserted toensure that an inadvertent criticality does notoccur, as evaluated in the analysis.

The Technical Specification [TS]requirements prohibiting fuel loading wasplaced in the Technical Specifications [TSs]for GGNS and RBS as part of the originallyenforced Technical Specification [TS]requirements to resolve NRC concernsidentified in IE Information Notice No. 83–35, ‘‘Fuel Movement with Control RodsWithdrawn at BWRs,’’ (IEN 83–35). IEN 83–35 details instances where fuel assemblieswere loaded into core cells while the controlrod was withdrawn and discusses that theGeneral Electric Company (GE) had issuedService Information Letter (SIL) No. 372.

SIL No. 372 discusses a potential eventwhere 8 fuel assemblies are loaded into 2[two] adjacent core cells where the controlrods are withdrawn and no action is taken torecover from the errors. In this SIL GEidentified that the probability of such anevent occurring was extremely low butpotentially slightly higher than 10–6

probability of the event even further to whereit need not be considered credible (i.e., below10–6 per reactor year), GE recommended thatthe additional administrative control ofprohibiting loading fuel with withdrawn rodsbe enforced.

The proposed change will only provide anadditional way to meet the intent of theoriginal GE recommendation. [The currentlyapproved method is listed in LCO 3.10.6 andSurveillance Requirement 3.10.6.3.]. Theproposed change will provide the additionalallowance to perform fuel loading only if anadditional positive means of assuring fuelassemblies cannot be loaded into a core cellwith a withdrawn or removed control rod isin effect. The positive means will entail aphysical barrier such that, even if refuelingprocedures were violated and an attempt wasmade to load a fuel assembly into a core cellwith a withdrawn or removed control rod,the action would be prevented. Thisrequirement provides sufficient additionalrestrictions to meet the intent of the GErecommendation to add additionaladministrative controls to prevent thepostulated event from occurring.

The probability of an inadvertent criticalityoccurring will continue to be precluded by


the same number of layers of administrativecontrols [as the currently approved method];therefore, the proposed change does notsignificantly increase the probability orconsequences of an accident previouslyevaluated.

II. The proposed change does not create thepossibility of a new or different kind ofaccident from any accident previouslyevaluated.

The administrative changes in theTechnical Specification [TS] requirements donot involve a change in the design of theplant. The proposed requirements willcontinue to ensure that fuel is not loaded intoa core cell that is associated with a removedor withdrawn control rod.

Therefore, the proposed changes do notcreate the possibility of a new or differentkind of accident from any accidentpreviously evaluated.

III. The proposed change does not involvea significant reduction in a margin of safety.

The margin of safety associated withcriticality events during fuel handling isprovided by the event being a non credibleevent. The proposed change will onlyprovide an additional means to meet thesame intent of ensuring that the event is ofsuch low probability as to be considered noncredible. The proposed change will providethe additional allowance to perform fuelloading only if an additional positive meansof assuring fuel assemblies cannot be loadedinto a core cell with a withdrawn or removedcontrol rod is in effect. The positive meanswill entail a physical barrier such that evenif refueling procedures were violated and anattempt was made to load a fuel assemblyinto a core cell with a withdrawn or removedcontrol rod the action would be prevented.This requirement provides sufficientadditional restrictions to ensure that theevent is of such low probability as to beconsidered non credible.

The probability of an inadvertent criticalityoccurring will continue to be precluded bythe same number of layers of administrativecontrols [as the currently approved method];therefore, this change does not reduce thelevel of safety imposed by the currentTechnical Specification [TS] requirements.

Therefore, the proposed changes do notcause a significant reduction in the margin ofsafety.


Local Public Document Roomlocation: (1) Judge George W. ArmstrongLibrary, 220 S. Commerce Street,Natchez, MS 39120, for Grand GulfNuclear Station and (2) GovernmentDocuments Department, Louisiana StateUniversity, Baton Rouge, LA 70803, forRiver Bend Station.

Attorney for licensee: (1) Nicholas S.Reynolds, Esquire, Winston and Strawn,1400 L Street, N.W., 12th Floor,

Washington, DC 20005–3502, for GrandGulf Nuclear Station and (2) MarkWetterhahn, Esq., Winston & Strawn,1400 L Street, N.W., Washington, DC20005, for River Bend Station.

NRC Project Director: William D.Beckner

Entergy Operations, Inc., et al., DocketNo. 50–416, Grand Gulf NuclearStation, Unit 1, Claiborne County,Mississippi

Date of amendment request: May 9,1996

Description of amendment request:The amendment request would allowallow the licensee to perform thesurveillance of the relief mode ofoperation of each of the 20 safety/reliefvalves (S/RVs) on the 4 main steamlines without physically lifting the diskoff the seat at power. The proposedchanges are to SurveillanceRequirements (SRs) 3.4.4.3, Safety/Relief Valves, 3.5.1.7, AutomaticDepressurization System Valves, and3.6.1.6.1, Low-Low Set Valves, of theTechnical Specifications, and thechanges would state that the requiredoperation of the valve to verify is thatthe relief-mode actuator strokes whenthe valve is manually actuated. Each S/RV is a Dikkers, 8 X 10, direct-acting,spring loaded, safety valve withattached pneumatic actuator for relief-mode operation. Eight of the S/RVs usethe relief mode to perform theAutomatic Depressurization System(ADS) function. Also, six S/RVs, two ofwhich are also ADS S/RVs, use the reliefmode to perform the Low-Low Set valvefunction. The licensee also proposedchanges to the Bases of the TechnicalSpecifications that are associated withthe above proposed changes.

Basis for proposed no significanthazards consideration determination:As required by 10 CFR 50.91(a), thelicensee has provided its analysis of theissue of no significant hazardsconsideration, which is presentedbelow: The Dikkers S/RV providespressure relief based on the principle ofvertically moving the stem that attachesdirectly to the valve disk. The force thatprovides the stem movement isprovided by one of two sources; thevessel pressure directly against the forceof the stem spring (safety mode), or thepneumatic actuator arm against theforce of the stem spring (relief mode).ASME Boiler and Pressure Vessel Coderequires testing the safety mode ofoperation once every five year operatingcycle. Once a safety valve is installed,the safety mode is never tested whilethe S/RV is installed in the plant. Thetesting of the relief mode of operationfor a direct-acting S/RV provides

verification that the control functions ofelectrical and pneumatic connectionshave been properly reconnected, andthat the actuator arm will provide thenecessary force to operate the S/RV.

This proposed change provides verificationof proper control connections by requiringthe pneumatic and electrical controls to cyclethe actuator arm on each S/RV afterinstallation in the drywell. The testpopulation of S/RVs removed each outage forsafety setpoint testing will be tested in therelief mode. This testing will demonstratethat the installed S/RVs will functionproperly in the relief mode. The remaininginstalled S/RVs will continue to be tested forproper system function. As presentlyrequired by GGNS Technical Specificationsand administrative procedures, properoperation of the solenoid control block willbe demonstrated by providing an open signalto each S/RV, with a check to verify that eachsolenoid valve repositions. Verification ofproper solenoid valve operation, in additionto the proper relief-mode operation of the testpopulation, provides assurance that the S/RVwill perform as expected when control airpressure is applied to the solenoid valvecontrol block.

Entergy Operations, Inc. is proposing thatthe Grand Gulf Nuclear Station OperatingLicense be amended to perform thesurveillance of each safety relief valve (S/RV)relief mode of operation without physicallylifting the disk off the seat at power.

During the refueling outage, a samplepopulation of the S/RVs will be removed forsafety-mode setpoint testing in accordancewith the GGNS IST program, using ASMEBoiler and Pressure Vessel Code, Section XI.Each of these removed S/RVs will be testedin the relief mode to verify that thepneumatic actuator functions correctly, andthis test sample will be used to provideassurance that the installed S/RV pneumaticactuators will function properly. After thetest sample of S/RVs has been replaced withrecertified spares, and S/RV controls havebeen connected, the upper stem nut thatcouples the valve stem to each newly-installed S/RV’s pneumatic actuator will bemoved up the stem to allow an uncoupledactuation of the relief-mode actuator. Controlair pressure to each actuator will be reducedfrom normal system pressure to preventdamaging the pneumatic relief-modeactuator. The actuator will be remotelyoperated from the control room, as requiredby current test methods, and visualverification will be performed for properactuator response and range of motion. Afterproper actuator operation has been verified,the upper stem nut will be returned to itsoperating stem location. Verification ofproper system logic controls and function forevery installed S/RV will continue to beperformed, as required by TechnicalSpecifications.

The commission has provided standardsfor determining whether a no significanthazards consideration exists as stated in 10CFR 50.92(c). A proposed amendment to anoperating license involves no significanthazards if the operation of the facility inaccordance with the proposed amendmentwould not: (1) involve a significant increase


in the probability or consequences of anaccident previously evaluated; or (2) createthe possibility of a new or different kind ofaccident from any accident previouslyevaluated; or (3) involve a significantreduction in a margin of safety.

Entergy Operations has evaluated the nosignificant hazards considerations in itsrequest for a license amendment. Inaccordance with 10 CFR 50.91(a), EntergyOperations, Inc. is providing the followinganalysis of the proposed amendment againstthe three standards in 10 CFR 50.92:

a. No significant increase in the probabilityor consequences of an accident previouslyevaluated results from this change.

Each refueling outage, a test sample of thepopulation of S/RVs is removed from theplant to perform testing as required by ASMEBoiler and Pressure Vessel Code, Section XI.These S/RVs will be stroked in the reliefmode during as-found testing, and aretherefore verified to operate properly wheneach S/RV stem is raised by the relief-modepneumatic actuator. This proposedsurveillance verifies proper S/RV relief-modeoperation of all installed S/RVs based uponthis test sample. This testing, in conjunctionwith replacement of each S/RV prior to theend of its expected service life, providesreasonable assurance that the installed S/RVswill perform as well as the test population ofS/RVs.

After the S/RVs have been replaced in theplant, and after all controls are reconnected,the relief-mode actuator on each newly-installed S/RV will be uncoupled from the S/RV stem, and stroked. This actuator strokewill verify that no damage has occurred tothe relief-mode actuator during S/RVtransportation from its storage location to itsoperating location. The direct coupling of thevalve stem to disk provides assurance thatproper relief actuation will occur when theactuator is operated. The safety-modecomponents are completely encased withinthe valve body and bonnet, which providesa rugged structure to prevent damage to thesecomponents. The remaining installed S/RVswill continue to be tested for proper controlsystem function as previously required byTechnical Specifications. The direct couplingof the S/RV stem to disk provides assurancethat proper relief-mode actuation will occurwhen the actuator is operated. The safetymode of the GGNS S/RVs is not affected bya malfunction of the relief-mode components.

Blockage of each S/RV discharge line willbe prevented by the same Foreign MaterialExclusion (FME) controls that exist for otherreactor vessel and support systems. TheseFME controls, combined with the horizontalorientation of the S/RV discharge pipingmating surfaces, provide reasonableassurance that discharge line blockage willnot occur.

Therefore, no significant increase in theprobability or consequences of an accidentpreviously evaluated results from thisproposed change.

b. This change would not create thepossibility of a new or different kind ofaccident from any previously analyzed.

The proposed change demonstrates thateach S/RV will perform its intended relief-mode function, which is the intent of the

present surveillance. The relief mode of S/RVoperation is demonstrated to be operablebased upon successful performance of a testpopulation, S/RV component service life, andexisting Technical Specificationsurveillances. No new failure mechanisms tothe relief- mode of operation are introduced,as the proposed surveillance verifies reliefactuator operability. Plant FME controls,combined with the horizontal orientation ofthe S/RV discharge piping mating flange,provides reasonable assurance that dischargeline blockage will not occur. This proposedchange does not add any new systems,structures, or components, nor does itintroduce new S/RV operating modes.

Therefore, this change would not create thepossibility of a new or different kind ofaccident from any previously analyzed.

c. This change would not involve asignificant reduction in the margin of safety.

This proposed change will verify that therelief mode of all installed S/RVs will operateproperly based upon demonstrated reliefmode performance of a sample of S/RVs. Thefailure mode of the S/RV relief functionwould require a failure of either thepneumatic actuator, lifting linkage, orsolenoid block. Each of these items has beenverified to have a service life exceeding thereplacement cycle of each S/RV. Therefore,proper operation of a sample population ofS/RVs provides reasonable assurance that theremaining S/RVs would perform identically,within the original margin of expected S/RVoperability. In addition, each S/RVFEssolenoid block and control functions willcontinue to be tested and cycled eachrefueling outage. The removal of the valvestroke surveillance for all S/RVs does notincrease the possibility of valve malfunction,since valve stroke is verified during the as-found testing of the sample population of S/RVs. This proposed surveillance test reducesthe number of S/RV actuations, andtherefore, reduces challenges to the systemboth mechanically and thermally. Also, theproposed alternative method of testingreduces the possibility of a stuck-open S/RV,since this proposed method will not strokethe S/RVs with the reactor pressurizedduring reactor power operations.

Therefore, this change would not involvea significant reduction in the margin ofsafety.

Based on the above evaluation, EntergyOperations, Inc. has concluded that operationin accordance with the proposed amendmentinvolves no significant hazardsconsiderations.


Local Public Document Roomlocation: Judge George W. ArmstrongLibrary, 220 S. Commerce Street,Natchez, MS 39120

Attorney for licensee: Nicholas S.Reynolds, Esquire, Winston and Strawn,

1400 L Street, N.W., 12th Floor,Washington, DC 20005–3502




Description of amendment request:The amendment would provide analternative method to compensate forinoperable refueling equipmentinterlocks. The alternative methodwould be to insert a control rodwithdrawal block and verify that allcontrol rods are fully inserted; however,the control rods required to be insertedwould not apply to those control rodswithdrawn in accordance with LCO3.10.6, ‘‘Multiple Control RodWithdrawal -Refueling.’’ Theamendment would add an additionalRequired Action for Limiting Conditionfor Operation (LCO) 3.9.1, ‘‘RefuelingEquipment Interlocks,’’ of the TechnicalSpecifications (TSs) for Grand GulfNuclear Station, Unit 1 (GGNS). Thealternative method then could be usedto respond to inoperable interlocksinstead of only the current method ofhalting in-vessel fuel movement withequipment associated with theinoperable interlock.

The proposed change does not removethe current Required Action method forLCO 3.9.1 and does not change thesurveillance requirements on therefueling equipment. The licensee hasalso provided changes to the Bases ofthe TSs for the proposed amendment.

Basis for proposed no significanthazards consideration determination:As required by 10 CFR 50.91(a), thelicensee has provided its analysis of theissue of no significant hazardsconsideration. The licensee hasproposed the amendment for the TSs forboth GGNS and River Bend Station(RBS). References made to the RBS TSsand to RBS in the licensee’s analysis ofno significant hazards considerationhave been removed and replaced by [...].The licensee’s analysis is presentedbelow:

Entergy Operations, Inc. proposes tochange the current Grand Gulf NuclearStation (GGNS) [...] Technical Specifications.The specific proposed change addsadditional acceptable Required Actions to theActions of LCO 3.9.1, ‘‘Refueling EquipmentInterlocks,’’ [for inoperable interlocks]. Theadditional Required Actions will add analternative [method] to [the current methodof] suspending fuel movement in the reactorvessel when the refueling interlocks areinoperable. The requested alternative is toinsert a control rod withdrawal block


immediately and verify all control rodsrequired to be inserted are fully inserted.[The control rods required to be insertedwould not apply to control rods withdrawnin accordance with LCO 3.10.6, ‘‘MultipleControl Rod Withdrawal—Refueling.’’]


Entergy Operations, Inc. has evaluated the[criteria for] no significant hazardsconsideration in its request for this licenseamendment and determined that nosignificant hazards consideration results fromthis change. In accordance with 10 CFR50.91(a), Entergy Operations, Inc. isproviding the analysis of the proposedamendment against the three standards in 10CFR 50.92(c). A description of the nosignificant hazards considerationdetermination follows:


The refueling interlocks are explicitlyassumed in the GGNS Updated Final SafetyAnalyses Report (UFSAR) [...] analysis of thecontrol rod removal error or fuel loadingerror during refueling. This analysisevaluates the probability and consequencesof control rod withdrawal during refueling.Criticality and, therefore, subsequent promptreactivity excursions are prevented duringthe insertion of fuel, provided all controlrods are fully inserted during the fuelinsertion. The refueling interlocksaccomplish this by preventing loading fuelinto the core with any control rodwithdrawn, or by preventing withdrawal of arod from the core during fuel loading.

When the refueling interlocks areinoperable the current method of preventingthe insertion of fuel when a control rod iswithdrawn is to prevent fuel movement. Thismethod is currently required by theTechnical Specifications. An alternatemethod to ensure that fuel is not loaded intoa cell with the control rod withdrawn is toprevent control rods from being withdrawnand verify that all control rods required to beinserted are fully inserted. The proposedactions will require that a control rod blockbe placed in effect thereby ensuring thatcontrol rods are not subsequentlyinappropriately withdrawn. Additionally,following placing the control rod withdrawalblock in effect, the proposed actions willrequire that all required control rods beverified to be fully inserted. This verificationis in addition to the requirements toperiodically verify control rod position byother Technical Specification requirements.These proposed actions will ensure thatcontrol rods are not withdrawn and cannot

be inappropriately withdrawn because anelectrical or hydraulic block to control rodwithdrawal is in place. Like the currentrequirements the proposed actions willensure that unacceptable operations areblocked (e.g., loading fuel into a cell with acontrol rod withdrawn [would be blocked]).

The proposed additional acceptableRequired Actions provide the same level ofassurance that fuel will not be loaded into acore cell with a control rod withdrawn as thecurrent Required Action or the TechnicalSpecification Surveillance Requirement.

Therefore, the proposed change does notsignificantly increase the probability orconsequences of an accident previouslyevaluated.


The change in the Technical Specificationrequirements does not involve a change inplant design. The proposed requirements willcontinue to ensure that fuel is not loaded intothe core when a control rod is withdrawnexcept following the requirements of LCO3.10.6, ‘‘Multiple Control Rod Removal—Refueling,’’ which is unaffected by thischange.



As discussed in the Bases for the affectedTechnical Specification requirements,inadvertent criticality is prevented during theinsertion of fuel provided all control rods arefully inserted during the fuel insertion. Therefueling interlocks function to support therefueling procedures by preventing controlrod withdrawal during fuel movement andthe inadvertent loading of fuel when acontrol rod is withdrawn.

The proposed change will allow therefueling interlocks to be inoperable and fuelmovement to continue only if a control rodwithdrawal block is in effect and all requiredcontrol rods are verified to be fully inserted.These proposed Required Actions providethe same level of protection as the refuelinginterlocks by preventing a configurationwhich could lead to an inadvertent criticalityevent. The refueling procedures willcontinue to be supported by the proposedrequired actions because control rods cannotbe withdrawn and as a result fuel cannot beinadvertently loaded when a control rod iswithdrawn.




Attorney for licensee: Nicholas S.Reynolds, Esquire, Winston and Strawn,1400 L Street, N.W., 12th Floor,Washington, DC 20005–3502



Date of amendment request: May 31,1996, as supplemented by letter datedMay 2, 1996.

Description of amendment request:The amendment request would revisethe current reactor vessel materialsurveillance program schedule forGGNS. This is the schedule forwithdrawing surveillance capsules fromthe reactor vessel for testing to measurethe impact of neutron irradiation of thevessel material and is required bySection III.B.3 of Appendix H, ‘‘ReactorVessel Material Surveillance ProgramRequirements,’’ of 10 CFR Part 50. Theschedule must be approved by theNuclear Regulatory Commission (NRC)before implementation.

For GGNS, there are threesurveillance capsules inside the reactorvessel, each of which containsspecimens of the reactor vessel material.The first capsule was removed from thereactor vessel on May 7, 1995, duringthe 7th refueling outage. Because nouseful data is expected from testing thematerial specimens in the first capsule,the request would allow the firstcapsule to be placed back into thevessel.

As part of revising the schedule, thelicensee is also renumbering the threesurveillance capsules so that the capsuleremoved at the 7th refueling outagebecomes the third capsule when it isplaced back in the vessel. The proposedchange would, however, not extend thetime that the next capsule (therenumbered first capsule) would bewithdrawn from the GGNS reactorvessel.


Entergy Operations, Inc., proposes tochange the withdrawal schedule for thereactor vessel material surveillance capsules[and renumber the capsules]. The revisedschedule for withdrawal of the surveillancecapsules is withdrawal of the first capsule at24 Effective Full Power Years. Thewithdrawal schedule for the second capsuleis to be determined at a later date. The thirdcapsule which was withdrawn on May 7,1995 is to be returned to reactor vessel during


the Fall, 1996 outage and retained as astandby. [The current schedule forwithdrawal of the three capsules is 8 and 24Effective Full Power Years for the first twocapsules, and the third capsule is a sparewith no specific schedule for withdrawal.]


In consideration of the October 4, 1995,decision of the Atomic Safety and LicensingBoard concerning an amendment requestfrom Perry Nuclear Power Plant, EntergyOperations, Inc. has evaluated the nosignificant hazards consideration in itsrequest for a change to the withdrawalschedule required by 10 CFR 50, AppendixH, and determined that no significanthazards consideration results from thischange. In accordance with 10 CFR 50.91(a),Entergy Operations, Inc. is providing theanalysis of the proposed amendment againstthe three standards in 10 CFR 50.92(c):


The change revises the withdrawalschedule for the reactor vessel materialsurveillance capsules and returns awithdrawn capsule to the reactor vessel. Thecapsules [only contain specimens of thereactor vessel material and] are not aninitiator of any previously analyzed accident.The withdrawal or return of the surveillancecapsule does not effect the probability orconsequences of any previously analyzedaccident. Extending the time for withdrawalof the first capsule and returning thewithdrawn capsule to the vessel do notadversely affect the pressure temperaturelimit curves for the reactor vessel. RegulatoryGuide 1.99 [, ‘‘Effects of Residual Elementson Predicted Radiation Damage to ReactorVessel Materials,’’] is currently used toprepare the pressure temperature limit curvesand is inherently conservative for boilingwater reactors (BWRs)[, as GGNS]. Thecurrent pressure temperature limit curveswill continue to be adhered to. Additionally,[GGNS] participates in the supplemental testprogram designed to significantly increasethe amount of BWR surveillance data. [Thisprogram has supplemental capsules whichwere installed in the Cooper and OysterCreek Nuclear Power Plants, which containthe limiting GGNS weld and plate vesselmaterial, and which will be withdrawn in1996, 2000, and 2002.] This program will beused to complement the GGNS surveillanceprogram such that postponement of thecapsule withdrawals will have minimalimpact on the understanding of theirradiation effects on the GGNS vessel.

[The licensee stated in its May 2, 1996,letter that testing of the specimens in the

removed capsule may not provide usefulindicators of the damage to the vesselmaterial because the low neutron fluence onthe vessel and the good material chemistrywill result in a minimal null-ductilitytemperature shift. Testing the materialspecimens will destroy them; however,placing the capsule back in the vessel willallow the specimens to have more irradiationuntil useful data could be obtained fromtesting the specimens.]

Therefore, the proposed change does notsignificantly increase the probability orconsequences of an accident previouslyevaluated.


Returning the withdrawn capsule to thevessel and postponing the withdrawal of thefirst capsule do not contribute to thepossibility of a new or different kind ofaccident or [plant] malfunction from thosepreviously analyzed [in the Updated FinalSafety Analysis Report for GGNS]. Failure ofthe reactor vessel is not a credible accidentsince the vessel itself is a highly reliablecomponent. This change does not affect thatdetermination. The potential for reactorvessel cracking will be adequately assessedby the proposed withdrawal schedule.

[The licensee stated in its May 2, 1996,letter that testing of the specimens in theremoved capsule may not be usefulindicators of the damage to the vesselmaterial because the low neutron fluence onthe vessel and good material chemistry willresult in a minimal shift.]

In addition, the results from thesupplemental test program will provideindication of the condition of the vessel untilthe data from the first GGNS capsule[,withdrawn and tested,] are available. Theproposed change provides the same level ofconfidence in the integrity of the vessel. Thepressure temperature curves are currentlycontrolled by the Technical Specificationsand are determined using the conservativemethodology in Regulatory Guide 1.99.Therefore, the possibility of failure of thereactor vessel is not increased. The proposedchange does not involve a change in thedesign of the plant. The current pressuretemperature limit curves are inherentlyconservative and will continue to be adheredto.



The current pressure temperature limitcurves [for the reactor vessel] are inherentlyconservative and provide sufficient margin toensure the integrity of the reactor vessel. The[proposed] changes do not adversely affectthese curves. The supplemental test programwill be used to complement the GGNSsurveillance program such thatpostponement of the capsule withdrawal[and testing] will have minimal impact onthe understanding of irradiation effects onthe GGNS vessel. The capsules removed in1996 as part of the supplemental program

will have a [neutron] fluence higher than the25% of the design life fluence used inestablishing the original GGNS [reactor vesselmaterial surveillance program] schedule;therefore, the use of the supplemental testprogram results will meet the intent of theoriginal test schedule.

Therefore, the proposed changes do notresult in a significant reduction in the marginof safety.

Based on the above evaluation, EntergyOperations, Inc. has concluded that operationin accordance with the proposed changeinvolves no significant hazardsconsideration.



Attorney for licensee: Nicholas S.Reynolds, Esquire, Winston and Strawn,1400 L Street, N.W., 12th Floor,Washington, DC 20005–3502


Florida Power and Light Company,Docket Nos. 50–250 and 50–251, TurkeyPoint Plant Units 3 and 4, Dade County,Florida

Dates of amendment request: March21, 1996, and May 13, 1996

Description of amendment request:The licensee proposed to change theTurkey Point Units 3 and 4 TechnicalSpecifications (TS) to relocate therequirements of the RadiologicalEffluent Technical Specifications(RETS) to other documents.

The proposed amendments wouldrelocate the LIMITING CONDITIONSFOR OPERATION (LCO) andSURVEILLANCE REQUIREMENTSassociated with the RETS in accordancewith GL 89–01, NUREG–1301, andNUREG–1431, Rev. 1. The definition inTS 1.15, ‘‘Members of the Public,’’would be deleted since it is alreadylocated in 10 CFR Part 20 and has beeninserted into the Offsite DoseCalculation Manual (ODCM). Thedefinitions for the ODCM and ProcessControl Program (PCP) would berelocated to the Administrative Controlssection of the TS. TS 3/4.3.3.5 and theradioactive gaseous effluent portion ofTS 3/4.3.3.6 and associated tables,instrumentation operational conditions,remedial actions and surveillancerequirements would be controlledthrough the ODCM or PCP andassociated procedures. Technical


Specification Administrative Controlsections would contain theprogrammatic controls for the ODCMand PCP. The remaining portion of TS3.3.3.6 would retain the operationalconditions, remedial actions, andsurveillance requirements for theexplosive gas monitor instrumentation.

The procedural details of the currentTS on radioactive effluents andradiological environmental monitoringwould be deleted. Associatedoperational conditions, remedial actionsand surveillance requirements presentlyin the Technical Specifications wouldbe controlled through the ODCM orPCP.

Administrative changes to the TSwere also proposed due to paragraphand section numbering changes andrelocations associated with theproposed technical changes.

New sections TS 6.8.4f and 6.8.4gwere proposed to provide programmaticcontrols for the Radiological EffluentsControls Program and the RadiologicalEnvironmental Monitoring Program.

TS 6.9.1.3 and TS 6.9.1.4 would besimplified and the reporting details nowcontained in these specifications wouldbe relocated to the ODCM or PCP withthe exception of the requirement toreport licensee-initiated changes to thePCP in the Annual Radioactive EffluentRelease Report.

New record retention requirementschanges for the ODCM and PCP wouldbe added to TS 6.10.3q.

In summary, as provided in theguidance, the current technical contentof the specifications which would betransferred to the ODCM or the PCP.New programmatic controls forradioactive effluents and radioactiveeffluent monitoring would be added tothe TS, as well as further clarification tothe definitions of the ODCM and PCP.The Technical Specificationrequirements for Gas Decay Tanks andExplosive Gas Mixture would berelocated to the Plant Systems section ofthe TS.

Basis for proposed no significanthazards consideration determination:As required by 10 CFR 50.91(a), thelicensee has provided its analysis of theissue of no significant hazardsconsideration, which is presentedbelow.

(1)Operation of the facility inaccordance with the proposedamendments would not involve asignificant increase in the probability orconsequences of an accident previouslyevaluated.

The changes being proposed areadministrative in nature in that they relocateTechnical Specification requirementsassociated with RETS from the Technical

Specifications to the ODCM or PCP. Thesechanges are in accordance with therecommendations contained in GL 89–01,NUREG 1301, and NUREG 1431 Rev. 1. Theonly change being made to existingrequirements or commitments areadministrative in nature. The proposedchanges do not involve any change to theconfiguration or method of operation of anyplant equipment that is used to mitigate theconsequences of an accident, nor do theyaffect any assumptions or conditions in anyof the accident analyses. Since the accidentanalyses remain bounding, their probabilityor consequences are not adversely affected.Therefore, the probability or consequences ofan accident previously evaluated are notaffected.

(2) Operation of the facility in accordancewith the proposed amendments would notcreate the possibility of a new or differentkind of accident from any accidentpreviously evaluated.

The changes being proposed areadministrative in nature in that they relocateTechnical Specification requirementsassociated with RETS from the TechnicalSpecifications to the ODCM or PCP. Thesechanges are in accordance with therecommendations contained in GL 89–01,NUREG 1301, and NUREG 1431, Rev. 1. Theonly change being made to existingrequirements or commitments areadministrative in nature. The proposedchanges do not involve any change to theconfiguration or method of operation of anyplant equipment used to mitigate theconsequences of an accident.

Therefore, the possibility of a new ordifferent kind of accident from any accidentpreviously evaluated would not be created.

(3) Operation of the facility in accordancewith the proposed amendments would notinvolve a significant reduction in a margin ofsafety.

The changes being proposed areadministrative in nature in that they relocateTechnical Specification requirementsassociated with RETS from the TechnicalSpecifications to the ODCM or PCP. Thesechanges are in accordance with therecommendations contained in GL 89–01,NUREG 1301, and NUREG 1431, Rev. 1. Theonly change being made to existingrequirements or commitments areadministrative in nature. All technicalcontent is preserved. The operating limitsand functional capabilities of the affectedsystems, structures, and components areunchanged by the proposed amendments.

Therefore, a significant reduction in amargin of safety would not be involved.


Local Public Document Roomlocation: Florida InternationalUniversity, University Park, Miami,Florida 33199

Attorney for licensee: J. R. Newman,Esquire, Morgan, Lewis & Bockius, 1800M Street, NW., Washington, DC 20036

NRC Project Director: Frederick J.Hebdon

Florida Power and Light Company,Docket Nos. 50–250 and 50–251, TurkeyPoint Plant Units 3 and 4, Dade County,Florida

Dates of amendment request: May 28,1996

Description of amendment request:The licensee proposed to change theTurkey Point Units 3 and 4 TechnicalSpecifications (TS) to change thelicensed qualifications of the OperationsManager. The proposed change woulddelete the qualification option that theOperations Manger could have held aSenior Reactor Operator License on aboiling water reactor and replace it withan option that this individual couldhave completed the Turkey PointNuclear Plant Senior ManagementOperation Training Course (i.e., certifiedat an appropriate simulator forequivalent senior operator knowledgelevel).

Basis for proposed no significanthazards consideration determination:As required by 10 CFR 50.91(a), thelicensee has provided its analysis of theissue of no significant hazardsconsideration, which is presentedbelow.

(1) Operation of the facility in accordancewith the proposed amendment would notinvolve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

The change being proposed isadministrative in nature, addressesorganizational personnel qualification issues,and does not affect assumptions contained inplant safety analyses, the physical designand/or operation of the plant, or TechnicalSpecifications that preserve safety analysisassumptions.

The individual Florida Power & LightCompany (FPL) chooses to fill the position ofOperations Manager will have extensiveeducational and management- level nuclearpower experience meeting the criteria ofANSI N18.1–1971. The OperationsSupervisor and Nuclear Plant Supervisorsmaintain SRO licenses on Turkey Point. Thecurrent Technical Specifications do notrequire the Operations Manager to hold anSRO License at Turkey Point. The currentTechnical Specifications permit theOperations Manager to have held an SROLicense on another plant. The proposedchange will continue to require that theOperations Manager has completed theTurkey Point Nuclear Plant SeniorManagement Operations Training Course ifthe incumbent did not previously hold anSRO license. The Turkey Point Nuclear PlantSenior Management Operations TrainingCourse ensures that the Operations Managerhas the training on plant-specific systems


and procedures at Turkey Point and aknowledge level equivalent to the licenserequirements for operations management.

The on-shift Operations’ organization is,and will continue to be, supervised anddirected by the Operations Supervisor, whois currently required by TechnicalSpecification 6.2.2.h. to hold an SROLicense.

Additionally, the proposed changes do notimpact or change, in any way, the minimumon-shift manning or qualifications for thoseindividuals responsible for the actuallicensed operation of the facility as requiredby 10 CFR 50.54(l).

Based on the above, the proposed changesdo not affect the probability or consequencesof accidents previously analyzed.

(2) Operation of the facility in accordancewith the proposed amendment would notcreate the possibility of a new or differentkind of accident from any accidentpreviously evaluated.

The change being proposed isadministrative in nature, addresses personnelqualification issues, does not affectassumptions contained in plant safetyanalyses, the physical design and/oroperation of the plant, or TechnicalSpecifications that preserve safety analysisassumptions.

The proposed changes addressorganizational and qualifications issuesrelated to the criteria used for assignment ofindividuals to the Operations organizationoff-shift management chain of command.Since the proposed change does not impactor change, in any way, the minimum on-shiftmanning or qualifications for thoseindividuals responsible for the actuallicensed operation of the facility, operation ofthe facility in accordance with the proposedamendment would not create the possibilityof a new or different kind of accident fromany accident previously evaluated.

(3) Operation of the facility in accordancewith the proposed amendment would notinvolve a significant reduction in a margin ofsafety.

The proposed change addressesorganizational and qualification issuesrelated to the criteria used for assignment ofindividuals to the Operations organizationoff-shift management chain of command. Theproposed change does not impact or change,in any way, the minimum on-shift manningor qualifications for those individualsresponsible for the actual licensed operationof the facility.

FPL’s operating organization at TurkeyPoint Plant is shown on Figure 1–2,Appendix A of the NRC-approved FPLTopical Quality Assurance Report (TQAR).Since changes to the TQAR are governed by10 CFR § 50.54(a)(3), any changes to theTQAR that reduce commitments previouslyaccepted by the NRC require approval by theNRC prior to implementation.

While the Operations Manager isresponsible for the plant’s operatingorganization, his responsibilities also includemanagement of the plant’s Health Physicsand Chemistry departments. The Operationsorganization is supervised and directed bythe Operations Supervisor, who is requiredby Technical Specification 6.2.2.h. to hold a

Senior Reactor Operator License. The TurkeyPoint Units 3 and 4 Technical Specificationsdo not require that the Operations Managermaintain an SRO License (nor even that theincumbent has ever held a Senior ReactorOperator License at Turkey Point). TheTurkey Point Technical Specification 6.3.1,FACILITY STAFF QUALIFICATIONS, willensure that, other than license certification,the individual filling the Operations Managerposition has the requisite education, training,and experience for the management position.

As a result, operation of the facility inaccordance with the proposed amendmentwould not involve a significant reduction ina margin of safety.


Local Public Document Roomlocation: Florida InternationalUniversity, University Park, Miami,Florida 33199

Attorney for licensee: J. R. Newman,Esquire, Morgan, Lewis & Bockius, 1800M Street, NW., Washington, DC 20036


GPU Nuclear Corporation and SaxtonNuclear Experimental Corporation,Docket No. 50–146, Saxton NuclearExperimental Facility (SNEF), BedfordCounty, Pennsylvania

Date of amendment request: February2, 1996, as supplemented on February28, April 24 and May 24, 1996.

Description of amendment request:The proposed amendment would (1)increase the scope of work permittedwithin the exclusion area at the SNEFto include action preparatory to majorcomponent and facilitydecommissioning limited to asbestosremoval, removal of defunct plantelectrical services, and installation ofdecommissioning support facilities andsystems such as heating, ventilation,and air conditioning,

(2) eliminate administrative access controlsrequiring that the grating covering theauxiliary compartment stairwell and rodroom door remain locked except forauthorized entry, and (3) revise the facilitylayout diagram to allow the exclusion area toconsist of, at a minimum, the containmentvessel, and at a maximum, extend to theSNEF outer security fence, and to include onthe diagram the footprint of the proposeddecommissioning support facilities.

Basis for proposed no significanthazards Consideration Determination:As required by 10 CFR 50.91(a), thelicensees have provided their analysis ofthe issue of no significant hazardsconsideration, which is presentedbelow:

The proposed changes do not involvea significant hazards considerationsbecause the changes would not:

1. Involve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

The SNEF ended power operation in May1972, and the reactor core has been removed.In its present condition, the only accidentsapplicable to the site are fire, flooding, andradiological hazard. The additional activitiesassociated with the expansion of thepermissible work scope will not involve asignificant increase in the probability orconsequences of a fire. There is no effect onthe probability or consequences of floodingnor would there be a significant increase inthe probability or consequences of an offsiteradiological hazard. The relocation ofadministratively controlled accesses inaccordance with the revised wording and theproposed clarification of the facility layoutdiagram would have no affect on analyzedaccidents. Activities associated with theconstruction of the decommissioning supportfacilities and the existence of the completedbuildings depicted on the revised figure willnot involve a significant increase in theprobability or consequences of a fire, flood,or radiological hazard. The proposed changesidentified by this technical specificationchange request do not involve a significantincrease in the probability or consequencesof an accident previously evaluated.

2. Create the possibility of a new ordifferent kind of accident from anypreviously analyzed.

For the reasons discussed in 1 above, thepossibility of a new or different kind ofaccident from any accident previouslyevaluated will not be created by theperformance of the activities delineated inthe proposed revised technical specifications.There is similarly no possibility of a new ordifferent kind of accident from any accidentpreviously evaluated that would result fromrelocation of administratively controlledaccesses within the containment vessel; fromthe flexibility to relocate/modify theexclusion area fence or from theidentification of the footprint, constructionand existence of the completeddecommissioning support facilities.

3. Involve a significant reduction in amargin of safety.

For the reasons discussed in 1 above, noneof the proposed changes involve a significantreduction in a margin of safety.

The NRC staff has reviewed theanalysis of the licensees and, based onthis review, it appears that the threestandards of 50.92(c) are satisfied.Therefore, the NRC staff proposes todetermine that the amendment requestinvolves no significant hazardsconsideration.

Local Public Document Roomlocation: Saxton Community Library,911 Church Street, Saxton,Pennsylvania 16678 Attorney for theLicensee: Ernest L. Blake, Jr., Esquire,Shaw, Pittman, Potts, and Trowbridge,2300 N Street, NW, Washington, DC20037


NRC Project Director: Seymour H.Weiss

Gulf States Utilities Company, CajunElectric Power Cooperative, andEntergy Operations, Inc., Docket No.50–458, River Bend Station, Unit 1,West Feliciana Parish, Louisiana


Description of amendment request:The proposed amendment would revisethe Facility Operating License No. NPF–47 and Appendix C to the license toreflect the name change from Gulf StatesUtilities Company to Entergy GulfStates, Inc.



The proposed change documents changingthe legal name of the company. The proposedchange will not affect any other obligations.The company will still own all of the sameassets, serve the same customers, and allexisting obligations and commitments willcontinue to be honored.

Therefore, the proposed change does nosignificantly increase the probability orconsequences of an accident previouslyevaluated.


The administrative changes in theOperating License requirements do notinvolve any change in the design of the plant.



The proposed change is administrative innature, as described above, therefore, thischange does not reduce the level of safetyimposed by any current requirements.



Local Public Document Roomlocation: Government DocumentsDepartment, Louisiana State University,Baton Rouge, LA 70803

Attorney for licensee: MarkWetterhahn, Esq., Winston & Strawn,

1400 L Street, N.W., Washington, D.C.20005


Northeast Nuclear Energy Company(NNECO), Docket No. 50–245, MillstoneNuclear Power Station, Unit 1, NewLondon County, Connecticut


Description of amendment request:The change modifies the calibrationrequirement for the source rangemonitors and intermediate rangemonitors by noting that the sensors areexcluded.


Pursuant to 10 CFR 50.92, NNECO hasreviewed the proposed change and concludesthat the change does not involve a significanthazards consideration (SHC) since theproposed change satisfies the criteria in 10CFR 50.92(c). That is, the proposed changedoes not:


By removing the requirement for sensorcalibration the function and safetyperformance of these systems will not beaffected. Existing surveillances, operatorverification of overlap and system interlocksensure correct system performance withoutsensor calibration.

Therefore, based on the above, theproposed change to the TechnicalSpecifications does not involve a significantincrease in the probability or consequencesof any previously analyzed accident.

2. Create the possibility of a new ordifferent kind of accident from any accidentpreviously evaluated.

This change does not cause the sourcerange monitors (SRM) or the intermediaterange monitors (IRM) to function anydifferently than intended by design and,therefore, does not create the possibility of anew or different kind of accident. TheTechnical Specification change deletes aTechnical Specification requirement whichcould not literally be complied with for onecomponent and that has no effect on thefunctional performance of the SRMs or IRMs.

Therefore, this change will not create thepossibility of a new or different kind ofaccident from any accident previouslyevaluated.

3. Involve a significant reduction in amargin of safety.

This change corrects a TechnicalSpecification requirement which could notliterally be complied with for one componentand that has no effect on the functionalperformance of the SRMs or IRMs.Instrument calibrations and functionalchecks are still performed during each

refueling outage to assure adequate systemperformance.

Therefore, this change has no impact onthe margin to safety.


Local Public Document Roomlocation: Learning Resources Center,Three Rivers Community-TechnicalCollege, 574 New London Turnpike,Norwich, CT 06360, and WaterfordLibrary, ATTN: Vince Juliano, 49 RopeFerry Road, Waterford, CT 06385.

Attorney for licensee: Lillian M.Cuoco, Esq., Senior Nuclear Counsel,Northeast Utilities Service Company,P.O. Box 270, Hartford, CT 06141–0270.

NRC Project Director: Phillip F.McKee

Pacific Gas and Electric Company,Docket Nos. 50–275 and 50–323, DiabloCanyon Nuclear Power Plant, Unit Nos.1 and 2, San Luis Obispo County,California

Date of amendment requests:February 14, 1996

Description of amendment requests:The proposed amendments wouldrevise the combined TechnicalSpecifications (TS) for the DiabloCanyon Power Plant (DCPP), Unit Nos.1 and 2, to revise 30 TS and add twonew TS surveillance requirements tosupport implementation of extendedfuel cycles at DCPP, Unit Nos. 1 and 2.The specific TS changes proposedinclude those for 9 trip actuating devicetests, 12 fluid system actuation tests,and 11 miscellaneous tests. Two of thefluid system actuation tests areproposed new TS surveillancerequirements. The TS changes alsoinclude the addition of a new frequencynotation, ‘‘R24, REFUELINGINTERVAL,’’ to Table 1.1 of the TS.Also, a revision that applies to allsubsequent TS changes involvesrevising the Bases section of TS 4.0.2 tochange the surveillance frequency froman 18-month surveillance interval to atleast once each refueling interval.


1. The proposed change does not involvea significant increase in the probability or


consequences of an accident previouslyevaluated.

The surveillance interval notation additionin TS Table 1.1 and the updated TS 4.0.2Bases section are administrative changes thatdo not affect the probability or consequencesof accidents.

The 30 proposed TS surveillance intervalincreases from 18 to 24 months do not alterthe intent or method by which theinspections, tests, or verifications areconducted, do not alter the way anystructure, system, or component functions,and do not change the manner in which theplant is operated. The surveillance,maintenance, and operating histories indicatethat the equipment will continue to performsatisfactorily with longer surveillanceintervals. Few surveillance and maintenanceproblems were identified. No problemsrecurred, with the exception of thoseassociated with the pressurizer heateremergency breakers, which will continue tobe surveilled on a quarterly frequency untilthey are replaced.

There are no known mechanisms thatwould significantly degrade the performanceof the evaluated equipment during normalplant operation. All potential time-relateddegradation mechanisms have insignificanteffects in the timeframe of interest (24months +25 percent, or 30 months). Based onthe past performance of the equipment, theprobability or consequences of accidentswould not be significantly affected by theproposed surveillance interval increases.

The 24-month surveillance intervals for thetwo new TS proposed to verify that the CCW[component cooling water] and ASW[auxiliary saltwater] pumps will startautomatically are based on an evaluation ofhistorical operation, maintenance, andsurveillance data for the pumps. Thesehistorical data are available because thepumps have been operated, maintained, andtested on 18- month intervals in accordancewith procedures since initial plant startup.These new surveillances represent additionalTS requirements to ensure the CCW andASW pumps start when required. No knowndegradation mechanisms would significantlyaffect the ability of the pumps to start overthe timeframe of interest (30 monthsmaximum). Based on the past performance ofthe equipment, these proposed new TSwould not affect the probability orconsequences of accidents.

Therefore, the proposed changes do notinvolve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

2. The proposed change does not create thepossibility of a new or different kind ofaccident from any accident previouslyevaluated.

The surveillance interval notation additionin TS Table 1.1 and the updated TS 4.0.2Bases section are administrative changes thatdo not affect the type of accidents possible.

For the 30 proposed TS changes involvingsurveillance interval increases from 18 to 24months, the surveillance and maintenancehistories indicate that the equipment willcontinue to effectively perform its designfunction over the longer operating cycles.Additionally, the increased surveillance

intervals do not result in any physicalmodifications, affect safety functionperformance or the manner in which theplant is operated, or alter the intent ormethod by which surveillance tests areperformed. Only a few problems have beenidentified and generally have not recurred.All potential time-related degradations haveinsignificant effects in the timeframe ofinterest. The proposed surveillance intervalincreases would not affect the type ofaccidents possible.

The 24-month surveillance intervals for thetwo new TS proposed to verify starting of theCCW and ASW pumps are based on anevaluation of historical operation,maintenance, and surveillance data. Thesenew TS represent additional requirements toensure the CCW and ASW pumps start whenrequired. No known degradation mechanismswould significantly affect the ability of thepumps to start over the timeframe of interest.These proposed new TS would not affect thetype of accidents possible.


3. The proposed change does not involvea significant reduction in a margin of safety.

The surveillance interval notation additionin TS Table 1.1 and the updated TS 4.0.2Bases section are administrative changes thatdo not affect the margin of safety.

For the 30 proposed TS changes involving18- to 24-month surveillance intervalincreases, evaluation of historicalsurveillance and maintenance data indicatesthere have been only a few problemsexperienced with the evaluated equipment.

There are no indications that potentialproblems would be cycle-length dependentor that potential degradation would besignificant for the timeframe of interest and,therefore, increasing the surveillance intervalwill have little, if any, impact on safety.There is no safety analysis impact since thesechanges will have no effect on any safetylimit, protection system setpoint, or limitingcondition for operation, and there are nohardware changes that would impact existingsafety analysis acceptance criteria. Safetymargins would not be significantly affectedby the proposed surveillance intervalincreases.

As previously noted, the 24-monthsurveillance intervals for the two new TS arebased on an evaluation of historical data,represent additional requirements, and arenot believed to be significantly affected bypotential time-dependent degradation. Assuch, these proposed new TS would notaffect any margin of safety.

Therefore, the proposed changes do notinvolve a significant reduction in a margin ofsafety.

The NRC staff has reviewed thelicensee’s analysis and, based on thisreview, it appears that the threestandards of 50.92(c) are satisfied.Therefore, the NRC staff proposes todetermine that the amendment requestsinvolve no significant hazardsconsideration.

Local Public Document Roomlocation: California Polytechnic State

University, Robert E. Kennedy Library,Government Documents and MapsDepartment, San Luis Obispo, California93407

Attorney for licensee: Christopher J.Warner, Esq., Pacific Gas and ElectricCompany, P.O. Box 7442, SanFrancisco, California 94120

NRC Project Director: William H.Bateman


Date of amendment requests: May 9,1996

Description of amendment requests:The proposed amendments wouldrevise the combined TechnicalSpecifications (TS) for the DiabloCanyon Power Plant Unit Nos. 1 and 2by revising Technical Specifications(TS) 3/4.3.2, ‘‘Engineered SafetyFeatures Actuation SystemInstrumentation,’’ and 3/4.6.2,‘‘Containment Spray System.’’ Thechanges would clarify the description ofthe initiation signal required foroperation of the containment spraysystem at Diablo Canyon Power Plant(DCPP) and correctly incorporatechanges made in previous licenseamendments. All of the changes areadministrative in nature.


1. The proposed change does not involvea significant increase in the probability orconsequences of an accident previouslyevaluated.

Revising the description of thecontainment spray (CS) initiating signalclarifies the design of the plant and providesuniformity across the TechnicalSpecifications (TS) associated with the CSinitiation function. The enhanced descriptiondoes not affect system operation orperformance, nor the probability of any eventinitiators. The changes do not affect anyengineered safety feature actuation setpointsor accident mitigation capabilities.

The administrative changes to TS 3/4.3.2,Table 4.3–2, correct the column headings andrestore test frequency notation. The changesonly revise the TS to correspond withpreviously issued license amendments (LAs).

Therefore, the proposed changes do notinvolve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

2. The proposed change does not create thepossibility of a new or different kind ofaccident from any accident previouslyevaluated.


The administrative changes in thedescription of the CS initiating signal provideuniformity across the TS associated with thespray system. There are no design, operation,maintenance, or testing changes associatedwith the administrative changes.

The administrative changes to TS 3/4.3.2,Table 4.3–2, correct the column headings andrestore test frequency notation. The changesonly revise the TS to correspond withpreviously issued LAs.

Therefore, the proposed change does notcreate the possibility of a new or differentkind of accident from any accidentpreviously evaluated.

3. The proposed change does not involvea significant reduction in a margin of safety.

The administrative changes in CS signaldescription are not associated with anydesign, operation, maintenance, or testingrevisions.

The administrative changes to TS 3/4.3.2,Table 4.3–2, correct the column headings andrestore test frequency notation. The changesonly revise the TS to correspond withpreviously issued LAs.

Therefore, the proposed change does notinvolve a significant reduction in a margin ofsafety.

The NRC staff has reviewed thelicensee’s analysis and, based on thisreview, it appears that the threestandards of 50.92(c) are satisfied.Therefore, the NRC staff proposes todetermine that the amendment requestsinvolve no significant hazardsconsideration.

Local Public Document Roomlocation: California Polytechnic StateUniversity, Robert E. Kennedy Library,Government Documents and MapsDepartment, San Luis Obispo, California93407

Attorney for licensee: Christopher J.Warner, Esq., Pacific Gas and ElectricCompany, P.O. Box 7442, SanFrancisco, California 94120

NRC Project Director: William H.Bateman

Tennessee Valley Authority, DocketNos. 50–259, 50–260, and 50–296,Browns Ferry Nuclear Plant, Units 1, 2,and 3, Limestone County, Alabama

Date of amendment request: May 20,1996 (TS 373)

Description of amendment request:The proposed amendment revises thetechnical specifications to incorporate a24-hour delay in implementing theaction requirements due to a missedsurveillance requirement when theaction requirements provide arestoration time that is less than 24hours. This change also clarifies that thetime limit of the action requirementsapplies from the point in time it isidentified a surveillance has not beenperformed and not at the time that theallowed surveillance interval wasexceeded. The licensee claims this

amendment is consistent with genericguidance.


A. The proposed amendment does notinvolve a significant increase in theprobability or consequences of an accidentpreviously evaluated.

The proposed amendment to TS definition1.0.LL is in accordance with the guidance ofGL 87–09 and NUREG 1433, Revision 1. Theproposed change will allow BFN to continueoperation for an additional 24 hours afterdiscovery of a missed surveillance. Thechange being proposed does not affect theprecursor for any accident or transientanalyzed in Chapter 14 of the BFN UpdatedFinal Safety Analysis Report. The proposedchange does not reflect a revision to thephysical design and/or operation of the plant.Therefore, operation of the facility inaccordance with the proposed change doesnot affect the probability or consequences ofan accident previously evaluated.

B. The proposed amendment does notcreate the possibility of a new or differentkind of accident from any accidentpreviously evaluated.

The proposed amendment to TS definition1.0.LL is in accordance with the guidance ofGL 87–09 and NUREG 1433, Revision 1. Theproposed change will allow the plant tocontinue operation for an additional 24 hoursafter discovery of a missed surveillance. Thechange being proposed will not change thephysical plant or the modes of operationdefined in the facility license. The changedoes not involve the addition or modificationof equipment, nor do they alter the design oroperation of plant systems. Therefore,operation of the facility in accordance withthe proposed change does not create thepossibility of a new or different kind ofaccident from any previously evaluated.

C. The proposed amendment does notinvolve a significant reduction in a margin ofsafety.

The proposed amendment to TS definition1.0.LL is in accordance with the guidance ofGL 87–09 and NUREG 1433, Revision 1. Theproposed change does not affect plant safetyanalysis or change the physical design oroperation of the plant. The proposed changewill allow the plant up to 24 hours toperform a missed surveillance. The overalleffect is a net gain in plant safety by avoidingunnecessary shutdowns and the associatesystem transients due to missed surveillance.Therefore, operation of the facility inaccordance with the proposed change doesnot involve a significant reduction in amargin of safety.


Local Public Document Roomlocation: Athens Public Library, SouthStreet, Athens, Alabama 35611

Attorney for licensee: GeneralCounsel, Tennessee Valley Authority,400 West Summit Hill Drive, ET llH,Knoxville, Tennessee 37902


Wisconsin Public Service Corporation,Docket No. 50–305, Kewaunee NuclearPower Plant, Kewaunee County,Wisconsin


Description of amendment request:The proposed amendment would reviseKewaunee Nuclear Power Plant (KNPP)Technical Specification (TS) 5.3,‘‘Reactor,’’ and TS 5.4, ‘‘Fuel Storage,’’by removing the enrichment limit forreload fuel and imposing fuel storagerestrictions on the spent fuel storageracks and the new fuel storage racks.The revised TS are structured consistentwith the Westinghouse StandardTechnical Specifications and the fuelstorage restrictions are based on thecriticality analyses used to support TSAmendment 92 dated March 7, 1991.


The proposed changes were reviewed inaccordance with the provisions of 10 CFR50.92 to determine that no significanthazards exist. The proposed changes will not:


The criticality analysis which wasperformed in support of TechnicalSpecification Amendment 92, dated March 7,1991, demonstrated that adequate margins tocriticality can be maintained with fuelenrichments up to 49.2 grams of U235 peraxial centimeter stored in the New FuelStorage Racks and enrichments up to 52.3grams of U235 per axial centimeter stored inthe Spent Fuel Storage Racks.

The bounding cases of the analysisdemonstrated that keff remains less than 0.95in the Spent Fuel Storage Racks and the NewFuel Storage Racks if flooded with unboratedwater. The bounding cases of the analysisalso demonstrated that keff remains less than0.98 in the New Fuel Storage Racks ifmoderated by optimally misted moderator.Therefore, the 49.2 grams of U235 per axialcentimeter enrichment is acceptable forstorage in the New Fuel Storage Racks and52.3 grams of U235 per axial centimeter forstorage in the Spent Fuel Storage Racks.

The only other accident that needs to beconsidered is a fuel handling accident. Sincethe mass of the fuel assembly would not beappreciably altered by the increased fuel


enrichment, the probability of this accidentoccurring is not changed. The consequencesof a fuel handling accident also would not beaffected by the use of higher fuel enrichmentsince the fission product inventories in a fuelassembly are not a significant function ofinitial fuel enrichment. This accident wasanalyzed in the criticality analysis which wasperformed in support of TechnicalSpecification Amendment 92, dated March 7,1991.

It should be noted that any changes in thenuclear properties of the reactor core thatmay result from higher fuel enrichmentswould be analyzed in the appropriate reloadanalysis.

The administrative relocation ofinformation to licensee controlled documents(i.e., USAR) conforms to NRC policy for thecontent of technical specifications and doesnot increase the probability or consequencesof an accident.

2. Create the possibility of a new ordifferent kind of accident from any accidentpreviously evaluated.

As discussed above, the only safety issuesignificantly affected by the proposed changeis the criticality analysis of the Spent FuelStorage Racks and the New Fuel StorageRacks. Since it has been demonstrated thatkG≅2eff remains below 0.95 and 0.98,respectively, in those areas, no new ordifferent accident would be created throughthe use of fuel enrichments up to 52.3 gramsof U235 per axial centimeter at the KewauneeNuclear Power Plant. Administrative controlswill ensure that only fuel enriched to 49.2grams of U235 per axial centimeter or less willbe placed into the New Fuel Storage Racks.

The relocation of information to licenseecontrolled documents does not create thepossibility of a new or different kind ofaccident.

3. Involve a significant reduction in themargin of safety.

Since the criticality analyses have shownthat increasing the allowable weight percentenrichment to 52.3 grams of U235 per axialcentimeter would not increase keff above 0.95in the Spent Fuel Storage Racks andincreasing the allowable weight percentenrichment to 49.2 grams of U235 per axialcentimeter would not increase keff above 0.98in the New Fuel Storage Racks, it isconcluded that this proposed change wouldnot reduce the margin of safety. Any changesin the nuclear properties of the reactor corethat may result from higher fuel enrichmentswould be analyzed in the appropriate reloadanalysis to ensure compliance withapplicable reload considerations andrequirements.

Relocation of information to licenseecontrolled documents is an administrativeaction and therefore does not reduce themargin of safety.


Local Public Document Roomlocation: University of Wisconsin,

Cofrin Library, 2420 Nicolet Drive,Green Bay, Wisconsin 54311–7001

Attorney for licensee: Bradley D.Jackson, Esq., Foley and Lardner, P. O.Box 1497, Madison, Wisconsin 53701–1497

NRC Project Director: Gail H. Marcus

Previously Published Notices OfConsideration Of Issuance OfAmendments To Facility OperatingLicenses, Proposed No SignificantHazards Consideration Determination,And Opportunity For A Hearing

The following notices were previouslypublished as separate individualnotices. The notice content was thesame as above. They were published asindividual notices either because timedid not allow the Commission to waitfor this biweekly notice or because theaction involved exigent circumstances.They are repeated here because thebiweekly notice lists all amendmentsissued or proposed to be issuedinvolving no significant hazardsconsideration.

For details, see the individual noticein the Federal Register on the day andpage cited. This notice does not extendthe notice period of the original notice.

Houston Lighting & Power Company,City Public Service Board of SanAntonio, Central Power and LightCompany, City of Austin, Texas, DocketNos. 50–498 and 50–499, South TexasProject, Units 1 and 2, MatagordaCounty, Texas


Description of amendment request:The proposed amendments wouldmodify Technical Specification Section3/4.4.5, Steam Generators, 3/4.4.6,Reactor Coolant System Leakage, andassociate Bases to allow the installationof tube sleeves as an alternative toplugging to repair defective steamgenerator tubes.

Date of individual notice in theFederal Register: May 29, 1996 (61 FR26936)

Expiration date of individual notice:June 28, 1996

Local Public Document Roomlocation: Wharton County JuniorCollege, J. M. Hodges Learning Center,911 Boling Highway, Wharton, TX77488 Washington Public Power SupplySystem, Docket No. 50–397, NuclearProject No. 2, Benton County,Washington

Date of application for amendment:April 24, 1996

Brief description of amendmentrequest: The proposed amendmentwould modify Technical Specifications(TSs) 5.3.1 and 6.9.3.2 to reflect use of

new fuel obtained from ABB/Combustion Engineering, and toincorporate staff-approved core reloadanalysis computer programs (codes).Date of individual notice in FederalRegister: May 1, 1996 (61 FR 19326)

Expiration date of individual notice:May 31, 1996

Local Public Document Roomlocation: Richland Public Library, 955Northgate Street, Richland, Washington99352

Notice Of Issuance Of Amendments ToFacility Operating Licenses

During the period since publication ofthe last biweekly notice, theCommission has issued the followingamendments. The Commission hasdetermined for each of theseamendments that the applicationcomplies with the standards andrequirements of the Atomic Energy Actof 1954, as amended (the Act), and theCommission’s rules and regulations.The Commission has made appropriatefindings as required by the Act and theCommission’s rules and regulations in10 CFR Chapter I, which are set forth inthe license amendment.

Notice of Consideration of Issuance ofAmendment to Facility OperatingLicense, Proposed No SignificantHazards Consideration Determination,and Opportunity for A Hearing inconnection with these actions waspublished in the Federal Register asindicated.

Unless otherwise indicated, theCommission has determined that theseamendments satisfy the criteria forcategorical exclusion in accordancewith 10 CFR 51.22. Therefore, pursuantto 10 CFR 51.22(b), no environmentalimpact statement or environmentalassessment need be prepared for theseamendments. If the Commission hasprepared an environmental assessmentunder the special circumstancesprovision in 10 CFR 51.12(b) and hasmade a determination based on thatassessment, it is so indicated.

For further details with respect to theaction see (1) the applications foramendment, (2) the amendment, and (3)the Commission’s related letter, SafetyEvaluation and/or EnvironmentalAssessment as indicated. All of theseitems are available for public inspectionat the Commission’s Public DocumentRoom, the Gelman Building, 2120 LStreet, NW., Washington, DC, and at thelocal public document rooms for theparticular facilities involved.


Arizona Public Service Company, et al.,Docket Nos. STN 50–528, STN 50–529,and STN 50–530, Palo Verde NuclearGenerating Station, Units 1, 2, and 3,Maricopa County, Arizona

Date of application for amendments:January 5, 1996, as supplemented byletters dated April 19, May 1, and May10, 1996.

Brief description of amendments: Theamendments revise the operatinglicenses and Technical Specification(TS) Section 1.26 to increase theauthorized rated thermal power. Theamendments also revise TS 4.1.1.4,3.1.3.4, and 3.2.6 (Figure 3.2–1) to lowerthe allowable reactor coolant systemcold leg temperature limits for each ofthe three Palo Verde Nuclear GeneratingStation units, and TS 3.4.2.1 and 3.4.2.2to lower the pressurizer safety valvesetpoints for Units 1 and 3 to supportthe increased power operation. The Unit2 pressurizer safety valve setpoints inTS 3.4.2.1 and 3.4.2.2 were revised inAmendment 78, approved March 28,1995, to the same values beingrequested for Units 1 and 3 in thissubmittal.

Date of issuance: May 23, 1996Effective date: May 23, 1996, to be

implemented for Unit 1 within 30 daysof issuance; to be implemented for Unit2 within 30 days of issuance; to beimplemented for Unit 3 within 45 daysas of the date of issuance, except for thepressurizer safety valve setpointschange which are effective prior tostartup from Unit 3’s sixth refuelingoutage.

Amendment Nos.: Unit 1 - 108; Unit2 - 100; Unit 3 - 80

Facility Operating License Nos. NPF–41, NPF–51, and NPF–74: Theamendments revised the OperatingLicenses and Technical Specifications.

Date of initial notice in FederalRegister: February 28, 1996 (61 FR7544) The April 19, May 1, and May 10,1996, supplemental letters providedadditional clarifying information anddid not change the initial no significanthazards consideration determination.The Commission’s related evaluation ofthe amendments is contained in a SafetyEvaluation dated May 23, 1996. Nosignificant hazards considerationcomments received: No.

Local Public Document Roomlocation: Phoenix Public Library, 1221N. Central Avenue, Phoenix, Arizona85004

Carolina Power & Light Company,Docket No. 50–261, H. B. RobinsonSteam Electric Plant, Unit No. 2,Darlington County, South Carolina

Date of application for amendment:January 31, 1996.

Brief description of amendment: Thisamendment revises the TechnicalSpecifications Section 4.4 to allow theuse of 10 CFR Part 50, Appendix J,Option B, Performance-BasedContainment Leakage Rate Testing.

Date of issuance: May 28, 1996Effective date: May 28, 1996Amendment No. 169Facility Operating License No. DPR–

23. Amendment revises the TechnicalSpecifications.

Date of initial notice in FederalRegister: February 28, 1996 (61 FR7545) The Commission’s relatedevaluation of the amendment iscontained in a Safety Evaluation datedMay 28, 1996. No significant hazardsconsideration comments received: No

Local Public Document Roomlocation: Hartsville Memorial Library,147 West College Avenue, Hartsville,South Carolina 29550

Duke Power Company, et al., DocketNos. 50–413 and 50–414, CatawbaNuclear Station, Units 1 and 2, YorkCounty, South Carolina

Date of application for amendments:November 15, 1995, as supplemented byletters dated March 15, and April 10,1996

Brief description of amendments: Theamendments revise the TechnicalSpecifications and the associated Basesto increase the setpoint tolerance of themain steam safety valves (MSSVs) fromplus or minus 1% to plus or minus 3%,to incorporate a requirement to reset theas-left MSSV lift settings to within plusor minus 1% following surveillancetesting, and to delete two obsoletefootnotes.

Date of issuance: May 31, 1996Effective date: As of the date of

issuance to be implemented within 30days

Amendment Nos.: 146 and 140Facility Operating License Nos. NPF–

35 and NPF–52: Amendments revisedthe Technical Specifications.

Date of initial notice in FederalRegister: December 20, 1995 (60 FR65676). The March 15 and April 10,1996 letters provided clarifyinginformation that did not change thescope of the November 15, 1995application and the initial proposed nosignificant hazards considerationdetermination. The Commission’srelated evaluation of the amendments iscontained in a Safety Evaluation datedMay 31, 1996. No significant hazardsconsideration comments received: No



Date of application for amendments:January 12, 1995, as supplemented byletter dated June 29, 1995

Brief description of amendments: Theamendments revise and clarify portionsof Technical Specification Section 6.0,‘‘Administrative Controls.’’

Date of issuance: May 30, 1996Effective date: As of the date of




Date of initial notice in FederalRegister: November 24, 1995 (60 FR58109) The Commission’s relatedevaluation of the amendments iscontained in a Safety Evaluation datedMay 30, 1996. No significant hazardsconsideration comments received: No



Date of application for amendments:April 3, 1996

Brief description of amendments: Theamendments revise the TechnicalSpecifications and the associated Basesto provide that if neither Train A orTrain B of the hydrogen igniter isoperable in any one containment region,there is an allowance of 7 days to restoreone hydrogen igniter to operable status,or be in hot shutdown within the next6 hours.

Date of issuance: June 3, 1996Effective date: As of the date of




Date of initial notice in FederalRegister: April 16, 1996 (61 FR 16649)The Commission’s related evaluation ofthe amendments is contained in a SafetyEvaluation dated June 3, 1996 Nosignificant hazards considerationcomments received: No



Entergy Operations, Inc., Docket No.50–382, Waterford Steam ElectricStation, Unit 3, St. Charles Parish,Louisiana

Date of amendment request: May 19,1995, as supplemented by letter datedDecember 7, 1995

Brief description of amendment: Theamendment revised the recombinersurveillance requirements to conformwith the staff guidance provided inNUREG–1432, ‘‘Standard TechnicalSpecifications Combustion EngineeringPlants.’’

Date of issuance: June 5, 1996Effective date: June 5, 1996Amendment No.: 119Facility Operating License No. NPF–

38. Amendment revised the TechnicalSpecifications.

Date of initial notice in FederalRegister: January 3, 1996 (61 FR 180)The Commission’s related evaluation ofthe amendment is contained in a SafetyEvaluation dated June 5, 1996. Nosignificant hazards considerationcomments received: No

Local Public Document Roomlocation: University of New OrleansLibrary, Louisiana Collection, Lakefront,New Orleans, LA 70122

Florida Power and Light Company, etal., Docket Nos. 50–335 and 50–389, St.Lucie Plant, Unit Nos. 1 and 2, St. LucieCounty, Florida

Date of application for amendments:January 4, 1996

Brief description of amendments:These amendments rectify adiscrepancy in Technical Specification3.5.3, and provide assurance thatadministrative controls for HighPressure Safety Injection pumps remaineffective in the lower operationalmodes.

Date of Issuance: May 30, 1996Effective Date: May 30, 1996Amendment Nos.: 143 and 183Facility Operating License Nos. DPR–


Date of initial notice in FederalRegister: February 14, 1996 (61 FR5813) The Commission’s relatedevaluation of the amendments iscontained in a Safety Evaluation datedMay 30, 1996. No significant hazardsconsideration comments received: No.

Local Public Document Roomlocation: Indian River Junior CollegeLibrary, 3209 Virginia Avenue, FortPierce, Florida 34954–9003

Florida Power and Light Company, etal., Docket Nos. 50–335 and 50–389, St.Lucie Plant, Unit Nos. 1 and 2, St. LucieCounty, Florida

Date of application for amendments:November 22, 1995

Brief description of amendments:These amendments upgrade existing TS3/4.4.6.1 for the Reactor Coolant SystemLeakage Detection Systems by adoptingthe Standard Technical Specificationsfor Combustion Engineering Plants toboth St. Lucie Units.

Date of Issuance: May 30, 1996Effective Date: May 30, 1996Amendment Nos.: 144 and 84Facility Operating License Nos. DPR–


Date of initial notice in FederalRegister: January 22, 1996 (61 FR 1629)The Commission’s related evaluation ofthe amendments is contained in a SafetyEvaluation dated May 30, 1996. Nosignificant hazards considerationcomments received: No.

Local Public Document Roomlocation: Indian River Junior CollegeLibrary, 3209 Virginia Avenue, FortPierce, Florida 34954–9003

GPU Nuclear Corporation, et al.,Docket No. 50–219, Oyster CreekNuclear Generating Station, OceanCounty, New Jersey

Date of application for amendment:March 28, 1996 (TSCR 234)

Brief description of amendment: Theamendment modifies TechnicalSpecification pages 3.1–5 and 3.1–16 toindicate 40 percent of the rated reactorthermal power as the anticipatoryreactor scram bypass setpoint on turbinetrip or generator load rejection.

Date of Issuance: June 4, 1996Effective date: As of the date of

issuance, to be implemented within 30days.

Amendment No.: 184Facility Operating License No. DPR–


Date of initial notice in FederalRegister: April 24, 1996 (61 FR 18167)The Commission’s related evaluation ofthis amendment is contained in a SafetyEvaluation dated June 4, 1996 Nosignificant hazards considerationcomments received: No.

Local Public Document Roomlocation: Ocean County Library,Reference Department, 101 WashingtonStreet, Toms River, NJ 08753

Houston Lighting & Power Company,City Public Service Board of SanAntonio Central Power and LightCompany, City of Austin, Texas, DocketNo. 50–498, South Texas Project, Unit 1,Matagorda County, Texas

Date of amendment request: January22, 1996, as supplemented April 4 andMay 2, 1996

Brief description of amendment: Theamendment modified the steamgenerator tube plugging criteria in TS 3/4.4.5, Steam Generators, the allowableprimary-to-secondary leakage in TS 3/4.4.6.2, Operational Leakage, and theassociated Bases. These changesallowed the implementation of alternatesteam generator tube plugging criteriafor the tube support plate/tubeintersections for Unit 1.

Date of issuance: May 22, 1996Effective date: May 22, 1996Amendment No.: 83Facility Operating License No. NPF–

76. The amendment revised theTechnical Specifications.

Date of initial notice in FederalRegister: April 16, 1996 (61 FR 16651)as corrected April 22, 1996 (61 FR17735). The additional informationcontained in the supplemental letterdated May 2, 1996, was clarifying innature and thus, within the scope of theinitial notice and did not affect thestaff’s proposed no significant hazardsconsideration determination. TheCommission’s related evaluation of theamendment is contained in a SafetyEvaluation dated May 22, 1996. Nosignificant hazards considerationcomments received: No

Local Public Document Roomlocation: Wharton County JuniorCollege, J. M. Hodges Learning Center,911 Boling Highway, Wharton, TX77488

IES Utilities Inc., Docket No. 50–331,Duane Arnold Energy, Center, LinnCounty, Iowa

Date of application for amendment:July 21, 1995, as supplemented August8, 1995 and December 15, 1995

Brief description of amendment: Theamendment made administrativechanges to various sections of the DAECTechnical Specifications (TS). Theamendment replaced the surveillancecondition when an Emergency ServiceWater pump or loop is inoperable withan OPERABILITY verification of theopposite train’s Emergency DieselGenerator (EDG). The amendmentmodified the TS to allow credit fordemonstration of EDG OPERABILITYthat occurred within the previous 24hours. The amendment revised theformat and language of TS Section 5.5


to clarify the requirements and state thecapacity of the spent fuel pool and vaultstorage in order to remove ambiguitiesin the wording and to be moreconsistent with the Improved StandardTS guidance. The amendment revisedthe list of Operations Committeeresponsibilities (Section 6.5.1.6) toeliminate Committee review ofprocedures implementing Security andEmergency Plans.

Date of issuance: June 5, 1996Effective date: June 5, 1996Amendment No.: 214Facility Operating License No. DPR–


Date of initial notice in FederalRegister: September 27, 1995 (60 FR49938) and February 2, 1996 (61 FR3953) The Commission’s relatedevaluation of the amendment iscontained in a Safety Evaluation datedJune 5, 1996. No significant hazardsconsideration comments received: No.

Local Public Document Roomlocation: Cedar Rapids Public Library,500 First Street, S. E., Cedar Rapids,Iowa 52401

Northern States Power Company,Docket Nos. 50–282 and 50–306, PrairieIsland Nuclear Generating Plant, UnitNos. 1 and 2, Goodhue County,Minnesota

Date of application for amendments:May 4, 1995, as supplementedNovember 27, 1995, and March 1, 1996

Brief description of amendments: Theamendments revise the pressurizer andmain steam safety valve lift settingtolerance from plus or minus 1 percentto plus or minus 3 percent (as-foundsetpoint only), revise the safety limitcurves, reformat Section 2, and correcttypographical errors.

Date of issuance: May 21, 1996Effective date: May 21, 1996, with fullimplementation within 30 days

Amendment Nos.: Unit 1 - 123, Unit2 - 116

Facility Operating License Nos. DPR–42 and DPR–60. Amendments revisedthe Technical Specifications.

Date of initial notice in FederalRegister: September 13, 1995 (60 FR47621) The November 27, 1995, andMarch 1, 1996, letters providedclarifying information in response toNRC staff questions. This informationwas within the scope of the originalapplication and did not change thestaff’s initial proposed no significanthazards consideration determination.The Commission’s related evaluation ofthe amendments is contained in a SafetyEvaluation dated May 21, 1996. Nosignificant hazards considerationcomments received: No.

Local Public Document Roomlocation: Minneapolis Public Library,Technology and Science Department,300 Nicollet Mall, Minneapolis,Minnesota 55401


Date of application for amendments:March 13, 1996

Brief description of amendments:These amendments delete therequirement in Technical Specifications(TS) 4.0.5a for NRC written approvalprior to implementation of relief fromASME Code requirements by deleting‘‘...(g),.except where specific writtenrelief has been granted by theCommission pursuant to 10 CFR50.55a(g)(6)(i).’’ Also, the amendmentsadd the ASME Section XI definition of‘‘Biennially or every 2 years - At leastonce per 731 days,’’ in TS 4.0.5b.

Date of issuance: May 28, 1996Effective date: May 28, 1996Amendment Nos.: Unit 1 - 112; Unit

2 - 110Facility Operating License Nos. DPR–

80 and DPR–82: The amendmentsrevised the Technical Specifications.

Date of initial notice in FederalRegister: April 24, 1996 (61 FR 18173)The Commission’s related evaluation ofthe amendments is contained in a SafetyEvaluation dated May 28, 1996. Nosignificant hazards considerationcomments received: No.



Date of application for amendments:April 3, 1996

Brief description of amendments:These amendments revise the combinedTechnical Specifications (TS) for theDiablo Canyon Nuclear Power Plant,Unit Nos. 1 and 2 to revise TechnicalSpecifications 3/4.7.5, ‘‘Control RoomVentilation System;’’ 3/4.7.6, ‘‘AuxiliaryBuilding Safeguards Air FiltrationSystem;’’ and 3/4.9.12, ‘‘Fuel HandlingBuilding Ventilation System’’ to clarifythe testing methodology utilized byPG&E to determine the operability of thecharcoal and high efficiency particulateair (HEPA) filters in the engineeringsafeguards features (ESF) air handling

units at the Diablo Canyon Power Plant(DCPP).

Date of issuance: May 28, 1996Effective date: May 28, 1996Amendment Nos.: Unit 1 - 113; Unit

2 - 111Facility Operating License Nos. DPR–

80 and DPR–82: The amendmentsrevised the Technical Specifications.

Date of initial notice in FederalRegister: April 24, 1996 (61 FR 18173)The Commission’s related evaluation ofthe amendments is contained in a SafetyEvaluation dated May 28, 1996. Nosignificant hazards considerationcomments received: No.


Rochester Gas and ElectricCorporation, Docket No. 50–244, R. E.Ginna Nuclear Power Plant, WayneCounty, New York

Date of application for amendment:May 8, 1996, as supplemented May 10,1996, and May 29, 1996, and June 3,1996.

Brief description of amendment: Thisamendment modifies the TechnicalSpecifications to correct severaltypographical errors that wereimplemented in the Improved TechnicalSpecifications at Ginna Station perAmendment No. 61.

Date of issuance: June 3, 1996Effective date: As of date of issuance.Amendment No.: 65Facility Operating License No. DPR–

18: Amendment revised the TechnicalSpecifications. Public commentsrequested as to proposed no significanthazards consideration: Yes (61 FR24965, dated May 17, 1996). That noticeprovided an opportunity to submitcomments on the Commission’sproposed no significant hazardsconsideration determination. Nocomments have been received. Thenotice published May 17, 1996, alsoprovided for a hearing by June 17, 1996,but indicated that if a Commissionmakes a final no significant hazardsconsideration determination, any suchhearing would take place after issuanceof the amendment. The Commission’srelated evaluation of the amendment iscontained in a Safety Evaluation datedJune 3, 1996.

Local Public Document Roomlocation: Rochester Public Library, 115South Avenue, Rochester, New York14610.


Union Electric Company, Docket No.50–483, Callaway Plant, Unit 1,Callaway County, Missouri

Date of application for amendment:February 9, 1996 as superseded by letterdated March 22, 1996.

Brief description of amendment: Theamendment revises TechnicalSpecification (TS) 1.7, 4.6.1.1, 3.6.1.3,4.6.1.3, 6.8.4 and the associated Basessection to directly reference RegulatoryGuide 1.163, ‘‘Performance-BasedContainment Leak Test Program,’’ asrequired by 10 CFR 50, Appendix J,Option B for the Type A containmentintegrated leak rate tests and the TypeB and C local leak tests.

Date of issuance: May 28, 1996Effective date: May 28, 1996, to be

implemented within 30 days from thedate of issuance.

Amendment No.: 111Facility Operating License No. NPF–

30: The amendment revised theTechnical Specifications.

Date of initial notice in FederalRegister: April 24, 1996 (61 FR 18174)The Commission’s related evaluation ofthe amendment is contained in a SafetyEvaluation dated May 28, 1996. Nosignificant hazards considerationcomments received: No.

Local Public Document Roomlocation: Callaway County PublicLibrary, 710 Court Street, Fulton,Missouri 65251.

Virginia Electric and Power Company,et al., Docket Nos. 50–338 and 50–339,North Anna Power Station, Units No. 1and No. 2, Louisa County, Virginia

Date of application for amendments:January 30, 1996

Brief description of amendments: Theamendments modify the TechnicalSpecifications to increase the minimalallowable reactor coolant system totalflow rate.

Date of issuance: June 5, 1996Effective date: June 5, 1996Amendment Nos.: 201 and 182Facility Operating License Nos. NPF–

4 and NPF–7. Amendments revised theTechnical Specifications.

Date of initial notice in FederalRegister: February 28, 1996 (61 FR7559) The Commission’s relatedevaluation of the amendments iscontained in a Safety Evaluation datedJune 5, 1996. No significant hazardsconsideration comments received: No.

Local Public Document Roomlocation: The Alderman Library, SpecialCollections Department, University ofVirginia, Charlottesville, Virginia22903–2498.

Washington Public Power SupplySystem, Docket No. 50–397, NuclearProject No. 2, Benton County,Washington

Date of application for amendment:April 24, as supplemented by letterdated May 29, 1996.

Brief description of amendment: Theamendment would modify the WNP–2technical specifications to support Cycle12 operation, reflect use of new fuelobtained from ABB/CombustionEngineering, and incorporate staff-approved core reload analysis computerprograms (codes). Date of issuance: June4, 1996 Effective date: June 4, 1996, tobe implemented within 30 days ofissuance.

Amendment No.: 146Facility Operating License No. NPF–

21: The amendment revised theTechnical Specifications.

Date of initial notice in FederalRegister: May 1, 1996 (61 FR 19326).The Commission’s related evaluation ofthe amendment is contained in a SafetyEvaluation dated June 4, 1996. Nosignificant hazards considerationcomments received: No.

Local Public Document Roomlocation: Richland Public Library, 955Northgate Street, Richland, Washington99352

Notice Of Issuance Of Amendments ToFacility Operating Licenses And FinalDetermination Of No SignificantHazards Consideration AndOpportunity For A Hearing (ExigentPublic Announcement Or EmergencyCircumstances)

During the period since publication ofthe last biweekly notice, theCommission has issued the followingamendments. The Commission hasdetermined for each of theseamendments that the application for theamendment complies with thestandards and requirements of theAtomic Energy Act of 1954, as amended(the Act), and the Commission’s rulesand regulations. The Commission hasmade appropriate findings as requiredby the Act and the Commission’s rulesand regulations in 10 CFR Chapter I,which are set forth in the licenseamendment.

Because of exigent or emergencycircumstances associated with the datethe amendment was needed, there wasnot time for the Commission to publish,for public comment before issuance, itsusual 30-day Notice of Consideration ofIssuance of Amendment, Proposed NoSignificant Hazards ConsiderationDetermination, and Opportunity for aHearing.

For exigent circumstances, theCommission has either issued a Federal

Register notice providing opportunityfor public comment or has used localmedia to provide notice to the public inthe area surrounding a licensee’s facilityof the licensee’s application and of theCommission’s proposed determinationof no significant hazards consideration.The Commission has provided areasonable opportunity for the public tocomment, using its best efforts to makeavailable to the public means ofcommunication for the public torespond quickly, and in the case oftelephone comments, the commentshave been recorded or transcribed asappropriate and the licensee has beeninformed of the public comments.

In circumstances where failure to actin a timely way would have resulted, forexample, in derating or shutdown of anuclear power plant or in prevention ofeither resumption of operation or ofincrease in power output up to theplant’s licensed power level, theCommission may not have had anopportunity to provide for publiccomment on its no significant hazardsconsideration determination. In suchcase, the license amendment has beenissued without opportunity forcomment. If there has been some timefor public comment but less than 30days, the Commission may provide anopportunity for public comment. Ifcomments have been requested, it is sostated. In either event, the State hasbeen consulted by telephone wheneverpossible.

Under its regulations, the Commissionmay issue and make an amendmentimmediately effective, notwithstandingthe pendency before it of a request fora hearing from any person, in advanceof the holding and completion of anyrequired hearing, where it hasdetermined that no significant hazardsconsideration is involved.

The Commission has applied thestandards of 10 CFR 50.92 and has madea final determination that theamendment involves no significanthazards consideration. The basis for thisdetermination is contained in thedocuments related to this action.Accordingly, the amendments havebeen issued and made effective asindicated.

Unless otherwise indicated, theCommission has determined that theseamendments satisfy the criteria forcategorical exclusion in accordancewith 10 CFR 51.22. Therefore, pursuantto 10 CFR 51.22(b), no environmentalimpact statement or environmentalassessment need be prepared for theseamendments. If the Commission hasprepared an environmental assessmentunder the special circumstancesprovision in 10 CFR 51.12(b) and has


made a determination based on thatassessment, it is so indicated.

For further details with respect to theaction see (1) the application foramendment, (2) the amendment toFacility Operating License, and (3) theCommission’s related letter, SafetyEvaluation and/or EnvironmentalAssessment, as indicated. All of theseitems are available for public inspectionat the Commission’s Public DocumentRoom, the Gelman Building, 2120 LStreet, NW., Washington, DC, and at thelocal public document room for theparticular facility involved.

The Commission is also offering anopportunity for a hearing with respect tothe issuance of the amendment. By July19, 1996, the licensee may file a requestfor a hearing with respect to issuance ofthe amendment to the subject facilityoperating license and any person whoseinterest may be affected by thisproceeding and who wishes toparticipate as a party in the proceedingmust file a written request for a hearingand a petition for leave to intervene.Requests for a hearing and a petition forleave to intervene shall be filed inaccordance with the Commission’s‘‘Rules of Practice for DomesticLicensing Proceedings’’ in 10 CFR Part2. Interested persons should consult acurrent copy of 10 CFR 2.714 which isavailable at the Commission’s PublicDocument Room, the Gelman Building,2120 L Street, NW., Washington, DC andat the local public document room forthe particular facility involved. If arequest for a hearing or petition forleave to intervene is filed by the abovedate, the Commission or an AtomicSafety and Licensing Board, designatedby the Commission or by the Chairmanof the Atomic Safety and LicensingBoard Panel, will rule on the requestand/or petition; and the Secretary or thedesignated Atomic Safety and LicensingBoard will issue a notice of a hearing oran appropriate order.

As required by 10 CFR 2.714, apetition for leave to intervene shall setforth with particularity the interest ofthe petitioner in the proceeding, andhow that interest may be affected by theresults of the proceeding. The petitionshould specifically explain the reasonswhy intervention should be permittedwith particular reference to thefollowing factors: (1) the nature of thepetitioner’s right under the Act to bemade a party to the proceeding; (2) thenature and extent of the petitioner’sproperty, financial, or other interest inthe proceeding; and (3) the possibleeffect of any order which may beentered in the proceeding on thepetitioner’s interest. The petition shouldalso identify the specific aspect(s) of the

subject matter of the proceeding as towhich petitioner wishes to intervene.Any person who has filed a petition forleave to intervene or who has beenadmitted as a party may amend thepetition without requesting leave of theBoard up to 15 days prior to the firstprehearing conference scheduled in theproceeding, but such an amendedpetition must satisfy the specificityrequirements described above.

Not later than 15 days prior to the firstprehearing conference scheduled in theproceeding, a petitioner shall file asupplement to the petition to intervenewhich must include a list of thecontentions which are sought to belitigated in the matter. Each contentionmust consist of a specific statement ofthe issue of law or fact to be raised orcontroverted. In addition, the petitionershall provide a brief explanation of thebases of the contention and a concisestatement of the alleged facts or expertopinion which support the contentionand on which the petitioner intends torely in proving the contention at thehearing. The petitioner must alsoprovide references to those specificsources and documents of which thepetitioner is aware and on which thepetitioner intends to rely to establishthose facts or expert opinion. Petitionermust provide sufficient information toshow that a genuine dispute exists withthe applicant on a material issue of lawor fact. Contentions shall be limited tomatters within the scope of theamendment under consideration. Thecontention must be one which, ifproven, would entitle the petitioner torelief. A petitioner who fails to file sucha supplement which satisfies theserequirements with respect to at least onecontention will not be permitted toparticipate as a party.

Those permitted to intervene becomeparties to the proceeding, subject to anylimitations in the order granting leave tointervene, and have the opportunity toparticipate fully in the conduct of thehearing, including the opportunity topresent evidence and cross-examinewitnesses. Since the Commission hasmade a final determination that theamendment involves no significanthazards consideration, if a hearing isrequested, it will not stay theeffectiveness of the amendment. Anyhearing held would take place while theamendment is in effect.

A request for a hearing or a petitionfor leave to intervene must be filed withthe Secretary of the Commission, U.S.Nuclear Regulatory Commission,Washington, DC 20555–001, Attention:Docketing and Services Branch, or maybe delivered to the Commission’s PublicDocument Room, the Gelman Building,

2120 L Street, NW., Washington, DC, bythe above date. Where petitions are filedduring the last 10 days of the noticeperiod, it is requested that the petitionerpromptly so inform the Commission bya toll-free telephone call to WesternUnion at 1-(800) 248–5100 (in Missouri1-(800) 342–6700). The Western Unionoperator should be given DatagramIdentification Number N1023 and thefollowing message addressed to (ProjectDirector): petitioner’s name andtelephone number, date petition wasmailed, plant name, and publicationdate and page number of this FederalRegister notice. A copy of the petitionshould also be sent to the Office of theGeneral Counsel, U.S. NuclearRegulatory Commission, Washington,DC 20555–001, and to the attorney forthe licensee.

Nontimely filings of petitions forleave to intervene, amended petitions,supplemental petitions and/or requestsfor a hearing will not be entertainedabsent a determination by theCommission, the presiding officer or theAtomic Safety and Licensing Board thatthe petition and/or request should begranted based upon a balancing of thefactors specified in 10 CFR2.714(a)(1)(i)-(v) and 2.714(d).

Commonwealth Edison Company,Docket No. 50–249, Dresden NuclearPower Station, Unit No. 3

Date of application for amendment:May 22, 1996

Brief description of amendment: Theamendment authorizes, on a one- timetemporary basis, operation of Dresden,Unit 3, with the structural steelmembers in the Low Pressure CoolantInjection (LPCI) corner rooms outsidethe Updated Final Safety AnalysisReport (UFSAR) design parameters, butcapable of performing their intendedsafety function. Following a reactorscram on May 15, 1996, CommonwealthEdison Company (ComEd) performed aSafety Evaluation (SE) in accordancewith the requirements of 10 CFR 50.59to determine if the current configurationof the corner room structural steelmembers had reduced the margin ofsafety as described in the UFSAR. TheSE determined that the configurationdoes not reduce the margin of safetywith respect to the stress allowables forthe structural steel if subjected to a SafeShutdown Earthquake (SSE). Anunreviewed safety question wasdetermined to exist because stressallowables for the structural steelsubjected to an Operating BasisEarthquake (OBE) were found outsidethe UFSAR requirements; however, thecurrent configuration of the corner roomstructural steel members has not


significantly reduced the margin ofsafety as described in the UFSAR.

Date of Issuance: May 31, 1996Effective date: May 31, 1996

Amendment No.: 144Facility Operating License No. DPR–

25. The amendment revised the license.Press release issued requesting

comments as to proposed no significanthazards consideration: Yes. JolietHerald News on May 25, 1996, and theMorris Daily Herald on May 29, 1996.Comments received: No comments werereceived on the proposed no significanthazards consideration determination;however, comments were receivedconcerning the licensee’s timeliness anddecision-making in restoring the UFSARdesign margin to the structural steelmembers installed the LPCI cornerrooms at Dresden Unit 3.

The Commission’s related evaluationof the amendment, finding of exigentcircumstances, consultation with theState of Illinois and final determinationof no significant hazards considerationare contained in a Safety Evaluationdated May 31, 1996.

Attorney for licensee: Michael I.Miller, Esquire; Sidley and Austin, OneFirst National Plaza, Chicago, Illinois60690

Local Public Document Roomlocation: Morris Area Public LibraryDistrict, 604 Liberty Street, Morris,Illinois 60450.

NRC Project Director: Robert A. CapraDated at Rockville, Maryland, this 12th day

of June 1996.For the Nuclear Regulatory Commission

John A. Zwolinski,Deputy Director, Division of Reactor Projects- I/II, Office of Nuclear Reactor Regulation[Doc. 96–15398 Filed 6–18–96; 8:45 am]BILLING CODE 7590–01–F

OCCUPATIONAL SAFETY ANDHEALTH REVIEW COMMISSION


TIME AND DATE: 10:00 a.m., on June 25,1996.PLACE: The Commission’s NationalOffice at One Lafayette Centre, 112020th St., N.W., 9th Floor, Washington,DC 20036–3419.STATUS: Under 29 C.F.R. § 2203.4(d) thismeeting is subject to being closed by avote of the Commissioners taken at thebeginning of the meeting. Since the onlymatters to be discussed at this meetingwill be specific cases in theCommission’s adjudicative process, it islikely that, pursuant to 29 C.F.R.§ 2203.3(b)(10), the meeting will beclosed upon a proper vote taken.

MATTERS TO BE CONSIDERED: Cases in theCommission’s adjudicative process.

CONTACT PERSON FOR MORE INFORMATION:Earl R. Ohman, Jr., General Counsel,(202) 606–5410.Earl R. Ohman, Jr.,General Counsel.[FR Doc. 96–15749 Filed 6–17–96; 8:45 am]BILLING CODE 7600–01–M

RAILROAD RETIREMENT BOARD


Notice is hereby given that theRailroad Retirement Board will hold ameeting on June 26, 1996, 9:00 a.m., atthe Board’s meeting room on the 8thfloor of its headquarters building, 844North Rush Street, Chicago, Illinois,60611.

The agenda for this meeting follows:

Portion Open to the Public

(1) Annual Actuarial Report (Sec. 22 of theRailroad Retirement Act of 1974 and Sec.502 of the Railroad Retirement SolvencyAct of 1983)

(2) Fiscal Year 1996 Budget Allocations(3) Proposed Reorganization—Bureau of

Information Systems(4) Letters to Congress on H.R. 2942 and S.

1552(5) Draft Legislation Proposed on April 4,

1996—Draft Legislation to Enhance DebtCollection Efforts

(6) Medicare Part B Services (Contract No.92RRB006)

(7) Regulations, Claims Manuals, Rulings,and Procedures

(8) Status of Intermodal Services Under theRailroad Retirement and RailroadUnemployment Insurance Acts

(9) Regulations—Part 230 (Reduction andNon-Payment of Annuities by Reason ofWork)

(10) Employee Service Determinations:A. Maryland Midland Railway, Inc.—James

W. Schaeffer, Jr.B. Joyce Goss

(11) Labor Member Truth in Budgeting StatusReport

Portion Closed to the Public

(A) Request for Change in Position Index(Bureau of Hearings and Appeals)

(B) Pending Board Appeals:(1) Anderson, Raymond(2) Garcia, Fedelina(3) Herbert, Harold(4) Howard, Alvira M.(5) McLeod, Jasper N.(6) Trybala, Therese A.

The person to contact for moreinformation is Beatrice Ezerski,Secretary to the Board, Phone No. 312–751–4920.

Dated: June 14, 1996.Beatrice Ezerski,Secretary to the Board.[FR Doc. 96–15720 Filed 6–17–96; 11:09 am]BILLING CODE 7905–01–M

SECURITIES AND EXCHANGECOMMISSION

Proposed Collection; CommentRequest

Upon Written Request, Copies AvailableFrom: Securities and ExchangeCommission, Office of Filings andInformation Services, Washington, DC20549

Extension:Rule 15c2–5SEC File No. 270–195OMB Control No. 3235–0198Notice is hereby given that pursuant

to the Paperwork Reduction Act of 1995(44 U.S.C. 3501 et seq.), the Securitiesand Exchange Commission(‘‘Commission’’) is publishing thefollowing summary of collection forpublic comment.

Rule 15c2–5 prohibits a broker-dealerfrom arranging a loan for a customer towhom a security is sold unless, beforethe transaction is entered into, thebroker-dealer first: (1) delivers to thecustomer a written statement settingforth certain information about thespecific arrangement being offered tohim; (2) obtains from the customersufficient information concerning his orher financial situation and needs so asto determine that the entire transactionis suitable for the customer; and (3)retains in his or her files a writtenstatement setting forth the basis uponwhich the broker-dealer made suchdetermination. The informationrequired by the rule is necessary for theexecution of the Commission’s mandateunder the Securities Exchange Act of1934 (‘‘Exchange Act’’) to preventfraudulent, manipulative, and deceptiveacts and practices by broker-dealers.There are approximately 50 respondentsthat require an aggregate total of 600hours to comply with the rule. Each ofthese approximately 50 registeredbroker-dealers makes an estimated 6annual responses, for an aggregate totalof 300 responses per year. Eachresponse takes approximately 2 hours tocomplete. Thus, the total complianceburden per year is 600 burden hours.The approximate cost per hour is $20,resulting in a total cost of compliancefor the respondents of $12,000 (600hours @ $20).

Written comments are invited on: (a)whether the proposed collection of


information is necessary for the properperformance of the functions of theagency, including whether theinformation shall have practical utility;(b) the accuracy of the agency’s estimateof the burden of the proposed collectionof information; (c) ways to enhance thequality, utility, and clarity of theinformation to be collected; and (d)ways to minimize the burden of thecollection of information onrespondents, including through the useof automated collection techniques orother forms of information technology.Consideration will be given tocomments and suggestions submitted inwriting within 60 days of thispublication.

Direct your written comments toMichael E. Bartell, Associate ExecutiveDirector, Office of InformationTechnology, Securities and ExchangeCommission, 450 5th Street, N.W.Washington, DC 20549.

Dated: June 11, 1996.Margaret H. McFarland,Deputy Secretary.[FR Doc. 96–15450 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M


Upon Written Request, Copies AvailableFrom: Securities and ExchangeCommission, Office of Filings andInformation Services, Washington, DC20549

Extension:Rule 17a–11SEC File No. 270–94OMB Control No. 3235–0085Notice is hereby given that pursuant

to the Paperwork Reduction Act of 1995(44 U.S.C. 3501 et seq.), the Securitiesand Exchange Commission(‘‘Commission’’) has submitted to theOffice of Management and Budgetrequests for approval of extension onthe following rule:

Rule 17a–11 requires broker-dealers togive notice when certain specifiedevents occur. Specifically, the rulerequires broker-dealers to send noticepromptly (but within 24 hours) after thebroker-dealer’s aggregate indebtednessis in excess of 1,200 percent of its netcapital, its net capital is less than 5percent of aggregate debt items or itstotal net capital is less than 120 percentof the broker-dealer’s requiredminimum net capital. In addition,broker-dealers are required to givenotice if they fail to make and keepcurrent books and records required byRule 17a–3 or if they discover anymaterial inadequacy as defined in Rule17a–5(g).

The notice required by the rule alertsthe Commission and self-regulatoryorganizations (‘‘SROs’’), which haveoversight responsibility over broker-dealers, to those firms having financialor operational problems.

Because broker-dealers are required tofile pursuant to Rule 17a–11 only whencertain specified events occur, it isdifficult to develop a meaningful figurefor the cost of compliance with Rule17a–11. It is anticipated thatapproximately 650 broker-dealers willspend 1 hour per year complying withRule 17a–11. The total cost is estimatedto be approximately 650 hours. Withrespect to those broker-dealers that mustgive notice under Rule 17a–11, the costis approximately $10 per response for atotal annual expense for all broker-dealers of $6,500.

General comments regarding theestimated burden hours should bedirected to the Desk Officer for theSecurities and Exchange Commission atthe address below. Any commentsconcerning the accuracy of theestimated average burden hours forcompliance with Commission rules andforms should be directed to Michael E.Bartell, Associate Executive Director,Office of Information Technology,Securities and Exchange Commission,450 Fifth Street, N.W., Washington, D.C.20549 and Desk Officer for theSecurities and Exchange Commission,Office of Information and RegulatoryAffairs, Office of Management andBudget, Room 3208, New ExecutiveOffice Building, Washington, D.C.20503.

Dated: June 11, 1996.Margaret H. McFarland,Deputy Secretary.[FR Doc. 96–15574 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M

[Rel. No. IC–22014; No. 812–9968]

Fortis Benefits Insurance Company, etal.; Notice of Application for an OrderPursuant to the Investment CompanyAct of 1940

June 13, 1996.AGENCY: Securities and ExchangeCommission (‘‘Commission’’).ACTION: Notice of application for anorder pursuant to the InvestmentCompany Act of 1940 (the ‘‘1940 Act’’).

APPLICANTS: Fortis Benefits InsuranceCompany (‘‘Fortis Benefits’’), VariableAccount C of Fortis Benefits InsuranceCompany (‘‘Fortis Benefits Account’’)and Fortis Investors, Inc. (‘‘Investors’’).RELEVANT 1940 ACT SECTIONS: Orderrequested pursuant to Section 6(c) of the

1940 Act granting exemptions from theprovisions of Sections 2(a)(32), 22(c),27(a)(3), 27(c)(1) and 27(d) thereof, andRules 22c–1, 6e–3(T)(b)(12), 6e–3(T)(b)(13) and 6e–3(T)(d)(1)(ii)thereunder.SUMMARY OF APPLICATION: Applicantsseek exemptive relief to the extentnecessary to permit them to issueflexible premium surviorship variablelife insurance policies (‘‘Policies’’) thatenable Fortis Benefits to: (1) credit thePolicy owner’s account with ‘‘premiumbased bonuses’’ and ‘‘Policy valuebonuses’’; (2) include in the surrendercharge of the Policies any premium taxcharge not previously recovered; and (3)deduct sales charges in a manner thatmay result in such deductions taken inone period being considered to behigher than those taken in a priorperiod.FILING DATE: The application was filedon January 30, 1996, and amended onJune 11, 1996.HEARING OR NOTIFICATION OF HEARING: Anorder granting the application will beissued unless the Commission orders ahearing. Interested persons may requesta hearing by writing to the Secretary ofthe Commission and serving Applicantswith a copy of the request, personally orby mail. Hearing requests must bereceived by the Commission by 5:30p.m. on July 8, 1996, and must beaccompanied by proof of service onApplicants in the form of an affidavit or,for lawyers, a certificate of service.Hearing requests should state the natureof the writer’s interest, the reason for therequest, and the issues contested.Persons may request notification of ahearing by writing to the Secretary ofthe Commission.ADDRESSES: Secretary, Securities andExchange Commission, 450 5th Street,N.W., Washington, D.C. 20549.Applicants, c/o Douglas R. Lowe, Esq.,Fortis Benefits Insurance Company, 500Bielenberg Drive, Woodbury, Minnesota55125.FOR FURTHER INFORMATION CONTACT:Kevin M. Kirchoff, Senior Counsel, orPatrice M. Pitts, Special Counsel, Officeof Insurance Products (Division ofInvestment Management), at (202) 942–0670.SUPPLEMENTARY INFORMATION: Followingis a summary of the application; thecomplete application is available for afee from the Public Reference Branch ofthe Commission.

Applicants’ Representations1. Fortis Benefits, a Minnesota

corporation, is qualified to sell lifeinsurance in the District of Columbiaand in all states except New York. It is


an indirect, wholly-owned subsidiary ofFortis, Inc., which is itself indirectlyowned by N.V. AMEV (50 percent) andby Compaignie Financiere et deReassurance de Group AG (50 percent).

2. Fortis Benefits established theFortis Benefits Account under the lawsof the State of Minneota as a segregatedinvestment account for the purpose offunding variable life insurance policies,including the Policies. The FortisBenefits Account is registered as a unitinvestment trust under the 1940 Act,and currently consists of twelvesubaccounts (‘‘Subaccounts’’), each ofwhich invests exclusively in shares of acorresponding portfolio of Fortis SeriesFund, Inc., a registered managementinvestment company.

3. Investors, an indirect wholly-owned subsidiary of Fortis, Inc., is theprincipal underwriter for the Policies.Investors is registered as a broker-dealerunder the Securities Exchange Act of1934, and is a member of the NationalAssociation of Securities Dealers, Inc.

4. The Policies are last survivorflexible premium variable life insurancepolicies. Under the Policy a deathbenefit is payable upon the death of thesecond to die of two insured personsnamed in the application for the Policy.The Policy permits the Policy owner toselect between, and change from time totime, two death benefit options. Underone of these options (‘‘Option B’’), butnot the other, the amount at workearning a return for the Policy owner(the ‘‘Policy value’’) is added to thePolicy’s ‘‘face amount’’ of insurancecoverage for purposes of computing thedeath benefit. The Policy owner alsomay change the face amount from timeto time, subject to certain restrictions.

5. The Policy owner may allocate thePolicy value to one or more of theSubaccounts and/or to the generalaccount of Fortis Benefits.

6. The Policy may be fullysurrendered at any time for its‘‘surrender value,’’ and, generally afterthe first Policy year, the Policy ownermay make a partial withdrawal ofsurrender value once a year. The Policyowner also may take out Policy loans

and has considerable flexibility to varythe frequency and amount of premiumpayments.

7. The Policy generally is guaranteednot to lapse until 10 years, 20 years, orthe Policy anniversary following theyounger insured’s age 85 (subject tocertain limitations if the youngerinsured is age 65 or more at issue or ifeither insured is in a substandardmortality risk class), if certain minimumpremium payments are made.

8. Unless prohibited by applicablestate insurance law, Fortis Benefitsintends to pay a premium based bonuson the last day of the 7th and eachsubsequent Policy year. The amount ofthe bonus is a percentage of the lesserof (a) or (b) (below), the result dividedby the number of years that the Policyhas been in force, where, as of the dateof the credit:

(a) is the sum of all premiums paidunder the Policy less any withdrawalsand loans taken out by the Policyowner; and

(b) is the sum of all ‘‘Maximum BonusPremiums’’ to date.For this purpose, a Maximum BonusPremium generally is the hypotheticalestimated monthly premium paymentthat would keep the Policy in force tothe younger insured’s age 85, withoutregard to substandard risks or riders. Aface amount increase or decreaserequested by the Policy owner willcause an increase or decrease,respectively, in the size of futureMaximum Bonus Premiums.

9. The applicable percentage dependson the age of the younger insured atissue and the number of years the Policyhas been in force. The currentpercentages and durations are asfollows:

Age of younger in-sured at issue

End of policy year

0–6 7 8 9+

Percentages18–50 ......................... 0 2 4 451–60 ......................... 0 2 4 761–70 ......................... 0 5 7 1071–85 ......................... 0 5 5 5

Premium based bonuses at theforegoing rates are not guaranteed, andFortis Benefits reserves the right toreduce them, subject to guaranteedminimum rates. The guaranteed ratesare as follows, and are guaranteed onlyto the extent allowed by state insurancelaw:

Age of younger in-sured at issue

End of policy year

0–6 7 8 9+

Percentages18–50 ......................... 0 2 4 451–60 ......................... 0 2 4 761–70 ......................... 0 2 4 771–85 ......................... 0 2 4 5

No further premium based bonusesare credited to a Policy subsequent tothe time that the younger insuredreaches age 100.

10. All premium based bonuses willbe allocated among the general accountand the Subaccounts on a pro rata basis:i.e., in proportion to the amount ofPolicy value in each, exclusive ofamounts transferred to the generalaccount as a result of Policy loans. Thisis referred to hereinafter as the‘‘unloaded policy value.’’ Followingsuch allocation, these amounts will becredited with investment performance,and otherwise will be treated the sameas any other amounts of Policy value.

11. Unless prohibited in a state byapplicable insurance law, each Policywill be credited with an increase inPolicy value in the form of a ‘‘Policyvalue bonus’’ paid by Fortis Benefits oneach monthly Policy anniversary. ThePolicy value bonus is computed as apercentage of the unloaned policy valueafter the ‘‘Monthly Deduction,’’described below. The percentagedepends on the face amount ‘‘band,’’ thedeath benefit option in effect, theamount of surrender value, and thelength of time the Policy has been inforce as of the date of the bonus. Thepercentages, expressed as annual rates,are as follows:

ANNUAL RATE OF POLICY VALUE BONUSES AS A PERCENT OF UNLOANED POLICY VALUE 1

Surrender value on date of monthly bonus

Band 1 & 2 Band 3 Band 4

Policyyears 1–19

Years 20and later

Policyyears 1–19

Years 20and later

Policyyears 1–19

Years 20and later

$0–$9,999 ..................................................................................... .00 .35 .00 .35 .00 .35$10,000–$49,000 .......................................................................... .00 .35 .05 .40 .05 .40$50,000–$99,000 .......................................................................... .05 .40 .10 .45 .10 .45$100,000 or more ......................................................................... .10 .45 .15 .50 .20 .55

1 If the Option B death benefit is in effect under the Policy, .30 percent of the applicable unloaned Policy value is added to the otherwise appli-cable bonus, regardless of the band or Policy year of the Policy, provided that the surrender value on the date of the bonus is at least $10,000.


12. There are four face amount bandsfor the Policies. Policies with aminimum face amount of $5,000,000 areband 4 Policies; Policies with aminimum face amount of $1,000,000 butless than $5,000,000 are band 3 Policies;Policies with a minimum face amount of$500,000 but less than $1,000,000 areband 2 Policies and Policies with aminimum face amount of less than$500,000 are band 1 Policies. Forpurposes of calculating the Policy valuebonus percentage, the average faceamount of the Policy from issuance tothe point of the bonus payment will beused to determine the Policy band.Policy value bonuses at the foregoingrates are guaranteed, to the extent suchguarantees are allowed by the state inwhich the Policy is issued, except thatafter the 19th Policy year, FortisBenefits reserves the right, in its solediscretion, to reduce the otherwiseapplicable bonus by an amount equal toup to .35 percent of the unloaned policyvalue. All Policy value bonuses will beallocated among the general accountand the subaccounts on a pro-rata basis.These amounts will be credited withinvestment performance and otherwisewill be treated the same as any otheramounts of Policy value.

13. Fortis Benefits has designedpremium based bonuses and Policyvalue bonuses and their method ofoperation so as to address certain stateregulatory concerns. All salesillustrations used by Fortis Benefitsspecifically will disclose the rates of anypremium based bonuses and Policyvalue advances that are assumed by anyillustrations.

14. A premium tax charge in theamount of 2.2 percent of all premiumpayments is assessed through monthlyand daily deductions from Policy valueunder the Policy. Any portion of suchamount that is not recovered by FortisBenefits pursuant to the monthly anddaily deductions may be deducted aspart of the surrender charge.

15. A sales charge in the amount of 9percent of all premium payments is alsoassessed through the monthly and dailydeductions from Policy value under thePolicy. Any amount of this sales chargethat is not recovered by Fortis Benefitsthrough these monthly and dailydeductions may be deducted as acontingent deferred sales charge thatwould be assessed as part of thesurrender charge.

16. The monthly deduction under thePolicy for premium tax and salescharges totals $4.00 per month(deducted as part of the ‘‘MonthlyDeduction’’ referred to below), and thedaily deduction for these purposes is atan aggregate annual rate of .35 percent

of the value of the Policy’s net assets inthe Fortis Benefits Account. Thesedeductions will be waived to the extentthat the cumulative amount of all suchdeductions, plus any premium tax orsales charges that may in the future bededucted from premiums would exceed11.2 percent (9 percent for sales chargesand 2.2 percent for premium taxcharges) of all premium payments madeto date. This maximum may be slightlyless in any state that limits premium taxcharges to less than 2.2 percent.

17. Fortis Benefits reserves the right toincrease the premium tax charge to notmore than 3 percent, in which the casethe 11.2 percent maximum for themonthly and daily deductions would beincreased by a corresponding amountup to a maximum of 12 percent. FortisBenefits also reserves the right to deducta premium tax charge or a sales chargedirectly from premium payments. Themaximum amount of such deductionsfrom premium payments will be 7.5percent (a maximum of 2.5 percent forpremium tax charges and 5 percent forsales charges), in which case the 11.2percent maximum referred to above formonthly and daily deductions would bedecreased by at least a correspondingamount.

18. A monthly charge for Policyissuance expenses at the rate set outbelow is imposed and deducted as partof the Monthly Deduction for the firstten Policy years following issuance ofthe Policy.

Face amount

Monthly rateper $1,000 of

face amount atissue (or face

amount in-crease)

Band 1 ................................ 0.10Band 2 ................................ 0.08Band 3 ................................ 0.05Band 4 ................................ 0.03

This charge will also be imposed forthe first ten Policy years following a faceamount increase. Any uncollectedcharges are deducted, if at all, only aspart of the surrender charge, discussedbelow. Applicants represent that thischarge will not exceed the amountpermitted by Rule 6e–3(T)(b)(13)(iii)(A).

19. A surrender charge may beassessed on lapse or full surrender of aPolicy before the tenth Policyanniversary (or the tenth anniversary ofa face amount increase requested by thePolicy owner). The surrender chargeequals any portion of the Policyissuance expense charge, premium taxcharge and the sales charge that has notyet been collected through the monthlyand daily deductions therefor (or, in the

case of premium tax or sales charges,deducted from premiums, as describedabove). No surrender charge is deductedupon a partial withdrawal of Policyvalue or a face amount decrease.

20. The entire surrender charge issubject to an overall upper limit or‘‘cap’’ as set forth in the table below.

Adjusted age at time of pol-icy issuance or face amount

increase

Overall ‘‘cap’’on surrendercharge (per

thousand dol-lars of face

amount or faceamount in-

crease)

18–24 years ........................ 1.9025–29 .................................. 3.3030–34 .................................. 4.5035–39 .................................. 6.0040–44 .................................. 8.2545–49 .................................. 10.7550–54 .................................. 14.2555–59 .................................. 19.0060–64 .................................. 25.2065–69 .................................. 33.6070–85 .................................. 41.00

The ‘‘Adjusted Age’’ referred to in theforegoing table is the age of the youngerinsured plus 1⁄3 of the lesser of (a) thedifference in age between the youngerand older insured or (b) 20. If bothinsureds are over age 80, the maximumsurrender charge is $33 per thousand.The overall cap (and each amount ofincrease therein) decreases at a constantrate on the first and each subsequentPolicy anniversary (or anniversary of aface amount increase, as the case maybe) until it is zero for surrenders andlapses as of the tenth Policy anniversary(or increase anniversary). There will beno surrender charge on surrenders orlapses as of the later of the tenth Policyanniversary or the tenth anniversary ofany face amount increase.

21. The Monthly Deduction fromPolicy value includes: (a) the above-described monthly premium tax, salescharges and Policy issue expensedeductions; (b) cost of insurance charge;(c) a charge for any optional insurancebenefits added by rider; and (d) amonthly administrative expense chargeof $6.00 per Policy. Fortis Benefitsreserves the right to raise the monthlyadministrative expense charge to notmore than $7.50 per month, and toimpose an additional monthlyadministrative expense charge of up to$.13 per thousand dollars of faceamount then in force. Applicantsrepresent that the administrativecharges under the Policies will notexceed the amount permitted by Rule6e–3(T)(b)(13)(iii)(A). After the tenthPolicy year, the Monthly Deductionunder a Policy as to which the no-lapse


guarantee is still in effect will alsoinclude a charge for that guarantee.

22. A daily charge at an annual rateof 1.00 percent of the average dailyvalue of the net assets in the FortisBenefits Account that are attributable tothe Policy is made for mortality andexpense risks assumed by FortisBenefits.

23. Fortis Benefits reserves the right todeduct: (a) charges to defray itsadministrative expenses in effectingtransfers of Policy value or partialwithdrawals; and (b) charges for anyfederal income taxes that it may incur.

Applicants’ Request for Relief andLegal Analysis

1. Section 6(c) of the 1940 Act, inpertinent part, provides that theCommission may, by order uponapplication, conditionally orunconditionally exempt any person,security or transaction, or any classesthereof from any provisions of the 1940Act or rules thereunder, if and to theextent that such exemption is necessaryor appropriate in the public interest andconsistent with the protection ofinvestors and the purposes fairlyintended by the policy and provisions ofthe 1940 Act.

Exemptive Relief To Permit Deductionof Remaining Premium Taxes inSurrender Charge

2. Applicants request exemptionsfrom Sections 2(a)(32), 22(c), 27(c)(1)and 27(d) of the 1940 Act and Rules 6e–3(T)(b)(12), 6e–3(T)(b)(13) and 22c–1thereunder to the extent necessary topermit the amount of any premium taxcharges that have not been previouslycollected by means of a deduction fromPolicy value to be included in thesurrender charge.

3. Sections 2(a)(32), 27(c)(1) and 27(d)of the 1940 Act prohibit Applicantsfrom selling interests under a Policyunless they are redeemable securities,entitling a Policy owner, uponsurrender, to receive approximately hisor her proportionate share of the FortisBenefits Account’s current net assets.Section 27(c)(1) provides that no issuerof a periodic payment plan certificateshall sell such certificate unless thecertificate is a ‘‘redeemable security.’’Section 2(a)(32) defines a ‘‘redeemablesecurity’’ as any security which entitlesthe holder, upon its presentation to theissuer, to receive approximately aproportionate share of the issuer’scurrent net asset value, or the cashequivalent thereof. Section 27(d)requires that the holder of a periodicpayment plan certificate be able tosurrender the certificate under certain

circumstances and recover certainamounts of sales charges.

4. Rule 22c–1 prohibits Applicantsfrom redeeming interests under a Policyexcept at a price based on the currentnet asset value that is next computedafter receipt of the request for full orpartial redemption of interests under thePolicy.

5. Rule 6e–3(T)(b)(13) provides anexemption from Section 27(d), and likeRule 6e–3(T)(b)(12) providesexemptions from Sections 22(c) and27(c)(1) and Rule 22c–1 to the extentnecessary for the payment of a flexiblecontract’s cash value to be regarded assatisfying the requirements of thoseprovisions, if specified conditions aresatisfied. Applicants represent that thePolicy satisfies all of such conditions.

6. Applicants assert that contingentdeferred sales charges for premiumtaxes were not contemplated at the timethe 1940 Act was enacted and are notspecifically contemplated by any of therule provisions referenced in thepreceding paragraph. Accordingly,Sections 2(a)(32), 22(c), 27(c)(1) and27(d) and Rules 22c–1, 6e–3(T)(b)(12)and 6e–3(T)(b)(13) may be deemed to beinconsistent with the deduction of acontingent deferred charge for premiumtaxes from the cash proceeds that are, ineffect, required by those provisions to bepaid to Policy owners under variouscircumstances.

7. Applicants assert that the methodadopted under the Policy for deductingall or part of the charges for premiumtaxes on a basis other than frompremium payments is more favorable toinvestors because more Policy value isavailable to earn a return for theinvestor. Applicants represent that:

(a) no premium tax charge will bedesigned to yield a profit;

(b) the total amount charged forpremium taxes, including any amountof premium tax charge that FortisBenefits may in the future decide todeduct from premium payments, will beno greater than if all such charges weretaken from premiums when paid; and

(c) the premium tax charges will nottake into account the ‘‘time value’’ ofmoney, which would increase thecharge to factor in the investment costto Fortis Benefits of deferring collectionof the charge.

Exemptive Relief From ‘‘Stair Step’’Requirements

8. Applicants also request anexemption from the ‘‘stair step’’requirements of Section 27(a)(3) of the1940 Act and Rules 6e–3(T)(b)(13)(ii)and 6e–3(T)(d)(1)(ii) thereunder.

9. Section 27(a)(3) prohibits the saleof the Policy if the sales load deducted

from any one of the first twelve monthlypayments thereon ‘‘exceedsproportionately the amount deductedfrom any other such payment, or theamount deducted from any subsequentpayment exceeds proportionately theamount deducted from any othersubsequent payment.’’

10. Rule 6e–3(T)(b)(13)(ii) provides anexemption from Section 27(a)(3),‘‘provided that the proportionateamount of sales load deducted from anypayment shall not exceed theproportionate amount deducted fromany prior payment.’’ Rule 6e–3(T)(d)(1)(ii)(A) provides, in pertinentpart, that, with respect to sales chargesdeducted other than from premiums(excluding asset-based sales charges),Rule 6e–3(T)(b)(13)(ii) is deemedsatisfied if ‘‘the amount of sales loaddeducted pursuant to any method * * *does not exceed the proportionateamount of sales load deducted priorthereto pursuant to the same method.’’Rule 6e–3(T)(d)(1)(ii)(B) providescomparable relief for asset-based salescharges, provided that ‘‘the percentageof assets taken as sales load does notexceed any of the percentagespreviously taken pursuant to the samemethod.’’

11. Applicants request an exemptionfrom these ‘‘stair step’’ requirementsbecause of the following three aspects ofthe Policies. First, part of the $4.00monthly charge deducted pursuant toeach Policy is a sales charge. While thischarge will not change from month-to-month, it will vary from month-to-month as a percentage of premiums paidand as a percentage of the Policy value.Applicants assert that assessing part ofthe sales charge as a flat monthlydeduction rather than deducting it frompremium payments is beneficial toPolicy owners because: (a) a greateramount is available to earn aninvestment return; (b) deductions willbe more predictable than deducting theentire sales charge through a dailypercentage charge; and (c) Policyowners will have an enhanced ability toplan based on expected amounts of salescharge deductions.

12. Second, the monthly and/or dailysales charge deductions may cease forcertain periods of time andsubsequently be resumed. These chargesare suspended when the maximumamount of such charges, as a percentageof premium payments, has beenreached. Such charges also will cease ifadditional deductions would cause salescharges to exceed permitted maximums,as a percentage of premiums actuallypaid. This creates a question regardingcompliance with the requirements inRule 6e–3(T)(d)(1)(ii) (A) and (B) that


the proportionate or percentage amountof sales charges deducted not exceed theproportionate or percentage amountpreviously deducted pursuant to thesame method.

13. Applicants assert that, if Section27(a)(3) and the related provisions ofRule 6e–3(T) were interpreted toprevent the resumption of sales chargedeductions from contract assets once thededuction of such charges has ceasedfor any reason, the utility of policydesigns that deduct sales charges fromcontract assets would be greatlyreduced. Applicants submit thatdeducting part of the sales charges fromPolicy value, rather than from premiumpayments, is advantageous to Policyowners because more assets are put towork as Policy value with the potentialof earning a return for the Policyowner’s benefit.

14. Third, Rule 6e–3(T)(c)(4) defines‘‘sales load’’ for any contract period asthe excess of premium payments overchanges in ‘‘cash value’’ (other thanfrom investment performance) andcertain enumerated charges. Applicantssubmit that because premium basedbonuses and Policy value bonuses affectthe Policy’s cash value in the contractperiod during which they are credited,such bonuses could be deemed to resultin sales charges that vary from onecontract period to the next, relative tothe amount of premium payments paidin such periods. The stair stepprovisions could apply to the extent thatthe sales load, as a percentage ofpremium payments made in a contractperiod, were thereby deemed to be morethan that in a prior contract period.Applicants submit that the Policy’scharge structure complies with the spiritand apparent purposes of Rule 6e–3(T)(b)(13)(ii) and 6e–3(T)(d)(1)(ii).

15. The stair step issues under thePolicies result from the imposition ofdeferred sales charges in the form ofmonthly and/or daily deductions and,in the case of Policies that aresurrendered or lapse before a certaintime, the surrender charge. The stairstep issues under the Policies do notresult from early deduction of front-endcharges. Although sales charges will bededucted through several different typesof deductions, the rate of these chargeswill not increase.

ConclusionFor the reasons summarized above,

Applicants represent that theexemptions requested are necessary andappropriate in the public interest andconsistent with the protection ofinvestors and the purposes fairlyintended by the policy and provisions ofthe 1940 Act.

For the Commission, by the Division ofInvestment Management, pursuant todelegated authority.Margaret H. McFarland,Deputy Secretary.[FR Doc. 96–15509 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M

Issuer Delisting; Notice of Applicationto Withdraw From Listing andRegistration (Medicore, Inc., CommonStock, $.01 Par Value); File No. 1–9167

June 12, 1996.Medicore, Inc. (‘‘Company’’) has filed

an application with the Securities andExchange Commission (‘‘Commission’’),pursuant to Section 12(d) of theSecurities Exchange Act of 1934 (‘‘Act’’)and Rule 12d2–2(d) promulgatedthereunder, to withdraw the abovespecified security (‘‘Security’’) fromlisting and registration on the AmericanStock Exchange, Inc. (‘‘Amex’’).

The reasons alleged in the applicationfor withdrawing the Security fromlisting and registration include thefollowing:

According to the Company, its Boardof Directors unanimously approvedresolutions on May 6, 1996 to withdrawthe Security from listing on the Amexand instead, to list the Security on theNational Association of SecuritiesDealers Automated Quotations NationalMarket System (‘‘Nasdaq/NMS’’).

The decision of the Board followed athorough study of the matter and wasbased upon the belief that listing theSecurity on the Nasdaq/NMS will bemore beneficial to the Company’sstockholders than the present listing onthe Amex because:

The Board of Directors hasdetermined as per the resolutions datedMay 6, 1996 of which this withdrawalstatement is a part, to withdraw itssecurity from listing on the Amex toprovide its Security with what theBoard believes to be a broader base oftrading and greater liquidity, all to thebenefit of its shareholders and investors.

The Company has had good relationswith the Amex and its staff, but believesin its evaluation of its trading marketover the years and discussions withother investment banking firms, that itis in the best interest of the Companyand its shareholders to withdraw itslisting of its Security from the Amexand list the Security on the NasdaqNational Market. It is the opinion of theBoard that the Company will beprovided with greater visibility and thatits Security with a broader base oftrading and more liquidity forshareholders and investors in the

decentralized market place of theNasdaq National Market.

Over the years, the Company has helddiscussions with the staff of the Amexand the specialist dealing with theCompany’s Security as to the depth oftrading, volume, block transactions andpricing, resulting in ultimately a newspecialist being appointed for tradingthe Company’s Security. The Board,after full evaluation, has determinedthat the Nasdaq National Market, amajor trading market with verysignificant national and internationalcorporations having listed theirsecurities for trading on the NasdaqNational Market, will provide a moreliquid, efficient and broader market forthe Company’s securities. Further, theBoard, based on discussions with otherbroker/dealers over the years, is of theopinion that the Company will havemore broker-dealers involved with itand its securities, with greater exposurein the financial community and suchwill, to the extent necessary, facilitatefurther capital formation. All of theabove factors will certainly be beneficialto the Company’s shareholders andinvestors.

Any interested person may, on orbefore July 3, 1996 submit by letter tothe Secretary of the Securities andExchange Commission, 450 Fifth StreetNW., Washington, DC 20549, factsbearing upon whether the applicationhas been made in accordance with therules of the exchanges and what terms,if any, should be imposed by theCommission for the protection ofinvestors. The Commission, based onthe information submitted to it, willissue an order granting the applicationafter the date mentioned above, unlessthe Commission determines to order ahearing on the matter.

For the Commission, by the Division ofMarket Regulation, pursuant to delegatedauthority.Jonathan G. Katz,Secretary.[FR Doc. 96–15449 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M

[Investment Company Act Rel. No. 22016;812–10058]

Sirrom Capital Corporation; Notice ofApplication

June 13, 1996.AGENCY: Securities and ExchangeCommission (‘‘SEC’’).ACTION: Notice of Application under theInvestment Company Act of 1940 (the‘‘Act’’).


APPLICANT: Sirrom Capital Corporation(‘‘Sirrom Capital’’).RELEVANT ACT SECTIONS: Applicantrequests an order under: Section 6(c) ofthe Act for an exemption from sections12(d)(1), 18(a), 19(b), 60, and 61(a);sections 6(c) and 17(b) of the Act for anexemption from section 17(a); section57(c) of the Act for an exemption fromsections 57(a) (1), (2), and (3); andsections 17(d) and 57(a)(4) and rule17d–1 under the Act to permit SirromCapital and Sirrom Investments, Inc.(‘‘Sirrom Investments’’) to effect certainjoint transactions.SUMMARY OF APPLICATION: Applicantrequests an order to permit SirromCapital to establish and operate awholly-owned subsidiary, SirromInvestments, under the terms of aproposed reorganization in whichSirrom Capital will transfer all of itsassets, its small business investmentcompany (‘‘SBIC’’) license, andliabilities, to Sirrom Investments inexchange for all of the common stock ofSirrom Investments.FILING DATES: The application was filedon March 2, 1996 and amended on June4, 1996.HEARING OR NOTIFICATION OF HEARING: Anorder granting the application will beissued unless the SEC orders a hearing.Interested persons may request ahearing by writing to the SEC’sSecretary and serving applicant with acopy of the request, personally or bymail. Hearing requests should bereceived by the SEC by 5:30 p.m. on July8, 1996, and should be accompanied byproof of service on applicant, in theform of an affidavit or, for lawyers, acertificate of service. Hearing requestsshould state the nature of the writer’sinterest, the reason for the request, andthe issues contested. Persons who wishto be notified of the date of a hearingmay request notification by writing tothe SEC’s Secretary.ADDRESSES: Secretary, SEC, 450 FifthStreet, NW., Washington, DC 20549.Applicant, Sirrom Capital Corporation,500 Church Street, Suite 200, Nashville,Tennessee 37219.FOR FURTHER INFORMATION CONTACT:Marianne H. Khawly, Staff Attorney, at(202) 942–0562, or Alison E. Baur,Branch Chief, at (202) 942–0564(Division of Investment Management,Office of Investment CompanyRegulation).SUPPLEMENTARY INFORMATION: Thefollowing is a summary of theapplication. The complete applicationmay be obtained for a fee at the SEC’sPublic Reference Branch.

Applicant’s Representations1. Sirrom Capital is a closed-end

management investment company thathas elected to be regulated as a businessdevelopment company (‘‘BDC’’) underthe Act. Sirrom Capital also is licensedby the Small Business Administration(‘‘SBA’’) as an SBIC under the SmallBusiness Investment Act of 1958 (the‘‘1958 Act’’). Sirrom Capital’sinvestment objective is long-term capitalappreciation through venture capitalinvestments in small privately-ownedcompanies (‘‘Portfolio Companies’’).Sirrom Capital has filed a registrationstatement on Form N–2 pursuant towhich it will sell up to 2.3 millionshares of common stock (the ‘‘PublicOffering’’). The net proceeds of thePublic Offering will be used tocapitalize Sirrom Capital following theconsummation of the proposed plan ofreorganization (the ‘‘Plan’’).

2. Under the Plan, Sirrom Capitalintends to transfer all of its assets(except the net proceeds of the PublicOffering), its SBIC license, and itsliabilities to a newly-formed andwholly-owned subsidiary, SirromInvestments. In exchange, SirromInvestments will issue to Sirrom Capitalall of its outstanding capital stock. Afterthe transfer of assets and liabilities,Sirrom Investments will register underthe Act as an SBIC and will conduct theSBIC activities previously conducted bySirrom Capital. Sirrom Investmentswould operate as a registered closed-endinvestment company and an SBIC.Sirrom Capital will continue to operateas a BDC. Applicants chose a two-tierstructure so that Sirrom Capital couldengage in venture capital transactionsand other investment opportunities inwhich SBICs cannot participate. Inaddition, Sirrom Investments will havethe same fundamental investmentpolicies as Sirrom Capital.

3. Sirrom Capital may makeadditional investments in SirromInvestments either as contributions tocapital, purchases of additional stock, orloans. Sirrom Investments will notpurchase or otherwise acquire any of thecapital stock of Sirrom Capital. SirromInvestments will pay dividends andmake other distributions to SirromCapital with respect to its investmentsin Sirrom Investments’ stock, includingcapital gains dividends subject in eachcase to the requirements of the 1958 Actand regulations thereunder. SirromCapital intends to cause SirromInvestments to qualify and elect to betaxed as a regulated investmentcompany. Accordingly, SirromInvestments will be required to pay outas dividends to Sirrom Capital

substantially all of its so-called‘‘investment company taxable income’’as defined in section 852 of the InternalRevenue Code (the ‘‘Code’’). Similarly,Sirrom Capital intends to continue toqualify and elect to be taxed as aregulated investment company asdefined by the Code.

4. Sirrom Investments may makeloans or other advances to SirromCapital other than on account ofpurchases of Sirrom Investment’s stock.Sirrom Capital and Sirrom Investmentsalso might invest in securities of thesame issuer, simultaneously orsequentially, in the same or differentsecurities of such issuer, and deal withsuch investments separately or jointly.Sirrom Capital or Sirrom Investmentsalso might purchase all or a portion ofportfolio investments held by the otherin order to enhance the liquidity of theselling company.

5. Sirrom Capital and SirromInvestments propose to issue and sell tobanks, insurance companies, and otherfinancial institutions their secured orunsecured promissory notes, or otherevidences of indebtedness inconsideration of any loan, or anyextension or renewal thereof made byprivate arrangement. Sirrom Capital alsointends to guarantee any borrowings bySirrom Investments and vice versa.Sirrom Investments proposes to obtainfinancing that the SBA permits forSBICs. Sirrom Investments also intendsto borrow from Sirrom Capital and viceversa.

Applicant’s Legal Analysis1. Applicant requests an order under:

Section 6(c) of the Act for an exemptionfrom sections 12(d)(1), 18(a), 19(b), 60,and 61(a); sections 6(c) and 17(b) of theAct for an exemption from section 17(a);section 57(c) of the Act for anexemption from sections 57(a) (1), (2),and (3); and sections 17(d) and 57(a)(4)and rule 17d–1 under the Act to permitSirrom Capital and Sirrom Investmentsto effect certain joint transactions.

2. Section 12(d)(1)(A) of the Actprovides that no registered investmentcompany may acquire securities ofanother investment company if suchsecurities represent more than 3 percentof the acquired company’s outstandingvoting stock, more than 5 percent of theacquiring company’s total assets, or ifsuch securities, together with thesecurities of any other acquiredinvestment companies, represent morethan 10 percent of the acquiringcompany’s total assets. Section12(d)(1)(C) also provides that noregistered company may purchase orotherwise acquire any security issued bya registered closed-end investment


company, if immediately after suchpurchase or acquisition the acquiringcompany owns more than 10 percent ofthe total outstanding voting stock ofsuch closed-end company. Section 60 ofthe Act states that section 12 shall applyto a BDC to the same extent as if it werea registered closed-end investmentcompany. Rule 60a–1 exempts a BDC’sacquisition of the securities of a wholly-owned SBIC from sections 12(d)(1) (A)and (C). Thus, the transfer of assets fromSirrom Capital to Sirrom Investments isexempt from these provisions.

3. Section 12(d)(1), however, alsoapplies to the activities of SirromInvestments, and loans made by SirromCapital to Sirrom Investments mayviolate section 12(d)(1) if such loanswere considered purchases by SirromInvestments of the securities of SirromCapital. Similarly, loans made bySirrom Investments to Sirrom Capitalmay violate section 12(d)(1) if suchloans were considered purchases bySirrom Capital of the securities ofSirrom Investments. Accordingly,applicant requests an exemption fromsection 12(d)(1) to permit SirromInvestments’ acquisition of thosesecurities representing indebtedness ofSirrom Capital.

4. Section 18(a) of the InvestmentCompany Act prohibits a registeredclosed-end investment company fromissuing any class of senior securityunless the company complies with theasset coverage requirements set forth inthat section. ‘‘Asset coverage’’ is definedin section 18(h) to mean the ratio whichthe value of the total assets of an issuer,less all liabilities not represented bysenior securities, bears to the aggregateamount of senior securities of suchissuer. Section 18(k) provides anexemption from the asset coverageprovisions of section 18(a) for SBICs.Section 61 makes section 18, withcertain modifications, applicable to aBDC.

5. As it is organized currently, SirromCapital is entitled to the section 18(k)exclusion for its SBA-guaranteed debt.Following the proposed reorganization,Sirrom Investments, as an SBIC, wouldbe entitled to the section 18(k) exclusionand thus would not need any assetcoverage for its SBA-guaranteeddebentures. However, Sirrom Capital,since it would no longer be an SBIC,would be subject to the asset coveragerequirements of section 18(a), asmodified by section 61(a), without thebenefit of the section 18(k) exclusionwith respect to senior securities itissued directly as well as those issuedby Sirrom Investments. Thus, absent therequested relief, Sirrom Capital may berequired to comply with the asset

coverage requirements of section 18 ona consolidated basis because it may bean indirect issuer of senior securitieswith respect to Sirrom Investments’indebtedness.

6. Section 19(b) of the Act prohibitsany registered investment companyfrom distributing long-term capitalgains, as defined in the Code, moreoften than once every twelve months.Sirrom Investment proposes to paydividends and make other distributionsto Sirrom Capital on a regular basis thatmay include distribution of long-termcapital gains within the meaning ofsection 19(b) of the Act. Applicantbelieves that permitting suchdistributions more often than once ayear will allow Sirrom Capital tomanage more efficiently its internal cashflow and would result in administrativesavings.

7. Section 6(c) of the Act provides thatthe SEC may exempt persons ortransactions from any provision of theAct if such exemption is necessary orappropriate in the public interest andconsistent with the protection ofinvestors and the purposes fairlyintended by the policy and provisions ofthe Act. Applicant states that theoperation of Sirrom Capital as a BDCwith a wholly-owned SBIC subsidiary isintended to permit Sirrom Capital toexpand the scope of its operationsbeyond that which would be permittedto it as an SBIC. Applicant further statesthat the requested exemptions wouldpermit Sirrom Capital and SirromInvestments to operate effectively as onecompany even though they will bedivided into two legal entities.Accordingly applicant believes that therequested exemptions from sections12(d)(1), 18(a), 19(b), 60(a), and 61(a)meet the section 6(c) standards.

8. Section 17(a) of the Act generallyprohibits an affiliated person of aregistered investment company to sellany security or other property to suchregistered investment company, topurchase from such registeredinvestment company any security orother property, or to borrow money orother property from such registeredinvestment company. Sections 57(a) (1),(2), and (3) generally prohibit anyperson related to a businessdevelopment company from engaging inthe transactions described in section17(a). Section 2(a)(3)(A) defines‘‘affiliated person’’ of another person as,among other things, any person directlyor indirectly owning, controlling, orholding with power to vote, 5% or moreof the outstanding voting securities ofsuch other person. Section 2(a)(3)(B)defines ‘‘affiliated person’’ of anotherperson as, among other things, any

person 5% or more of whoseoutstanding voting securities aredirectly or indirectly owned, controlledor held with power to vote, by suchother person. Thus, Sirrom Capital is anaffiliated person of Sirrom Investmentsand vice versa because Sirrom Capitalowns 100% of Sirrom Investments’voting securities. In addition, PortfolioCompanies of Sirrom Investments mayalso be affiliated persons of SirromCapital and Sirrom Investments byreason of ownership of 5% or more ofsuch Portfolio Company’s votingsecurities. According, any exchange ofsecurities between Sirrom Capital andSirrom Investments, and between eitheror both of them and their PortfolioCompanies, could constitute anaffiliated transaction prohibited bysections 17(a) and 57(a) of the Act.

9. Section 17(b) authorizes the SEC toexempt a proposed transaction fromsection 17(a) if evidence establishes thatthe terms of the transaction, includingthe consideration to be paid or received,are reasonable and fair and do notinvolve overreaching on the part of anyperson concerned, the transaction isconsistent with the policies of theregistered investment company, and thegeneral purposes of the Act. Section57(c) authorizes the SEC to exempt aproposed transaction from sections 57(a)(1), (2), and (3) if it finds that theparticipation of the BDC meets thecriteria set forth for registeredinvestment companies in section 17(b).Section 57(i) of the Act provides, amongother things, that the rules andregulations under section 17(a)applicable to registered closed-endinvestment companies shall apply totransactions subject to section 57(a) inthe absence of rules under sections57(a). No rules with respect to affiliatedtransactions have been adopted undersection 57(a).

10. Rule 57b–1, however, exemptsfrom section 57(a) transactions betweenBDCs and specific downstreamaffiliates. Thus, applicants assert that ifSirrom Capital were to continue tooperate as one BDC, transactions withportfolio affiliates would be permissiblewithout Commission approval by virtueof Rule 57b–1 under the Act. Similarly,certain transactions between registeredinvestment companies and theirdownstream affiliates are exempt fromthe prohibitions of section 17(a) of theAct by virtue of rule 17a–6. Applicantbelieves that Sirrom Investments shouldbe permitted to invest in downstreamaffiliates of Sirrom Capital and viceversa to the extent permitted under theAct as if they were a single company.Thus, applicant believes that therequested exemption from section 17(a)


1 Sirrom Investments will only issue such seniorsecurities as are exempt from section 18(a) undersection 18(k) of the Act.

meets the standards of sections 6(c) and17(b) and the requested exemption fromsections 57(a) (1), (2), and (3) meets thestandards of section 57(c).

11. Section 17(d) of the Act prohibitsan affiliated person of a registeredinvestment company, acting asprincipal, from effecting any transactionin which such investment company is ajoint, or joint and several, participantwith such person unless the SEC hasissued an order approving thearrangement. Rule 17d–1 states that theCommission will consider whether theparticipation of such registeredinvestment company in such jointarrangement, on the basis proposed, isconsistent with the provisions, policies,and purposes of the Act and the extentto which such participation is differentfrom or less advantageous than that ofother participants. Section 57(a)(4) ofthe Act applies identical standards toBDCs. Since Sirrom Capital and SirromInvestments would be affiliated persons,investments by Sirrom Capital in thePortfolio Companies of SirromInvestments and investments by SirromInvestments in the Portfolio Companiesof Sirrom Capital may be prohibited bysections 17(d), 57(a)(4) and rule 17d–1.

12. If Sirrom Capital and SirromInvestments were operating as oneregistered investment company, rule17d–1(d)(5) would exempt transactionsbetween them and their downstreamaffiliates from section 17(d). If they wereoperating as one BDC, such transactionswould be exempted from section57(a)(4) by rule 57b–1. Thus, applicantbelieves that Sirrom Capital and SirromInvestments should be permitted toinvest in Portfolio Companies in whichthe other is or proposed to be aninvestor to the extent that suchtransaction would not be prohibited ifSirrom Investments were deemed to bepart of Sirrom Capital and not a separatecompany. Thus applicant believes thatrequested relief under section 17(d) and57(a)(4) and rule 17d–1 under the Act isconsistent with the provisions, policies,and purposes of the Act and theparticipation of Sirrom Capital andSirrom Investments is not different fromor less advantageous than that of otherparticipants.

Applicant’s ConditionsApplicant agrees that the order

granting the requested relief shall besubject to the following conditions:

1. Sirrom Capital at all times will ownand hold, beneficially and of record, allof the outstanding voting capital stockof Sirrom Investments.

2. Sirrom Investments will have thesame fundamental investment policiesas Sirrom Capital, as set forth in Sirrom

Capital’s Form N–2 (Reg. No. 33–95394).Sirrom Capital will not cause or permitSirrom Investments to change any of itsfundamental investment policies, ortake any other action referred to insection 13(a) of the Act, unless suchaction shall have been authorized bySirrom Capital after approval of suchaction by a vote of a majority, as definedin the Act, of outstanding votingsecurities of Sirrom Capital.

3. No person shall serve or act asinvestment adviser to SirromInvestments under circumstancessubject to section 15 of the Act, unlessthe directors and shareholders of SirromCapital shall have taken the action withrespect thereto also required to be takenby the directors and shareholders ofSirrom Investments.

4. No person shall serve as director ofSirrom Investments who shall not havebeen elected as a director of SirromCapital at its most recent annualmeeting, as contemplated by section16(a) of the Act and subject to theprovisions thereof relating to the fillingof vacancies. Notwithstanding theforegoing, the board of directors ofSirrom Investments will be elected bySirrom Capital as the sole shareholder ofSirrom Investments, and such boardswill be composed of the same personsthat serve as directors of Sirrom Capital.

5. Sirrom Capital will not itself issue,and Sirrom Capital will not cause orpermit Sirrom Investments to issue, anysenior security or sell any seniorsecurity of which Sirrom Capital orSirrom Investments is the issuer exceptas hereinafter set forth: (a) SirromCapital and Sirrom Investments mayissue and sell to banks, insurancecompanies, and other financialinstitutions their secured or unsecuredpromissory notes or other evidences ofindebtedness in consideration of anyloan, or any extension or renewalthereof made by private arrangement,provided the following conditions aremet: (1) such notes or evidences ofindebtedness are not intended to bepublicly distributed, (ii) such notes orevidence of indebtedness are notconvertible into, exchangeable for, oraccompanied by any options to acquireany equity security (except that, withrespect to Sirrom Capital, therestrictions in this clause (ii) shall notbe applicable except to the extent thatthey are applicable generally to BDCs),and (iii) immediately after the issuanceor sale of any such notes or evidencesof indebtedness, Sirrom Capital andSirrom Investments on a consolidatedbasis, and Sirrom Capital individually,shall have the asset coverage that wouldbe required by section 18(a) if SirromCapital and Sirrom Investments had

each selected to become a BDC pursuantto section 54 of the Act. (except that, indetermining whether Sirrom Capital andSirrom Investments, on a consolidatedbasis, have the asset coverage requiredby section 18(a), any borrowings bySirrom Investments pursuant to section18(k) of the Act shall not be consideredsenior securities and, for purposes of thedefinition of asset coverage in section18(h), shall be treated as indebtednessnot represented by senior securities);and (b) in addition, (i) SirromInvestments may obtain financing onsuch basis and in such amount as theSBA may from time to time permit forSBICs, (ii) Sirrom Investments mayborrow from Sirrom Capital and SirromCapital may borrow from SirromInvestments, and (iii) SirromInvestments may guarantee anyborrowings of Sirrom Capital, to theextent permitted by the SBA. None ofthe borrowings or other arrangementsset forth in clause (b) above shall bedeemed senior securities for purposes ofany order issued pursuant to thisapplication.1

6. Sirrom Capital will file with theCommission financial statementsrequired by the federal securities lawson a consolidated basis as to SirromCapital and Sirrom Investments, and onan unconsolidated basis with respect toSirrom Investments. Sirrom Capital willprovide to its shareholders financialstatements on a consolidated basis as toSirrom Capital and Sirrom Investments,except when unconsolidated financialstatements are required under generallyaccepted accounting principles.

For the SEC, by the Division of InvestmentManagement, under delegated authority.Margaret H. McFarland,Deputy Secretary.[FR Doc. 96–15578 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M

[Investment Company Act Release No.22015; 811–6065]

Templeton Global Utilities, Inc.; Noticeof Application

June 13, 1996.AGENCY: Securities and ExchangeCommission (‘‘SEC’’).ACTION: Notice of Application forDeregistration under the InvestmentCompany Act of 1940 (the ‘‘Act’’).

APPLICANT: Templeton Global Utilities,Inc.RELEVANT ACT SECTION: Section 8(f).


1 Although purchases and sales between affiliatedpersons generally are prohibited by section 17(a) ofthe Act, rule 17a–8 provides an exemption forcertain purchases and sales among investmentcompanies that are affiliated persons of each othersolely by reason of having a common investmentadviser, common directors, and/or commonofficers.

1 Cedel Bank is a wholly-owned subsidiary ofCedel International. On January 1, 1995, Cedel,which was established in 1970, was converted intoCedel Bank to perform lending, clearing, andsettlement activities, and a parent company, CedelInternational, was created into which Cedeltransferred the nonbanking subsidiaries. Cedel Bankis licensed in Luxembourg both as a bank and asa ‘‘professı́onnel du secteur financier’’ (‘‘PSF’’) andis under the supervision of the Institut MonetaireLuxembourgeois (‘‘IML’’), Luxembourg’s bankingand securities regulatory authority. CedelInternational is licensed as a non-bank PSF and alsois under the supervision of the IML. The IMLestablishes capital and liquidity requirements,evaluates the financial condition and performanceof all Luxembourg financial institutions, conductson-site inspections, and monitors all financialinstitutions and their controlling companies foradherence to Luxembourg laws and regulations. OnApril 24, 1996, the Federal Reserve Board grantedCedel’s request to establish a representative officein New York.

2 Copies of the application for exemption areavailable for inspection and copying at theCommission’s Public Reference Room.

3 15 U.S.C. § 78q–1.4 17 CFR 240.17Ab2–1.5 The services will cover all types of U.S. equity,

debt, and government securities.

SUMMARY OF APPLICATION: Applicantrequests an order declaring that it hasceased to be an investment company.FILING DATES: The application was filedon May 10, 1996.HEARING OR NOTIFICATION OF HEARING: Anorder granting the application will beissued unless the SEC orders a hearing.Interested persons may request ahearing by writing to the SEC’sSecretary and serving applicant with acopy of the request, personally or bymail. Hearing requests should bereceived by the SEC by 5:30 p.m. on July8, 1996, and should be accompanied byproof of service on the applicant, in theform of an affidavit or, for lawyers, acertificate of service. Hearing requestsshould state the nature of the writer’sinterest, the reason for the request, andthe issues contested. Persons mayrequest notification of a hearing bywriting to the SEC’s Secretary.ADDRESSES: Secretary, SEC, 450 FifthStreet, N.W., Washington, D.C. 20549.Applicant, 700 Central Avenue, St.Petersburg, Florida 33701.FOR FURTHER INFORMATION CONTACT:Diana L. Titus, Paralegal Specialist, at(202) 942–0584, or Alison E. Baur,Branch Chief, at (202) 942–0564(Division of Investment Management,Office of Investment CompanyRegulation).SUPPLEMENTARY INFORMATION: Thefollowing is a summary of theapplication. The complete applicationmay be obtained for a fee from the SEC’sPublic Reference Branch.

Applicant’s Representations1. Applicant is a closed-end

diversified management investmentcompany organized as a Marylandcorporation. On March 27, 1990,applicant registered under the Act andfiled a registration statement on FormN–2 pursuant to section 8(b) of the Actand under the Securities Act of 1933 toregister shares of applicant’s commonstock. The registration statement wasdeclared effective on May 23, 1990 andthe initial public offering of applicant’sshares commenced on that date.

2. On December 5, 1995, applicant’sBoard of Directors approved a plan ofreorganization providing for a transfer ofall or substantially all of applicant’sassets in exchange for Class I shares ofFranklin Global Utilities Fund(‘‘Franklin Global’’), a series of FranklinStrategic Series. In accordance with rule17a–8 under the Act, which governsmergers of certain affiliated investmentcompanies, the board determined thatthe reorganization was in the bestinterests of applicant and that theinterests of applicant’s existing

shareholders would not be diluted as aresult of the reorganization.1

3. On December 19, 1995, applicantfiled proxy materials with the SEC. Onor about January 19, 1996, proxymaterials were sent to shareholders. Ata meeting held on February 20, 1996,the reorganization was apporved byapplicant’s shareholders.

4. On March 29, 1996, Franklin Globalacquired all or substantially all of theassets of applicant in exchange in ClassI shares of Franklin Global and theassumption by Franklin Global ofcertain identifiable liabilities ofapplicant. The number of full andfractional shares of Franklin Global thatwas issued to applicant’s shareholderswas determined on the basis of therelative net asset values per share andthe aggregate net assets of FranklinGlobal and applicant as of the close ofbusiness on the New York StockExchange on that date.

5. Expenses incurred in connectionwith the reorganization wereapproximately $72,537. Applicant, itsadviser, Templeton Global AdvisorsLimited, Franklin Global, and itsadviser, Franklin Advisors, Inc. sharedthese expenses equally. No brokeragecommissions were paid to transferownership of portfolio securities byapplicant to Franklin Global.

6. Applicant has no remaining assets,debts, or liabilities, and has nosecurityholders.

7. Applicant is not a party to anylitigation or administrative proceeding.Applicant is not now engaged, and doesnot propose to engage, in any businessactivities other than those necessary forthe winding up of its affairs.

8. Applicant intends to file acertificate of dissolution in accordancewith Maryland laws.

For the SEC, by the Division of InvestmentManagement, under delegated authority.Margaret H. McFarland,Deputy Secretary.[FR Doc. 96–15577 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M

[Release No. 34–37309; International SeriesRelease No. 993; File No. 600–29]

Self-Regulatory Organizations; CedelBank; Notice of Filing of Applicationfor Exemption From Registration as aClearing Agency

June 12, 1996.

I. Introduction

On August 31, 1995, Cedel Bank,société anonyme, Luxembourg(‘‘Cedel’’)1 filed with the Securities andExchange Commission (‘‘Commission’’)an application on Form CA–12 forexemption from registration as aclearing agency pursuant to Section 17Aof the Securities Exchange Act of 1934(‘‘Exchange Act’’)3 and Rule 17Ab2–1thereunder.4 Cedel’s applicationincludes procedures and guidelines forits proposed offering of clearance,settlement, and credit support servicesfor transactions in U.S. securities5

conducted by U.S. entities. TheCommission is publishing this notice tosolicit comments from interestedpersons.

II. Description of Cedel Operations

A. Clearance and Settlement

Cedel currently offers to its customersinternational clearance and settlementof securities transactions in primary andsecondary markets, trade confirmation,securities custody, and securitieslending services. The securities thatCedel clears are fixed income bondssuch as Eurobonds, domestic andconvertible bonds, money marketinstruments, short and medium termnotes, equities, and warrants.


6 In 1994, Cedel settled over US$7 trillion worthof securities at an average rate of US$30 billion eachbusiness day for over 2,900 customers. At that time,over 60,000 instruments were eligible for settlementin the Cedel system.

7 The Luxembourg legal framework provides forthe finality of settlements on Cedel’s books and thefungibility of securities deposited with Cedel.

8 Similar to Cedel, Euroclear provides clearanceand settlement services for internationally tradeddebt and equity securities. Euroclear is operatedunder contract with the Euroclear ClearanceSystem, société coopérative (‘‘EuroclearCooperative’’), by Morgan Guaranty Trust Companyof New York through the Euroclear OperationsCentre in Brussels. The Euroclear Cooperative is aBelgian cooperative corporation whose participantsinclude international banks, brokers, and othersecurities professionals. See infra note 11 andaccompanying text.

9 In each of the thirty countries where Cedel hasestablished a settlement link to provide itscustomers with foreign currency settlementcapabilities, Cedel can access uncommitted lines ofcredit with domestic lenders to facilitate foreigncurrency settlement for its customers.

10 Daytime and overnight settlement processingare the same except that securities lending andborrowing services are not available to customerson an automatic basis in overnight settlementprocessing.

11 The electronic bridge enables trades to beprocessed on a book-entry basis between Cedel andEuroclear rather than by the physical delivery ofsecurities. Under the terms of the original bridgeagreement, Euroclear was able to clear tradesovernight, having received the necessary data oncounterparties from Cedel, while Cedel had to settlethe following day after receiving counterparty datafrom Euroclear’s overnight processing run. Thiscreated a backlog of settlements for Cedel and atime-lag between initiation of the delivery ofsecurities and payment for them.

12 Cedel’s chaining system allows securities to bebought and sold many times during the day. Cedel’schaining program scans open transactions until allcash and securities resulting from same daysettlements are reemployed to settle furthertransactions for same day value. Therefore, for back-to-back transfers for equivalent funds, customersmay not need to pay because proceeds from salesare used to settle purchases.

13 The securities may be owned outright orborrowed.

14 Acceptable cash and credit facilities for acustomer include cash in its account, pre-advices offunds to be received that day, and anypredetermined borrowing capacity.

15 Changes to the Cedel Customer Handbook arecustomarily motivated by evolving market practiceand procedure.

16 Cedel currently is running pilot tests on GCSSwith a limited number of institutions.

From its inception, Cedel hasprovided delivery-versus-payment(‘‘DVP’’) settlement for securitiestransactions.6 DVP settlement is madepossible by the legal environment forsecurities custody and transfer inLuxembourg.7 Cedel is not a party to thesecurities transactions in its clearanceand settlement system.

Liquidity facilities are negotiated withfinancial institutions to permit Cedel toextend financing to customers to meettheir settlement requirements in localcurrencies. To enable it to extend suchfinancing, Cedel maintains a US$1billion committed revolving creditfacility with a syndicate of major banksand a US$500 million commercial paperfacility. Cedel also has a US$1.8 billionletter of credit guaranteeingtransmissions across the bridgeestablished between Cedel and theEuroclear System (‘‘Euroclear’’).8 Cedelalso has approximately US$8 billion ofuncommitted lines of credit available.9

Cedel’s presettlement trade matchingservice, which has been available since1987, consists of a trade comparisonsystem that allows customers in bothCedel and Euroclear to compare theirtrade data. Income trade data iscompared in one of four daily matchingruns. Information on the status of atransaction is made available to thecounterparties ninety minutes afterprocessing of the trade data for eachmatching run.

Cedel operates two securitiesprocessing systems, overnightsettlement processing and daytimesettlement processing.10 Overnightprocessing is possible because of the

most recent bridge agreementestablished between Cedel andEuroclear which was implemented inSeptember 1993.11 The new bridgeagreement facilitates the two-wayexchange of counterparty data, enablingboth Cedel and Euroclear to settleovernight and to provide early morningposition statements. Under the newbridge, with multiple overnightprocessing, Cedel’s customers can settletrades with Euroclear participants forsame day value. Multiple overnightprocessing also allows ‘‘chaining’’ ofsecurities transactions in and betweenCedel and Euroclear.12

Each settlement within the overnightand daytime processing systems isdistinguished by whether it is an‘‘internal’’ or ‘‘external’’ settlement atCedel. An internal settlement is thesettlement of a transaction between twoCedel customers where the securitiesbeing transferred are maintained bybook-entry at Cedel. These services areperformed at Cedel without notifying orinstructing its securities depositories.Funds transfers necessary to settletransactions may be made to or from anaccount maintained at Cedel or to orfrom one of its correspondent banks.Because transfers of securities acceptedat both Euroclear and Cedel may besettled and cleared through the bridge,Cedel treats settlements betweencustomers of Cedel and Euroclearinvolving such securities as internal. Anexternal settlement is the settlement ofa transaction where one of thecounterparties to a transaction is not aCedel customer or where a Cedelcustomer is transferring securities thatare not maintained by book-entry atCedel.

Cedel also has developed links toaccommodate customer settlements ofdomestic government and corporatesecurities. These links are accounts withdomestic clearing agencies or bankcustodians which have access todomestic settlement system.

Transactions for settlement on a givenday are matched at Cedal and are settledif the delivering party hasunencumbered securities sufficient tomake delivery 13 and the receiving partyhas sufficient cash and credit facilitiesto pay for the securities.14 If eithercondition is not met, the transactionwill fail. If securities are deliveredagainst uncollected or borrowed funds,a collateral interest is taken in thereceiving participant’s securitiesholding within the system to secure thecreditor. Because Cedal is not a party tothe securities transactions in itsclearance and settlement system, Cedalbelieves its operations are essentiallydevoid of settlement risk to Cedel andtherefore does not rely on a clearingfund or the resources of its customers.

The relationship between Cedel andeach of its customers is governed by theGeneral Terms and Conditionsagreement (‘‘Customer Agreement’’) andthe Cedel Customer Handbook(‘‘Customer Handbook’’). Cedel mustnotify the customer in writing of anyamendment to the Customer Agreementand the effective date of theamendment. Customers have theopportunity to object to the amendmentin writing within ten business days ofreceipt of the notice of amendment. If acustomer does not object in such amanner, it is deemed to have acceptedthe amendment. Similarly, customersalso are notified of changes to Cedal’sCustomer Handbook ten days prior tothe effective date of such changes.15

Any objection to a change must be inwriting within ten business days of thereceipt of notice and must be brought tothe attention of the Cedal User Group orcustomer support personnel.

B. Global Credit Support ServiceOne of the primary reasons for Cedal’s

request for exemption from registrationas a clearing agency is its proposedimplementation of a Global CreditSupport Service (‘‘GCSS’’).16 GCSS is abook-entry, real-time collateralmanagement service for cross-bordersecurities collatealization. GCSS isintended to enable GCSS customers toreduce the credit risk associated withtheir financial exposure to conterpartiesby offering an efficient and safe meansof monitoring exposures and by


17 There is no requirement that a GCSS customerhave an account at Cedel in order to utilize theservices provided by GCSS.

18 GCSS customers will indicate in their GCSSagreement whether they will permit counterpartiesto reuse assets. If so permitted, counterparties maythen transfer within GCSS the securities they havereceived as credit support (‘‘on-transfer’’) or takethe securities outside of GCSS and enter intorepurchase or reverse repurchase agreements.

providing credit support for GCSScustomers using a variety of bilateralcredit support legal arrangements. GCSSfunctions will include the standardfunctions of an agent, such as exposurerecording, asset valuation andmovement, safekeeping, and reporting.GCSS will interpose itself as anoperational agent but will not assumeany principal or decision-making role inthe event of disputes between parties.

The GCSS Fiduciary Agreement is thebasic governing document forparticipation in GCSS. Eachcounterparty will be required to have aGCSS Fiduciary Agreement with Cedalin order to participate in GCSS. Betweenthe GCSS customer transferring assets ascollateral and Cedal, the GCSSFiduciary Agreement will operate as atransfer of ownership of securities toCedal upon delivery to GCSS.

Each GCSS customer will establishthe parameters of their bilateralarrangements, which will be capturedby GCSS. A pair of GCSS customersgenerally will have one agreementalthough GCSS can provide for multipleagreements. Each agreement will definesuch things as the eligible collateral,haircuts, rehypothecation authorization,frequency of exposure entry andsecurities valuation, and minimumtransfer amounts. Eligible collateral canbe selected from any of the securities orcurrencies accepted by Cedel. GCSScustomers also may establishcounterparty-specific eligibility tables toeither restrict or broaden their eligibilitycriteria and/or haircuts in their dealingswith specific counterparties.

GCSS customers also will be able toestablish a preference table to rank inorder which assets they would prefer todeliver when a delivery is necessary andwhich assets they would prefer toreceive in a return situation. For eachbilateral agreement, GCSS customersalso will be able to enter the number ofdays within which any credit supportshortfall must be covered by acounterparty.

All cash and securities in GCSS willbe held in an omnibus account withinthe Cedel core clearance and settlementsystem. Transfers into and out of GCSSwill be made by book-entry transfer ofsecurities from a GCSS customer’saccount or from a GCSS customer’scorrespondent account at Cedel toGCSS’s omnibus account at Cedel.17

GCSS will operate two main dailyprocessing cycles to provide creditsupport and generate reports. GCSScustomers will select which of the two

cycles they will use. The cycle willprovide assessments of existing creditsupport and required additional assetswhich counterparties may satisfy in thenext cycle or at the latest in the samecycle on the next day. GCSS customerswill inform GCSS of the level ofexposure from their net counterpartypositions to be covered by GCSS. Thisexposure level will be the basis onwhich GCSS will compute creditsupport requirements for the period.Based on the size of the net exposureand the terms of the bilateral agreementbetween two GCSS customers, GCSSwill move free of payment securitiesand/or cash between the parties’accounts.

GCSS will report to each GCSScustomer their available positions (i.e.,the customer’s own securities and cashit has in system that are not in use), theamounts delivered out, the amountsreceived, the amounts ‘‘on-transferred,’’ 18 new credit supportamounts expected in fromcounterparties, and new credit supportamounts required.

GCSS may notify a GCSS customer ofthe need to bring more assets into thesystem to meet a shortfall in the valueof credit support assets at GCSS. GCSScustomers will be able to move assets totheir GCSS account in several ways: bytransferring eligible assets from aclearing and settlement account inCedel during the next available Cedelprocessing cycle, by providing GCSSwith a power of attorney to transferassets from its clearing and settlementaccount at Cedel to its GCSS omnibusaccount at Cedel, by entering into asecurities borrowing arrangementwithin a Cedel clearing and settlementaccount to obtain a loan of the requiredsecurities, or by moving eligiblesecurities over a cross-border link intoCedel.

One of the more important servicesoffered by GCSS allows customers toreuse the securities held as creditsupport. As GCSS customers do nothave identical bilateral eligibilitycriteria, haircuts, and preference tables,there is an opportunity for GCSS tofacilitate the most efficient use ofavailable customer assets.

For those GCSS customers permittedby their counterparties to reuse assets,GCSS will enable ‘‘on-transfer’’ ofsecurities. GCSS will track and valueassets subjected to on-transfers and will

keep records of the original and allsubsequent transferrers and transfereesof the asset. Where on-transfers arepermitted, a position may be subdividedand on-transferred to multiplecounterparties.

C. Securities Lending and BorrowingServices

Cedel also proposes to provide itssecurities lending and borrowing serviceto U.S. entities. Under Cedel’s lendingand borrowing service, all customers arerequired to act as principal and Cedel’srole is to effect the transfers for thelending or borrowing transactions bybook-entry movement in the Cedelsystem and to monitor the associatedcollateral. Customers elect to participateas either ‘‘automatic’’ or ‘‘case by case’’lenders or borrowers. As either anautomatic lender or automatic borrower,a customer authorizes Cedel to lend orborrow securities upon theidentification of an excess of securitiesin a lender’s account or an insufficiencyin a borrower’s account. Automaticborrowings only may occur when thereis an adequate volume of eligiblesecurities available from a lenderparticipating in the program and theborrower is eligible to borrow under theterms of the program. Case by caseborrowings are handled by Cedel inchronological sequence of receipt ofinstructions. As a case by case lender oras a case by case borrower, a customeris required to authorize each loan orborrowing. Cedel effects loans andborrowings for automatic lenders andautomatic borrowers before it effectsloans and borrowings for case by caselenders and case by case borrowers.

Under this service, a syndicate ofbanks guarantees borrower performanceand each borrower is required to postand maintain collateral sufficient tosecure the guarantee obligation of theguarantor syndicate. The collateral,which can be qualifying securities orcash, is blocked in the borrower’saccount by Cedel for the benefit of theguarantors. Cedel monitors the collateraldaily to ensure that the collateral valueof the securities or cash is at all timesgreater than or equal to the market valueof the securities loaned plus anadditional percentage of the marketvalue. Borrowers are required to depositsufficient additional collateral asappropriate, and Cedel is authorized todebit accounts of the borrower to theextent required to maintain the requiredcollateral coverage. Borrowers areexpressly permitted to substituteequivalent collateral for any collateralpreviously delivered.


19 Under the TOF agreement between Cedel andits customers, Cedel is granted a lien on allsecurities and other assets in a participatingcustomer’s account with Cedel.

D. Credit FacilitiesCedel provides four main types of

credit facilities to its customers: pre-advices, technical overdraft facilities,tripartite financing arrangements, andunconfirmed funds facilities. Customerscan obtain short term credit through theuse of pre-advices. Under this service, acustomer will notify Cedel that fundswill be credited to its account on thatday or the next day. Cedel will creditfunds to the customer’s account on thebasis of this pre-advice. A customermust be previously approved to receivesuch an advance of funds with approvalbased on the customer’s paid-in capital.Cedel also establishes a maximum pre-advice line of credit based on thecustomer’s paid-in capital and otherfactors that Cedel deems relevant.During any business day, Cedel will notadvance an amount that exceeds theamount of the line of credit or thecollateral value of qualifying securitiesheld in the customer’s account.

Cedel also can provide to customers atechnical overdraft facility (‘‘TOF’’).TOFs are short-term financing facilitiesused to facilitate clearance of securitiestransactions against payment. Under theTOF service, Cedel pays the sellingcustomer in advance of receipt ofpayment by the purchasing customer.Cedel accepts the securities from theselling customer and delivers them intothe purchasing customer’s account. Toprotect itself from market and creditrisk, Cedel then blocks the securities inthe purchasing customer’s account toensure that the purchasing customerdoes not remove the securities until itclears its net debit position. If thepurchasing customer fails to clear its netdebit position within forty-eight hours,Cedel may liquidate the customer’sassets to satisfy the net debit position.19

Cedel also will act as collateral agentin specifically negotiated tripartitefinancing arrangements (‘‘TFA’’), whichprovide longer term financing forcustomers than pre-advices and TOFs.Generally, the TFA is an agreementbetween three parties, the borrower(Cedel customer), the lender (thefinancing bank), and the collateral agent(Cedel). Cedel may introduce lenders toborrowers but does not play asubstantial role in the negotiations ofTFAs. After a TFA has been negotiated,Cedel acts solely as collateral agentwhereby Cedel determines the adequacyof and monitors the pledged collateralwhich is blocked in the borrowingcustomer’s account with Cedel. Cedel

bears no credit exposure with regard toTFAs.

In addition to pre-advices, TOFs andTFAs, Cedel customers may be able touse their unconfirmed funds facility(‘‘UFF’’) to finance settlements. Use of acustomer’s UFF is allowed only atCedel’s discretion. If a customer’s TOFor TFA is insufficient to settle allsecurities transactions on its account ina given settlement processing, Cedelmay permit the customer to use its UFFfor settlement purposes. A customer’sUFF limit is dependent to a large extentupon the financial standing of theinstitution. The UFF also must becollateralized. By blocking collateralagainst unconfirmed funds, Cedel iscovering the contingent risk thatanticipated funds may not be received.As with TOFs and TFAs, only the actualamount of credit drawn under the UFFmust be collateralized.

III. Cedel’s Request for Exemption

Cedel states that it operates to reducethe risks related to the clearance andsettlement process and to standardizethat process to facilitate secure andaccurate cross-border securitiessettlement for the benefit of all marketparticipants. Cedel intends to offerGCSS in order to provide a flexible andefficient means for counterparties toagree upon marked-to-market creditexposures and in order to provideappropriate credit support throughsecurities and cash on deposit withCedel. As discussed more specificallybelow, Cedel believes an exemptionfrom clearing agency registration isappropriate.

A. Regulatory Comity and Legal Integrity

Cedel believes that deference shouldbe granted to the existing Luxembourglegal and regulatory framework whichgoverns supervision of Cedel by theInstitut Monetaire Luxembourgeois(‘‘IML’’) and all Cedel obligations to andrelations with its customers. Cedel alsobelieves that Luxembourg law shouldgovern all contractual arrangementswith its customers for clearing andsettlement. Cedel believes that alteringits clearing and settlement arrangementsfrom bilateral contractual arrangementswhich appoint Cedel as agent anddepository under Luxembourg law to aself-regulatory entity which wouldrequire Cedel to perform a regulatoryfunction under the laws of the UnitedStates would upset and complicate theexisting legal structure of internationalcross-border clearance and settlementand almost certainly prove impractical.

B. International Enforceability

As a Luxembourg-based bank whichconducts its activities pursuant toLuxembourg law and servesinternational markets world-wide, Cedelbelieves it is not and cannot become aself-regulatory organization as requiredfor a registered clearing agency underSection 17A of the Exchange Act. Anyrules promulgated by Cedel would haveonly questionable application in thehome markets of Cedel’s internationalcustomers outside the United States.However, Cedel believes that theobjectives of Section 17A are fulfilled byCedel’s existing structure andoperations. Cedel also believes that thecontractual relationships currentlyexisting between Cedel and itscustomers, as governed by the laws ofLuxembourg, are effective andenforceable as a matter of internationalcommercial law.

C. Operational Capacity

Cedel believes it operates its clearingand settlement activities according tothe standards of international bestpractice and continually strives toimprove the integrity and reliability ofits systems and the quality of servicesprovided to its customers. BecauseCedel is not a monopoly provider ofservices in any market, it is subject tocommercial and competitive discipline.As such, Cedel believes that itsubstantially complies with allCommission standards for clearing andsettlement operations and that noadditional benefits are likely to accruefrom the imposition of U.S. regulatoryrequirements as a result of theregistration of Cedel as a clearingagency.

Cedel seeks to provide clearing andsettlement services for U.S. securities asit currently provides for the securities inthirty other domestic markets. As aresult, Cedel customers would have asingle interface into the U.S. clearanceand settlement system, standardizedmessage formats, and regional customersupport. Cedel believes that these are allsubstantial benefits to Cedel customerinstitutions which otherwise have nopresence in the U.S. investmentmarkets.

D. Public Interest and Protection ofInvestors

Cedel believes that acceptance of U.S.securities within the Cedel systemwould contribute greatly to the secureand efficient cross-border clearance andsettlement of securities transactions andthe establishment of linkages amongmajor national markets. In addition,Cedel believes that settlement through


20 15 U.S.C. 78q–1.21 For legislative history concerning Section 17A,

see, e.g., Report of Senate Comm. on Housing andUrban Affairs, Securities Acts Amendments of1975: Report to Accompany S. 249, S. Rep. No. 75,94th Cong., 1st Sess. 4 (1975); Conference Comm.Report to Accompany S. 249, Joint ExplanatoryStatement of Comm. of Conference, H.R. Rep. No.229, 94th Cong., 1st Sess., 102 (1975).

22 Market Reform Act of 1990, Section 5,amending Section 17A(a)(2) of the Exchange Act, 15U.S.C. 78q–1 (1990).

23 Securities Exchange Act Release No. 16900(June 17, 1980), 45 FR 41920 (announcement ofstandards for the registration of clearing agencies[‘‘Standard Release’’]). See, also, SecuritiesExchange Act Release No. 20221 (September 23,1983), 48 FR 45167 (omnibus order granting fullregistration as clearing agencies to The DepositoryTrust Company, Stock Clearing Corporation ofPhiladelphia, Midwest Securities Trust Company,The Options Clearing Corporation, MidwestClearing Corporation, Pacific Securities Depository,National Securities Clearing Corporation, andPhiladelphia Depository Trust Company).

See, also, Section 19 of the Exchange Act, 15U.S.C. 78s, and Rule 19b–4, 17 CFR 240.19b–4,setting forth certain procedural requirements forregistration and continuing Commission oversightof clearing agencies and other self-regulatoryorganizations.

24 Clearing Corporation for Options andSecurities, Securities Exchange Act Release No.36573 (December 12, 1995), 60 FR 65076. TheCommission has granted temporary registrationsthat included exemptions from specific Section 17Astatutory requirements in a manner designed toachieve the statutory goals of Section 17A. Ingranting these temporary registrations it wasexpected that the subject clearing agencies wouldeventually apply for permanent clearing agencyregistration. See, e.g., order approving GovernmentSecurities Clearing Corporation’s (‘‘GSCC’’),temporary registration as a clearing agency wherethe Commission temporarily exempted GSCC fromcompliance with Section 17A(b)(3)(C). SecuritiesExchange Act Release No. 25740 (May 24, 1988), 53FR 19839.

25 In 1993, Cedel requested a no-action positionfrom the Division relating to Cedel’s providingclearance, settlement, and other services toparticipants in U.S. government securities. TheDivision issued a no-action letter to Cedel onSeptember 15, 1993, stating that the staff of theDivision would not recommend to the Commissionthat it take enforcement action if Cedel accepts U.S.Treasury debt securities maintained in book-entry

form as collateral for certain obligations of Cedel’scustomers without registering as a clearing agencypursuant to Section 17A of the Exchange Act. Theno-action letter did not extend to clearance andsettlement services for Cedel customers in U.S.government securities. Letter regarding Cedel S.A.(September 15, 1993).

Under Section 3(a)(23) of the Exchange Act, theterm ‘‘clearing agency’’ is defined to mean, amongother things, any person, such as a securitiesdepository, who permits or facilitates the settlementof securities transactions or the hypothecation orlending of securities without physical delivery ofsecurities certificates. Cedel’s proposal for theimplementation of GCSS places Cedel within thescope of the activities of a clearing agency becauseGCSS could be deemed to permit or facilitate thehypothecation or lending of securities in a book-entry environment. However, the activities of GCSSare not the sole basis for considering Cedel’sproposed activities to be those of a clearing agency.Cedel’s proposal, which includes the clearance andsettlement of U.S. securities involving U.S. entities,also places Cedel within the definition of clearingagency for purposes of Section 17A of the ExchangeAct.

the Cedel system has increasing appealas broker-dealers, institutionalinvestors, and custodians place greateremphasis on securities lending, back-to-back transactions, and financingtechniques such as repurchaseagreements and reverse repurchaseagreements. As a clearance andsettlement system which conductsmulti-currency settlement and whichhas links to major domestic markets,Cedel believes it can efficientlyaccommodate customer demands forsophisticated transaction processing.

Finally, Cedel believes its existinglegal, regulatory, and operationalarrangements for clearance andsettlement are rigorous and well-understood and that uncertainty andconfusion could result from theimposition of U.S. legal and regulatoryrequirements which potentially couldbe in conflict with Cedel’s existing legal,regulatory, and operationalarrangements. Cedel believes that anexemption from registration wouldpreserve the certainty of those existingarrangements while allowing Cedel toextend the benefits of settlements inU.S. securities to its customers.

IV. Proposed Exemption

A. Statutory StandardsSection 17A of the Exchange Act

directs the Commission to develop anational clearance and settlementsystem through, among other things, theregistration and regulation of clearingagencies.20 In fostering the developmentof a national clearance and settlementsystem generally and in overseeingclearing agencies in particular, Section17A authorizes and directs theCommission to promote and facilitatecertain goals with due regard for thepublic interest, the protection ofinvestors, the safeguarding of securitiesand funds, and the maintenance of faircompetition among brokers, dealers,clearing agencies, and transfer agents.21

Furthermore, Section 17A, as amendedby the Market Reform Act of 1990,directs the Commission to use itsauthority to facilitate the establishmentof linked or coordinated facilities forclearance and settlement of transactionsin securities, securities options,contracts of sale for future delivery andoptions thereon, and commodityoptions.22 In addition to the statutory

requirements of Section 17A, theCommission’s Division of MarketRegulation (‘‘Division’’) has publishedstandards based on Section 17A forclearing agency registration.23

Section 17A(b)(1) authorizes theCommission to exempt applicants fromsome or all of the requirements ofSection 17A if it finds such exemptionsare consistent with the public interest,the protection of investors, and thepurposes of Section 17A, including theprompt and accurate clearance andsettlement of securities transactions andthe safeguarding of securities and funds.Recently, the Commission exercised forthe first time its authority to exempt anapplicant entirely from registration as aclearing agency.24

Generally, U.S. Treasuries are thepreferred securities for use as collateralin securing international creditobligations. Therefore, Cedel believes itis essential that it be able to accept U.S.Treasury securities in GCSS if it is toefficiently facilitate cross-bordercollateralization. In part, it is the ‘‘on-transfer’’ of rehypothecation of U.S.securities for U.S. entities in GCSSwhich subjects Cedel to the registrationrequirements of Section 17A.25 As a

condition of the no-action positionprovided to Cedel in 1993, Cedel agreednot to act as an agent in facilitatingrepurchase agreements between Cedelcustomers and others with regard toU.S. Treasury securities and agreed thatnone of the collateral servicesperformed by Cedel would be such thatthe services could be interpreted asauthorizing the purchase and sale ofU.S. Treasury securities, includingrepurchase agreement transactions, byCedel’s customers or affiliates usingCedel’s systems. However, under GCSS,all types of U.S. securities will beaccepted and the services provided byGCSS may be interpreted as facilitatingrepurchase agreement transactions.

In light of the foregoing, theCommission believes it is appropriatefor applicants requesting exemptionfrom clearing agency registration tomeet standards substantially similar tothose required of registrants underSection 17A in order to assure that thefundamental goals of the Exchange Act(e.g., safe and sound clearance andsettlement) will not be undermined.Therefore, the Commission invitescommenters to address whether grantingCedel’s application for exemption fromclearing agency registration, subject tothe specific conditions which are setforth in detail below, would further thegoals of Section 17A.

B. Conditions

The Commission is proposing toimpose two types of conditions onCedel in conjunction with the grant ofany exemptive relief from clearingagency registration. The first type willconsist of certain clearing andtransactional volume limitations on


26 Supra note 24.27 Supra Section II(A).28 For purposes of calculating the volume limits

and for purposes of Commission access toinformation, ‘‘affiliate’’ shall mean any entitydirectly or indirectly controlling, controlled by, orunder common control with a U.S. customer.

29 In its oversight of Cedel, the Commission doesnot anticipate conducting on-site examinations.However, the Commission understands that it willhave the ability to observe Cedel operations and totalk to Cedel personnel on-site.

30 Cedel is required to submit to the IML monthlybalance sheets, foreign exchange position reports,and liquidity ratios. Cedel also is required to submitquarterly income statements and reports on largeexposures and on the maturity structure of Cedel’sassets and liabilities. See also supra note 1.

31 Cedel’s external auditors are required, amongother things, to review Cedel’s accounting and riskmanagement systems and to assess the reliabiity ofCedel’s periodic reports to the IML.

32 15 U.S.C. 78q–(a)(2).

Cedel’s processing of U.S. securitiestransactions involving U.S. entities. Thesecond type will consist of anarrangement with Cedel and the IMLwhich will give the Commission accessto information necessary to ascertainwhether the volume limitations arebeing honored and access to informationrelating to the default or near default ofcertain Cedel customers.

1. Volume LimitsThe Commission proposes to place a

limit on the transactions in U.S.securities conducted by U.S. entitiesthat can be processed through Cedel.This approach was adopted by theCommission in granting the ClearingCorporation for Options and Securities(‘‘CCOS’’) an exemption from clearingagency registration.26 In that exemptiveorder, the Commission imposed volumelimitations of US$6 billion net dailysettlement for government securitiesand US$24 billion for repurchaseagreements and reverse repurchaseagreements transactions calculated onan average daily basis over a ninety dayperiod. The CCOS volume limits weredesigned to limit CCOS’s activity toapproximately five percent or less of theaverage daily dollar value oftransactions in U.S. Treasuries and ofrepurchase agreements and reverserepurchase agreements involving U.S.Treasuries.

Cedel has represented to theCommission that it cannot differentiatebetween regular way trading andrepurchase and reverse repurchaseagreements transactions in its clearanceand settlement system. Therefore, theCommission believes the most feasiblevolume limit is an average daily volumeof US$30 billion based upon theaggregate volume for the previoustwelve months to be measured eachquarter on a rolling quarterly basis. Forpurposes of calculating the averagedaily volume, the following will beincluded: (1) All settlements, bothinternal and external, within Cedel’sclearance and settlement system 27

involving a U.S. customer or itsaffiliate 28 and U.S. securities; (2) eachmovement of U.S. securities into theGCSS system involving a U.S. customeror its affiliate; (3) each delivery of U.S.securities involving a U.S. customer orits affiliate within the GCSS system; and(4) each delivery of U.S. securitiesinvolving a U.S. customer or its affiliate

out of the GCSS system. However, theCommission will only count the initialmovement of collateral (the ‘‘on-leg’’) ofeach GCSS delivery or movement. Thereturn of collateral will not be includedin the calculation of the volume limit.

The Commission believes theproposed volume limit is appropriate inthat it is large enough to allow Cedel tocommence effecive operations inclearing and settling U.S. securitiestransactions involving U.S. entities andto allow the Commission to observe theeffects of Cedel’s activities on the U.S.securities market and is sufficientlylimited so that the safety and soundnessof the U.S. markets would not bematerially affected should Cedelexperience financial or operationaldifficulties. Either upon Cedel’s requestor by its own initiative, the Commissionmay review whether the current volumelimit should be modified. Cedel will notbe permitted to exceed the US$30billion volume limit without eitherhaving the Commission modify itsexemptive order or registering as aclearing agency.

2. Commission Access to Information

To facilitate the monitoring ofcompliance with the proposed volumelimits, the proposed exemption wouldrequire Cedel to provide information ona monthly basis regarding aggregatevolume for all Cedel customers fortransactions in U.S. securities.29 Underthe proposed exemption, Cedel alsowould be required to notify theCommission regarding material adversechanges in any account maintained byCedel for its customers that are membersor affiliates of members of a U.S.registered clearing agency. Cedel alsowould be required to respond to aCommission request for informationabout a U.S. customer or its affiliateabout whom the Commission hasfinancial solvency concerns. TheCommission will require a satisfactoryMemorandum of Understanding(‘‘MOU’’) with the IML, Luxembourg’sbanking and securities regulatoryauthority, to facilitate the provision ofinformation by Cedel to theCommission. In addition to the aboveinformation, the Commission willmonitor Cedel through its review of

information provided to the IML byCedel 30 and its external auditors.31

The Commission seeks comment onthe conditions, in particular the volumelimits and information sharing, whichwould be imposed on Cedel as acondition of its obtaining an exemptionfrom clearing agency registration.Specifically, commenters are requestedto address the structure and theappropriate size of such limits.Commenters also are requested toaddress the types of information whichshould be provided to the Commissionto help maintain the safety andsoundness of the U.S. securitiesmarkets. In addition, comments aresought on the types of entities whichshould be deemed affiliates of membersof U.S. clearing agencies for purposes ofthe volume limitations and commissionaccess to information.

C. Fair CompetitionSection 17A of the Exchange Act

requires the Commission, in exercisingits authority under that section, to havedue regard for the maintenance of faircompetition among clearing agencies.32

Therefore, the Commission mustconsider an applicant’s likely effect oncompetition and on the U.S. securitiesmarkets in its review of any applicationfor registration or exemption fromregistration as a clearing agency.

Consistent with this approach, theCommission invites commenters toaddress whether granting Cedel anexemption from registration wouldresult in increased competition,including greater access to the U.S.securities market by foreign clearingagencies. Such competition may resultin the development of improvedsystems capabilities, new services, andperhaps lower costs to marketparticipants. The Commission alsoinvites commenters to address whetherthe proposal would impose any burdenon competition that is inappropriateunder the Exchange Act.

V. Solicitation of CommentsInterested persons are invited to

submit written data, views, andarguments concerning the foregoingapplication by July 19, 1996. Suchwritten data, views, and arguments willbe considered by the Commission in


33 17 CFR 200.30–3(a)(16).

deciding whether to grant Cedel’srequest for exemption from registration.Persons desiring to make writtensubmissions should file six copiesthereof with the Secretary, Securitiesand Exchange Commission, 450 FifthStreet, N.W., Washington, D.C. 20549.Reference should be made to File No.600–29. Copies of the application andall written comments will be availablefor inspection and copying at theCommission’s Public Reference Room,450 Fifth Street, N.W., Washington, D.C.20549.

For the Commission by the Division ofMarket Regulation, pursuant to delegatedauthority.33

Margaret H. McFarland,Deputy Secretary.[FR Doc. 96–15575 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M

[Release No. 34–37304; File No. SR–MSRB–96–5]

Self-Regulatory Organizations; Noticeof Filing and Immediate Effectivenessof a Proposed Rule Change by theMunicipal Securities RulemakingBoard Relating to Preservation ofRecords

June 11, 1996.

Pursuant to Section 19(b)(1) of theSecurities Exchange Act of 1934(‘‘Act’’), 15 U.S.C. 78s(b)(1), notice ishereby given that on June 4, 1996, theMunicipal Securities Rulemaking Board(‘‘Board’’ or ‘‘MSRB’’) filed with theSecurities and Exchange Commission(‘‘Commission’’ or ‘‘SEC’’) a proposedrule change (SR–MSRB–96–5). Theproposed rule change is described inItems I and II below, which Items havebeen prepared by the Board. TheCommission is publishing this notice tosolicit comments on the proposed rulechange from interested persons.

I. Self-Regulatory Organization’sStatement of the Terms of Substance ofthe Proposed Rule Change

The Board is proposing to amend ruleG–9, on preservation of records. Theproposed rule change would requirethat brokers, dealers and municipalsecurities dealers (collectively,‘‘dealers’’) retain the records required byrule G–8(a)(xv) for a period of threeyears. The Board requests that theCommission set the effective date for theproposed rule for 30 days after filing.

II. Self-Regulatory Organization’sStatement of the Terms of Substance ofthe Proposed Rule Change

In its filing with the Commission, theBoard included statements concerningthe purpose of and basis for theproposed rule change and discussed anycomments it received on the proposedrule change. The texts of thesestatements may be examined at theplaces specified in Item IV below. TheBoard has prepared summaries, set forthin Section (A), (B), and (C) below, of themost significant aspects of suchstatements.

(A) Self-Regulatory Organization’sStatement of the Purpose of, andStatutory Basis for, the Proposed RuleChange

Among other things, Board rule G–36requires that, with certain exceptions,each dealer acting as an underwriter ina primary offering of municipalsecurities submit a copy of the finalofficial statement, if one is prepared, tothe Board. Underwriters also arerequired to send advance refundingdocuments to the Board if an offering ofmunicipal securities ‘‘advance refunds’’an outstanding issue of municipalsecurities.

Rule G–8(a)(xv) requires that dealersmaintain a record of sending to theBoard, Forms G–36(O/S) and G–36(ARD) and the correspondingrequired documentation. Rule G–9, onpreservation of records, currently doesnot state a time period for preservationof these records.

The proposed amendment to rule G–9 would require that dealers retain therecords required by rule G–8(a)(xv) fora period of three years. This three-yearperiod would coincide with the recordretention requirement for thedocumentation supporting proof ofdelivery of official statements topurchasers of new issues securities asrequired by rule G–32 on disclosures inconnection with new issues.

The Board believes the proposed rulechange is consistent with Section15B(b)(2)(G) of the Act, which requires,in pertinent part, that the Board’s rules:prescribe records to be made and kept bymunicipal securities brokers and municipalsecurities dealers and the periods for whichsuch records shall be preserved.

(B) Self-Regulatory Organization’sStatement on Burden on Competition

The Board does not believe that theproposed rule change will impose anyburden on competition not necessary orappropriate in furtherance of thepurposes of the Act.

(C) Self-Regulatory Organization’sStatement on Comments on theProposed Rule Change Received FromMembers, Participants, or Others

Written comments were neithersolicited nor received.

III. Date of Effectiveness of theProposed Rule Change and Timing forCommission Action

Because the foregoing proposed rulechange: (i) does not significantly affectthe protection of investors or the publicinterest; (ii) does not impose anysignificant burden on competition; (iii)was provided to the Commission for itsreview at least five days prior to thefiling date; and (iv) does not becomeoperative for thirty (30) days from thedate of its filing, the Board hassubmitted this proposed rule change tobecome effective pursuant to Section19(b)(3)(A) of the Act and Rule 19b–4(e)(6) thereunder. In particular, theBoard believes that the proposed rulechange qualifies as a ‘‘non-controversialfiling’’ in that the proposed amendmentdoes not significantly affect theprotection of investors or the publicinterest and does not impose anysignificant burden on competition. Atany time within sixty days of the filingof the proposed rule change, theCommission may summarily abrogatesuch rule change if it appears to theCommission that such action isnecessary or appropriate in the publicinterest, for the protection of investors,or otherwise in furtherance of thepurpose of the Act.

IV. Solicitation of Comments

Interested persons are invited tosubmit written data, views, andarguments concerning the foregoing.Persons making written submissionsshould file six copies thereof with theSecretary, Securities and ExchangeCommission, 450 Fifth Street, NW.,Washington, DC 20549. Copies of thesubmissions, all subsequentamendments, all written statementswith respect to the proposed rulechange that are filed with theCommission, and all writtencommunications relating to theproposed rule change between theCommission and any person, other thanthose that may be withheld from thepublic in accordance with theprovisions of 5 U.S.C. 552, will beavailable for inspection and copying inthe Commission’s Public ReferenceRoom. Copies of the filing will also beavailable for inspection and copying atthe Board’s principal offices. Allsubmissions should refer to File No.


1 15 U.S.C. 78s(b)(1).2 17 CFR 240.19b–4.3 See Securities Exchange Act Release No. 35571

(Apr. 5, 1995), 60 FR 18649 (Apr. 12, 1995) (orderapproving proposed rule change relating todomestic listing standards).

4 Previously, the NYSE required that the companyhave at least 2,200 total stockholders together with

an average monthly trading volume of 100,000shares for the most recent six months, or 2,000round-lot holders.

5 See Securities Exchange Act Release No. 35571n. 19 (Apr. 5, 1995), 60 FR 18649 (Apr. 12, 1995).

6 According to the Exchange, a small number ofcompanies that initially listed on the Exchange bysatisfying the minimum aggregate market value ofboth publicly held shares and net tangible assetsbefore the original listing standards were increasedto their current levels are above the currentcontinued listing criteria, but are below theproposed criteria. Upon the Commission’s approvalof the proposed rule change, the Exchange willnotify these companies of the new continued listingcriteria and inform such companies that theExchange expects them to be in compliance withthe new criteria within 18 months of their effectivedate. The Exchange will consider those companiesthat do not meet these new standards by such dateto be below the continued listing criteria at thattime.

7 Companies may currently be valued on a ‘‘cashflow’’ basis by either on listing demonstratingearning power by meeting the minimum levels ofadjusted income or after being listed on theExchange switching from a reported income to a‘‘cash flow’’ basis.

8 As described above, the Exchange currentlyrequires 1,200 round-lot holders.

9 15 U.S.C. § 78f(b).

SR–MSRB–96–5 and should besubmitted by July 10, 1996.

For the Commission by the Division ofMarket Regulation, pursuant to delegatedauthority, 17 CFR 200.30–3(a)(12).Margaret H. McFarland,Deputy Secretary.[FR Doc. 96–15508 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M

[Release No. 34–37307; File No. SR–NYSE–96–07]

Self-Regulatory Organizations; NewYork Stock Exchange, Inc.; OrderGranting Approval To Proposed RuleChange Relating To Continued ListingCriteria for Capital or Common Stock

June 12, 1996.On March 18, 1996, the New York

Stock Exchange, Inc. (‘‘NYSE’’ or‘‘Exchange’’) submitted to the Securitiesand Exchange Commission (‘‘SEC’’ or‘‘Commission’’), pursuant to Section19(b)(1) of the Securities Exchange Actof 1934 (‘‘Act’’) 1 and Rule 19b–4thereunder, 2 a proposed rule change toamend the criteria for continued listingon the Exchange for capital or commonstock.

The proposed rule change waspublished for comment in SecuritiesExchange Act Release No. 3707 (Apr. 1,1996), 61 FR 15548 (Apr. 8, 1996). Nocomments were received on theproposal.

In 1995, the Exchange amended itsdomestic listing standards by makingchanges to the numerical criteria.3 Oneof the proposals adopted an alternatedemonstrated earnings power standardfor companies that have a marketcapitalization of at least $500 millionand revenues of at least $200 million intheir most recent fiscal year. Under thisnew alternative, such companies areable to qualify for listing if theiradjusted net income is positive for eachof the last three fiscal years and not lessthan $25 million in the aggregate forsuch period. At the same time, theNYSE also amended its domestic listingstandards by increasing the listingstandard regarding aggregate marketvalue of publicly-held shares and nettangible assets from $18 million to $40million and added an alternate liquiditystandard of 500 total stockholders andaverage monthly trading volume of1,000,000 shares.4 When the

Commission approved theseamendments to the initial listingstandards, it noted that the Exchangecommitted to propose correspondingcontinued listing criteria.5

Currently, Paragraph 802 of theNYSE’s Listed Company Manual(‘‘Manual’’) sets forth the standards forcompanies that want their equitysecurities to remain listed on theExchange. These standards requirecompanies to maintain the followingminimum numerical criteria for theircapital or common stock. First, thecompany must have at least 1,200holders of 100 shares or more (or of aunit of trading if less than 100 shares).Second, the number of publicly-heldshares must be at least 600,000. Third,the aggregate market value of publicly-held shares must be at least $5,000,000.Fourth, the company must have at least$8,000,000 in aggregate market value ofshares outstanding (excluding treasurystock) and in net tangible assetsavailable to common stock. The currentNYSE continued listing standards,however, do not provide for continuelisting standards for companies thatwere listed by satisfying the alternatedemonstrated earnings power standardor under the alternate liquiditystandard. In its proposed rule change,the NYSE proposes to adopt newcontinued listing criteria to parallel theadjusted net income listing standardand to amend its current continuedlisting criteria to reflect the changesmade in 1995 to the initial listingstandards.6

Adjusted Net Income Continued ListingCriteria

Under the proposal, for companiesthat are currently valued on a ‘‘cashflow’’ basis under Paragraph 102.01 ofthe Manual, the aggregate market valueof shares outstanding, excludingtreasury stock, must be at least$25,000,000 and average adjusted net

income for the past 3 years must be atleast $6,500,000.7

Earnings and Liquidity ContinuedListing Criteria

Under the proposal, the NYSE willrequire that the company maintain atleast 400 total stockholders or 1,200total stockholders if the averagemonthly trading volume in the commonstock is less than 100,000 shares for themost recent 12 months.8 The Exchangewill also require that the companymaintain an aggregate market value ofpublicly-held shares of $8,000,000 forits common stock. With respect toearnings, the Exchange proposes torequire that the company maintain anaggregate market value of sharesoutstanding (excluding treasury stock)of at least $12,000,000 and average netincome after taxes for the past threeyears of at least $600,000. The Exchangewill also require the net tangible assetsavailable to common stock to be at least$12,000,000 and average net incomeafter taxes for the past 3 years to be atleast $600,000.

The Commission finds that theproposed rule change is consistent withthe requirements of the Act and therules and regulations thereunderapplicable to a national securitiesexchange, and, in particular, with therequirements of Section 6(b).9Specifically, the Commission believesthe proposal is consistent with theSection 6(b)(5) requirements that therules of an exchange be designed topromote just and equitable principles oftrade, to prevent fraudulent andmanipulative acts, and, in general, toprotect investors and the public interest;and are not designed to permit unfairdiscrimination between issuers.

The Commission believes that thedevelopment and enforcement ofadequate standards governing the listingof securities on an exchange is anactivity of critical importance toexchange markets and to the investingpublic. Listing standards serve as ameans for the self-regulatoryorganizations (‘‘SROs’’) to screen issuersand to provide listed status only to bonafide companies with substantial float,investor base, and trading interest toensure sufficient liquidity for fair andorderly markets. Listing standards alsoenable an exchange to assure itself of


10 See Securities Exchange Act Release No. 35571,supra note 3.

11 15 U.S.C. 78s(b)(2).12 17 CFR 200.30–3(a)(12).

the bona fides of the company and itspast trading history. In this regard, theExchange previously proposed, and theCommission approved, amendments toits initial listing standards that providedfor an alternate method by which acompany could meet the ‘‘demonstratedearnings’’ listing standard, increased thenumerical criteria for the aggregatemarket value of both publicly-heldshares and net tangible assets, andadopted an alternate shareholderdistribution standard for companieswhose shares are very actively traded.10

With this rule proposal, the Exchangeproposes to amend the continued listingcriteria for common stock to reflect theamendments made to the initial listingstandards in 1995. The Commissionbelieves that adequate maintenancestandards are of equal importance to thedevelopment of adequate standards forinitial inclusion on an exchange. TheCommission notes that once an issuehas been initially approved for listing,the Exchange must monitor continuallythe status and trading characteristics ofthat issue to ensure that it continues tomeet exchange standards for tradingdepth and liquidity.

Specifically, with respect to the newadjusted net income criteria, theCommission believes that it isappropriate to establish specificcontinued listing criteria that correlateto the alternate method for satisfying thedemonstrated earnings requirement ofthe initial listing standard. Under thenew standards, companies that arevalued on a ‘‘cash flow’’ basis must haveat least an aggregate market value of$25,000,000 (which is higher than theproposed standard of $12,000,000aggregate market value for othercompanies) as well as satisfy an averageadjusted net income for the past threeyears of $6,500,000.

Under the proposal, the Exchange isalso increasing the minimumrequirements for aggregate market valueof publicly-held shares from $5,000,000to $8,000,000; aggregate market value ofshares outstanding (excluding treasurystocks) from $8,000,000 to $12,000,000;and net tangible assets available tocommon stock from $8,000,000 to$12,000,000. The Commission believesthat these substantial increasessignificantly upgrade the NYSE’scontinued listing criteria and strengthenthe Exchange’s securities listing processby adding continued listing standardsthat more appropriately correspond tothe initial listing standards. Moreover,the Commission believes that thestringent maintenance criteria,

established by the rule proposal, shouldhelp to ensure the stability of themarketplace, as well as protectinvestors, by enabling the NYSE toidentify listed companies that may nothave sufficient liquidity and financialresources to warrant continued listing.This, in turn, will allow the NYSE totake appropriate action.

Finally, the NYSE proposes to amendthe investor base and public floatrequirements of its continued listingcriteria. Although the minimum numberof investors required has decreased, theCommission believes that establishing aminimum of at least 400 totalstockholders in conjunction with anaverage monthly trading volume of atleast 100,000 shares will notsignificantly weaken the high standardsthat the Exchange wants to maintain.The requirement for an average monthlytrading volume will ensure that listedcompanies with a smaller shareholderbase should have sufficient interest tosupport a liquid market. Moreover, theExchange requirement that listedcompanies have at least 1,200 totalstockholders if the average monthlytrading volume is less than 100,000 alsowill ensure that there is sufficientshareholder base to support a liquidmarket. Although the Exchangepreviously required at least 1,200round-lot holders, the Commissionbelieves that the new shareholderdistribution standard in conjunctionwith the updated numerical criteria willpermit the Exchange to monitor itslisted companies to ensure continueddepth and liquidity.

In conclusion, based upon theanalysis set forth above, theCommission believes this rule changewill continue to ensure that NYSE listedcompanies have adequate depth andliquidity to support trading on theNYSE. Accordingly, the Commissionbelieves that this rule change adequatelyprotects investors and the publicinterest.

It is therefore ordered, pursuant toSection 19(b)(2) of the Act,11 that theproposed rule change (SR–NYSE–96–07) is approved.

For the Commission, by the Division ofMarket Regulation, pursuant to delegatedauthority.12

Margaret H. McFarland,Deputy Secretary.[FR Doc. 96–15576 Filed 6–18–96; 8:45 am]BILLING CODE 8010–01–M

SMALL BUSINESS ADMINISTRATION

Hartford District Advisory CouncilMeeting, Public Meeting

The U.S. Small BusinessAdministration, Hartford DistrictAdvisory Council will hold a publicmeeting on Monday, July 1, 1996, at8:30 a.m. at 2 Science Park, New Haven,Connecticut 06511, to discuss matters asmay be presented by members, staff ofthe U.S. Small Business Administration,or others present.

For further information, write or callMs. Jo-Ann Van Vechten, DistrictDirector, U.S. Small BusinessAdministration, 330 Main Street,Hartford, Connecticut, (860) 240–4670.

Dated: June 12, 1996.Michael P. Novelli,Director, Office of Advisory Council.[FR Doc. 96–15499 Filed 6–18–96; 8:45 am]BILLING CODE 8025–01–P



Commercial Space TransportationAdvisory Committee—Re-Establishment

AGENCY: Federal AviationAdministration (FAA), DOT.ACTION: Notice of Commercial SpaceTransportation Committee Re-establishment.

SUMMARY: Notice is hereby given of there-establishment of the CommercialSpace Transportation AdvisoryCommittee. The committee reviewsmatters relating to the commercial spacetransportation industry and providesinformation, advice, andrecommendations on commercial spacetransportation activities. The functionsof the committee are solely advisory andthe committee will comply with theprovisions of the Federal AdvisoryCommittee Act.

The Secretary of Transportation hasdetermined that the use of theCommercial Space TransportationAdvisory Committee is in the publicinterest in connection with theperformance of duties imposed on FAAby law. Meetings of the committee willbe open to the public.FOR FURTHER INFORMATION CONTACT:Brenda Parker (AST–100), Office of theAssociate Administrator for CommercialSpace Transportation, 400 7th Street,SW., Washington, DC, 20591, telephone(202) 366–2932.


Issued in Washington, DC, on June 13,1996.Frank C. Weaver,Associate Administrator for CommercialSpace Transportation.[FR Doc. 96–15632 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–P

Announcement of Federal AviationAdministration AcquisitionManagement System Standard Clausesand Provisions

AGENCY: Federal AviationAdministration, DOT.ACTION: Notice of availability.

SUMMARY: The Federal AviationAdministration (FAA) announces theavailability of the FAA AcquisitionManagement System standard clauses.This notification facilitates the widestpossible distribution and availability ofthe standard clauses to be used in FAAprocurement contracts and screeninginformation requests (SIRs). The FAAAcquisition Policy, Plans andProcedures Division, ASU–100, isresponsible for configuration controland archive of the FAA contract clausesand provisions. Availability of clausesand provisions on the Internet and/orthrough ASU–100 will allow theirincorporation by reference in FAAprocurement actions.ADDRESSES: The complete text of theFAA Acquisition Management SystemStandard Clauses is available on theInternet at http://www.faa.gov/asu.appd/Toolbox.htm. Use of theInternet World Web Site is stronglyencouraged for access to copies of theFAA Acquisition Management System.If Internet service is not available,requests for copies of the FAAAcquisition Management SystemStandard Clauses may be made to thefollowing address: FAA AcquisitionReform, ASU–100, Rm. 435, 800Independence Avenue, SW,Washington, DC 20591.FOR FURTHER INFORMATION CONTACT:David Lankford, ProcurementManagement Branch, Federal AviationAdministration, Rm. 435, 800Independence Avenue, SW,Washington, DC 20591, (202) 267–7771.SUPPLEMENTARY INFORMATION: OnOctober 31, 1995, Congress passed anact, Making Appropriations for theDepartment of Transportation andRelated Agencies, for the Fiscal YearEnding September 30, 1996, and forOther Purposes (The 1996 DOTAppropriations Act). On November 15,1995, the President signed this bill intolaw. In Section 348 of this law, Congressdirected the Administrator of the FAA

to develop and implement a newacquisition management system thataddresses the unique needs of theagency. The new FAA acquisitionmanagement system went into effect onApril 1, 1996 [see Notice of availabilityat 61 FR 15155 (April 4, 1996)]. As partof this system, the FAA has preparedstandard clauses for inclusion incontracts and screening informationrequests.

Issued in Washington, DC, on May 20,1996.Dennis DeGaetano,Director of Acquisitions, ASU–1.[FR Doc. 96–15639 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

Acceptance of Noise Exposure Mapsfor Scottsdale Airport, Scottsdale, AZ

AGENCY: Federal AviationAdministration, DOT.ACTION: Notice.

SUMMARY: The Federal AviationAdministration (FAA) announces itsdetermination that the noise exposuremaps submitted by the city ofScottsdale, AZ for Scottsdale Airportunder the provisions of Title I of theAviation Safety and Noise AbatementAct of 1979 (Public Law 96–193) and 14CFR Part 150 are in compliance withapplicable requirements.EFFECTIVE DATE: The effective date of theFAA’s determination on the noiseexposure maps is June 5, 1996.FOR FURTHER INFORMATION CONTACT:David B. Kessler, EnvironmentalProtection Specialist, Airports Division,AWP–611.2, Western-Pacific Region,Federal Aviation Administration, P.O.Box 92007, Worldway Postal Center, LosAngeles, CA 90009–2007, Telephone:310/725–3615. Street Address: 15000Aviation Boulevard, Hawthorne, CA90261. Documents reflecting this FAAaction may be reviewed at this samelocation.SUPPLEMENTARY INFORMATION: Thisnotice announces that the FAA findsthat the noise exposure maps submittedfor Scottsdale Airport are in compliancewith applicable requirements of part150, June 5, 1996. Under section 103 ofthe Aviation Safety and NoiseAbatement Act of 1979 (hereinafterreferred to as ‘‘the Act’’), an airportoperator may submit to the FAA noiseexposure maps which meet applicableregulations and which depictnoncompatible land uses as of the dateof submission of such maps, adescription of projected aircraftoperations, and the ways in which suchoperations will affect such maps. The

Act requires such maps to be developedin consultation with interested andaffected parties in the local community,government agencies, and persons usingthe airport.

An airport operator who hassubmitted noise exposure maps that arefound by FAA to be in compliance withthe requirements of Federal AviationRegulations (FAR) Part 150,promulgated pursuant to Title I of theAct, may submit a noise compatibilityprogram for FAA approval which setsforth the measures the operator hastaken or proposes for the reduction ofexisting noncompatible uses and for theprevention of the introduction ofadditional noncompatible uses.

The FAA has completed its review ofthe noise exposure maps and relateddescriptions submitted by the city ofScottsdale, Arizona. The specific mapsunder consideration are exhibits 1 and2 in the submission. The FAA hasdetermined that these maps forScottsdale Airport are in compliancewith applicable requirements. Thisdetermination is effective on June 5,1996. FAA’s determination on an airportoperator’s noise exposure maps islimited to a finding that the maps weredeveloped in accordance with theprocedures contained in appendix A ofFAR Part 150. Such determination doesnot constitute approval of theapplicant’s data, information or plans,or a commitment to approve a noisecompatibility program or to fund theimplementation of that program.

If questions arise concerning theprecise relationship of specificproperties to noise exposure contoursdepicted on a noise exposure mapsubmitted under section 103 of the Act,it should be noted that the FAA is notinvolved in any way in determining therelative locations of specific propertieswith regard to the depicted noisecontours, or in interpreting the noiseexposure maps to resolve questionsconcerning, for example, whichproperties should be covered by theprovisions of section 107 of the Act.These functions are inseparable fromthe ultimate land use control andplanning responsibilities of localgovernment. These local responsibilitiesare not changed in any way under part150 or through FAA’s review of noiseexposure maps. Therefore, theresponsibility for the detailedoverlaying of noise exposure contoursonto the map depicting properties onthe surface rests exclusively with theairport operator which submitted thosemaps, or with those public agencies andplanning agencies with whichconsultation is required under section103 of the Act. The FAA has relied on


the certification by the airport operator,under section 150.16 of FAR Part 150,that the statutorily required consultationhas been accomplished.

Copies of the noise exposure mapsand of the FAA’s evaluation of the mapsare available for examination at thefollowing locations:Federal Aviation Administration, 800

Independence Avenue, SW., Room621, Washington, DC 20591

Federal Aviation Administration,Western-Pacific Region, AirportsDivision, AWP–600, 15000 AviationBoulevard, Room 3012, Hawthorne,CA 92061

Mr. John S. Kinney, Airport Director,Scottsdale Airport, 15000 NorthAirport Drive, Scottsdale, AZ 85260Questions may be directed to the

individual named above under theheading FOR FURTHER INFORMATIONCONTACT.

Issued in Hawthorne, CA, on June 5, 1996.Robert C. Bloom,Acting Manager, Airports Division, AWP–600,Western-Pacific Region.[FR Doc. 96–15631 Filed 6–18–96; 8:45 am]BILLING CODE 1410–13–M

Notice of Intent To Rule on ApplicationTo Impose and Use the Revenue Froma Passenger Facility Charge (PFC) atAlexander Hamilton Airport,Christiansted, St. Croix, U.S. VirginIslands

AGENCY: Federal AviationAdministration (FAA), DOT.ACTION: Notice of intent to rule onapplication.

SUMMARY: The FAA proposes to rule andinvites public comment on theapplication to Impose and Use therevenue from a PFC at AlexanderHamilton Airport under the provisionsof the Aviation Safety and CapacityExpansion Act of 1990 (Title IX of theOmnibus Budget Reconciliation Act of1990) (Public Law 101–508) and Part158 of the Federal Aviation Regulations(14 CFR Part 158).DATES: Comments must be received onor before July 19, 1996.ADDRESSES: Comments on thisapplication may be mailed or deliveredin triplicate to the FAA at the followingaddress: Orlando Airports DistrictOffice, 9677 Tradeport Drive, Suite 130,Orlando, Florida 32827.

In addition, one copy of anycomments submitted to the FAA mustbe mailed or delivered to Mr. Gordon A.Finch, Executive Director of the VirginIslands Port Authority at the following

address: P.O. Box 1707 St. Thomas, U.S.Virgin Islands 00803–1707.

Air carriers and foreign air carriersmay submit copies of written commentspreviously provided to the VirginIslands Port Authority under section158.23 of Part 158.FOR FURTHER INFORMATION CONTACT:Pablo G. Auffant, P.E., ProgramManager, 9677 Tradeport Drive, Suite130, Orlando, Florida, 32827, 407–648–6582 ext. 30. The application may bereviewed in person at this samelocation.SUPPLEMENTARY INFORMATION: The FAAproposes to rule and invites publiccomment on the application to Imposeand Use the revenue from a PFC atAlexander Hamilton Airport under theprovisions of the Aviation Safety andCapacity Expansion Act of 1990 (TitleIX of the Omnibus BudgetReconciliation Act of 1990) (Public Law101–508) and Part 158 of the FederalAviation Regulations (14 CFR Part 158).

On June 5, 1996, the FAA determinedthat the application to Impose and Usethe revenue from a PFC submitted bythe Virgin Islands Port Authority wassubstantially complete within therequirements of section 158.25 of Part158. The FAA will approve ordisapprove the application, in whole orin part, no later than September 17,1996.

The following is a brief overview ofPFC Application No. 96–03–C–00–STX

Level of the proposed PFC: $3.00.Proposed charge effective date:

September 1, 1996.Proposed charge expiration date:

December 31, 2002.Total estimated PFC revenue:

$4,408,000.Brief description of proposed

project(s): Passenger TerminalRenovation and Expansion.

Class or classes of air carriers whichthe public agency has requested not berequired to collect PFCs: None.

Any person may inspect theapplication in person at the FAA officelisted above under FOR FURTHERINFORMATION CONTACT.

In addition, any person may, uponrequest, inspect the application, noticeand other documents germane to theapplication in person at the VirginIslands Port Authority.

Issued in Orlando, Florida on June 11,1996.Charles E. Blair,Manager, Orlando Airports District Office,Southern Region.[FR Doc. 96–15633 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

Notice of Intent To Rule on ApplicationTo Impose and Use the Revenue Froma Passenger Facility Charge (PFC) atWichita Mid-Continent Airport, Wichita,Kansas

AGENCY: Federal AviationAdministration, (FAA), DOT.ACTION: Notice of intent to rule onapplication.

SUMMARY: The FAA proposes to rule andinvites public comment on theapplication to impose and use therevenue from a PFC at Wichita Mid-Continent Airport under the provisionsof the Aviation Safety and CapacityExpansion Act of 1990 (Title IX of theOmnibus Budget Reconciliation Act of1990 (Public Law 101–508) and Part 158of the Federal Aviation Regulations (14CFR Part 158).DATES: Comments must be received onor before July 19, 1996.ADDRESSES: Comments on thisapplication may be mailed or deliveredin triplicate to the FAA at the followingaddress: Federal AviationAdministration, Central Region,Airports Division, 601 E. 12th Street,Kansas City, MO 64106.

In addition, one copy of anycomments submitted to the FAA mustbe mailed or delivered to Mr. Bailis F.Bell, Director of Airports, WichitaAirport Authority, at the followingaddress: Wichita Airport Authority,2173 Air Cargo Road, Wichita, Kansas67277–0130.

Air carriers and foreign air carriersmay submit copies of written commentspreviously provided to Wichita AirportAuthority, under section 158.23 of Part158.FOR FURTHER INFORMATION CONTACT:Lorna Sandridge, PFC Coordinator,FAA, Central Region, 601 E. 12th Street,Kansas City, MO 64106, (816) 426–4730.The application may be reviewed inperson at this same location.SUPPLEMENTARY INFORMATION: The FAAproposes to rule and invites publiccomment on the application to imposeand use the revenue from a PFC at theWichita Mid-Continent Airport underthe provisions of the Aviation Safetyand Capacity Expansion Act of 1990(Title IX of the Omnibus BudgetReconciliation Act of 1990) (Public Law101–508) and Part 158 of the FederalAviation Regulations (14 CFR Part 158).

On June 7, 1996, the FAA determinedthat the application to impose and usethe revenue from a PFC submitted bythe Wichita Airport Authority wassubstantially complete within therequirements of section 158.25 of Part158. The FAA will approve or


1 Traffic Safety Facts 1994: Speed, U.S.Department of Transportation, NHTSA, NationalCenter for Statistics and Analysis, 400 SeventhStreet, S.W., Washington, DC 20590.

2 The Life-Saving Benefits of the 55 MPH NMSL:Report of the NHTSA/FHWA Task Force, U.S.Department of Transportation, DOT HS 805–559,October 1980.

3 55: A Decade of Experience, TRB Special Report204, National Research Council, Washington DC,1984.

disapprove the application, in whole orin part, no later than September 11,1996.

The following is a brief overview ofthe application.

Level of the proposed PFC: $3.00.Proposed charge effective date:

November 1, 1996.Proposed charge expiration date:

October 31, 1998.Total estimated PFC revenue:

$1,518,409.Brief description of proposed

project(s): Reconstruction of Runway1R/19L, Taxiway E and Air CarrierApron (East); acquisition of a four-wheelloader, rapid intervention vehicle and aSurface Movement Guidance andControl System (SMGCS).

Any person may inspect theapplication in person at the FAA officelisted above under FOR FURTHERINFORMATION CONTACT.

In addition, any person may, uponrequest, inspect the application, noticeand other documents germane to theapplication in person at the WichitaMid-Continent Airport.

Issued in Kansas City, Missouri, on June 7,1996.George A. Hendon,Manager, Airports Division Central Region.[FR Doc. 96–15640 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

National Highway Traffic SafetyAdministration

Federal Highway Administration

[Docket No. 96–047–NO1]

Study of State Costs and BenefitsAssociated With Repeal of the NationalMaximum Speed Limit (NMSL)

AGENCY: National Highway TrafficSafety Administration (NHTSA) andFederal Highway Administration(FHWA), Department of Transportation(DOT).ACTION: Notice and request forcomments.

SUMMARY: This notice invites comments,suggestions and recommendations fromState highway and traffic safety officials,highway safety organizations,researchers, and others with an interestin the potential relationship betweenincreases in the speed limit andincreases in motor vehicle fatalities andinjuries. Specifically, in those Statesthat have raised their speed limitsbeyond that permitted by the formerNMSL, this notice solicits theparticipation and cooperation of therespective State highway safety officialsin the preparation of the study of costs

and benefits associated with the repealof the NMSL, pursuant to Section 347 ofthe National Highway SystemDesignation Act of 1995.DATES: Comments are due no later thanAugust 5, 1996.ADDRESSES: Written comments shouldrefer to the docket number of this noticeand should be submitted to: DocketSection, NHTSA, Room 5109, NassifBuilding, 400 Seventh Street, SW,Washington, DC 20590. Docket hoursare 9:30 am to 4:00 pm EST.FOR FURTHER INFORMATION CONTACT: InNHTSA, Delmas Johnson, NationalCenter for Statistics and Analysis,Telephone 202/366–5382, Fax 202/366–7078, Internet address [email protected]. In FHWA,Suzanne Stack, Office of HighwaySafety, Telephone 202/366–2620, Fax202/366–2249, Internet address [email protected] INFORMATION: Speeding(exceeding the posted speed limit ordriving too fast for conditions) is one ofthe most prevalent factors contributingto motor vehicle crashes, particularlyfatal crashes. In calendar year 1994,speeding was a factor in 30 percent ofall fatal crashes, and NHTSA estimatesthat 12,480 lives were lost in speed-related crashes. NHTSA estimates thatan additional 23,000 persons sustainedcritical injuries, 60,000 sustainedmoderate injuries, and 500,000sustained minor injuries, for a total ofan estimated 583,000 persons injured inspeed-related crashes in 1994. NHTSAestimates the 1994 costs of speed-relatedcrashes to be more than $23 billion.1

The National Maximum Speed Limit(NMSL), enacted during the Arab oilembargo of 1973 to conserve fuel, wasset at 55 miles per hour (MPH). ByMarch 1974, all States were incompliance with the NMSL. In additionto conserving fuel, the annual trafficfatality toll declined from 54,052 in1973 to 45,196 in 1974, a drop of over16%. As a result of the enormous safetybenefits in the form of the reduction intraffic fatalities, the Congress passedPublic Law (Pub. L.) 93–643, making theNMSL permanent. Public Law 93–643also required every State to certify thatthe NMSL was being enforced.

In 1978, the Congress enacted theSurface Transportation Assistance Act(STAA), Pub. L. 95–599. The STAArequired the States to submit data on thepercentage of motor vehicles exceeding55 MPH on public highways with a 55MPH posted speed limit.

Following the enactment of theNMSL, numerous studies of the benefitsand costs of the legislation wereconducted. A joint NHTSA/FHWA taskforce, charged with determining thesafety benefits of the NMSL, conductedone of these studies. The NHTSA/FHWA task force concluded that whilethe ‘‘* * * determination of a precise,accurate estimate of lives saved by theNMSL * * * is problematic, there were20,000 to 30,000 lives saved by theNMSL during the period 1974–1978.’’ 2

The STAA of 1982 required that astudy of the ‘‘benefits, both human andeconomic’’ of the NMSL, with‘‘particular attention to savings to thetaxpayers * * *’’ be conducted by theNational Academy of Sciences’Transportation Research Board (TRB). In1984, TRB published its special report,55: A Decade of Experience.3 The TRBstudy, conducted by a 19 membercommittee composed of experts from awide range of disciplines needed toevaluate the costs and benefits of theNMSL, represents one of the mostthorough and extensive examinations ofthis important safety issue. Althoughthe TRB committee recognized theinherent difficulties associated withattempts to accurately estimate thesafety, economic, and energy benefits ofthe NMSL, the study concluded thatannually 3,000 to 5,000 fewer trafficfatalities, a savings of $2 billion in fuelcosts, a savings of $65 million intaxpayer costs were the result of theNMSL, along with an increase of 1billion hours in travel time. The TRBstudy also recognized severalunresolved issues, including: the impactof noncompliance; the containment ofhigher speeds, if permitted, on a limitedsubset of roads; and whether the controlof the speed limit is a state or federalresponsibility.

In 1987, the Surface Transportationand Uniform Relocation Assistance Actgranted the states the authority to raisethe speed limit, not to exceed 65 MPH,on portions of the rural Interstatesystem. Thirty-eight states raised speedlimits on rural Interstates to 65 MPH in1987, and two additional states adoptedthe 65 MPH speed limit on ruralInterstates in 1988, bringingapproximately 90 percent of the 34,000rural Interstate mileage to 65 MPH.Congress asked for an evaluation of theeffects of the 65 MPH speed limit onrural Interstate traffic fatalities for the


4 Effects of the 65 MPH Speed Limit through 1990:A Report to Congress, U.S. Department of

Transportation, NHTSA, Washington, DC, May1992.

period 1987 through 1989. NHTSApublished the results of this evaluationin several reports to Congress, the lastof which was published in 1992,4estimating the 1990 fatality toll on ruralInterstates in the 38 states with 65 MPHlimits to be ‘‘30 percent greater thanmight have been expected’’ or anincrease of about 500 fatalities.

National Highway System (NHS)

Designation ActThe National Highway System

Designation Act (hereinafter referred toas ‘‘the NHS Act’’) of 1995 (Pub. L. 104–59) was signed into law on November28, 1995. The NHS Act, among otherthings, established the NationalHighway System and eliminated theFederal mandate for the NMSL. Inaddition, Section 347 of the NHS Actrequired the Secretary of Transportationto study the impact of states’ actions toraise speed limits above 55/65 MPH:

Not later than September 30, 1997, theSecretary, in cooperation with any Statewhich raises any speed limit in such State toa level above the level permitted undersection 154 of title 23, United States Code,as such section was in effect on September15, 1995, shall prepare and submit toCongress a study of—

(1) The costs to such State of deaths andinjuries resulting from motor vehicle crashes;and

(2) The benefits associated with the repealof the national maximum speed limit.

Rep. James L. Oberstar, in remarks onhis amendment which led to therequirement contained in Pub. L. 104–

59, elaborated on the issues that thestudy (hereinafter referred to as the‘‘NHS Act study’’) should address—

To provide meaningful, useful information,the report should include information on thecosts before the State changes its safety laws,and after. It would thus be my intent that theSecretary’s report, due September 30, 1997,include information on the costs of motorvehicle crashes in the year before changes gointo effect; and again a year later.

The report should include, at a minimum,the costs of acute, rehabilitative and long-term medical care, sources of reimbursementand the extent to which these sources ofreimbursement and the extent to which thesesources cover actual costs, and the costs toall levels of government, to employers, andothers.

All States are not alike. Each State willwant to know its own data, so that it candetermine whether its problems are comingfrom alcohol-related or speed-related causes,from not wearing seatbelts and helmets, orother causes, and perhaps adjust its lawsaccordingly.

The report should therefore also includeadditional factors such as whether excessspeed or alcohol were involved in theaccident, whether seat belts and motorcyclehelmets were used by those involved in thecrash, and any other factors the Secretarymay wish to add or State to know.

NHTSA and FHWA (hereinafterreferred to as ‘‘the agencies’’) propose astrategy for meeting the legislativerequirements, as stated in Section 347 ofthe Act, in this notice. The proposedstrategy is intended to address thecomplexities of determining the costsand benefits of increased speed limits,while meeting the Congressional

deadline of September 30, 1997. Amajor aspect of the proposed strategy isan emphasis on cooperation betweenthe agencies and the States that haveincreased their speed limits, as stated inthe legislation, for preparation of thestudy. It is important that the Statesparticipate in the NHS study process, asdetermining the impact of increasedspeed limits in a particular State willnecessitate that an analysis of state-specific data be conducted. In addition,the proposed strategy uses an approachsimilar to that used in the extensivestudy conducted by TRB, in order tocapitalize on the thorough work done bythe TRB committee to examine costsand benefits resulting from decreasingthe speed limit.

Data Needs

The agencies have identified severalmajor categories of data needed, as aminimum, to conduct the NHS Actstudy. These data are critical tostudying, to a reasonable degree, theissues related to determining the costsand benefits of increasing speed limits.The following table presents theminimum data requirements foraddressing key components ofestimating the safety impact ofincreasing speed limits. It will beimportant to collect the data describedin the following table for a minimumtime period of one year before the speedlimit change vs. one year after the speedlimit change, if at all possible.

MINIMUM DATA REQUIREMENTS FOR CONDUCTING NHS ACT STUDY

Purpose Data description Performing organization

Background .................................................................. Effective Dates of Change in Limits, Roadway Types,New Limit(s), Types of Vehicles Covered.

States.

Determining the Impact of Increased Speed Limits onTraffic Fatalities.

Fatalities—Fatal Accident Reporting System (FARS) States—state impacts.NHTSA—national impacts.

Determining the Impact of Increased Speed Limits onInjuries.

Injury Crashes and Injured Persons—by road, vehicletypes, by speed limit, alcohol involvement, helmetuse.

States.

Determining the Impact of Increased Speed Limits onCrashes.

Crashes of All Severities—by road, vehicle types, byspeed limit, alcohol involvement, helmet use.

States.

Estimating Benefits ...................................................... Reduced Travel Time—Commercial & Public Trans-portation.

States.

Estimating Costs .......................................................... Economic Cost of Crashes—Before Vs. After SpeedLimit Changes, Medical Costs of Crash-InvolvedPersons.

States—state impacts.NHTSA—national impacts.

Determining Exposure ................................................. Vehicle Miles Traveled and Speed Distribution .......... States/FHWA.

The agencies request comments fromthe States and other interested highwaysafety officials on the proposed datashown above. Specifically, the agenciesrequest comments regarding dataavailability specific to relevant time

periods, data accuracy, suggestions foradditional data not mentioned above,and any problems inherent in collectingand/or reporting these data.

Proposed NHS Study OutlineThe agencies propose the following

outline for the NHS study content. Theproposed outline presents a structure foraddressing the entire range of issuesidentified in Section 347 of the Act. The


5 Interested parties may request a copy bycontacting the TRB, National Research Council,2101 Constitution Avenue, NW., Washington, DC20418.

outline is an adaptation of the structureof the TRB special report, 55: A Decadeof Experience. While the data describedin the table shown in the previoussection, Data Needs, represents theminimum data requirement forconducting the study, the followingoutline presents an approach for athorough treatment of the entire range ofissues associated with estimating costsand benefits of increased speed limits.The agencies recognize that data maynot be available for all of these areas,but in the interest of completeness andto closely follow the TRB report’scontent, these areas are included. Insome instances, collection of specificdata may not be possible. However,estimates may be available from pastrelationships and/or research, orapplying some type of multiplicativefactors derived from other data sources.

Draft Outline for NHS Study

I. IntroductionA. Scope of the study/legislative languageB. Legislative history of NMSL and

requirementsC. Summary of previous experiences1. Safety2. Economic

II. Effects on Travel and Vehicle SpeedsA. The highway system: mileage, travel

and safetyB. Amount of travel affectedC. Speed and travel changes across

highway systemsD. Adequacy of speed data for addressing

issuesIII. Impacts of Increased Speed Limits

A. Travel Time (Personal, work, etc.)B. Required Monitoring & ComplianceC. Fuel ConsumptionD. Highway Safety (Fatalities, Injuries,

Property Damage, etc.)IV. Economic Impacts of Increased Speed

LimitsA. Value of the Effects on Travel TimeB. Required Monitoring & Compliance

Certification CostsC. Costs Associated with Fuel

ConsumptionD. Motor Vehicle Crash Costs (Medical

Care, Lost Productivity, PropertyDamage, etc.

V. Summary and Conclusions

The material outlined above poses anumber of challenges to assessing theimpacts of raised speed limits. First andforemost is the collection of appropriatedata to address the safety and economicimpacts. The crash data collectionshould be straightforward, although thetiming and availability of a sufficientamount of data to meet the report’scurrent deadline may prove to be one ofthe biggest challenges. Anotherchallenge will be in the area ofanalyzing the data to provide estimatesof effect.

The TRB’s report, 55: A Decade ofExperience, is essentially a review of the

existing literature on these subjects,supplemented by what appears to besome new analysis at the national level,based on existing studies. The reportcontains hundreds of references ofpapers reviewed for consideration intheir report. A copy of the TRB reporthas been placed in the docket.5 Thereport describes methods used toestimate various components such astaxpayer costs and benefits, energysavings, and travel time. In many cases,external information was used (such asthe Nationwide Personal TransportationStudy) to estimate, on a national level,the amount of travel accounted for bywork-related trips, and their average triplength. In some instances, changesproportional to the changes in crashes,injuries and fatalities were assumed.

As stated earlier, one of the objectivesof the current report is to study theeffect of raised speed limits on, ‘‘* * *the costs of acute, rehabilitative andlong-term medical care, sources ofreimbursement and the extent to whichthese sources of reimbursement coveractual costs, and the costs to all levelsof government, to employers, andothers.’’ This level of detail generallyhas been unavailable to the traffic safetycommunity, with the possible exceptionof special, small-scale studies. However,NHTSA recently completed a project,Crash Outcome Data Evaluation Study(CODES), that consisted of grants toseven states. The CODES studyemployed methods whereby statewidedata from police crash reports,emergency medical services, hospitalemergency departments, hospitaldischarge files, claims and other sourceswere linked so that those people injuredin motor vehicle crashes could befollowed through the health caresystem. A copy of the Report toCongress (DOT–HS–808–347, February1996) and the CODES Technical Report(DOT–HS–808–338, January 1996) havebeen placed in the docket. Based uponthe CODES experience, NHTSAcontinues to encourage states to linkthese data as a resource for identifyingand quantifying traffic safety problemswithin states, and for evaluating thehealth-care consequences of varioustraffic safety policy decisions. In theabsence of such linked databases withinthe states, other approaches toestimating the economic effects on thehealth-care system will need to beemployed.

Lastly, NHTSA’s last Report toCongress on the Effects of the 65 mph

Speed Limit Through 1990 (DOT–HS–807–840, June 1992) has been placed inthe docket. This report illustrates thetype of analysis of crash data that canbe performed for estimating the effect ofspeed limit changes. In this report, atime series regression model was usedto estimate the data, using annual datafrom 1975 through 1986 as the baselineperiod, and 1987 through 1990 as the 65mph period. Fatalities on rural interstatehighways in the 38 states that increasedtheir speed limits in 1987 were modeledas a function of fatalities on all otherroads in these 38 states, and a dummy(0,1) variable representing the absence/presence of the 65 mph speed limit.This approach resulted in a model thatfit the data well (i.e., 88 percent of thevariation explained). In general, a longertime frame permits more stableestimates than simply comparing theyear before vs. the year after, and thus,would be preferable for the currentreport.

Based on the above outline, theproposed NHS study would attempt toaddress a wide range of issues on thebenefits and costs of the increased speedlimits, using a compilation of State-specific data and national estimates.Chapter I—Introduction, would presentan overview of the historicalbackground on establishing speedlimits, specifically the NMSL, and abrief summary of findings from study ofthe costs and benefits of the NMSL,similar to the material presented earlierin this notice in SupplementaryInformation. Chapter II—Effects onTravel and Vehicle Speeds, would relyheavily on information received fromthe States with increased speed limits,augmented by anecdotal information onthe national impact. Chapter III—Impacts of Increased Speed Limits,would present a detailed assessment,using data collected and analyzed byindividual States, on the estimatedsavings in reduced travel time andmonitoring/compliance efforts and theestimated impact in terms of increasesin motor vehicle crashes, fatalities,injuries, traffic congestion, and fuelconsumption. As such, Chapter IIIencompasses a critical portion of theproposed study and will necessitate thatthe agencies rely upon the individualStates for detailed assessments of theimpact of increased speed limits oncrashes, particularly injury and propertydamage crashes, traffic congestion,reduced air quality, and increased fuelconsumption. It will be extremelyimportant to receive State informationon these key areas for compiling theNHS study, as the agencies will nothave direct access to State specific data


on these issues. Chapter IV—EconomicImpacts of Increased Speed Limits—would present an examination of theactual costs saved in reduction in traveltime and the costs incurred as a resultof increases in the crash spectrum,fatalities, injuries, and property damage,in detail. As a result, Chapter IV extendsthe analysis of the data presented inChapter III by supplementing estimatesof increases in motor vehicle crashes,with the economic cost of variouscomponents of crash costs. The agencies

plan to rely heavily on the Stateanalyses for compiling Chapter IV andintends to augment, as necessary, theState findings with economic costestimates and a presentation of nationalestimates of economic costs, as well.Most importantly, the agencies willhave to rely exclusively on Statespecific information for compiling oneparticular component of Chapter IV,Section D—Impact on public revenues.Chapter V—Summary andConclusions—would present a summary

of the State and National findings fromprevious chapters, along withobservations regarding difficultiesencountered by the States and theagencies in the analytical process andgeneral conclusions.

Proposed Schedule

The agencies propose the followingschedule for completing the NHS studyin order to meet the deadlineestablished by Section 347 of the Act.

PROPOSED SCHEDULE FOR CONDUCTING NHS STUDY

Date Milestone

August 5, 1996 ........................ End 45-day comment period w/comments due to NHTSA/FHWA.September 27, 1996 ............... Publish final notice on NHS Act study methodology and summary of comments received.October 1996 thru April 1997 Provide technical support to the States on an ‘‘as requested’’ basis for preparing State-specific studies of the

costs/benefits of increased speed limits.May 30, 1997 .......................... States’ individual studies on costs/benefits of increased speed limits are due to NHTSA/FHWA.June 30, 1997 ......................... NHTSA/FHWA complete draft NHS Act study report including consolidation of individual State studies.July 1997 ................................. Draft NHS study circulated for review within DOT and to participating States.August 1997 ............................ Final NHS study completed and reviewed/approved by DOT.September 30, 1997 ............... NHS study sent to Congress.

Issues Regarding Data Availability,Proposed NHS Act Study Outline, andSchedule

The agencies recognize that theproposed NHS study outline, whilecomprehensive in addressing thevarious aspects of determining thebenefits and costs of increased speedlimits, may present difficulties, basedon the timing of the schedule,particularly in terms of data availability.Data availability is a key concern forcompleting the proposed study at theFederal and State levels. For example,while NHTSA maintains data on trafficfatalities and fatal crashes for the nationin the Fatal Accident Reporting System(FARS), FARS data for 1996 will beavailable for analysis in June 1997, threemonths from the legislative due date forthe NHS Act study. Additionally, 1996data on vehicle miles traveled, a criticalmeasure of exposure needed for fatalityand injury rate calculations, will be notavailable to FHWA until September1997, at the same time the NHS Actstudy is due to Congress. As a result, theagencies solicit comments on theseproposed requirements, and areparticularly interested in answers to thefollowing questions:

1. In the States with increased speedlimits, are there data available in theState to address the specific areasoutlined in the proposed NHS Actstudy, especially Chapter III—Impacts ofIncreased Speed Limits and ChapterIV—Economic Impacts of IncreasedSpeed Limits? If so, to what extent?

2. Do plans currently exist within theState(s) to study the impact—safety andeconomic—of increased speed limits? Ifyes, does the State anticipate meetingthe proposed schedule for forwardingresults of the study to DOT? If there areno current plans to study the impact ofincreased speed limits, does the Stateintend to participate in the proposedstudy effort by contributing informationregarding the changes in the Staterelated to increased speed limits?

3. Is the proposed approachreasonable? Are there issues that shouldbe studied that are not included in theproposed outline? Are there issuesincluded in the proposed outline thatshould be omitted or revised?

4. Is the proposed schedulereasonable? If not, what can reasonablybe accomplished within the proposedtime frame? What is an alternativeschedule that would be morereasonable?

5. Does the proposed scheduleprovide for a sufficient period of time toevaluate the effects of increased speedlimits? For example, the study is taskedwith comparing one year before vs. oneyear after the change in speed limits.States are asked to comment on thetiming of their implemented or plannedchanges in the State speed limit as itrelates to the NHS Act study objectives.

The agencies invite public commenton the above questions and other areasof this notice. Interested individuals,highway safety organizations, Statehighway officials, and others areencouraged to submit comments onthese and any related issues. It is

requested (but not required) that ten (10)copies of each comment be submitted.Written comments to the docket must bereceived on or before August 5, 1996. Inorder to expedite review of this noticeand the submission of comments, copiesof this notice are being sentsimultaneously with issuance tomembers of the National Association ofGovernors’ Highway SafetyRepresentatives (NAGHSR) and theAmerican Association of State HighwaySafety and Traffic Officials (AASHTO).Comments should not exceed fifteen(15) pages in length. Necessaryattachments may be appended to thesubmissions without regard to thefifteen page limit. This limitation isintended to encourage commenters todetail their primary concerns in aconcise manner. All comments receivedbefore the close of business on thecomment closing date listed above willbe considered and will be available forexamination in the docket room at theabove address both before and after thatdate. To the extent possible, commentsfiled after the closing date will beconsidered. Those commenters wishingto be notified upon receipt of theircomments by the Docket should includea self-addressed, stamped envelope withtheir comments. Upon receipt of thecomments, the Docket supervisor willreturn the postcard by U.S. Mail.

Issued: June 14, 1996.


Signed:Donald C. Bischoff,Acting Executive Director, National HighwayTraffic Safety Administration.Anthony R. Kane,Executive Director, Federal HighwayAdministration.[FR Doc. 96–15599 Filed 6–18–96; 8:45 am]BILLING CODE 4910–59–P

[Docket No. 96–064; Notice 1]

Notice of Receipt of Petition forDecision That Nonconforming 1993,1995, and 1996 Porsche Carrera 2-DoorPassenger Cars are Eligible forImportation

AGENCY: National Highway TrafficSafety Administration, DOT.ACTION: Notice of receipt of petition fordecision that nonconforming 1993,1995, and 1996 Porsche Carrera 2-doorpassenger cars are eligible forimportation.

SUMMARY: This notice announces receiptby the National Highway Traffic SafetyAdministration (NHTSA) of a petitionfor a decision that 1993, 1995, and 1996Porsche Carrera 2-door passenger carsthat were not originally manufactured tocomply with all applicable Federalmotor vehicle safety standards areeligible for importation into the UnitedStates because (1) they are substantiallysimilar to vehicles that were originallymanufactured for importation into andsale in the United States and that werecertified by their manufacturer ascomplying with the safety standards,and (2) they are capable of being readilyaltered to conform to the standards.DATES: The closing date for commentson the petition is July 19, 1996.ADDRESSES: Comments should refer tothe docket number and notice number,and be submitted to: Docket Section,Room 5109, National Highway TrafficSafety Administration, 400 Seventh St.,SW, Washington, DC 20590. [Dockethours are from 9:30 am to 4 pm]FOR FURTHER INFORMATION CONTACT:George Entwistle, Office of VehicleSafety Compliance, NHTSA (202–366–5306).


BackgroundUnder 49 U.S.C. 30141(a)(1)(A)

(formerly section 108(c)(3)(A)(i)(I) of theNational Traffic and Motor VehicleSafety Act (the act)), a motor vehiclethat was not originally manufactured toconform to all applicable Federal motorvehicle safety standards shall be refusedadmission into the United States unlessNHTSA has decided that the motor

vehicle is substantially similar to amotor vehicle originally manufacturedfor importation into and sale in theUnited States, certified under 49 U.S.C.30115 (formerly section 114 of the act),and of the same model year as themodel of the motor vehicle to becompared, and is capable of beingreadily altered to conform to allapplicable Federal motor vehicle safetystandards.

Petitions for eligibility decisions maybe submitted by either manufacturers orimporters who have registered withNHTSA pursuant to 49 CFR Part 592. Asspecified in 49 CFR 593.7, NHTSApublishes notice in the Federal Registerof each petition that it receives, andaffords interested persons anopportunity to comment on the petition.At the close of the comment period,NHTSA decides, on the basis of thepetition and any comments that it hasreceived, whether the vehicle is eligiblefor importation. The agency thenpublishes this decision in the FederalRegister.

G&K Automotive Conversion, Inc. ofSanta Ana, California (‘‘G&K’’)(Registered Importer 90–007) haspetitioned NHTSA to decide whether1993, 1995, and 1996 Porsche Carrera 2-door passenger cars are eligible forimportation into the United States. Thevehicles which G&K believes aresubstantially similar are the 1993, 1995,and 1996 Porsche Carrera 2-doorpassenger cars that were manufacturedfor importation into, and sale in, theUnited States and certified by theirmanufacturer as conforming to allapplicable Federal motor vehicle safetystandards.

The petitioner claims that it carefullycompared the non-U.S. certified 1993,1995, and 1996 Porsche Carrera 2-doorpassenger cars to their U.S. certifiedcounterparts, and found the vehicles tobe substantially similar with respect tocompliance with most Federal motorvehicle safety standards.

G&K submitted information with itspetition intended to demonstrate thatthe non-U.S. certified 1993, 1995, and1996 Porsche Carrera 2-door passengercars, as originally manufactured,conform to many Federal motor vehiclesafety standards in the same manner astheir U.S. certified counterparts, or arecapable of being readily altered toconform to those standards.

Specifically, the petitioner claims thatthe non-U.S. certified 1993, 1995, and1996 Porsche Carrera 2-door passengercars are identical to their U.S. certifiedcounterparts with respect to compliancewith Standards Nos. 102 TransmissionShift Lever Sequence. . . ., 103Defrosting and Defogging Systems, 104

Windshield Wiping and WashingSystems, 105 Hydraulic Brake Systems,106 Brake Hoses, 107 ReflectingSurfaces, 109 New Pneumatic Tires, 113Hood Latch Systems, 116 Brake Fluid,124 Accelerator Control Systems, 201Occupant Protection in Interior Impact,202 Head Restraints, 203 ImpactProtection for the Driver From theSteering Control System, 204 SteeringControl Rearward Displacement, 205Glazing Materials, 206 Door Locks andDoor Retention Components, 207Seating Systems, 209 Seat BeltAssemblies, 210 Seat Belt AssemblyAnchorages, 211 Wheel Nuts, WheelDiscs and Hubcaps, 212 WindshieldRetention, 216 Roof Crush Resistance,219 Windshield Zone Intrusion, and 302Flammability of Interior Materials.

Petitioner also contends that thevehicles are capable of being readilyaltered to meet the following standards,in the manner indicated:

Standard No. 101 Controls andDisplays: (a) substitution of a lensmarked ‘‘Brake’’ for a lens with an ECEsymbol on the brake failure indicatorlamp; (b) placement of a seat beltwarning symbol on the seat belt warninglamp; (c) recalibration of thespeedometer/odometer from kilometersto miles per hour.

Standard No. 108 Lamps, ReflectiveDevices and Associated Equipment: (a)installation of U.S.-model headlampsand front sidemarkers; (b) installation ofU.S.-model taillamp lenses whichincorporate rear sidemarkers; (c)installation of a high mounted stoplamp.

Standard No. 110 Tire Selection andRims: installation of a tire informationplacard.

Standard No. 111 Rearview Mirror:replacement of the passenger sideconvex rearview mirror with a U.S.-model component.

Standard No. 114 Theft Protection:installation of a warning buzzermicroswitch and a warning buzzer inthe steering lock assembly.

Standard No. 115 VehicleIdentification Number: installation of aVIN plate that can be read from outsidethe left windshield pillar, and a VINreference label on the edge of the dooror latch post nearest the driver.

Standard No. 118 Power WindowSystems: rewiring of the power windowsystem so that the window transport isinoperative when the ignition isswitched off.

Standard No. 208 Occupant CrashProtection: installation of a seat beltwarning buzzer. The petitioner statesthat the vehicle is equipped withdriver’s and passenger’s side air bags


and knee bolsters, and with Type 2 seatbelts in all designated seating positions.

Standard No. 214 Side ImpactProtection: installation of door beams.

Standard No. 301 Fuel SystemIntegrity: installation of a rollover valvein the fuel tank vent line between thefuel tank and the evaporative emissionscollection canister.

Additionally, the petitioner states thatthe bumpers on the non-U.S. certified1993, 1995, and 1996 Porsche Carrera 2-door passenger cars must be reinforcedto comply with the Bumper Standardfound in 49 CFR Part 581.

Interested persons are invited tosubmit comments on the petitiondescribed above. Comments should referto the docket number and be submittedto: Docket Section, National HighwayTraffic Safety Administration, Room5109, 400 Seventh Street, S.W.,Washington, DC 20590. It is requestedbut not required that 10 copies besubmitted.

All comments received before theclose of business on the closing dateindicated above will be considered, andwill be available for examination in thedocket at the above address both beforeand after that date. To the extentpossible, comments filed after theclosing date will also be considered.Notice of final action on the petitionwill be published in the FederalRegister pursuant to the authorityindicated below.

Authority: 49 U.S.C. 30141(a)(1)(A) and(b)(1); 49 CFR 593.8; delegations of authorityat 49 CFR 1.50 and 501.8.

Issued on: June 13, 1996.Marilynne Jacobs,Director, Office of Vehicle Safety Compliance.[FR Doc. 96–15524 Filed 6–18–96; 8:45 am]BILLING CODE 4910–59–P


Decision That Nonconforming 1985Audi 200 Quattro Passenger Cars areEligible for Importation

AGENCY: National Highway TrafficSafety Administration (NHTSA), DOT.ACTION: Notice of decision by NHTSAthat nonconforming 1985 Audi 200Quattro passenger cars are eligible forimportation.

SUMMARY: This notice announces thedecision by NHTSA that 1985 Audi 200Quattro passenger cars not originallymanufactured to comply with allapplicable Federal motor vehicle safetystandards are eligible for importationinto the United States because they aresubstantially similar to a vehicleoriginally manufactured for importation

into and sale in the United States andcertified by its manufacturer ascomplying with the safety standards(the 1985 Audi 5000S Turbo), and theyare capable of being readily altered toconform to the standards.DATES: This decision is effective as ofJune 19, 1996.FOR FURTHER INFORMATION CONTACT:George Entwistle, Office of VehicleSafety Compliance, NHTSA (202–366–5306).


BackgroundUnder 49 U.S.C. 30141(a)(1)(A)

(formerly section 108(c)(3)(A)(i) of theNational Traffic and Motor VehicleSafety Act (the Act)), a motor vehiclethat was not originally manufactured toconform to all applicable Federal motorvehicle safety standards shall be refusedadmission into the United States unlessNHTSA has decided that the motorvehicle is substantially similar to amotor vehicle originally manufacturedfor importation into and sale in theUnited States, certified under 49 U.S.C.30115 (formerly section 114 of the Act),and of the same model year as themodel of the motor vehicle to becompared, and is capable of beingreadily altered to conform to allapplicable Federal motor vehicle safetystandards.


Champagne Imports, Inc. of Lansdale,Pennsylvania (‘‘Champagne’’)(Registered Importer 90–009) petitionedNHTSA to decide whether 1987 Audi200 Quattro passenger cars are eligiblefor importation into the United States.NHTSA published notice of the petitionon April 5, 1996 (61 FR 15334) to affordan opportunity for public comment. Thereader is referred to that notice for athorough description of the petition.

One comment was received inresponse to the notice of the petition,from Volkswagen of America, Inc.(‘‘Volkswagen’’), the United Statesrepresentative of Audi A.G., thevehicle’s manufacturer. In this

comment, Volkswagen stated thatvehicle identification number (VIN)assigned to the specific vehicle that thepetitioner seeks to import identifies thatvehicle as a 1985 Audi 200 Quattro.Volkswagen further stated that in the1985 model year, it imported into theUnited States a front wheel drivevehicle (the Audi 5000S Turbo) that wasbuilt on the same platform as the Audi200 Quattro (all wheel drive) that wassold in Europe for the same model year.After being apprised of this comment,the petitioner acknowledged that thepetition was in error, and thatVolkswagen properly identified thevehicle’s model year. In view of thiscorrection, this notice identifies thevehicle that is the subject of the petitionas the ‘‘1985 Audi 200 Quattro,’’ and thesubstantially similar comparison vehicleas the ‘‘1985 Audi 5000S Turbo.’’

Volkswagen’s only other commentwas that the petition properly identifiedthe standards to which the vehiclewould have to be conformed to beeligible for importation into the UnitedStates. No other comments werereceived in response to the notice.Based on its review of the informationsubmitted by the petitioner, NHTSA hasdecided to grant the petition.

Vehicle Eligibility Number for SubjectVehicles

The importer of a vehicle admissibleunder any final decision must indicateon the form HS–7 accompanying entrythe appropriate vehicle eligibilitynumber indicating that the vehicle iseligible for entry. VSP–160 is thevehicle eligibility number assigned tovehicles admissible under this notice offinal decision.

Final Decision

Accordingly, on the basis of theforegoing, NHTSA hereby decides that a1985 Audi 200 Quattro is substantiallysimilar to a 1985 Audi 5000S Turbooriginally manufactured for importationinto and sale in the United States andcertified under 49 U.S.C. § 30115, and iscapable of being readily altered toconform to all applicable Federal motorvehicle safety standards.





Decision That Nonconforming 1990–1996 Mercedes-Benz Type 463 ShortWheel Base Gelaendewagen Multi-Purpose Passenger Vehicles areEligible for Importation

AGENCY: National Highway TrafficSafety Administration (NHTSA), DOT.ACTION: Notice of decision by NHTSAthat nonconforming 1990–1996Mercedes-Benz Type 463 Short WheelBase Gelaendewagen multi-purposepassenger vehicles (MPVs) are eligiblefor importation.

SUMMARY: This notice announces thedecision by NHTSA that 1990–1996Mercedes-Benz Type 463 Short WheelBase Gelaendewagen MPVs notoriginally manufactured to comply withall applicable Federal motor vehiclesafety standards are eligible forimportation into the United Statesbecause they have safety features thatcomply with, or are capable of beingaltered to comply with, all suchstandards.DATES: The decision is effective as ofJune 19, 1996.FOR FURTHER INFORMATION CONTACT:George Entwistle, Office of VehicleSafety Compliance, NHTSA (202–366–5306).


Background

Under 49 U.S.C. 30141(a)(1)(A)(formerly section 108(c)(3)(A)(i)(I) of theNational Traffic and Motor VehicleSafety Act (the Act)), a motor vehiclethat was not originally manufactured toconform to all applicable Federal motorvehicle safety standards shall be refusedadmission into the United States unlessNHTSA has decided that the motorvehicle is substantially similar to amotor vehicle originally manufacturedfor importation into and sale in theUnited States, certified under 49 U.S.C.30115 (formerly section 114 of the Act),and of the same model year as themodel of the motor vehicle to becompared, and is capable of beingreadily altered to conform to allapplicable Federal motor vehicle safetystandards. Where there is nosubstantially similar U.S.- certifiedmotor vehicle, 49 U.S.C. 30141(a)(1)(B)(formerly section 108(c)(3)(A)(i)(II) ofthe Act, 15 U.S.C. § 1397(c)(3)(A)(i)(II))permits a nonconforming motor vehicleto be admitted into the United States ifits safety features comply with, or arecapable of being altered to comply with,all applicable Federal motor vehiclesafety standards based on destructive

test data or such other evidence asNHTSA decides to be adequate.

Petitions for eligibility decisions maybe submitted by either manufacturers orimporters who have registered withNHTSA pursuant to 49 CFR Part 592. Asspecified in 49 CFR 593.7, NHTSApublishes notice in the Federal Registerof each petition that it receives, andaffords interested persons anopportunity to comment on the petition.At the close of the comment period,NHTSA decides, on the basis of thepetition and any comments that it hasreceived, whether the vehicle is eligiblefor importation. The agency thenpublishes this determination in theFederal Register.

Europa International, Inc. of Santa Fe,New Mexico (‘‘Europa’’) (RegisteredImporter No. R–91–002) petitionedNHTSA to decide whether 1990–1996Mercedes-Benz Type 463 Short WheelBase Gelaendewagen MPVs are eligiblefor importation into the United States.NHTSA published notice of the petitionon April 9, 1996 (61 FR 15864) to affordan opportunity for public comment. Asdescribed in the notice of the petition,Europa claimed that 1990–1996Mercedes-Benz Type 463 Short WheelBase Gelaendewagen MPVs have safetyfeatures that comply with Standard Nos.102 Transmission Shift Lever Sequence.* * * (based on visual inspection andoperation), 103 Defrosting andDefogging Systems (based on inspectionand information in owner’s manualdescribing operation of the system), 104Windshield Wiping and WashingSystems (based on operation), 106 BrakeHoses (based on visual inspection ofcertification markings), 107 ReflectingSurfaces (based on visual inspection),113 Hood Latch Systems (based oninformation in owner’s manualdescribing operation of secondary latchmechanism), 116 Brake Fluids (based onvendor certification and information inowner’s manual describing fluidsinstalled at factory as ‘‘DOT 4 plus’’),119 New Pneumatic Tires for Vehiclesother than Passenger Cars (based onvisual inspection of certificationmarkings), 124 Accelerator ControlSystems (based on inspection revealingtwo accelerator return springs), 201Occupant Protection in Interior Impact(based on test data and certification ofvehicle to European standard), 202Head Restraints (based on Standard No.208 test data for 1993 model yearvehicle with same head restraint,certification of vehicle to Europeanstandard, and head restraintmeasurements), 204 Steering ControlRearward Displacement (based on testfilm), 205 Glazing Materials (based onvisual inspection of certification

markings), 207 Seating Systems, (basedon test results and certification ofvehicle to European standard), 209 SeatBelt Assemblies (based on wiringdiagram of seat belt warning system andvisual inspection of certificationmarkings), 211 Wheel Nuts, Wheel Discsand Hubcaps (based on visualinspection), 214 Side Impact Protection(based on test results for identicallyequipped 1995 model year vehicle), 219Windshield Zone Intrusion (based ontest results and certification informationfor identically equipped 1993 modelyear vehicle), and 302 Flammability ofInterior Materials (based on compositionof upholstery and treatment of fabricwith flameproof spray).

The petitioner also contended that1990 through 1996 Mercedes-Benz Type463 Short Wheel Base V–8Gelaendewagen MPVs are capable ofbeing altered to comply with thefollowing standards, in the mannerindicated:

Standard No. 101 Controls andDisplays: (a) substitution of a lensmarked ‘‘Brake’’ for a lens with an ECEsymbol on the brake failure indicatorlamp; (b) installation of a speedometer/odometer calibrated in miles per hour.

Standard No. 105 Hydraulic BrakeSystems: placement of warning label onbrake fluid reservoir cap. The petitionerstates that the vehicle’s parking brakewas tested and met the requirements ofthe standard.

Standard No. 108 Lamps, ReflectiveDevices and Associated Equipment: (a)installation of U.S.-model sealed beamheadlamps; (b) installation of U.S.-model side marker lamps and reflectors;(c) installation of a high mounted stoplamp on vehicles manufactured afterSeptember 1, 1993. The petitionerasserted that testing performed on thetaillamp reveals that it complies withthe standard, even though it lacks aDOT certification marking, and that allother lights are DOT certified.

Standard No. 111 Rearview Mirrors:inscription of the required warningstatement on the convex surface of thepassenger side rearview mirror.

Standard No. 114 Theft Protection:installation of a warning buzzer in thesteering lock electrical circuit.

Standard No. 115 VehicleIdentification Number: installation of aVIN plate that can be read from outsidethe left windshield pillar.

Standard No. 118 Power-OperatedWindow Systems: rewiring of the powerwindow system so that the windowtransport is inoperative when the frontdoors are open.

Standard No. 120 Tire Selection andRims for Vehicles other than PassengerCars: installation of a tire information


placard. The petitioner asserted thateven though the tire rims lack a DOTcertification marking, they comply withthe standard, based on theirmanufacturer’s certification that theycomply with the German TUVregulations, as well as their certificationby the British Standards Associationand the Rim Association of Australia.

Standard No. 206 Door Locks andDoor Retention Components:installation of a push-pull lockingmechanism on all door locks.

Standard No. 208 Occupant CrashProtection: installation of a complyingdriver’s side air bag and a seat beltwarning system. The petitioner assertedthat the vehicle conforms to thestandard’s injury criteria at the frontpassenger position based on a test reportfrom the vehicle’s manufacturer. Thepetitioner additionally submitted aletter from an engineering concernstating that no difference in occupantrestraint characteristics would beanticipated between the Short WheelBase Gelaendewagen and the LongWheel Base models that NHTSA haspreviously decided to be eligible forimportation. This representation wasbased on the observation that the onlystructural differences in the twovehicles are found well behind thefrontal crush zone, and that nostructural deformation occurs in thatarea. The letter further stated that theShort Wheel Base Gelaendewagen is 297pounds lighter that the Long Wheel Basemodel, representing a weight differenceof less 5 percent. The letter stated thatthis weight difference would not beexpected to cause performance variationin Standard 208 crash tests. Thepetitioner stated that it intends to meetautomatic restraint phase-inrequirements for vehicles manufacturedafter September 1, 1995 by importingother vehicles equipped with passenger-side automatic restraints.

Standard No. 210 Seat Belt AssemblyAnchorages: insertion of instructions onthe installation and use of childrestraints in the owner’s manual for thevehicle. The petitioner submitted aletter from an engineering concerndescribing tests performed on aGelaendewagen to the requirements ofthis standard. Based on the results ofthese tests, the petitioner asserted thatthe vehicle complies with the standard.

Standard No. 212 WindshieldRetention: application of cement to thewindshield’s edges. The petitionerasserted that the vehicle complies withthe standard based on test results for aGelaendewagen that NHTSA previouslydecided to be eligible for importation.

Standard No. 301 Fuel SystemIntegrity: installation of a rollover valve.

The petitioner asserted that the vehiclecomplies with the standard based ontest results for a Gelaendewagen thatNHTSA previously decided to beeligible for importation.

No comments were received inresponse to the notice of the petition.Based on its review of the informationsubmitted by the petitioner, NHTSA hasdecided to grant the petition.


The importer of a vehicle admissibleunder any final determination mustindicate on the form HS–7accompanying entry the appropriatevehicle eligibility number indicatingthat the vehicle is eligible for entry.VCP–14 is the vehicle eligibility numberassigned to vehicles admissible underthis determination.

Final Determination

Accordingly, on the basis of theforegoing, NHTSA hereby decides that1990–1996 Mercedes-Benz Type 463Short Wheel Base Gelaendewagen MPVsare eligible for importation into theUnited States because they have safetyfeatures that comply with, or arecapable of being altered to comply with,all applicable Federal motor vehiclesafety standards.

Authority: 49 U.S.C. § 30141(a)(1) (B) and(b)(1); 49 CFR 593.8; delegations of authorityat 49 CFR 1.50 and 501.8.

Issued on June 13, 1996.Marilynne Jacobs,Director, Office of Vehicle Safety Compliance.[FR Doc. 96–15526 Filed 6–18–96; 8:45 am]BILLING CODE 4910–59–P


Decision That Nonconforming 1995Mercedes-Benz C220 Passenger CarsAre Eligible for Importation

AGENCY: National Highway TrafficSafety Administration (NHTSA), DOT.ACTION: Notice of decision by NHTSAthat nonconforming 1995 Mercedes-Benz C220 passenger cars are eligible forimportation.

SUMMARY: This notice announces thedecision by NHTSA that 1995Mercedes-Benz C220 passenger cars notoriginally manufactured to comply withall applicable Federal motor vehiclesafety standards are eligible forimportation into the United Statesbecause they are substantially similar toa vehicle originally manufactured forimportation into and sale in the UnitedStates and certified by its manufactureras complying with the safety standards

(the U.S.-certified version of the 1995Mercedes-Benz C220), and they arecapable of being readily altered toconform to the standards.

DATES: This decision is effective as ofthe date of its publication in the FederalRegister.

FOR FURTHER INFORMATION CONTACT:George Entwistle, Office of VehicleSafety Compliance, NHTSA (202–366–5306).


Background

Under 49 U.S.C. § 30141(a)(1)(A)(formerly section 108(c)(3)(A)(i) of theNational Traffic and Motor VehicleSafety Act (the Act)), a motor vehiclethat was not originally manufactured toconform to all applicable Federal motorvehicle safety standards shall be refusedadmission into the United States unlessNHTSA has decided that the motorvehicle is substantially similar to amotor vehicle originally manufacturedfor importation into and sale in theUnited States, certified under 49 U.S.C.§ 30115 (formerly section 114 of theAct), and of the same model year as themodel of the motor vehicle to becompared, and is capable of beingreadily altered to conform to allapplicable Federal motor vehicle safetystandards.


Champagne Imports, Inc. of Lansdale,Pennsylvania (Registered Importer R–90–009) petitioned NHTSA to decidewhether 1995 Mercedes-Benz C220passenger cars are eligible forimportation into the United States.NHTSA published notice of the petitionon April 5, 1996 (61 FR 15335) to affordan opportunity for public comment. Thereader is referred to that notice for athorough description of the petition. Nocomments were received in response tothe notice. Based on its review of theinformation submitted by the petitioner,NHTSA has decided to grant thepetition.



The importer of a vehicle admissibleunder any final decision must indicateon the form HS–7 accompanying entrythe appropriate vehicle eligibilitynumber indicating that the vehicle iseligible for entry. VSP–157 is thevehicle eligibility number assigned tovehicles admissible under this decision.

Final DecisionAccordingly, on the basis of the

foregoing, NHTSA hereby decides that a1995 Mercedes-Benz C220 (Model ID202.022) not originally manufactured tocomply with all applicable Federalmotor vehicle safety standards issubstantially similar to a 1995Mercedes-Benz C220 originallymanufactured for importation into andsale in the United States and certifiedunder 49 U.S.C. § 30115, and is capableof being readily altered to conform to allapplicable Federal motor vehicle safetystandards.


Issued on: June 13, 1996.Marilynne Jacobs,Director, Office of Vehicle Safety Compliance.[FR Doc. 96–15527 Filed 6–18–96; 8:45 am]BILLING CODE 4910–59–M


Decision That Nonconforming 1983Saab 900 Passenger Cars Are Eligiblefor Importation

AGENCY: National Highway TrafficSafety Administration (NHTSA), DOT.ACTION: Notice of decision by NHTSAthat nonconforming 1983 Saab 900passenger cars are eligible forimportation.

SUMMARY: This notice announces thedecision by NHTSA that 1983 Saab 900passenger cars not originallymanufactured to comply with allapplicable Federal motor vehicle safetystandards are eligible for importationinto the United States because they aresubstantially similar to a vehicleoriginally manufactured for importationinto and sale in the United States andcertified by its manufacturer ascomplying with the safety standards(the U.S.-certified version of the 1983Saab 900), and they are capable of beingreadily altered to conform to thestandards.DATES: This decision is effective as ofJune 19, 1996.FOR FURTHER INFORMATION CONTACT:George Entwistle, Office of Vehicle

Safety Compliance, NHTSA (202–366–5306).


Background

Under 49 U.S.C. 30141(a)(1)(A)(formerly section 108(c)(3)(A)(i) of theNational Traffic and Motor VehicleSafety Act (the Act)), a motor vehiclethat was not originally manufactured toconform to all applicable Federal motorvehicle safety standards shall be refusedadmission into the United States unlessNHTSA has decided that the motorvehicle is substantially similar to amotor vehicle originally manufacturedfor importation into and sale in theUnited States, certified under 49 U.S.C.30115 (formerly section 114 of the Act),and of the same model year as themodel of the motor vehicle to becompared, and is capable of beingreadily altered to conform to allapplicable Federal motor vehicle safetystandards.


Pierre Enterprises Southeast Inc. ofFort Pierce, Florida (Registered ImporterR–96–098) petitioned NHTSA to decidewhether 1983 Saab 900 passenger carsare eligible for importation into theUnited States. NHTSA published noticeof the petition on April 9, 1996 (61 FR15865) to afford an opportunity forpublic comment. The reader is referredto that notice for a thorough descriptionof the petition. No comments werereceived in response to the notice.Based on its review of the informationsubmitted by the petitioner, NHTSA hasdecided to grant the petition.


The importer of a vehicle admissibleunder any final decision must indicateon the form HS–7 accompanying entrythe appropriate vehicle eligibilitynumber indicating that the vehicle iseligible for entry. VSP–158 is thevehicle eligibility number assigned tovehicles admissible under this decision.

Final DecisionAccordingly, on the basis of the

foregoing, NHTSA hereby decides that a1983 Saab 900 not originallymanufactured to comply with allapplicable Federal motor vehicle safetystandards is substantially similar to a1983 Saab 900 originally manufacturedfor importation into and sale in theUnited States and certified under 49U.S.C. 30115, and is capable of beingreadily altered to conform to allapplicable Federal motor vehicle safetystandards.




Notice of Receipt of Petition forDecision That Nonconforming 1993Mercedes-Benz 420E and 1994–1996Mercedes-Benz E420 Passenger CarsAre Eligible for Importation

AGENCY: National Highway TrafficSafety Administration, DOT.ACTION: Notice of receipt of petition fordecision that nonconforming 1993Mercedes-Benz 420E and 1994–1996Mercedes-Benz E420 passenger cars areeligible for importation.

SUMMARY: This notice announces receiptby the National Highway Traffic SafetyAdministration (NHTSA) of a petitionfor a decision that 1993 Mercedes-Benz420E and 1994–1996 Mercedes-BenzE420 passenger cars that were notoriginally manufactured to comply withall applicable Federal motor vehiclesafety standards are eligible forimportation into the United Statesbecause (1) They are substantiallysimilar to vehicles that were originallymanufactured for importation into andsale in the United States and that werecertified by their manufacturer ascomplying with the safety standards,and (2) they are capable of being readilyaltered to conform to the standards.DATES: The closing date for commentson the petition is July 19, 1996.ADDRESSES: Comments should refer tothe docket number and notice number,and be submitted to: Docket Section,Room 5109, National Highway TrafficSafety Administration, 400 Seventh St.,SW., Washington, DC 20590. [Dockethours are from 9:30 am to 4 pm]FOR FURTHER INFORMATION CONTACT:George Entwistle, Office of Vehicle


Safety Compliance, NHTSA (202–366–5306).


BackgroundUnder 49 U.S.C. § 30141(a)(1)(A)

(formerly section 108(c)(3)(A)(i)(I) of theNational Traffic and Motor VehicleSafety Act (the Act)), a motor vehiclethat was not originally manufactured toconform to all applicable Federal motorvehicle safety standards shall be refusedadmission into the United States unlessNHTSA has decided that the motorvehicle is substantially similar to amotor vehicle originally manufacturedfor importation into and sale in theUnited States, certified under 49 U.S.C.§ 30115 (formerly section 114 of theAct), and of the same model year as themodel of the motor vehicle to becompared, and is capable of beingreadily altered to conform to allapplicable Federal motor vehicle safetystandards.


G&K Automotive Conversion, Inc. ofSanta Ana, California (‘‘G&K’’)(Registered Importer No. R–90–007) haspetitioned NHTSA to decide whether1993 Mercedes-Benz 420E and 1994–1996 Mercedes-Benz E420 passengercars are eligible for importation into theUnited States. The vehicles which G&Kbelieves are substantially similar are the1993 Mercedes-Benz 400E and 1994–1996 Mercedes-Benz E420. G&K hassubmitted information indicating thatDaimler Benz, A.G., the company thatmanufactured the 1993 Mercedes-Benz400E and 1994–1996 Mercedes-BenzE420, certified those vehicles asconforming to all applicable Federalmotor vehicle safety standards andoffered them for sale in the UnitedStates.

The petitioner contends that itcarefully compared the non-U.S.certified 1993 Mercedes-Benz 420E and1994–1996 Mercedes-Benz E420 to theU.S.-certified 1993 Mercedes-Benz 400Eand 1994–1996 Mercedes-Benz E420,and found those vehicles to besubstantially similar with respect to

compliance with most applicableFederal motor vehicle safety standards.

G&K submitted information with itspetition intended to demonstrate thatthe non-U.S. certified 1993 Mercedes-Benz 420E and 1994–1996 Mercedes-Benz E420, as originally manufactured,conform to many Federal motor vehiclesafety standards in the same manner asthe U.S. certified 1993 Mercedes-Benz420E and 1994–1996 Mercedes-BenzE420, or are capable of being readilyaltered to conform to those standards.

Specifically, the petitioner claims thatthe non-U.S. certified 1993 Mercedes-Benz 420E and 1994–1996 Mercedes-Benz E420 are identical to the U.S.certified 1993 Mercedes-Benz 400E and1994–1996 Mercedes-Benz E420 withrespect to compliance with StandardsNos. 102 Transmission Shift LeverSequence . . . ., 103 Defrosting andDefogging Systems, 104 WindshieldWiping and Washing Systems, 105Hydraulic Brake Systems, 106 BrakeHoses, 107 Reflecting Surfaces, 109 NewPneumatic Tires, 113 Hood LatchSystems, 116 Brake Fluid, 124Accelerator Control Systems, 201Occupant Protection in Interior Impact,202 Head Restraints, 203 ImpactProtection for the Driver From theSteering Control System, 204 SteeringControl Rearward Displacement, 205Glazing Materials, 206 Door Locks andDoor Retention Components, 207Seating Systems, 209 Seat BeltAssemblies, 210 Seat Belt AssemblyAnchorages, 211 Wheel Nuts, WheelDiscs and Hubcaps, 212 WindshieldRetention, 216 Roof Crush Resistance,219 Windshield Zone Intrusion, and 302Flammability of Interior Materials.

Petitioner also contends that thevehicle is capable of being readilyaltered to meet the following standards,in the manner indicated:

Standard No. 101 Controls andDisplays: (a) substitution of a lensmarked ‘‘Brake’’ for a lens with an ECEsymbol on the brake failure indicatorlamp; (b) placement of the appropriatesymbol on the seat belt warning lamp;(c) recalibration of the speedometer/odometer from kilometers to miles perhour.

Standard No. 108 Lamps, ReflectiveDevices and Associated Equipment: (a)installation of U.S.-model headlampassemblies and front sidemarkers; (b)installation of U.S.-model taillampassemblies which incorporate rearsidemarkers; (c) installation of a highmounted stop lamp.

Standard No. 110 Tire Selection andRims: installation of a tire informationplacard.

Standard No. 111 Rearview Mirrors:replacement of the passenger side rear

view mirror, which is convex, with aU.S.-model component.

Standard No. 114 Theft Protection:installation of a buzzer microswitch inthe steering lock assembly, and awarning buzzer.

Standard No. 115 VehicleIdentification Number: installation of aVIN plate that can be read from outsidethe left windshield pillar, and a VINreference label on the edge of the dooror latch post nearest the driver.

Standard No. 118 Power WindowSystems: rewiring of the power windowsystem so that the window transport isinoperative when the ignition isswitched off.

Standard No. 208 Occupant CrashProtection: installation of a seat beltwarning buzzer. The petitioner statesthat the vehicle is equipped with anautomatic restraint system consisting ofa driver’s and passenger’s side air bagand knee bolsters. The petitioner furtherstates that the vehicle is equipped withType 2 seat belts in the front and rearoutboard designated seating positions,and with a Type 1 seat belt in the rearcenter designated seating position.

Standard No. 214 Side ImpactProtection: installation of door beams.Standard No. 301 Fuel System Integrity:installation of a rollover valve in thefuel tank vent line between the fuel tankand the evaporative emissionscollection canister.

Additionally, the petitioner states thatthe bumpers on the non-U.S. certified1993 Mercedes-Benz 420E and 1994–1996 Mercedes-Benz E420 must bereinforced to comply with the BumperStandard found in 49 CFR Part 581.

The petitioner further states thatbefore the vehicle will be imported intothe United States, its VIN will beinscribed on fourteen major car parts,and a theft prevention certification labelwill be affixed, in compliance with theTheft Prevention Standard in 49 CFRPart 541.

Interested persons are invited tosubmit comments on the petitiondescribed above. Comments should referto the docket number and be submittedto: Docket Section, National HighwayTraffic Safety Administration, Room5109, 400 Seventh Street, S.W.,Washington, DC 20590. It is requestedbut not required that 10 copies besubmitted.

All comments received before theclose of business on the closing dateindicated above will be considered, andwill be available for examination in thedocket at the above address both beforeand after that date. To the extentpossible, comments filed after theclosing date will also be considered.Notice of final action on the petition


1 The ICC Termination Act of 1995, Pub. L. No.104–88, 109 Stat. 803, which was enacted onDecember 29, 1995, and took effect on January 1,1996, abolished the Interstate CommerceCommission and transferred certain functions to theSurface Transportation Board (Board). This noticerelates to functions that are subject to Boardjurisdiction pursuant to 49 U.S.C. 10901.

1 The ICC Termination Act of 1995, Pub. L. No.104–88, 109 Stat. 803, which was enacted onDecember 29, 1995, and took effect on January 1,1996, abolished the Interstate CommerceCommission and transferred certain functions to theSurface Transportation Board (Board). This noticerelates to functions that are subject to the Board’sjurisdiction pursuant to 49 U.S.C. 10903.

2 The Board vacated a shorter segment previouslysought in a joint exemption filed by MP and MNA,See Missouri Pacific Railroad Company—Abandonment Exemption—in Henry County, MO,STB Docket No. AB–3—Sub-No. 128X), et al. (ICCserved Feb. 6, 1996).

3 The Board will grant a stay if an informeddecision on environmental issues (whether raisedby a party or by the Board’s Section ofEnvironmental Analysis in its independentinvestigation) cannot be made before theexemption’s effective date. See Exemption of Out-of-Service Rail Lines, 5 I.C.C.2d 377 (1989). Anyrequest for a stay should be filed as soon as possibleso that the Board may take appropriate action beforethe exemption’s effective date.

4 See Exempt. of Rail Abandonment—Offers ofFinan. Assist., 4 I.C.C.2d 164 (1987).

5 The Board will accept late-filed trail userequests so long as the abandonment has not beenconsummated and the abandoning railroad iswilling to negotiate an agreement.

will be published in the FederalRegister pursuant to the authorityindicated below.



Surface Transportation Board 1

[STB Finance Docket No. 32960]

The Locomotive Preservation &Operating Group, Inc., d/b/a TheSheffield Station Junction Railway—Lease and Operation Exemption—Armco Asset Management

The Locomotive Preservation &Operating Group, Inc., doing business asThe Sheffield Station Junction Railway,a noncarrier, has filed a verified noticeof exemption under 49 CFR 1150.31 tolease and operate approximately 20miles of rail lines located within theSheffield Station Industrial Park, KansasCity, MO, and owned by Armco AssetManagement, a unit of Armco, Inc. Theproposed transaction was to beconsummated on the date of finalagreement of the parties, but not soonerthan May 27, 1996 (the effective date ofthe exemption).

If the notice contains false ormisleading information, the exemptionis void ab initio. Petitions to revoke theexemption under 49 U.S.C. 10502(d)may be filed at any time. The filing ofa petition to revoke will notautomatically stay the transaction.

An original and 10 copies of allpleadings, referring to STB FinanceDocket No. 32960, must be filed withthe Surface Transportation Board, Officeof the Secretary, Case Control Branch,1201 Constitution Avenue, N.W.,Washington, DC 20423 and served on:D. J. Roberts, Sheffield Station JunctionRailway, P. O. Box 266217, Kansas City,MO 64126–6217.

Decided: June 11, 1996.

By the Board, David M. Konschnik,Director, Office of Proceedings.Vernon A. Williams,Secretary.[FR Doc. 96–15591 Filed 6–18–96; 8:45 am]BILLING CODE 4915–00–P

[STB Docket No. AB–3 (Sub-No. 135X)]

Missouri Pacific Railroad Company—Abandonment Exemption—in HenryCounty, MO

[STB Docket No. 456 (Sub-No. 2X)]

Missouri and Northern ArkansasRailroad—Discontinuance of ServiceExemption—in Henry County, MO

Missouri Pacific Railroad Company(MP) and Missouri and NorthernArkansas Railroad (MNA) have filed anotice of exemption under 49 CFR 1152Subpart F—Exempt Abandonments andDiscontinuances for MP to abandon andMNA to discontinue service overapproximately 2.65 miles of the FPESpur-North Clinton Line (portion of theClinton Branch) from milepost 262.6 atthe end of the line near FPE Spur tomilepost 265.25 near North Clinton, inHenry County, MO.2

MP and MNA certify that: (1) no localtraffic has moved over the line for atleast 2 years; (2) there is no overheadtraffic to be rerouted from the line; (3)no formal complaint filed by a user ofrail service on the line (or by a state orlocal government entity acting on behalfof such user) regarding cessation ofservice over the line either is pendingwith the Board or with any U.S. DistrictCourt or has been decided in favor ofcomplainant within the 2-year period;and (4) the requirements at 49 CFR1105.7 (environmental reports), 49 CFR1105.8 (historic reports), 49 CFR1105.11 (transmittal letter), 49 CFR1105.12 (newspaper publication), and49 CFR 1152.50(d)(1) (notice togovernmental agencies) have been met.

As a condition to use of thisexemption, any employee adverselyaffected by the abandonment shall beprotected under Oregon Short Line R.Co.—Abandonment—Goshen, 360 I.C.C.91 (1979). To address whether thiscondition adequately protects affected

employees, a petition for partialrevocation under 49 U.S.C. 10502(d)must be filed.

Provided no formal expression ofintent to file an offer of financialassistance (OFA) has been received, thisexemption will be effective on July 19,1996, unless stayed pendingreconsideration. Petitions to stay that donot involve environmental issues,3formal expressions of intent to file anOFA under 49 CFR 1152.27(c)(2),4 andtrail use/rail banking requests under 49CFR 1152.29 5 must be filed by July 1,1996. Petitions to reopen or requests forpublic use conditions under 49 CFR1152.28 must be filed by July 9, 1996,with: Office of the Secretary, CaseControl Branch, Surface TransportationBoard, 1201 Constitution Avenue, N.W.,Washington, DC 20423.

A copy of any petition filed with theBoard should be sent to applicant’srepresentative: Joseph D. Anthofer,General Attorney, Missouri PacificRailroad Company, 1416 Dodge Street,Room 830, Omaha, NE 68179; andHenry W. Weller, General Manager,Missouri and Northern ArkansasRailroad, 514 Orner Street, P.O. Box776, Carthage, MO 64836.

If the verified notice contains false ormisleading information, the exemptionis void ab initio.

MP and MNA have filed anenvironmental report which addressesthe abandonment’s effects, if any, on theenvironment and historic resources. TheSection of Environmental Analysis(SEA) will issue an environmentalassessment (EA) by June 24, 1996.Interested persons may obtain a copy ofthe EA by writing to SEA (Room 3219,Surface Transportation Board,Washington, DC 20423) or by callingElaine Kaiser, Chief of SEA, at (202)927–6248. Comments on environmentaland historic preservation matters mustbe filed within 15 days after the EAbecomes available to the public.

Environmental, historic preservation,public use, or trail use/rail bankingconditions will be imposed, whereappropriate, in a subsequent decision.

Decided: June 11, 1996.


By the Board, David M. Konschnik,Director, Office of Proceedings.Vernon A. Williams,Secretary.[FR Doc. 96–15592 Filed 6–18–96; 8:45 am]BILLING CODE 4915–00–P


[Treasury Order 111–02]

Temporary Arrangements forFunctions Relating to Tax Policy,Delegation of Authority


Pursuant to the authority vested in theSecretary of the Treasury, including theauthority vested by 31 U.S.C. 321(b),and notwithstanding Treasury Order(TO) 101–05 (dated May 4, 1995), it isordered that the following arrangementsshall be temporarily in effect withrespect to tax policy functions.

1. The Director, Tax AdvisoryProgram for Central and Eastern Europeand the Former Soviet Union, shallreport through the Deputy Secretary tothe Secretary, and shall be authorized touse the title of, and sign allcorrespondence as, Acting AssistantSecretary (Tax Policy).

2. All duties and powers carried outby the Assistant Secretary (Tax Policy)prior to the date of this Order, includingall powers and duties described in TO111–01, dated March 16, 1981, shall becarried out by the Acting AssistantSecretary (Tax Policy).

3. Those officials subject to thesupervision of the Assistant Secretary(Tax Policy) pursuant to TO 101–05(dated May 4, 1995) shall report to theActing Assistant Secretary (Tax Policy).

4. Redelegation. The duties andpowers assigned by this Order may beredelegated. Any such redelegation shallbe in writing.

5. Effective Date. The foregoingarrangements shall be effectiveimmediately.

6. Cancellation. This temporary Ordershall terminate without any furtheraction when a new Assistant Secretary(Tax Policy) executes the oath of office.

OPI: AS (Tax Policy)Robert E. Rubin,Secretary of the Treasury.[FR Doc. 96–15514 Filed 6–18–96; 8:45 am]BILLING CODE 4810–25–P

Bureau of Alcohol, Tobacco andFirearms

[Docket No. 829; Ref: ATF O 1130.2]

Delegation Order; Delegation toBureau Headquarters Personnel ofAuthorities of the Director in 27 CFRParts 4, 5, and 7, Federal AlcoholAdministration (FAA) Act

1. Purpose. This order delegatescertain authorities of the Director toBureau Headquarters Enforcementpersonnel.

2. Cancellation.a. ATF O 1100.124A, Delegation

Order—Delegation to the AssociateDirector (Compliance Operations) ofAuthorities of the Director in 27 CFRParts 4, 5, and 7, Federal AlcoholAdministration (FAA) Act, dated April12, 1984, is canceled.

b. Specific authorities relating to 27CFR Parts 4, 5, and 7, as outlined inparagraph 5.b. of ATF O 1100.142,Delegation Order—Redelegation by theAssociate Director (ComplianceOperations) of Certain Authorities inTitle 27 of the Code of FederalRegulations, are canceled.

3. Background. Under currentregulations, the Director has theauthority to take final action on mattersrelating to the labeling and advertisingof wine, distilled spirits, and beer. TheBureau has determined that certain ofthese authorities should, in the interestof efficiency, be redelegated to a lowerorganizational level.

4. Delegations. Under the authorityvested in the Director, Bureau ofAlcohol, Tobacco and Firearms, byTreasury Department Order No. 120–01,dated June 6, 1972 (formerly TreasuryDepartment Order No. 221).

a. The Chief, Product ComplianceBranch is delegated authority to takefinal action on the following matters:

(1) To determine, pursuant toapplication, whether wine made fromany variety of any species which is toostrongly flavored at 75 percentminimum varietal content may belabeled with the varietal name, under 27CFR 4.23(c)(2).

(2) To determine, whether a name ofgeographic significance which is alsothe designation of a class or type ofwine, is deemed to be generic orsemigeneric, under 27 CFR 4.24(a)(1)and 4.24(b)(1).

(3) To deem a name of geographicsignificance, which has not been foundto be generic or semigeneric to be thedistinctive designation of a wine whenfound that is known to the consumerand to the trade as a designation of aspecific wine of a particular place or

region, distinguishable from all otherwines, under 27 CFR 4.24(c)(1).

(4) To determine when a brand namehas viticultural significance, under 27CFR 4.39(i).

(5) To allow the use of product nameswith specific geographical significancethat because of their long usage arerecognized by consumers as fancifulproduct names and not representationsas to origin; and to require the label tobear a statement disclaiming thegeographical reference as arepresentation as to the origin of thewine, under 27 CFR 4.39(j).

(6) To determine as generic thosegeographical names or distinctive placesfor distilled spirits or malt beverages,which have by usage and commonknowledge lost their geographicalsignificance to such an extent that theyhave become generic, under 27 CFR5.22(k)(2), 5.22(1)(2) and 7.24(g).

b. ATF Specialist, in the ProductCompliance Branch, is delegatedauthority to take final action on thefollowing matters:

(1) To determine whether a brandname, either when qualified by theword ‘‘brand’’ or when not so qualified,conveys no erroneous impression as tothe age, origin, identity, or othercharacteristics of the product, under 27CFR 4.33(b), 5.34(a), and 7.23(b).

(2) To approve methods forpermanently marking the net contentson bottles, under 27 CFR 4.37(c) and5.38(c).

(3) To require the submission of a fulland accurate statement of the contentsof containers and bottles to which labelsare to be or have been affixed, under 27CFR 4.38(h) and 5.33(g).

(4) To prohibit any statement, design,device, or representation of or relatingto analyses, standards, tests, guarantees,irrespective of falsity, which is likely tomislead the consumer, on a container orbottle of wine, distilled spirits, or maltbeverage, or on any label on suchcontainer, or (with concurrence of theChief, Market Compliance Branch) anyindividual covering, carton, or otherwrapper of such container, or anywritten, printed, graphic, or other matteraccompanying such container to theconsumer, under 27 CFR 4.39(a)(4),4.39(a)(5), 5.42(a)(4), 5.42(a)(5),7.29(a)(4), and 7.29(a)(5).

(5) To require that dates on labels,which refer to the establishment of anybusiness or brand name, be stated indirect conjunction with the name of theperson, company, or brand name towhich it refers in order to preventconfusion as to the person, company, orbrand name to which the establishmentdate is applicable, under 27 CFR4.39(d).


(6) To prohibit the use of any labelwhich contains any statement, design,device, or pictorial representation,which relates to or is capable of beingconstrued as relating to the ArmedForces of the United States or to theAmerican flag, or any emblem, seal,insignia, or decoration associated withthe Armed Forces or the flag, under 27CFR 4.39(g), 5.42(b)(7), and 7.29(d).

(7) To require that the words‘‘cordial’’ or ‘‘liqueur’’ be used todesignate a product when it is necessaryto clearly indicate that the product is acordial or a liqueur, under 27 CFR5.35(a).

(8) To require that the State ofdistillation be shown on the label or topermit such other labeling as may benecessary to negate any misleading ordeceptive impression which may becreated as to the actual State ofdistillation, under 27 CFR 5.36(d).

(9) To specifically exempt, pursuantto application, liquor bottles of unusualdesign from the ‘‘headspace’’ and‘‘design’’ requirements under 27 CFR5.46.

(10) To approve certificates of labelapproval, under 27 CFR 4.40, 4.50(a),5.51, 5.55(a), 7.31 and 7.41.

(11) To approve exemptions fromlabel approval, under 27 CFR 4.50(b)and 5.55(b).

(12) To issue duplicate originals ofcertificates of label approval or ofcertificates of exemptions, under 27 CFR4.52 and 5.55(c).

(13) To approve distilled spiritsformulas, under 27 CFR 5.26.

(14) To approve applications bysuccessors to adopt predecessors’distilled spirits formulas, under 27 CFR5.28.

c. The Chief, Market ComplianceBranch is delegated authority to takefinal action on the following matters:

(1) To prohibit the use of anyadvertisement for wine, distilled spirits,or malt beverages which contains anystatement, design, device, orrepresentation of or relating to analyses,standards, tests, or any guarantee,irrespective of falsity, which is likely tomislead the consumer, under 27 CFR4.64(a)(4), 4.64(a)(5), 5.65(a)(4),5.65(a)(5), 7.54(a)(4), and 7.54(a)(5).

(2) To prohibit the use of anadvertisement for distilled spirits whichcontains any statement, design, device,or pictorial representation which relatesto or is capable of being construed asrelating to the Armed Forces of theUnited States, or the American flag, orany emblem, seal, insignia, ordecoration associated with such flag orArmed Forces, under 27 CFR 5.65(g).

5. Redelegation. The authorities inthis order may not be redelegated.

6. For Information Contact. WilliamMoore, Product Compliance Branch,Bureau of Alcohol, Tobacco andFirearms, 650 Massachusetts Avenue,NW., Washington, DC 20226, (202) 927–8140.

Dated: May 29, 1996.John W. Magaw,Director.[FR Doc. 96–15496 Filed 6–18–96; 8:45 am]BILLING CODE 4810–31–P

UNITED STATES INSTITUTE OFPEACE

Announcement of Fall UnsolicitedGrant Competition

AGENCY: United States Institute of Peace.

ACTION: Notice.

SUMMARY: The agency is SolicitingApplications for Projects that fall withinits general mandate ‘‘to promote thepeaceful resolution of internationalconflict.’’ Grants may support, academicresearch, curriculum development,public education, and other programs.

DATES: Application Material AvailableUpon Request Receipt Date for Return ofApplications: October 1, 1996.Notification of Awards: February 1997.

ADDRESSES: For Application Package:United States Institute of Peace, GrantProgram, 1550 M Street, NW, Suite 700,Washington, DC 20005–1708, (202) 429–6063 (fax), (202) 457–1719 (TTY),usip—[email protected] (email).

FOR FURTHER INFORMATION CONTACT:The Grant Program, Phone (202)–429–3842.

Dated: June 12, 1996.Bernice J. Carney,Director, Office of Administration.[FR Doc. 96–15497 Filed 6–18–96; 8:45 am]BILLING CODE 3155–01–M

This section of the FEDERAL REGISTERcontains editorial corrections of previouslypublished Presidential, Rule, Proposed Rule,and Notice documents. These corrections areprepared by the Office of the FederalRegister. Agency prepared corrections areissued as signed documents and appear inthe appropriate document categorieselsewhere in the issue.

Corrections Federal Register

31225

Vol. 61, No. 119



President’s Advisory Commission onEducational Excellence for HispanicAmericans; Meeting

Correction

In notice document 96–14566appearing on page 29362 in the issue of

Monday, June 10, 1996, in the secondcolumn, TIME: should read ‘‘8 a.m. - 5:30p.m. (est) and 1:30 p.m. - 5 p.m. (est).’’.BILLING CODE 1505–01–D


40 CFR Part 52

[OH92-1 & OH79-3; FRL-5458-8]

Approval and Promulgation ofImplementation Plans and Designationof Areas for Air Quality PlanningPurposes; Ohio

CorrectionIn rule document 96–11133 beginning

on page 20458 in the issue of Tuesday,

May 7, 1996, make the followingcorrection:

§ 52.1885 [Corrected]

On page 20472, in the third column,in § 52.1885, in paragraph (b), theparagraph designated ‘‘(9)’’ should read‘‘(10)’’.

BILLING CODE 1505–01–D

fede

ral r

egiste

r

31227

WednesdayJune 19, 1996

Part II

Department ofCommerceNational Oceanic and AtmosphericAdministration

15 CFR Part 90250 CFR Part 671, et al.Fisheries of the Exclusive EconomicZone Off Alaska; Final Rule


DEPARTMENT OF COMMERCE

National Oceanic and AtmosphericAdministration

15 CFR Part 902

50 CFR Parts 671, 672, 673, 675, 676,677, and 679

[Docket No. 960531152–6152–01; I.D.042996B]

RIN 0648–AI18

Fisheries of the Exclusive EconomicZone Off Alaska

AGENCY: National Marine FisheriesService (NMFS), National Oceanic andAtmospheric Administration (NOAA),Commerce.ACTION: Final rule.

SUMMARY: NMFS is consolidating sixparts in title 50 of the CFR as part of thePresident’s Regulatory Reform Initiative.This final rule does not makesubstantive changes to the existingregulations; rather, it reorganizesmanagement measures into a morelogical and cohesive order, removesduplicative and outdated provisions,and makes editorial changes forreadability, clarity, and to achieveuniformity in regulatory language. Thisfinal rule also amends references toPaperwork Reduction Act (PRA)information-collection requirements toreflect the consolidation. The purpose ofthis final rule is to make the regulationsmore concise, better organized, andthereby easier for the public to use.EFFECTIVE DATE: July 1, 1996.ADDRESSES: Copies of the final rule forthis action may be obtained from:Fisheries Management Division, AlaskaRegion, NMFS, 709 W. 9th Street, Room453, Juneau, AK 99801, or P.O. Box21668, Juneau, AK 99802, Attn: Lori J.Gravel. Comments regarding burden-hour estimates or other aspects of thecollection-of-information requirementscontained in this rule should be sent toFisheries Management Division, AlaskaRegion, NMFS, at the above address andto the Office of Information andRegulatory Affairs, OMB, Washington,DC 20503 (Attn: NOAA Desk Officer).FOR FURTHER INFORMATION CONTACT:Patsy A. Bearden, NMFS, 907–586–7228.


BackgroundIn March 1995, President Clinton

issued a directive to Federal agenciesregarding their responsibilities underhis Regulatory Reform Initiative. Thisinitiative is part of the National

Performance Review and calls forcomprehensive regulatory reform. ThePresident directed all agencies toundertake a review of all theirregulations, with an emphasis oneliminating or modifying those that areobsolete, duplicative, or otherwise inneed of reform. This final rule isintended to carry out the President’sdirective with respect to thoseregulations implementing the Alaskafishery management plans (FMPs).

Domestic groundfish fisheries in theExclusive Economic Zone (EEZ) of theGulf of Alaska (GOA) and the BeringSea/Aleutian Islands Management Area(BSAI) are managed by NMFS under theFishery Management Plan forGroundfish of the Gulf of Alaska, whichis implemented by regulations at 50 CFRpart 672, and the Fishery ManagementPlan for the Groundfish Fishery of theBering Sea and Aleutian Islands Area,which is implemented by regulations at50 CFR part 675. The commercialharvest of king and Tanner crabs ismanaged under the FisheryManagement Plan for the CommercialKing and Tanner Crab Fisheries in theBering Sea and Aleutian Islands Area,which is implemented throughregulations at 50 CFR part 671. NMFSmanages the commercial harvest ofscallops under the Fishery ManagementPlan for the Scallop Fishery off Alaska,which is implemented through Federalregulations at 50 CFR part 673. OtherFederal regulations that affect theAlaska groundfish and crab fisheries areset out in 50 CFR parts 676 and 677.General regulations that also pertain tothese fisheries appear in subpart H of 50CFR part 600. The FMPs were preparedby the North Pacific FisheryManagement Council under theauthority of the Magnuson FisheryConservation and Management Act.

Consolidation of regulations related tothe domestic fisheries in the EEZ offAlaska into one CFR part (50 CFR part679). Currently, regulationsimplementing the FMPs for domesticgroundfish and scallop fisheries, andthe commercial king and Tanner crabfisheries in the BSAI area are containedin six separate parts of title 50 of theCFR, in addition to general provisionsfor foreign fisheries contained in part600. NMFS, through this rulemaking,removes the six parts (50 CFR parts 671,672, 673, 675, 676, and 677) andconsolidates the regulations containedtherein into one new part (50 CFR part679). This consolidated regulationprovides the public with a singlereference source for the Federal fisheriesregulations specific to the EEZ offAlaska. The restructuring of the sixparts into a single part results in one set

of regulations that is more concise,clearer, and easier to use than the sixseparate parts. The consolidation andrestructuring of the general fisheriesregulations at 50 CFR part 620 into part600 is done in a separate rulemakingaction; many provisions in these generalfisheries regulations apply to thefisheries in the EEZ off Alaska.

Reorganization of managementmeasures within the consolidatedregulations and elimination of obsoleteor duplicative provisions. In new part679, NMFS has reorganized theconsolidated management measures in amore logical and cohesive order.Because portions of the existingregulations contain identical or nearlyidentical provisions, similar measureshave been combined and restructured.For example, certain GOA and BSAIgroundfish management measures forgear requirements and restrictions,fishing seasons, and inseasonadjustments previously contained in 50CFR parts 672 and 675 have beencombined and reorganized withinsubpart B of part 679. Paragraphheadings have been added for ease inidentifying measures, and regulatorylanguage has been revised to improveclarity and consistency.

As a result of the consolidation effort,NMFS also identified duplicative andobsolete provisions and removed thosemeasures from the regulations. Theterms ‘‘joint venture processing (JVP)’’and ‘‘total allowable level of foreignfishing (TALFF)’’ are removed from theregulations, since all fishing in the EEZoff Alaska is done by the domesticfishing fleet. Where time was referencedas 2359 hours, a change was made to2400 hours for more accuracy. Textreferring to the BSAI Winter HalibutSavings Area was removed, since it nolonger is used as a managementmeasure. No substantive changes weremade to the regulations by thisreorganization, or by the removal ofduplicative and obsolete provisions.

Revisions to PRA references in 15 CFR902.1(b). Section 3507(c)(B)(i) of thePRA requires that agencies inventoryand display a current control numberassigned by the Director, Office ofManagement and Budget (OMB), foreach agency information collection.Section 902.1(b) identifies the locationof NOAA regulations for which OMBapproval numbers have been issued.Because this final rule recodifies manyrecordkeeping and reportingrequirements, 15 CFR 902.1(b) is revisedto reference correctly the new sectionsresulting from the consolidation.

Under NOAA OrganizationHandbook, Transmital #34, dated May31, 1993, the Under Secretary for


Oceans and Atmosphere has delegatedto the Assistant Administrator forFisheries, NOAA, the authority to signmaterial for publication in the FederalRegister.

ClassificationThis action has been determined to be

not significant for purposes of E.O.12866.

Because this rule makes onlynonsubstantive changes to existingregulations originally issued after priornotice and an opportunity for publiccomment, the Assistant Administratorfor Fisheries, NOAA, under 5 U.S.C.553(b)(B), for good cause finds thatproviding such procedures for thisrulemaking is unnecessary. Because thisrule is not substantive, it is not subjectto a 30-day delay in effective date under5 U.S.C. 553(d).

Notwithstanding any other provisionof law, no person is required to respondto nor shall a person be subject to apenalty for failure to comply with acollection of information subject to therequirements of the PRA unless thatcollection of information displays acurrently valid OMB control number.

This rule contains collection-of-information requirements subject to thePRA. The following collections ofinformation have already been approvedby OMB:

(a) Approved under 0648–0206—Alaska permits: (1) Permit applicationfor Federal fisheries permit estimated at0.33 hour per response, (2) permitapplication for high seas power trollersin salmon fishery (currently proposedfor withdrawal) estimated at 0.50 hourper response, and (3) permit applicationfor experimental fishing estimated at 30hours per response.

(b) Approved under 0648–0213—Alaska Region Logbook Family ofForms: (1) Buying Station DailyCumulative Logbook (DCL) estimated at0.42 hour per response, (2) BuyingStation Check-in/Check-out Reportestimated at 0.10 hour per response, (3)Daily Cumulative Production Logbook(DCPL) estimated at 0.45 hour perresponse, (4) Daily Fishing Logbook(DFL) estimated at 0.25 hour perresponse, (5) Weekly Production Report(WPR) estimated at 0.30 hour perresponse, (6) Daily Production Report(DPR) estimated at 0.17 hour perresponse, (7) Product Transfer Reportsestimated at 0.18 hour per response, (8)Processor Check-in/Check-out Reportsestimated at 0.13 hour per response, (9)U.S. Vessel Activity Report (VAR)estimated at 0.25 hour per response, and(10) Alaska Commercial Operator’sAnnual Report (ACOAR) estimated at 6hours per response.

(c) Approved under 0648–0269—Western Alaska CommunityDevelopment Quota (CDQ) Program: (1)Community Development Plan (CDP)application estimated at 160 hours perresponse, (2) annual report estimated at40 hours for each annual report, (3) eachfinal report estimated at 40 hours, (4)each substantial amendment to apollock fishery CDP estimated at 30hours, and technical amendmentsestimated at 4 hours, (5) eachamendment to a sablefish/halibutfishery CDP estimated at 10 hours, (6)appeal of a Quota Share (QS)application for the sablefish/halibutCDQ program estimated at 4 hours, (7)annual reconciliation budget report forpollock estimated at 40 hours, (8) for thepollock CDQ fishery, reportingrequirements also include catchmessages estimated at 5 minutes perresponse, scale printout retentionestimated at 8 minutes per response, bincertification estimated at 8 hours perresponse, and notifications of CDQlandings estimated at 2 minutes perresponse, and (9) for the sablefish/halibut CDQ fishery, reportingrequirements include changes to the listof CDQ cardholders estimated at 0.5hour per response, changes to sablefish/halibut CDP’s list of vessels estimated at1 hour per response, and replacement ofCDQ permits and cards estimated at 0.5hour per response.

(d) Approved under 0648–0272—IFQProgram: (1) Estimated response timeduring the 2-year implementationperiod is expected to be 5.5 hours forthe QS application, (2) 4 hours to file anappeal on a QS application, (3) 2 hoursfor an IFQ crew member eligibilityapplication, (4) estimated response timeduring each year after theimplementation period is 1 hour fornotification of inheritance of QS, (5) 2hours for the application for transfer orlease of QS/IFQ, (6) 2 hours for thecorporate/ partnership or other entitytransfer application, (7) 0.5 hour for theregistered buyer application, (8) 0.5hour per request for application foradditional card, (9) 0.2 hour for priornotice of landing, (10) 0.1 hour forpermission to land IFQs at any timeother than 0600–1800 hours, (11) 0.1hour for the vessel clearanceapplication, (12) 0.2 hour for the IFQlanding report, (13) 0.1 hour for atransshipment notice, (14) 0.2 hour forthe shipment or transfer report, and (15)application for transfer of IFQ estimatedat 2 hours per response.

(e) Approved under 0648–0280—North Pacific Fisheries Research Plan(Research Plan): (1) 0.5 hour perresponse for completing the semiannualFPP–1, (2) 0.25 hour per response for

notifying contractors of needs forobservers, (3) 1.0 hour per response toprovide information to document claimsof disputed bills, and (4) 0.16 hour perresponse for the first year of theResearch Plan for completion of FPP–2by observer contractors for payment ofobserver coverage by processor vesselsand shoreside processing facilities.

(f) Approved under 0648–0282—Alaska Groundfish and Crab VesselMoratorium Program: (1) Federalgroundfish and BSAI crab permitapplication estimated at 0.33 hour perresponse, (2) application for transfer ofmoratorium permit estimated at 0.5hour per response, (3) reconstructionreporting requirement estimated at 0.5hour per response, (4) transfer of lost ordestroyed vessel moratoriumqualification reporting requirementestimated at 0.5 hour per response, (5)salvage of lost or destroyed vesselreporting requirement estimated at 0.5hour per response, (6) halibutsupplementary information reportingrequirement estimated at 0.5 hour perresponse, and (7) time to file an appealestimated at 0.5 hour per appeal.

(g) Approved under 0648–0305—Estimated response time foridentification of longline marker buoysis 0.25 hour per buoy.

(h) Approved under 0648–0307—Net-sounder device required for pelagictrawl gear when trawling in waters ofthe EEZ in the vicinity around KodiakIsland: Estimated time to snap-on deviceand to remove device each time it isused is 5 minutes (10 minutes per tow).North Pacific Fisheries Research Planelectronic transmission of observer data:Estimated time for installation ofequipment varies with type of InmarsatCommunication Unit being installed onboard the vessel. For Standard A unit,installation is estimated at 9 hours pervessel. For Standard C units, installationis estimated at 13 hours per vessel.

The estimated response times showninclude the time for reviewinginstructions, searching existing datasources, gathering and maintaining thedata needed, and completing andreviewing the collection of information.Send comments regarding burdenestimates, or any other aspect of the datarequirements, including suggestions forreducing the burden, to NMFS and OMB(see ADDRESSES).

List of Subjects

15 CFR Part 902Reporting and Recordkeeping

Requirements.

50 CFR Part 671Fisheries, Fishing, Reporting and

recordkeeping requirements.


50 CFR Parts 672, 675, 677, and 679Fisheries, Reporting and

recordkeeping requirements.

50 CFR Part 673Fisheries.

50 CFR Part 676Alaska, Fisheries, Reporting and

recordkeeping requirements.Dated: June 4, 1996.

Gary Matlock,Program Management Officer, NationalMarine Fisheries Service.

For the reasons set out in thepreamble, 15 CFR chapter IX and, underthe authority of 16 U.S.C. 773 et seq.and 16 U.S.C. 1801 et seq., 50 CFRchapter VI are amended as follows:

15 CFR CHAPTER IX

PART 902—NOAA INFORMATIONCOLLECTION REQUIREMENTS UNDERTHE PAPERWORK REDUCTION ACT:OMB CONTROL NUMBERS


Authority: 44 U.S.C. 3501 et seq.

2. In § 902.1, paragraph (b), the tableis amended by removing in the leftcolumn under 50 CFR, the entries‘‘672.4’’, ‘‘672.5’’, ‘‘672.6’’, ‘‘672.24’’,‘‘674.4’’, ‘‘675.4’’, ‘‘675.5’’, ‘‘675.6’’,‘‘675.24’’, ‘‘675.27’’, ‘‘676.3’’, ‘‘676.4’’,‘‘676.5’’, ‘‘676.13’’, ‘‘676.14’’, ‘‘676.17’’,‘‘676.20’’, ‘‘676.21’’, ‘‘676.25’’, ‘‘677.4’’,‘‘677.6’’, and ‘‘677.10’’ and by removingin the right column the control numbersin corresponding positions; and byadding, in numerical order, thefollowing entries to read as follows:

§ 902.1 OMB control numbers assignedpursuant to the Paperwork Reduction Act

* * * * *(b) * * *

CFR part or sectionwhere the information

collection requirement islocated

Current OMB con-trol number (all

numbers begin with0648–)

* * * * *50 CFR:

* * * * *679.4 ............................. 0206, 0272, 0280,

and 0282679.5 ............................. 0213, 0272679.6 ............................. 0206679.24 ........................... 0305, 0307679.30 ........................... 0269679.32 ........................... 0269679.33 ........................... 0269679.34 ........................... 0269679.40 ........................... 0213, 0272679.41 ........................... 0272679.42 ........................... 0272

CFR part or sectionwhere the information

collection requirement islocated

Current OMB con-trol number (all

numbers begin with0648–)

679.43 ........................... 0272, 0282679.50 ........................... 0280679.51 ........................... 0280, 0307679.52 ........................... 0280, 0307

* * * * *

3. Parts 671, 672, 673, 675, 676, and677 [Removed]

3. Parts 671, 672, 673, 675, 676, and677 are removed.

4. Part 679 is added to read as follows:

PART 679—FISHERIES OF THEEXCLUSIVE ECONOMIC ZONE OFFALASKA

Subpart A—General

Sec.679.1 Purpose and scope.679.2 Definitions.679.3 Relation to other laws.679.4 Permits.679.5 Recordkeeping and reporting.679.6 Experimental fisheries.679.7 Prohibitions.679.8 Facilitation of enforcement.679.9 Penalties.

Subpart B—Management Measures

679.20 General limitations.679.21 Prohibited species bycatch

management.679.22 Closures.679.23 Seasons.679.24 Gear limitations.679.25 Inseason adjustments.

Subpart C—Western Alaska CommunityDevelopment Quota Program

679.30 General CDQ regulations.679.31 CDQ reserve.679.32 Estimation of total pollock harvest

in the CDQ fisheries (applicable throughDecember 31, 1998).

679.33 Halibut and sablefish CDQ.679.34 CDQ halibut and sablefish

determinations and appeals.

Subpart D—Individual Fishing QuotaManagement Measures

679.40 Sablefish and halibut QS.679.41 Transfer of QS and IFQ.679.42 Limitations on use of QS and IFQ.679.43 Determinations and appeals.679.44 Penalties.

Subpart E—Observer Requirements/NorthPacific Fisheries Research Plan

679.50 Research Plan fee.679.51 General observer requirements

(applicable through December 31, 1996).679.52 Observer coverage requirements for

Research Plan fisheries (applicable afterDecember 31, 1996).

679.53 Annual Research Planspecifications.

679.54 Compliance.

Subpart F—Scallop Fishery off Alaska679.60 Prohibitions.Figures—Part 679Figure 1—BSAI Statistical and Reporting

AreasFigure 2—BSAI Catcher Vessel Operational

AreaFigure 3—Gulf of Alaska Statistical and

Reporting AreasFigure 4—Herring Savings Areas in the BSAIFigure 5—Kodiak Island Areas Closed to

Nonpelagic Trawl GearFigure 6—Length Overall of a VesselFigure 7—Location of Trawl Gear Test Areas

in the GOA and the BSAITables—Part 679Table 1—Product CodesTable 2—Species CodesTable 3—Product Recovery Rates for

Groundfish SpeciesTable 4—Bering Sea Subarea Steller Sea Lion

Protection AreasTable 5—Aleutian Islands Subarea Steller

Sea Lion Protection AreasTable 6—Gulf of Alaska Steller Sea Lion

Protection AreasTable 7—Communities Determined to be

Eligible to Apply for CommunityDevelopment Quotas

Table 8—Harvest Zone Codes for Use withProduct Transfer Reports and VesselActivity Reports

Table 9—Required Logbooks, Reports, andForms from Participants in the FederalGroundfish Fisheries

Table 10—Gulf of Alaska RetainablePercentages

Table 11—Bering Sea and Aleutian IslandsManagement Area RetainablePercentages

Authority: 16 U.S.C. 773 et seq., 1801 etseq.

Subpart A—General

§ 679.1 Purpose and scope.Regulations in this part were

developed by the Council under theMagnuson Act. Along with part 600 ofthis chapter, these regulationsimplement the following:

(a) Fishery Management Plan forGroundfish of the Gulf of Alaska. (1)Regulations in this part governcommercial fishing for groundfish in theGOA by vessels of the United States (seesubparts A, B, D, and E of this part).

(2) The following State of Alaskaregulations are not preempted by thispart for vessels regulated under this partfishing for demersal shelf rockfish in theSoutheast Outside District, and whichare registered under the laws of theState of Alaska: 5 AAC 28.110, fishingseasons; 5 AAC 28.130, gear; 5 AAC28.160, harvest guidelines; 5 AAC28.190, harvest of bait by commercialpermit holders.

(b) Fishery Management Plan for theGroundfish Fishery of the Bering Seaand Aleutian Islands Area. Regulationsin this part govern commercial fishingfor groundfish in the BSAI by vessels of


the United States (see subparts A, B, C,D, and E of this part).

(c) Moratorium on entry (applicablethrough December 31, 1998).Regulations in this part govern amoratorium on the entry of new vesselsin the commercial fisheries forgroundfish in the GOA and BSAI and inthe commercial fisheries for king andTanner crabs in the BSAI (see subpartsA and D of this part).

(d) IFQ Program for sablefish andhalibut. The IFQ management plan forthe commercial fisheries that use fixedgear to harvest sablefish and halibut (seesubparts A, B, D, and E of this part).

(1) Sablefish. (i) Regulations in thispart govern commercial fishing forsablefish by vessels of the United States:

(A) Using fixed gear within thatportion of the GOA and the BSAI overwhich the United States exercisesexclusive fishery management authority;and

(B) Using fixed gear in waters of theState of Alaska adjacent to the BSAI andthe GOA, provided that such fishing isconducted by persons who have beenissued permits under § 679.4.

(ii) Regulations in this part do notgovern commercial fishing for sablefishin Prince William Sound or under aState of Alaska limited entry program.

(2) Halibut. Regulations in this partgovern commercial fishing for halibutby vessels of the United States usingfixed gear, as that term is described in16 U.S.C. 773(d), in and off of Alaska.

(e) Western Alaska CDQ Program. Thegoals and purpose of the CDQ programare to allocate CDQ to eligible WesternAlaska communities to provide themeans for starting or supportingcommercial seafood activities that willresult in ongoing, regionally based,commercial seafood or relatedbusinesses (see subparts A, B, C, and Eof this part).

(f) Observer requirements/ResearchPlan. Regulations in this part governelements of the Research Plan for thefollowing fisheries under the Council’sauthority: BSAI groundfish, GOAgroundfish, BSAI king and Tanner crabin the EEZ; and halibut fromConvention waters off Alaska (seesubpart E of this part).

(g) Fishery Management Plan for theCommercial King and Tanner CrabFisheries in the BSAI. Regulations inthis part govern commercial fishing forking and Tanner crab in the BSAI byvessels of the United States, includingregulations superseding State of Alaskaregulations applicable to thecommercial king and Tanner crabfisheries in the BSAI EEZ that aredetermined to be inconsistent with the

FMP (see subparts A, B, and E of thispart).

(h) Scallops. Regulations in this partimplement Federal authority under theMagnuson Act to manage the scallopfishery in the EEZ off Alaska and togovern commercial fishing for scallopsin the EEZ off Alaska (see subpart F ofthis part).

§ 679.2 Definitions.In addition to the definitions in the

Magnuson Act and in part 600 of thischapter, the terms used in this part havethe following meanings:

Active/inactive periods—(1) Activeperiods—(i) Catcher vessel. An activeperiod for a catcher vessel means aperiod of time when the catcher vesselis in a reporting area (except 300, 400,550, or 690) or gear remains on thegrounds in a reporting area (except 300,400, 550, or 690), regardless of thevessel location.

(ii) Shoreside processor, mothership,catcher/processor, and buying station.An active period for a shoresideprocessor, mothership, catcher/processor, and buying station means aperiod of time when checked in.

(2) Inactive periods—(i) Catchervessel. An inactive period for a catchervessel means any period that does notqualify as an active period.

(ii) Shoreside processor, mothership,catcher/processor, or buying station. Aninactive period for a shoresideprocessor, mothership, catcher/processor, or buying station means aperiod of time when not checked in.

ADF&G means the State of AlaskaDepartment of Fish and Game.

Alaska local time (A.l.t.) means thecurrent Alaska time, either daylightsavings time or standard time.

Alaska State waters means watersadjacent to the State of Alaska andshoreward of the EEZ off Alaska.

Aleutian Islands Subarea (AI) of theBSAI means that portion of the EEZcontained in Statistical Areas 541, 542,and 543 (see Figure 1 of this part).

Authorized fishing gear means fixedgear, hook-and-line, jig, longline,longline pot, nonpelagic trawl,nontrawl, pelagic trawl, pot-and-line,and trawl; defined as follows:

(1) Fixed gear means:(i) For sablefish harvested from any

GOA reporting area, all hook-and-linegear and, for purposes of determininginitial IFQ allocation, all pot gear usedto make a legal landing.

(ii) For sablefish harvested from anyBSAI reporting area, all hook-and-linegear and all pot gear.

(iii) For halibut harvested from anyIFQ regulatory area, all fishing gearcomprised of lines with hooks attached,

including one or more stationary,buoyed, and anchored lines with hooksattached.

(2) Hook-and-line means a stationary,buoyed, and anchored line with hooksattached, or the taking of fish by meansof such a device.

(3) Jig means a single, non-buoyed,non-anchored line with hooks attached,or the taking of fish by means of sucha device.

(4) Longline means a stationary,buoyed, and anchored line with hooksor two or more groundfish potsattached, or the taking of fish by meansof such a device.

(5) Longline pot means a stationary,buoyed, and anchored line with two ormore pots attached, or the taking of fishby means of such a device.

(6) Nonpelagic trawl means a trawlother than a pelagic trawl.

(7) Nontrawl means hook-and-line, jig,longline, and pot-and-line gear.

(8) Pelagic trawl means a trawl that:(i) Has no discs, bobbins, or rollers;(ii) Has no chafe protection gear

attached to the footrope or fishing line;(iii) Except for the small mesh

allowed under paragraph (8)(ix) of thisdefinition:

(A) Has no mesh tied to the fishingline, headrope, and breast lines withless than 20 inches (50.8 cm) betweenknots and has no stretched mesh size ofless than 60 inches (152.4 cm) aft fromall points on the fishing line, headrope,and breast lines and extending past thefishing circle for a distance equal to orgreater than one half the vessel’s LOA;or

(B) Has no parallel lines spaced closerthan 64 inches (162.6 cm) from allpoints on the fishing line, headrope, andbreast lines and extending aft to asection of mesh, with no stretched meshsize of less than 60 inches (152.4 cm)extending aft for a distance equal to orgreater than one half the vessel’s LOA;

(iv) Has no stretched mesh size lessthan 15 inches (38.1 cm) aft of the meshdescribed in paragraph (8)(iii) of thisdefinition for a distance equal to orgreater than one half the vessel’s LOA;

(v) Contains no configurationintended to reduce the stretched meshsizes described in paragraphs (8)(iii) and(iv) of this definition;

(vi) Has no flotation other than floatscapable of providing up to 200 lb (90.7kg) of buoyancy to accommodate the useof a net-sounder device;

(vii) Has no more than one fishingline and one footrope for a total of nomore than two weighted lines on thebottom of the trawl between the wingtip and the fishing circle;

(viii) Has no metallic componentexcept for connectors (e.g.,


hammerlocks or swivels) or a net-sounder device aft of the fishing circleand forward of any mesh greater than5.5 inches (14.0 cm) stretched measure;

(ix) May have small mesh within 32ft (9.8 m) of the center of the headropeas needed for attaching instrumentation(e.g., net-sounder device); and

(x) May have weights on the wingtips.

(9) Pot-and-line means a stationary,buoyed line with a single pot attached,or the taking of fish by means of sucha device.

(10) Trawl has the meaning specifiedin § 600.10 of this chapter. For purposesof this part, this definition includes, butis not limited to, Danish seines and ottertrawls.

Basis species means any species orspecies group that is open to directedfishing that the vessel is authorized toharvest.

Bering Sea and Aleutian IslandsManagement Area (BSAI) means theBering Sea and Aleutian Islandssubareas (see Figure 1 of this part).

Bering Sea Subarea of the BSAImeans that portion of the EEZ containedin Statistical Areas 508, 509, 512, 513,514, 516, 517, 518, 519, 521, 523, 524,and 530 (see Figure 1 of this part).

Bimonthly refers to a time periodequal to 2 calendar months. Forpurposes of the Research Plan, sixconsecutive bimonthly periods areestablished each year, as follows:January 1—February 29; March 1—April30; May 1—June 30; July 1—August 31;September 1—October 31; andNovember 1—December 31.

Bogoslof District means that part ofthe Bering Sea Subarea contained inStatistical Area 518 (see Figure 1 of thispart).

Breast line means the rope or wirerunning along the forward edges of theside panels of a net, or along theforward edge of the side rope in a ropetrawl.

Buying station means:(1) With respect to groundfish

recordkeeping and reporting, a personor vessel that receives unprocessedgroundfish from a vessel for delivery ata different location to a shoresideprocessor or mothership and that doesnot process those fish.

(2) With respect to Research Plan, aperson or vessel that receivesunprocessed fish from a vessel fordelivery to a shoreside processor ormothership and that does not processthose fish.

Bycatch Limitation Zone 1 (Zone 1)means that part of the Bering SeaSubarea that is contained within theboundaries of Statistical Areas 508, 509,512, and 516 (see Figure 1 of this part).

Bycatch Limitation Zone 2 (Zone 2)means that part of the Bering SeaSubarea that is contained within theboundaries of Statistical Areas 513, 517,and 521 (see Figure 1 of this part).

Bycatch rate means:(1) For purposes of § 679.21(f) with

respect to halibut, means the ratio of thetotal round weight of halibut, inkilograms, to the total round weight, inmetric tons, of groundfish for which aTAC has been specified under § 679.20while participating in any of thefisheries defined under § 679.21(f).

(2) For purposes of § 679.21(f) withrespect to red king crab, means the ratioof number of red king crab to the totalround weight, in metric tons, of BSAIgroundfish for which a TAC has beenspecified under § 679.20 whileparticipating in the BSAI yellowfin soleand BSAI ‘‘other trawl’’ fisheries, asdefined under § 679.21(f).

Bycatch species means any species orspecies group for which a maximumretainable bycatch amount is calculated.

Catcher/processor means:(1) With respect to groundfish

recordkeeping and reporting, a vesselthat is used for catching fish andprocessing that fish.

(2) (Applicable through December 31,1998). With respect to moratoriumgroundfish or crab species, a vessel thatcan be used as a catcher vessel and thatcan process or prepare fish to render itsuitable for human consumption,industrial use, or long-term storage,including, but not limited to, cooking,canning, smoking, salting, drying,freezing, and rendering into meal or oil,but not including heading and guttingunless additional preparation is done.

(3) With respect to Research Planfisheries, a processor vessel that is usedfor, or equipped to be used for, catchingfish and processing that fish.

Catcher vessel means:(1) With respect to groundfish

recordkeeping and reporting, a vesselthat is used for catching fish and thatdoes not process on board.

(2) (Applicable through December 31,1998). With respect to moratoriumgroundfish, as defined in paragraph (1)of this definition; with respect tomoratorium crab species, a vessel that isused to catch, take, or harvestmoratorium crab species that areretained on board as fresh fish productat any time.

(3) With respect to IFQ species, avessel that is used to catch, take, orharvest fish that are subsequently iced,headed, gutted, bled, or otherwiseretained as fresh fish product on boardduring any fishing year, except whenthe freezer vessel definition appliesduring any fishing trip.

(4) With respect to the Research Plan,a vessel that is used for catching fishand processing that fish.

Catcher Vessel Operational Area(CVOA) (see Figure 2 of this part and§ 679.22(a)(5)).

Central Aleutian District means thatpart of the Aleutian Islands Subareacontained in Statistical Area 542 (seeFigure 1 of this part).

Chief, RAM Division means Chief ofthe Restricted Access ManagementDivision, NMFS, Alaska Region.

Chinook Salmon Savings Area of theBSAI (see § 679.21(e)(7)(vii)(B)).

Chum Salmon Savings Area of theBSAI CVOA (see § 679.21(e)(7)(vi)(B)).

Clearing officer means a NMFSspecial agent, a NMFS fisheryenforcement officer, or a NMFSenforcement aide who performs thefunction of clearing vessels at one of theprimary ports listed in § 679.5(l)(3)(viii).

Commissioner of ADF&G means theprincipal executive officer of ADF&G.

Community Development Plan(CDP)(applicable through December 31,1998) means a business plan for thedevelopment of a specific WesternAlaska community or group ofcommunities under the CDQ Program at§ 679.30.

Community Development Quota(CDQ) (applicable through December 31,1998) means a percentage of the CDQreserve for a particular fish species thatis allocated to a CDP.

Community Development QuotaProgram (CDQ Program) (applicablethrough December 31, 1998) means theWestern Alaska CommunityDevelopment Quota Programimplemented under subpart C of thispart.

Community Development QuotaReserve (CDQ Reserve) (applicablethrough December 31, 1998) means apercentage of the TAC for a particularmanagement area for pollock, halibut, orhook-and-line sablefish that has been setaside for purposes of the CDQ program.

Council means North Pacific FisheryManagement Council.

Daily reporting period or day is theperiod from 0001 hours, A.l.t., until thefollowing 2400 hours, A.l.t.

Directed fishing means:(1) With respect to groundfish

recordkeeping and reporting, anyfishing activity that results in theretention of an amount of a species orspecies group on board a vessel that isgreater than the maximum retainablebycatch amount for that species orspecies group as calculated under§ 679.20.

(2) (Applicable through December 31,1998). With respect to moratoriumgroundfish species, directed fishing as


defined in paragraph (1) of thisdefinition, or, with respect tomoratorium crab species, the catchingand retaining of any moratorium crabspecies.

Dockside sale means the transfer ofIFQ halibut or IFQ sablefish from theperson who harvested it to individualsfor personal consumption, and not forresale.

Donut Hole means the internationalwaters of the Bering Sea outside thelimits of the EEZ and Russian economiczone as depicted on the current editionof NOAA chart INT 813 Bering Sea(Southern Part).

Eastern Aleutian District means thatpart of the Aleutian Islands Subareacontained in Statistical Area 541 (seeFigure 1 of this part).

Exvessel price means the price indollars received by a harvester for fishfrom Research Plan fisheries. Exvesselprice excludes any value added byprocessing.

Federal waters means waters withinthe EEZ off Alaska.

Fee percentage means the annuallycalculated assessment rate, in percent ofexvessel value of Research Planfisheries, used to determine feeassessments under the Research Plan.

Fish product weight means the weightof the fish product in pounds or to atleast the nearest hundredth of a metricton (0.01 mt). Fish product weight isbased upon the number of productionunits and the weight of those units.Production units include pans, cartons,blocks, trays, cans, bags, and individualfresh or frozen fish. The weight of aproduction unit is the average weight ofrepresentative samples of the product,and may include additives, but notpackaging. Any allowance for wateradded cannot exceed 5 percent of thegross product weight (fish, additives,and water).

Fishermen means persons who catch,take, or harvest fish.

Fishing circle means thecircumference of a trawl intersecting thecenter point on a fishing line, and thatis perpendicular to the long axis of atrawl.

Fishing day means a 24-hour period,from 0001 hours, A.l.t., through 2400hours, A.l.t., in which fishing gear isretrieved and groundfish, halibut, orking or Tanner crab are retained. Daysduring which a vessel only deliversunsorted codends to a processor are notfishing days.

Fishing line means a length of chainor wire rope in the bottom front end ofa trawl to which the webbing or leadropes are attached.

Fishing month refers to a time periodcalculated on the basis of weekly

reporting periods as follows: Eachfishing month begins on the first day ofthe first weekly reporting period thathas at least 4 days in the associatedcalendar month and ends on the last dayof the last weekly reporting period thathas at least 4 days in that same calendarmonth. Dates of each fishing month willbe announced in the Federal Registerpublished under § 679.21(f)(5).

Fishing trip means:(1) With respect to groundfish

directed fishing standards, an operatorof a vessel is engaged in a fishing tripfrom the time the harvesting, receiving,or processing of groundfish is begun orresumed until:

(i) The offload or transfer of allgroundfish or groundfish product fromthat vessel;

(ii) The vessel enters or leaves an areato which a directed fishing prohibitionapplies; or

(iii) The end of a weekly reportingperiod, whichever comes first.

(2) With respect to the IFQ Program,the period beginning when a vesseloperator commences harvesting IFQspecies and ending when the vesseloperator lands any species.

(3) With respect to the Research Plan,one of the following:

(i) For a vessel used to processgroundfish or a catcher vessel used todeliver groundfish to a mothership, aweekly reporting period during whichone or more fishing days occur.

(ii) For a catcher vessel used todeliver fish to other than a mothership,the time period during which one ormore fishing days occur, that starts onthe day when fishing gear is firstdeployed and ends on the day the vesseloffloads groundfish, halibut, or king orTanner crab; returns to an Alaskan port;or leaves the EEZ off Alaska andadjacent waters of the State of Alaska.

Fishing year means 0001 hours, A.l.t.,on January 1, through 2400 hours, A.l.t.,on December 31 (see § 679.23).

Footrope means a chain or wire ropeattached to the bottom front end of atrawl and attached to the fishing line.

Freezer vessel means any vessel thatis used to process some or all of itscatch during any fishing trip.

Gear deployment means:(1) For trawl gear: Where the trawl

gear reaches the fishing level and beginsto fish.

(2) For jig/troll, hook-and-line, orlongline gear: Where the gear enters thewater.

(3) For pot-and-line gear: Where thefirst pot enters the water.

Gear retrieval means:(1) For trawl gear: Where retrieval of

trawl cable commences.(2) For jig/troll gear: Where the jig/

troll gear leaves the water.

(3) For hook-and-line or longline potgear: Where the last hook-and-line orlongline pot gear of a set leaves thewater, regardless of where the majorityof the haul or set took place.

(4) For pot-and-line gear: Where thelast pot of a set leaves the water.

Governor means the Governor of theState of Alaska.

Groundfish means target species andthe ‘‘other species’’ category, specifiedannually pursuant to § 679.20(a)(2).

Gulf of Alaska (GOA) means thatportion of the EEZ contained inStatistical Areas 610, 620, 630, 640, and650 (see Figure 3 of this part).

Halibut means Pacific halibut(Hippoglossus stenolepis).

Halibut CDQ reserve means theamount of the halibut catch limit forIPHC regulatory areas 4B, 4C, 4D, and4E that is reserved for the halibut CDQprogram (see § 679.31(b)).

Harvesting or to harvest means thecatching and retaining of any fish.

Headrope means a rope bordering thetop front end of a trawl.

Herring Savings Area means any ofthree areas in the BSAI presented inFigure 4 (see also § 679.21(e)(7)(v) foradditional closure information).

Individual means a natural personwho is not a corporation, partnership,association, or other such entity.

Individual fishing quota (IFQ) meansthe annual catch limit of sablefish orhalibut that may be harvested by aperson who is lawfully allocated aharvest privilege for a specific portion ofthe TAC of sablefish or halibut.

IFQ crew member means anyindividual who has at least 150 daysexperience working as part of theharvesting crew in any U.S. commercialfishery, or any individual who receivesan initial allocation of QS. For purposesof this definition, ‘‘harvesting’’ meanswork that is directly related to thecatching and retaining of fish. Work insupport of harvesting, but not directlyinvolved with harvesting, is notconsidered harvesting crew work. Forexample, searching for fish, work on afishing vessel only as an engineer orcook, or work preparing a vessel for afishing trip would not be consideredwork of a harvesting crew.

IFQ halibut means any halibut that isharvested with fixed gear in any IFQregulatory area.

IFQ landing means the unloading ortransferring of any IFQ halibut, IFQsablefish, or products thereof from thevessel that harvested such fish.

IFQ regulatory area means:(1) With respect to IFQ halibut, areas

2C, 3A, 3B, 4A, 4B, 4C, 4D, or 4E asdefined in part 301 of this title.

(2) With respect to IFQ sablefish, anyof the three regulatory areas in the GOA


and any subarea of the BSAI, and allwaters of the State of Alaska betweenthe shore and the inshore boundary ofsuch regulatory areas and subareas,except waters of Prince William Soundand areas in which sablefish fishing ismanaged under a State of Alaska limitedentry program.

IFQ sablefish means any sablefish thatis harvested with fixed gear, either inthe EEZ off Alaska or in waters of theState of Alaska, by persons holding anIFQ permit, but does not includesablefish harvested in Prince WilliamSound or under a State of Alaskalimited entry program.

Inshore component (applicablethrough December 31, 1998) means thefollowing three categories of the U.S.groundfish fishery that process pollockharvested in a directed fishery forpollock in the GOA or BSAI, or Pacificcod harvested in a directed fishery forPacific cod in the GOA, or both:

(1) Shoreside processing operations.(2) Vessels less than 125 ft (38.1 m) in

LOA, that process no more than 126 mtper week in round-weight equivalents ofan aggregate amount of those fish.

(3) Vessels that process those fish ata single geographic location in AlaskaState waters during a fishing year. Forthe purposes of this definition, NMFSwill determine the single geographiclocation in a fishing year for anindividual processor from thegeographic coordinates the vesseloperator reports on the check-in report(§ 679.5(h)) when that vessel firstengages in processing those fish.

IPHC means International PacificHalibut Commission (see part 301 ofthis title).

King crab means red king crab(Paralithodes camtschatica), blue kingcrab (P. platypus), brown (or golden)king crab (Lithodes aequispina), andscarlet (or deep sea) king crab (Lithodescouesi).

Landing means offloading fish.Legal landing (applicable through

December 31, 1998) means any amountof a moratorium species that was or islanded in compliance with Federal andstate commercial fishing regulations ineffect at the time of the landing.

Legal landing of halibut or sablefish(see § 679.40(a)(3)(v)).

Length overall (LOA) of a vesselmeans the horizontal distance, roundedto the nearest foot, between the foremostpart of the stem and the aftermost partof the stern, excluding bowsprits,rudders, outboard motor brackets, andsimilar fittings or attachments (seeFigure 6 of this part; see also maximumLOA, original qualifying LOA, andreconstruction).

Logbook means Daily CumulativeProduction Logbook (DCPL), DailyCumulative Logbook (DCL), or a DailyFishing Logbook (DFL) required by§ 679.5.

Lost or destroyed vessel (applicablethrough December 31, 1998) means avessel that has sunk at sea or has beendestroyed by fire or other accident andhas been reported to the USCG on USCGForm 2692, Report of Marine Casualty.

Management area means any district,regulatory area, subpart, part, or theentire GOA or BSAI.

Manager, with respect to anyshoreside processor or buying station,means the individual responsible for theoperation of the shoreside processoroperation or buying station.

Maximum LOA (applicable throughDecember 31, 1998), with respect to avessel’s eligibility for a moratoriumpermit, means:

(1) Except for a vessel underreconstruction on June 24, 1992, if theoriginal qualifying LOA is less than 125ft (38.1 m) LOA, 1.2 times the originalqualifying LOA or 125 ft (38.1 m),whichever is less.

(2) Except for a vessel underreconstruction on June 24, 1992, if theoriginal qualifying LOA is equal to orgreater than 125 ft (38.1 m), the originalqualifying LOA.

(3) For an original qualifying vesselunder reconstruction on June 24, 1992,the LOA on the date reconstruction wascompleted, provided that maximumLOA is certified under § 679.4(c)(9).

Moratorium crab species (applicablethrough December 31, 1998) meansspecies of king or Tanner crabsharvested in the BSAI, the commercialfishing for which is governed by thispart.

Moratorium groundfish species(applicable through December 31, 1998)means species of groundfish, exceptsablefish caught with fixed gear,harvested in the GOA or in the BSAI,the commercial fishing for which isgoverned by this part.

Moratorium qualification (applicablethrough December 31, 1998) means atransferable prerequisite for amoratorium permit.

Moratorium species (applicablethrough December 31, 1998) means anymoratorium crab species or moratoriumgroundfish species.

Mothership means:(1) A vessel that receives and

processes groundfish from other vessels;or

(2) With respect to the Research Plan,a processor vessel that receives andprocesses fish from other vessels and isnot used for, or equipped to be used for,catching fish.

Net-sounder device means a sensorused to determine the depth from thewater surface at which a fishing net isoperating.

Non-allocated or nonspecified speciesmeans those fish species, other thanprohibited species, for which TAC hasnot been specified (e.g., grenadier,prowfish, lingcod).

Observed or observed data refers todata collected by observers who arecertified under the NMFS ObserverProgram (see § 679.21(f)(7) and subpartE of this part).

Observer means any person certifiedunder the NMFS Observer Program (seesubpart E of this part).

Offshore component (applicablethrough December 31, 1998) means allvessels not included in the definition of‘‘inshore component’’ that processpollock caught in directed fisheries forpollock in the GOA or BSAI, or Pacificcod caught in directed fisheries forPacific cod in the GOA, or both.

Optimum yield (OY) (see§ 679.20(a)(1)).

Original qualifying LOA (applicablethrough December 31, 1998) means theLOA of the original moratoriumqualifying vessel on June 24, 1992.

Original qualifying vessel (applicablethrough December 31, 1998) means avessel that made a legal landing duringthe moratorium qualifying period.

Other species is a category thatconsists of groundfish species in eachmanagement area that are not specifiedas target species (see Table 1 of thespecifications provided at § 679.20(c)).

Person means:(1) (Applicable through December 31,

1998). For purposes of the moratorium,any individual who is a citizen of theUnited States or any U.S. corporation,partnership, association, or other entity(or their successor in interest), whetheror not organized or existing under thelaws of any state.

(2) For purposes of IFQ species, anyindividual who is a citizen of the UnitedStates or any corporation, partnership,association, or other entity (or theirsuccessor in interest), whether or notorganized or existing under the laws ofany state, who is a U.S. citizen.

Pollock roe means product consistingof pollock eggs, either loose or in sacsor skeins.

Processing, or to process, means thepreparation of fish to render it suitablefor human consumption, industrialuses, or long-term storage, including butnot limited to cooking, canning,smoking, salting, drying, freezing, orrendering into meal or oil, but does notmean icing, bleeding, heading, orgutting.


Processor means, with respect to theResearch Plan, any shoreside processoror vessel that processes fish, any personwho receives fish from fishermen forcommercial purposes, any fishermanwho transfers fish outside of the UnitedStates, and any fisherman who sells fishdirectly to a restaurant or to anindividual for use as bait or personalconsumption. Processor does notinclude a buying station or a restaurant,or a person who receives fish fromfishermen for personal consumption orbait.

Processor vessel means, unlessotherwise restricted, any vessel that hasbeen issued a Federal fisheries permitand that can be used for processinggroundfish.

Prohibited species catch (PSC) meansany of the species listed in § 679.21(b).

PRR means standard product recoveryrate (see Table 3 of this part).

Qualified applicant (see WesternAlaska CDQ Program, § 679.30(d)(6)).

Qualified person (see IFQManagement Measures, § 679.40(a)(2)).

Qualifying period (applicable throughDecember 31, 1998) means the period toqualify for the moratorium from January1, 1988, through February 9, 1992.

Quarter, or quarterly reporting period,means one of four successive 3-monthperiods, which begin at 0001 hours,A.l.t., on the first day of each quarter,and end at 2400 hours, A.l.t., on the lastday of each quarter, as follows:

(1) 1st quarter: January 1 throughMarch 31.

(2) 2nd quarter: April 1 through June30.

(3) 3rd quarter: July 1 throughSeptember 30.

(4) 4th quarter: October 1 throughDecember 31.

Quota share (QS) means a permit, theface amount of which is used as a basisfor the annual calculation of a person’sIFQ.

Reconstruction (applicable throughDecember 31, 1998) means a change inthe LOA of the vessel from its originalqualifying LOA.

Regional Director, for purposes of thispart, means the Director, Alaska Region,NMFS, as defined at § 600.10 of thischapter, or a designee.

Regulatory area means any of threeareas of the EEZ in the GOA (see Figure3 of this part).

Reporting area means any of the areasdescribed in Figures 1 and 3 of this part.

Research Plan means the NorthPacific Fisheries Research Plandeveloped by the North Pacific FisheryManagement Council under theMagnuson Act.

Research Plan fisheries means thefollowing fisheries: BSAI groundfish,

GOA groundfish, BSAI king and Tannercrab, and halibut from conventionwaters off Alaska.

Resident fisherman (see§ 679.30(d)(7)).

Retained catch means the catchretained by a processor, in round weightor round-weight equivalents, fromResearch Plan fisheries.

Round weight or round-weightequivalent, for purposes of this part,means:

(1) For groundfish or halibut: Theweight of fish calculated by dividing theweight of the primary product madefrom that fish by the standard PRR forthat primary product as listed in Table3 of this part, or, if not listed, the weightof fish calculated by dividing the weightof a primary product by the standardPRR as determined using the bestavailable evidence on a case-by-casebasis.

(2) For BSAI crab processed bycatcher/processors: The scale weight ofa subsample multiplied by the numberof subsamples comprising the retainedcatch.

(3) For BSAI crab processed bymothership or shoreside processors: Thescale weights of retained catches.

Sablefish (black cod) meansAnoplopoma fimbria.

Sablefish CDQ reserve means 20percent of the sablefish fixed gear TACfor each subarea in the BSAI for whicha sablefish TAC is specified (see§ 679.31(c)).

Scallop(s) means any species of thefamily Pectinidae, including, withoutlimitation, weathervane scallops(Patinopectin caurinus).

Set means a string of pots or hook-and-line gear or a group of pots that isdeployed in a similar location withsimilar soak time.

Shoreside processor means:(1) With respect to GOA and BSAI

groundfish, any person or vessel thatreceives unprocessed groundfish, exceptcatcher/processors, motherships, buyingstations, restaurants, or personsreceiving groundfish for use as bait orpersonal consumption.

(2) With respect to the Research Plan,any person that receives unprocessedfish, except catcher/processors,motherships, restaurants, or personsreceiving fish for use as bait or personalconsumption.

Southeast Outside District of the GOAmeans that part of the EasternRegulatory Area contained in StatisticalArea 650 (see Figure 3 of this part).

Standard exvessel price means theexvessel price for species harvested inResearch Plan fisheries, calculatedannually by NMFS for each species orspecies group, from exvessel price

information for all product forms, usedin determining fee assessments.

Statistical area means the part of anyreporting area defined in Figures 1 and3 of this part, contained in the EEZ.

Steller Sea Lion Protection Areas (seeTables 4, 5, and 6 of this part and§§ 679.22(a)(7), (a)(8), 679.22(b)(2), and227.12 of this title).

Stem means the forward part of avessel—that portion of the vessel wherethe sides are united at the fore end withthe lower end attached to the keel andthe bowsprit, if one is present, restingon the upper end.

Stern means the aft part of the vessel.Stretched mesh size means the

distance between opposite knots of afour-sided mesh when opposite knotsare pulled tautly to remove slack.

Superexclusive registration areameans any State of Alaska designatedregistration area within the BSAI where,if a vessel is registered to fish for crab,that vessel is prohibited from fishing forcrab in any other registration areaduring that registration year.

Support vessel means any vessel thatis used in support of other vesselsregulated under this part, including, butnot limited to, supplying a fishingvessel with water, fuel, provisions,fishing equipment, fish processingequipment or other supplies, ortransporting processed fish. The term‘‘support vessel’’ does not includeprocessor vessels or tender vessels.

Tanner crab means Chionoecetesspecies or hybrids of these species.

Target species are those species orspecies groups, except the ‘‘otherspecies’’ category, for which a TAC isspecified pursuant to § 679.20(a)(2).

Tender vessel means a vessel that isused to transport unprocessed fishreceived from another vessel to ashoreside processor, mothership, orbuying station.

Transfer includes any loading,offloading, shipment or receipt of anygroundfish product, includingquantities transferred inside or outsidethe EEZ, within any state’s territorialwaters, within the internal waters of anystate, at any shoreside processor, or anyoffsite meal reduction plant.

Trawl test areas (see Figure 7 of thispart and § 679.24(d)).

U.S. citizen means:(1) Any individual who is a citizen of

the United States at the time ofapplication for QS; or

(2) Any corporation, partnership,association, or other entity that wouldhave qualified to document a fishingvessel as a vessel of the United Statesduring the QS qualifying years of 1988,1989, and 1990.

Vessel Activity Report (VAR) (see§ 679.5).


Vessel operations category (see§ 679.4).

Walrus Protection Areas (see§ 679.22(a)(4)).

Weekly reporting period means a timeperiod that begins at 0001 hours, A.l.t.,Sunday morning (except during the firstweek of each year, when it starts onJanuary 1) and ends at 2400 hours,A.l.t., the following Saturday night(except during the last week of eachyear, when it ends on December 31).

West Yakutat District of the GOAmeans that part of the GOA EasternRegulatory Area contained in StatisticalArea 640 (see Figure 3 of this part).

Western Aleutian District means thatpart of the Aleutian Islands Subareacontained in Statistical Area 543 (seeFigure 1 of this part).

Wing tip means the point whereadjacent breast lines intersect or wherea breast line intersects with the fishingline.

§ 679.3 Relation to other laws.(a) Foreign fishing for groundfish.

Regulations governing U.S. nationalsfishing in the Russian fisheries are setforth in part 299 of this title.

(b) Domestic fishing for groundfish.The conservation and management ofgroundfish in waters of the territorialsea and internal waters of the State ofAlaska are governed by the AlaskaAdministrative Code at 5 AAC Chapter28 and the Alaska Statute at A.S. 16.

(c) Halibut. Additional regulationsgoverning the conservation andmanagement of halibut are set forth inpart 301 of this title.

(d) King and Tanner crab. Additionalregulations governing conservation andmanagement of king crab and Tannercrab in the BSAI are contained in AlaskaStatutes at A.S. 16 and AlaskaAdministrative Code at 5 AAC Chapters34, 35, and 39.

(e) Incidental catch of marinemammals. Regulations governingexemption permits and therecordkeeping and reporting of theincidental take of marine mammals areset forth in § 216.24 and part 229 of thistitle.

§ 679.4 Permits.(a) General requirements—(1)

Application. (i) A person may obtain orrenew an application for any of thepermits under this section and mustmail completed forms to the Chief, RAMDivision.

(ii) Upon receipt of an incomplete orimproperly completed permitapplication, the Chief, RAM Division,will notify the applicant of thedeficiency in the permit application. Ifthe applicant fails to correct the

deficiency, the permit will not beissued. No permit will be issued to anapplicant until a complete application isreceived.

(iii) A separate application must becompleted for each vessel, processor, orbuying station and a copy must beretained of each completed or revisedapplication.

(iv) The information requested on theapplication must be typed or printedlegibly.

(2) Amended applications. An owner,operator, or manager who applied forand received a permit under this sectionmust notify the Chief, RAM Division, inwriting, of any change in theinformation within 10 days of the dateof that change.

(3) Alteration. No person may alter,erase, or mutilate any permit, card, ordocument issued under this section.Any such permit, card, or documentthat is intentionally altered, erased, ormutilated is invalid.

(4) Disclosure. NMFS will maintain alist of permitted processors that may bedisclosed for public inspection.

(5) Sanctions and denials. Proceduresgoverning permit sanctions and denialsare found at subpart D of 15 CFR part904.

(b) Federal Fisheries permit—(1)Groundfish. No vessel of the UnitedStates may be used to fish forgroundfish in the GOA or BSAI unlessthe owner first obtains a Federalfisheries permit for the vessel, issuedunder this part. A Federal fisheriespermit is issued without charge.

(2) Non-groundfish. A vessel of theUnited States that fishes in the GOA orBSAI for any non-groundfish species,including but not limited to halibut,crab, salmon, scallops, and herring, andthat does not retain any bycatch ofgroundfish is not required to obtain aFederal fisheries permit under this part.

(3) Vessel operations categories. (i) AFederal fisheries permit authorizes avessel to conduct operations in the GOAand BSAI as a catcher vessel, catcher/processor, mothership, tender vessel, orsupport vessel.

(ii) A vessel may be issued a Federalfisheries permit as a support vessel or asany combination of the other fourcategories (catcher vessel, catcher/processor, mothership, tender vessel). Avessel permitted as a catcher vessel,catcher/processor, mothership, or tendervessel also may conduct all operationsauthorized for a support vessel.

(4) Duration. (i) A Federal fisheriespermit remains in effect throughDecember 31 of the year for which it isissued, unless it is revoked, suspended,or modified under 15 CFR part 904, orunless it is surrendered or invalidated.

(ii) A Federal fisheries permit issurrendered when the original permit issubmitted to and received by the NMFSEnforcement Office in Juneau, AK.

(5) Application. A completeapplication for a Federal fisheriespermit must include the followinginformation for each vessel:

(i) Amended permit. If application isfor an amended permit, the currentFederal fisheries permit number andinformation that has changed.

(ii) Vessels. The complete name andhomeport (city and state) of the vessel;the ADF&G vessel number; the USCGdocumentation number or Alaskaregistration number; the vessel’s LOAand registered net tonnage; and thetelephone, fax, and COMSAT (satellitecommunication) numbers used on boardthe vessel.

(iii) Owner information. The owner ofthe vessel must record the owner’sname, permanent business mailingaddress, telephone and fax numbers;and the name of any company (otherthan the owner) that manages theoperations of the vessel or shoresideprocessor.

(iv) Federal fisheries permitinformation. The owner of the vesselmust record:

(A) The fishery or fisheries and thevessel operations category for which thepermit would apply, as set forth underparagraph (b)(3) of this section.

(B) If a catcher vessel or catcher/processor, the gear type(s) used forgroundfish operations.

(C) If a catcher vessel, whethergroundfish is retained only as bycatchfrom halibut, crab, or salmon fisheries;and whether sablefish is the onlygroundfish targeted in the GOA.

(D) If a mothership or catcher/processor, whether inshore or offshore,to indicate component in which Pacificcod in the GOA or pollock will beprocessed for the entire fishing year.

(v) Signature. The owner of the vesselmust sign and date the application.

(6) Issuance. (i) Except as provided insubpart D of 15 CFR part 904, uponreceipt of a properly completed permitapplication, the Regional Director willissue a Federal fisheries permit requiredby this paragraph (b).

(ii) The Regional Director will sendthe Federal fisheries permit to theapplicant with the appropriate logbooks,as provided under § 679.5.

(7) Amended application. If theapplication for an amended permitrequired under this section designates achange or addition of a vesseloperations category, the amendedpermit must be on board the vesselbefore the new type of operationsbegins.


(8) Transfer. A Federal fisheriespermit issued under this paragraph (b)is not transferable or assignable and isvalid only for the vessel for which it isissued.

(9) Inspection. (i) An original Federalfisheries permit issued under thisparagraph (b) must be carried on boardthe vessel whenever the vessel isfishing. Photocopied or faxed copies arenot considered originals.

(ii) A permit issued under thisparagraph (b) must be presented forinspection upon the request of anyauthorized officer.

(c) Moratorium permits (applicablethrough December 31, 1998—(1)General—(i) Applicability. Except asprovided under paragraph (c)(2) of thissection, any vessel used to catch andretain any moratorium crab species or toconduct directed fishing for anymoratorium groundfish species musthave a valid moratorium permit issuedfor that vessel under this part on boardthe vessel at all times it is engaged infishing activities.

(ii) Duration. The moratorium permitis valid for the duration of themoratorium, unless otherwise specified.

(iii) Validity. A moratorium permitissued under this part is valid only if:

(A) The vessel’s LOA does not exceedthe maximum LOA as specified in§ 679.2;

(B) The vessel’s moratoriumqualification has not been transferred;

(C) The permit has not been revokedor suspended under 15 CFR part 904;

(D) The permit is endorsed for all geartypes on board the vessel; and

(E) The permit’s term covers thefishing year in which the vessel isfishing.

(iv) Inspection. A moratorium permitmust be presented for inspection uponthe request of any authorized officer.

(2) Moratorium exempt vessels. (i) Amoratorium exempt vessel is not subjectto the moratorium permit requirementof paragraph (c)(1) of this section and isnot eligible for a moratorium permit.

(ii) A moratorium exempt vessel maycatch and retain moratorium species,provided it complies with the permitrequirements of the State of Alaska withrespect to moratorium crab species,Federal permit requirements in this partwith respect to moratorium groundfishspecies, and other applicable Federaland State of Alaska regulations.

(3) Moratorium exempt vesselcategories. A moratorium exempt vesselis a vessel in any of the followingcategories:

(i) Vessels other than catcher vesselsor catcher/processor vessels.

(ii) Catcher vessels or catcher/processor vessels less than or equal to

26 ft (7.9 m) LOA that conduct directedfishing for groundfish in the GOA.

(iii) Catcher vessels or catcher/processor vessels less than or equal to32 ft (9.8 m) LOA that catch and retainmoratorium crab species in the BSAI orthat conduct directed fishing formoratorium groundfish species in theBSAI.

(iv) Catcher vessels or catcher/processor vessels that are fishing for IFQhalibut, IFQ sablefish, or halibut orsablefish under the Western Alaska CDQProgram in accordance with regulationsat subpart C of this part and that are notdirected fishing for any moratoriumspecies.

(v) Catcher vessels or catcher/processor vessels less than or equal to125 ft (38.1 m) LOA that after November18, 1992, are specifically constructed forand used in accordance with a CDPunder § 679.30, and that are designedand equipped to meet specific needsdescribed in the CDP.

(4) Moratorium permitendorsements—(i) General. Amoratorium permit will be endorsed forone or more fishery-specific gear type(s)in accordance with the endorsementcriteria of paragraph (c)(5) of thissection.

(ii) Authorization. A fishery-specificgear type endorsement authorizes theuse by the vessel of that gear type in thespecified fisheries.

(iii) Fishing gear requirements. (A)Fishing gear requirements for the BSAIcrab fisheries are set forth in the AlaskaAdministrative Code at title 5, chapters34 and 35.

(B) Fishing gear requirements for theGOA and the BSAI groundfish fisheriesare set forth under § 679.24.

(C) A moratorium permit may beendorsed for any one or a combinationof the following fishing gear types:

(1) Trawl, which includes pelagic andnonpelagic trawl gear.

(2) Pot, which includes longline potand pot-and-line gear.

(3) Hook, which includes hook-and-line and jig gear.

(5) Gear endorsement criteria. Forpurposes of this paragraph (c)(5), theperiod January 1, 1988, throughFebruary 9, 1992, is ‘‘period 1,’’ andFebruary 10, 1992, through December11, 1994, is ‘‘period 2.’’ Fishery-specificgear type endorsement(s) will be basedon the following criteria:

(i) Crab fisheries/pot gear. Amoratorium permit for a vessel may beendorsed for crab fisheries/pot gear ifthe vessel made a legal landing:

(A) Of a moratorium crab species inperiod 1;

(B) Of a moratorium groundfishspecies with any authorized fishing gear

in period 1, and, in period 2, made alegal landing of a moratorium crabspecies; or

(C) Of moratorium groundfish inperiod 1 with pot gear.

(ii) Groundfish fisheries/trawl gear. Amoratorium permit may be endorsed forgroundfish fisheries/trawl gear if thevessel made a legal landing:

(A) Of a moratorium groundfishspecies with any authorized fishing gearin period 1; or

(B) Of a moratorium crab species inperiod 1, and, in period 2, made a legallanding of a moratorium groundfishspecies using trawl gear.

(iii) Groundfish fisheries/pot gear. Amoratorium permit may be endorsed forgroundfish fisheries/pot gear if thevessel made a legal landing:


(B) Of a moratorium crab species inperiod 1.

(iv) Groundfish fisheries/hook gear. Amoratorium permit may be endorsed forgroundfish fisheries/hook gear if thevessel made a legal landing:


(B) Of a moratorium crab species inperiod 1, and, in period 2, made a legallanding of a moratorium groundfishspecies using hook gear.

(6) Application for permit. Amoratorium permit will be issued to theowner of a vessel of the United Statesif he/she submits to the RegionalDirector a complete moratorium permitapplication that is subsequentlyapproved and if the vessel’s LOA doesnot exceed the maximum LOA asspecified in § 679.2. A completeapplication for a moratorium permitmust include the following informationfor each vessel:

(i) Name of the vessel, stateregistration number of the vessel andthe USCG documentation number of thevessel, if any.

(ii) Name(s), business address(es), andtelephone and fax numbers of the ownerof the vessel.

(iii) Name of the managing company.(iv) Valid documentation of the

vessel’s moratorium qualification, ifrequested by the Regional Director dueto an absence of landings records for thevessel from January 1, 1988, throughFebruary 9, 1992.

(v) Reliable documentation of thevessel’s original qualifying LOA, ifrequested by the Regional Director, suchas a vessel survey, builder’s plan, stateor Federal registration certificate,fishing permit records, or other reliableand probative documents that clearly


identify the vessel and its LOA, and thatare dated before June 24, 1992.

(vi) Specification of the fishing gear(s)used from January 1, 1988, throughFebruary 9, 1992, and, if necessary, thefishing gear(s) used from February 10,1992, through December 11, 1994.

(vii) Specification of the vessel aseither a catcher vessel or a catcher/processor vessel.

(viii) If applicable, transferauthorization if a permit request isbased on transfer of moratoriumqualification pursuant to paragraph (c)of this section.

(ix) Signature of the person who is theowner of the vessel or the person whois responsible for representing the vesselowner.

(7) Moratorium qualification. A vesselhas moratorium qualification if:

(i) The vessel is an original qualifyingvessel;

(ii) The vessel is not a moratoriumexempt vessel under paragraph (c)(2) ofthis section;

(iii) The vessel’s moratoriumqualification has not been transferred;

(iv) The vessel receives a validmoratorium qualification through atransfer approved by the RegionalDirector under pargraph (c)(9) of thissection; and

(v) That moratorium qualification isnot subsequently transferred.

(8) Application for moratoriumqualification transfer—(i) General. Anapplication for approval of a transfer ofmoratorium qualification (see paragraph(c)(9) of this section) must be completedand the transfer approved by theRegional Director before an applicationfor a moratorium permit based on thattransfer can be approved. Anapplication for approval of a transferand an application for a moratoriumpermit may be submittedsimultaneously.

(ii) Contents of application. Acomplete application for approval oftransfer must include the followinginformation, as applicable, for eachvessel involved in the transfer ofmoratorium qualification:

(A) Name(s), business address(es), andtelephone and fax numbers of theapplicant(s) (including the owners ofthe moratorium qualification that is tobe or was transferred and the personwho is to receive or received thetransferred moratorium qualification).

(B) Name of the vessel whosemoratorium qualification is to be or wastransferred and the name of the vesselthat would receive or received thetransferred moratorium qualification (ifany), the state registration number ofeach vessel and, if documented, the

USCG documentation number of eachvessel.

(C) The original qualifying LOA of thevessel whose moratorium qualificationis to be or was transferred, its currentLOA, and its maximum LOA.

(D) The LOA of the vessel that wouldreceive or received the transferredmoratorium qualification anddocumentation of that LOA by a currentvessel survey or other reliable andprobative document.

(E) Signatures of the persons fromwhom moratorium qualification wouldbe transferred or their representative,and the persons who would receive thetransferred moratorium qualification ortheir representative.

(iii) Contract or agreement. A legiblecopy of a contract or agreement must beincluded with the application fortransfer that specifies the vessel orperson from which moratoriumqualification is to be or is transferred,the date of the transfer agreement,names and signatures of all currentowner(s) of the vessel whosemoratorium qualification is to be or wastransferred, and names and signatures ofall current owner(s) of the moratoriumqualification that is to be or wastransferred.

(iv) Vessel reconstruction. Thefollowing information must be includedwith the application for transfer:

(A) A legible copy of written contractsor written agreements with the firm thatperformed reconstruction of the vesseland that relate to that reconstruction.

(B) An affidavit signed by the vesselowner(s) and the owner/manager of thefirm that performed the vesselreconstruction, specifying the beginningand ending dates of the reconstruction.

(C) An affidavit signed by the vesselowner(s) specifying the LOA of thereconstructed vessel.

(v) Vessels lost or destroyed. A copyof USCG Form 2692, Report of MarineCasualty, must be included with theapplication for transfer.

(9) Transfer of moratoriumqualification (applicable throughDecember 31, 1998)—(i) General. Atransfer of a vessel’s moratoriumqualification must be approved by theRegional Director before a moratoriumpermit may be issued under this sectionfor the vessel to which the qualificationis transferred. A moratorium permit isnot transferrable or assignable. Afishery-specific gear typeendorsement(s) is not severable from anendorsed permit. A transfer ofmoratorium qualification will not beapproved by the Regional Directorunless:

(A) A complete transfer applicationthat satisfies all requirements specified

in paragraph (c)(8) of this section issubmitted;

(B) The LOA of the vessel to whichthe moratorium qualification istransferred does not exceed themaximum LOA of the originalqualifying vessel; and

(C) The moratorium permit associatedwith the moratorium qualification is notrevoked or suspended.

(ii) Vessels lost or destroyed in 1988.The moratorium qualification of a vesselthat was lost or destroyed before January1, 1989, may not be transferred toanother vessel and is not valid forpurposes of issuing a moratoriumpermit for that vessel, if salvaged, unlesssalvage began on or before June 24,1992, and the LOA of the salvagedvessel does not exceed its maximumLOA. The moratorium qualification ofsuch a vessel is not valid for purposesof issuing a moratorium permit for 1998unless that vessel is used to make a legallanding of a moratorium species fromJanuary 1, 1996, through December 31,1997.

(iii) Vessels lost or destroyed from1989 through 1995. The moratoriumqualification of any vessel that was lostor destroyed on or after January 1, 1989,but before January 1, 1996, is valid forpurposes of issuing a moratoriumpermit for that vessel, if salvaged,regardless of when salvage began,provided that the vessel has not alreadybeen replaced and the LOA of thesalvaged vessel does not exceed itsmaximum LOA. The moratoriumqualification of any vessel that was lostor destroyed on or after January 1, 1989,but before January 1, 1996, may betransferred to another vessel, providedthe LOA of that vessel does not exceedthe maximum LOA of the originalqualifying vessel. The moratoriumqualification of such a vessel is notvalid for purposes of issuing amoratorium permit for 1998, unless thatvessel is used to make a legal landing ofa moratorium species from January 1,1996, through December 31, 1997.

(iv) Vessels lost or destroyed after1995. The moratorium qualification ofany vessel that was lost or destroyed onor after January 1, 1996, is valid forpurposes of issuing a moratoriumpermit for that vessel, if salvaged,regardless of when salvage began,provided that the vessel has not alreadybeen replaced and the LOA of thesalvaged vessel does not exceed itsmaximum LOA. The moratoriumqualification of any vessel that is lost ordestroyed on or after January 1, 1996,may be transferred to another vessel,providing the LOA of that vessel doesnot exceed the maximum LOA of theoriginal qualifying vessel.


(v) Reconstruction. The moratoriumqualification of a vessel is not valid forpurposes of issuing a moratoriumpermit if, after June 23, 1992,reconstruction is initiated that results inincreasing the LOA of the vessel toexceed the maximum LOA of theoriginal qualifying vessel. For a vesselwhose reconstruction began before June24, 1992, and was completed after June24, 1992, the maximum LOA is the LOAon the date reconstruction wascompleted, provided the owner files anapplication for transfer and the RegionalDirector certifies that maximum LOAand approves the transfer based oninformation concerning the LOA of thereconstructed vessel submitted underparagraph (c)(8)(iv) of this section.

(10) Appeal—(i) Determination. TheChief, RAM Division, will issue aninitial administrative determination toeach applicant who is denied amoratorium permit by that official. Aninitial administrative determinationmay be appealed by the applicant inaccordance with § 679.43. The initialadministrative determination will be thefinal agency action if a written appeal isnot received by the Chief, RAMDivision, within the period specified.

(ii) Permit denial. An initialadministrative determination thatdenies an application for a moratoriumpermit must authorize the affectedvessel to catch and retain moratoriumcrab or moratorium groundfish specieswith the type of fishing gear specifiedon the application. The authorizationexpires on the effective date of the finalagency action relating to theapplication.

(iii) Final action. An administrativedetermination denying approval of thetransfer of a moratorium qualificationand/or denying the issuance of amoratorium permit based on thatmoratorium qualification is the finalagency action for purposes of judicialreview.

(d) IFQ—(1) General. In addition tothe permit and licensing requirementsprescribed in part 301 of this title andin the permit requirements of thissection, all fishing vessels that harvestIFQ halibut or IFQ sablefish must haveon board:

(i) IFQ permit. A copy of an IFQpermit that specifies the IFQ regulatoryarea and vessel category in which IFQhalibut or IFQ sablefish may beharvested by the IFQ permit holder anda copy of the most recent accompanyingstatement specifying the amount of eachspecies that may be harvested duringthe current IFQ fishing season; and

(ii) IFQ card. An original IFQ cardissued by the Regional Director.

(2) Registered buyer permit. Anyperson who receives IFQ halibut or IFQsablefish from the person(s) thatharvested the fish must possess aregistered buyer permit, except underconditions of paragraph (d)(2) (i), (ii), or(iii) of this section. A registered buyerpermit also is required of any personwho harvests IFQ halibut or IFQsablefish and transfers such fish:

(i) In a dockside sale;(ii) Outside of an IFQ regulatory area;

or(iii) Outside the State of Alaska.(3) Permit issuance—(i) IFQ permits

and cards—(A) Issuance. IFQ permitsand cards will be renewed or issuedannually by the Regional Director toeach person with approved QS for IFQhalibut or IFQ sablefish allocated inaccordance with this section.

(B) IFQ permit. Each IFQ permitissued by the Regional Director willidentify the permitted person and willbe accompanied by a statement thatspecifies the amount of IFQ halibut orIFQ sablefish that person may harvestfrom a specified IFQ regulatory areausing fixed gear and a vessel of aspecified vessel category.

(C) IFQ card. Each IFQ card issued bythe Regional Director will display anIFQ permit number and the individualauthorized by the IFQ permit holder toland IFQ halibut or IFQ sablefish fordebit against the permit holder’s IFQ.

(ii) Registered buyer permits.Registered buyer permits will berenewed or issued annually by theRegional Director to persons that have aregistered buyer application approvedby the Regional Director.

(4) Duration—(i) IFQ permit. An IFQpermit authorizes the person identifiedon the permit to harvest IFQ halibut orIFQ sablefish from a specified IFQregulatory area at any time during anopen fishing season during the fishingyear for which the IFQ permit is issueduntil the amount harvested is equal tothe amount specified under the permit,or until it is revoked, suspended, ormodified under 15 CFR part 904.

(ii) IFQ card. An IFQ card authorizesthe individual identified on the card toland IFQ halibut or IFQ sablefish fordebit against the specified IFQ permituntil the card expires, or is revoked,suspended, or modified under 15 CFRpart 904, or cancelled on request of theIFQ permit holder.

(iii) Registered buyer permit. Aregistered buyer permit authorizes theperson identified on the permit toreceive or make an IFQ landing by anIFQ permit or card holder at any timeduring the fishing year for which it isissued until the registered buyer permit

expires, or is revoked, suspended, ormodified under 15 CFR part 904.

(5) Transfer. The IFQ permits issuedunder this section are not transferable,except as provided under § 679.41. IFQcards and registered buyer permitsissued under this paragraph (d) are nottransferable.

(6) Inspection—(i) IFQ permit. Alegible copy of any IFQ permit issuedunder this section must be carried onboard the vessel used by the permittedperson to harvest IFQ halibut or IFQsablefish at all times that such fish areretained on board.

(ii) IFQ card. Except as specified in§ 679.42(d), an individual that is issuedan IFQ card must remain on board thevessel used to harvest IFQ halibut orIFQ sablefish with that card until allsuch fish are landed, and must presenta copy of the IFQ permit and theoriginal IFQ card for inspection onrequest of any authorized officer,clearing officer, or registered buyerpurchasing IFQ species.

(iii) Registered buyer permit. A legiblecopy of the registered buyer permit mustbe present at the location of an IFQlanding, and must be made available forinspection on request of any authorizedofficer or clearing officer.

(e) Halibut/sablefish CDQ permits andCDQ cards. See § 679.33(a) and (b).

(f) Federal processor permit—(1)General—(i) Applicability. In additionto the permit and licensingrequirements prescribed in part 301 ofthis title and paragraphs (b) and (d) ofthis section, and except as provided inparagraph (f)(1)(ii) of this section, aprocessor of fish from a Research Planfishery must have a Federal processorpermit issued by the Regional Director.

(ii) Exception. Any fisherman whotransfers fish outside the United States,or any fisherman who sells fish directlyto a restaurant or to an individual foruse as bait or for personal consumptionis not required to have a Federalprocessor permit.

(iii) Fee. A Federal processor permitwill be issued without charge.

(2) Application. A completeapplication for a Federal processorpermit must include the following foreach vessel or processor:

(i) The annual period for which thepermit is requested.

(ii) The Research Plan fishery orfisheries for which the permit isrequested.

(iii) If the application is for anamended permit, the current Federalprocessor permit number and anindication of the information that isbeing amended.


(iv) The processor owner’s name ornames, business mailing address,telephone number, and fax number.

(v) If the processor is a shoresideprocessor, the plant’s name, businessmailing address, ADF&G ProcessorCode, telephone number, and faxnumber.

(vi) If the processor is a vessel, thevessel’s name, home port, net tonnage,LOA, USCG number, telephone number,fax number, INMARSAT (satellitecommunications) number, and ADF&Gnumber.

(vii) The applicant’s name, signature,and date.

(3) Issuance. (i) Permits requiredunder paragraph (f)(1)(i) of this sectionwill be issued annually by the RegionalDirector.

(ii) The Regional Director will issue apermit required under paragraph (f)(1)(i)of this section upon receipt of acomplete application.

(iii) Upon receipt of an incomplete orimproperly completed application, theRegional Director will notify theapplicant of the deficiency. No permitwill be issued to an applicant until acomplete application is submitted.

(4) Duration. The Federal processorpermit issued by the Regional Directorwill continue in full force and effectthrough December 31 of the year forwhich it is issued, or until it is revoked,suspended, or modified under§§ 600.735 and 600.740 of this chapter.

(5) Transfer. Permits issued under thisparagraph (f) are not transferable orassignable.

(6) Validity. Each permit issued underthis paragraph (f) is valid only for thevessel or processor for which it isissued.

(7) Inspection. (i) The permit issuedunder this paragraph (f) must bemaintained on the processor vessel or atthe shoreside processor.

(ii) The permit must be available forinspection upon request by anauthorized officer or any employee ofNMFS, ADF&G, or the AlaskaDepartment of Public Safety designatedby the Regional Director, Commissionerof ADF&G, or Commissioner of theAlaska Department of Public Safety.

(g) King and Tanner crab permits. Allprocessors of BSAI king and Tannercrab must comply with permitrequirements contained in paragraph (f)of this section.

§ 679.5 Recordkeeping and reporting.(a) General requirements—(1)

Applicability, Federal fisheries permit.The following must comply with therecordkeeping and reportingrequirements of this section:

(i) Any catcher vessel, mothership,catcher/processor, or tender vessel, 5

net tons or larger, that is 60 ft (18.3 m)and over LOA, and is required to havea Federal fisheries permit under § 679.4.

(ii) Any shoreside processor,mothership, or buying station thatreceives groundfish from vesselsrequired to have a Federal fisheriespermit under § 679.4. A shoresideprocessor, mothership, or buying stationsubject to recordkeeping and reportingrequirements must report all groundfishand prohibited species received,including:

(A) Fish received from vessels notrequired to have a Federal fisheriespermit.

(B) Fish received under contract forhandling or processing for anotherprocessor.

(2) Applicability, Federal processorpermit. Any processor that retains fishfrom a Research Plan fishery isresponsible for complying with theapplicable recordkeeping and reportingrequirements of this section.

(3) Responsibility. The operator of acatcher vessel, catcher/processor,mothership, or buying station receivingfrom a catcher vessel and delivering toa mothership (hereafter referred to asthe operator) and the manager of ashoreside processor or buying stationreceiving from a catcher vessel anddelivering to a shoreside processor(hereafter referred to as the manager) areeach responsible for complying with theapplicable recordkeeping and reportingrequirements of this section. Inaddition, the owner of a vessel,shoreside processor, or buying stationmust ensure that the operator, manager,or representative (see paragraph (b) ofthis section) complies with theserequirements and is responsible forcompliance.

(4) Groundfish logbooks and forms.The Regional Director will prescribe andprovide groundfish logbooks and formsrequired under this section as shown inTable 9 of this part. The operator ormanager must use these logbooks andforms or obtain approval from theRegional Director to use electronicversions of the logbooks and forms.

(5) Participant identificationinformation. The operator or managermust record on all required records,reports, and logbooks:

(i) The name of the catcher vessel,catcher/processor, mothership,shoreside processor, or buying station asdisplayed in official documentation.

(ii) If a vessel, the Federal fisheriespermit number and ADF&G vesselnumber (if applicable).

(iii) If a processor, the Federalprocessor permit number and ADF&Gprocessor number.

(iv) If a buying station, the name andADF&G vessel number (if applicable) ofthe buying station; the name, ADF&Gprocessor number, and Federalprocessor permit number of associatedprocessor.

(v) If a shoreside processor or buyingstation delivering to a shoresideprocessor, the geographic location ofoperations.

(vi) If a representative, the name,daytime business telephone number(including area code), fax or telexnumber, and the COMSAT number (ifapplicable) of the representative.

(6) Maintenance of records. (i) Theoperator or manager must maintain allrecords, reports, and logbooks in alegible, timely, and accurate manner; inEnglish; if handwritten, in indelible ink;if computer-generated, a printed, papercopy; and based on A.l.t.

(ii) The operator or manager mustaccount for each day of the fishing year,starting with January 1 and ending withDecember 31, and the time periods mustbe consecutive in the logbook.

(iii) When applicable, the operator ormanager must record in each report,form, and logbook the followinginformation:

(A) Page number. Number the pagesin each logbook consecutively,beginning with page one and continuingthroughout the logbook for theremainder of the fishing year, exceptthat the manager of a shoresideprocessor must number the DCPL pageswithin Part I and Part II separately,beginning with page one.

(B) Date, presented as month-day-year.

(C) Time, in military format to thenearest hour, A.l.t.

(D) Position coordinates, latitude andlongitude to the nearest minute(Optional: Record to the nearest secondor fraction of minute).

(E) Reporting area codes, given inFigures 1 and 3 of this part.

(F) Species codes, each target species,the ‘‘other species’’ category, andprohibited species under § 679.21(b),using the species codes given in Table2 of this part.

(G) Original/revised report. If a reportis the first one submitted to the RegionalDirector for a given date, gear type, andreporting area, the report should belabeled, ‘‘ORIGINAL REPORT.’’ If thereport is a correction to a previouslysubmitted report for a given date, geartype, and reporting area, the reportshould be labelled, ‘‘REVISEDREPORT.’’

(H) Weights. Landings, product, anddiscards of groundfish and herring mustbe recorded in pounds or to the nearest0.01 mt on all forms and logbooks.


(7) Active and inactive periods. Theoperator or manager must, in the DFL,DCL, or DCPL:

(i) Account for each day of the fishingyear by indicating active and inactiveperiods as defined under § 679.2.

(ii) Use a separate logbook page foreach day of an active period.

(iii) Indicate on one page the first andlast day of an inactive period.

(iv) Indicate all fishing activity, whichis defined for each type of vessel asfollows:

(A) If a catcher vessel—harvest ordiscard of groundfish.

(B) If a catcher/processor—harvest,discard, or processing of groundfish.

(C) If a mothership or shoresideprocessor—receipt, discard, orprocessing of groundfish.

(D) If a buying station—receipt,discard, or delivery of groundfish.

(v) If in an active period andconducting fishing activity, the operatoror manager must record:

(A) The gear type used to harvest thegroundfish. If a catcher vessel orcatcher/processor and using hook-and-line longline gear, the average numberof hooks per skate.

(B) The reporting area code wheregear retrieval was completed; whethergear retrieval was in Federal or AlaskaState waters.

(C) If a catcher vessel, whether aNMFS-certified observer is aboard thevessel. If a catcher/processor,mothership, or shoreside processor, thenumber of NMFS-certified observersaboard or on site.

(D) The number of crew, except forcertified observer(s).

(E) Whether harvest is under a CDQprogram; if yes, the CDQ number.

(F) If a catcher vessel or buyingstation, the name and ADF&G processornumber of the mothership or shoresideprocessor to which groundfishdeliveries were made.

(vi) If in an active period and notconducting fishing activity, the operatoror manager must indicate ‘‘NO FISHINGACTIVITY’’ and briefly describe thereason.

(8) Landings information. Themanager of a shoreside processor must:

(i) Record and report groundfishlandings by species codes and productcodes as defined in Tables 1 and 2 ofthis part for each reporting area,whether from Alaska State waters orFederal waters, gear type, and CDQnumber.

(ii) Record in the DCPL each day onthe day such landings occur, thefollowing additional information:

(A) The daily combined scale weightof landings retained for processing froma catcher vessel or any associated

buying station, in pounds or to at leastthe nearest 0.01 mt.

(B) If more than one page is usedduring a weekly reporting period, thetotal amount of landings carried forwardfrom the previous page.

(C) At the end of each weeklyreporting period, the cumulative totalweight, calculated by adding the dailytotals and total carried forward for thatweek.

(iii) If no landings occurred, write‘‘NO LANDINGS’’ for that day.

(9) Product information. The operatorof a catcher/processor or mothership orthe manager of a shoreside processormust, where required:

(i) Record and report groundfishproducts by species codes, productcodes, and product designations asdefined in Tables 1 and 2 of this part foreach reporting area, whether in AlaskaState waters or Federal waters, geartype, and CDQ number.

(ii) Record in the DCPL each day onthe day such production occurs, thedaily total, balance brought forward(except for shoreside processor), andcumulative total fish product weight foreach product of groundfish in pounds,or to at least the nearest 0.01 mt.

(iii) If no production occurred, write‘‘NO PRODUCTION’’ for that day.

(10) Discarded/donated speciesinformation—(i) General. The operatoror manager must record and reportdiscards and donations by species codesand discard product codes as defined inTables 1 and 2 of this part for eachreporting area, whether in Alaska Statewaters or Federal waters, gear type, andCDQ number.

(A) The operator or manager mustrecord the estimated daily total, balancebrought forward, and cumulative totalround fish weight in the DFL, DCL, orDCPL each day on the day discards anddonations occur for each discard ordonation of groundfish species,groundfish species groups, and Pacificherring in pounds, or to at least thenearest 0.01 mt.

(B) The operator or manager mustrecord the estimated daily total balancebrought forward, and cumulative totalnumbers in the DFL, DCL, or DCPL eachday on the day discards or donationsoccur for each discard and donation ofPacific salmon, steelhead trout, halibut,king crab, and Tanner crab.

(C) If there were no discards ordonations, write ‘‘NO DISCARDS’’, ‘‘0’’,or ‘‘ZERO’’ for that day.

(ii) Catcher vessel discards/donations.(A) For deliveries of unsorted codends,the catcher vessel is exempt fromrecording discards in the DFL and fromsubmittal of the blue logsheet (discardscopy) for that delivery. The operator of

the catcher vessel is required to checkthe box entitled ‘‘unsorted codend,’’ andthe blue DFL logsheet (discards copy)remains in the DFL.

(B) For presorted deliveries or in theevent a catcher vessel has ‘‘bled’’ acodend prior to delivery to a processor,the operator of the catcher vessel mustcheck the ‘‘presorted delivery’’ box,enter the amount of discards ordonations by species, and submit theblue DFL logsheet (discards copy) to themothership, buying station, or shoresideprocessor with each harvest delivery.

(iii) Buying station discards/donations. (A) The operator or managerof a buying station must record in theDCL on a daily basis on the day discardoccurs, all discards or donations thatoccur after receipt of harvest from acatcher vessel and prior to delivery ofharvest to a mothership or shoresideprocessor.

(B) If a blue DFL logsheet is receivedfrom a catcher vessel and containsreports of discards or donations, theoperator or manager of a buying stationmust record in the DCL the discards anddonations on the day the DFL logsheetis received from the catcher vessel.

(iv) Catcher/processor discards/donations. The operator of a catcher/processor must record in the DCPL onthe day discards or donations occur, alldiscards or donations that occur prior toharvest, during harvest, and duringprocessing.

(v) Mothership or shoreside processordiscards/donations. (A) The operator ofa mothership or manager of a shoresideprocessor must record in the DCPL ona daily basis on the day discards ordonations occur, all discards ordonations that occur on site after receiptof groundfish, and all discards ordonations that occur during processingof groundfish.

(B) If an unsorted codend is receivedfrom a catcher vessel, the catcher vesselis not required to submit a blue discardlogsheet to the mothership or shoresideprocessor. The operator of a mothershipor manager of a shoreside processormust sort the catch received from theunsorted codends and must record thediscards by species in the DCPL asdiscard at sea on the day the harvest isreceived from the catcher vessel.

(C) If discards are reported on a blueDFL logsheet from a catcher vesseldelivering a presorted codend or if acatcher vessel reports an amount bled atsea, the operator of a mothership ormanager of a shoreside processor mustrecord in the DCPL the discards on theday the DFL logsheet is received fromthe catcher vessel.

(D) If a yellow DCL logsheet isreceived from a buying station and


discards or donations are reported, theoperator of a mothership or manager ofa shoreside processor must record in theDCPL the discards or donations on theday the DCL logsheet is received fromthe buying station.

(11) Contract processing. (i) Themanager of a shoreside processor oroperator of a mothership who receivesgroundfish to be handled or processedunder contract for another processor orbusiness entity must report these fish tothe Regional Director consistentlythroughout a fishing year using one ofthe following two methods:

(A) Record landings (if applicable),discards, and products of contract-processed groundfish routinely in theDCPL without separate identification; or

(B) Record landings (if applicable),discards, and products of contract-processed groundfish in a separateDCPL identified by the name, Federalprocessor permit number, Federalfisheries permit number (if applicable),and ADF&G processor code of theassociated business entity.

(ii) If contract-processed groundfishrecords are kept separately from theroutine DCPL, the operator of themothership or manager of the shoresideprocessor must summarize and reportthat information on a WPR identified bythe name, Federal processor permitnumber, Federal fisheries permitnumber (if applicable), and ADF&Gprocessor code of the associatedbusiness entity.

(12) Alteration of records. (i) Theoperator, manager, or any other personmay not alter or change any entry orrecord in a logbook, except that aninaccurate or incorrect entry or recordmay be corrected by lining out theoriginal and inserting the correction,provided that the original entry orrecord remains legible.

(ii) No person except an authorizedofficer may remove any original page ofany logbook.

(13) Inspection of records. Theoperator or manager must make alllogbooks, reports, and forms requiredunder this section available forinspection upon the request of anauthorized officer.

(14) Submittal of logbooks, reportsand forms—(i) Logbooks. (A) Theoperator of a catcher vessel, catcher/processor, or mothership, or themanager of a shoreside processor mustsubmit the yellow logsheets on aquarterly basis to the NMFS AlaskaFisheries Science Center, LogbookProgram, Seattle, WA, as follows: Firstquarter, by May 1 of that fishing year;second quarter, by August 1 of thatfishing year; third quarter, by November1 of that fishing year; and fourth quarter,

by February 1 of the following fishingyear.

(B) During an inactive period thatextends across two or more successivequarters, the operator or manager mustcomplete two logsheets: One to indicatethe last day of the first inactive quarterand the next page to indicate the firstday of the second inactive quarter.

(ii) Reports and forms. Reports andforms may be submitted by the operatoror manager by:

(A) Using the NMFS printed form andfaxing it to the fax number on the form;or

(B) Transmitting a data file withrequired information and forms toNMFS by modem or satellite(specifically INMARSAT standards A,B, or C).

(15) Record retention—(i) Original.(A) The operator of a catcher vessel,catcher/processor, or mothership, andthe manager of a shoreside processor,must retain the original (white) copy ofall logbooks and a paper copy of allreports and forms, including thosereports and forms that were originallysubmitted electronically and must makethese documents available forinspection by an authorized officer:

(1) On site until the end of the fishingyear during which the records weremade and for as long thereafter as fishor fish products recorded in thelogbook, reports, and forms are retained.

(2) For 3 years after the end of thefishing year during which the recordswere made.

(B) The operator or manager of abuying station must retain the original(white) copy of all DCLs on site until thebuying station has concluded receivinggroundfish from a catcher vessel fordelivery to a shoreside processor ormothership and for as long as fish andfish products recorded in the DCL areretained by the buying station.

(ii) Yellow DCL logsheet. The operatorof a mothership or manager of ashoreside processor must retain aphotocopy of the yellow DCL logsheetssubmitted to NMFS under paragraph(a)(14) of this section that were receivedfrom associated buying stations until themothership or shoreside processorreceives the original DCL.

(iii) Blue DFL logsheet. (A) Theoperator of a mothership and themanager of a shoreside processor mustretain the blue DFL logsheets (discardreports) submitted to them by operatorsof catcher vessels through the last dayof the fishing year during which therecords were made.

(B) The operator or manager of abuying station must submit to themothership or shoreside processor anyblue logsheets (discard report) received

from catcher vessels deliveringgroundfish to the buying station.

(iv) Pink DCL logsheet. The operatoror manager of a buying station mustretain the pink DCL logsheets for 3 yearsafter the end of the fishing year duringwhich the records were made.

(16) Integration of buying stationrecords. (i) The operator or manager ofa buying station must maintain aseparate DCL for each mothership orshoreside processor to which the buyingstation delivers groundfish during afishing year.

(ii) The operator or manager of abuying station must submit upondelivery of catch the yellow DCLlogsheets to the shoreside processor ormothership to which it deliversgroundfish, along with the blue DFLlogsheets and ADF&G fish tickets orcatch receipts for that delivery.

(iii) Upon conclusion of receivinggroundfish for a shoreside processor ormothership, the operator or manager ofa buying station must submit theoriginal DCL to the manager of ashoreside processor or operator of amothership to which deliveries weremade.

(iv) If the mothership or shoresideprocessor receives fish from a buyingstation, the operator of the mothershipor manager of the shoreside processormust incorporate all of the DCLinformation into the DCPL.

(b) Representative. The operator of acatcher vessel, mothership, catcher/processor, or buying station deliveringto a mothership or manager of ashoreside processor or buying stationdelivering to a shoreside processor mayidentify one person to fill out and signthe logbook, complete the recordkeepingand reporting forms, or both, and toidentify the contact person for inquiriesfrom NMFS. Designation of arepresentative under this paragraphdoes not relieve the owner, operator, ormanager of responsibility forcompliance under paragraph (a)(3) ofthis section.

(c) Catcher vessel DFL and catcher/processor DCPL—(1) Pair trawls. If twocatcher vessels are dragging a trawlbetween them (pair trawl), a separateDFL must be maintained by each vessel.Each vessel operator must log theamount of the catch retained by thatvessel and any fish discarded by thevessel.

(2) Time limit and submittal. (i) Theoperator of a catcher vessel or catcher/processor must record in the DFL orDCPL, the time, position, and estimatedgroundfish catch weight within 2 hoursafter gear retrieval.

(ii) The operator of a catcher vesselmust record all other information


required in the DFL by noon of the dayfollowing gear retrieval.

(iii) The operator of a catcher/processor must record all otherinformation required in the DCPL bynoon of the day following completion ofproduction.

(iv) The operator of a catcher vesselmust submit the blue DFL logsheetswith delivery of the harvest to theoperator of a mothership or a buyingstation delivering to a mothership, or tothe manager of a shoreside processor orbuying station delivering to a shoresideprocessor.

(v) Notwithstanding other time limits,the operator of a catcher vessel mustrecord all information required in theDFL within 2 hours after the vessel’scatch is offloaded.

(vi) Notwithstanding other timelimits, the operator of a catcher/processor must record all informationrequired in the DCPL within 2 hoursafter the vessel’s catch is offloaded.

(3) Information required—(i) General.The operator of a catcher vessel orcatcher/processor must record on eachpage:

(A) Page number as described inparagraph (a)(6)(iii)(A) of this section.

(B) The start date and end date of thefishing trip.

(C) If a catcher vessel, the vessel nameand ADF&G vessel registration number.

(D) If a catcher/processor, the name,ADF&G processor number, and Federalprocessor number of the catcher/processor.

(E) The signature of the operator ofthe catcher vessel or catcher/processor.

(F) Whether catcher vessel or catcher/processor is in an active or inactiveperiod as described in paragraph (a)(7)of this section.

(ii) Haul/set information. Theoperator of a catcher vessel or catcher/processor must record the following foreach haul or set:

(A) Date (month-day-year).(B) The number of haul or set, by

sequence; begin time and positioncoordinates of gear deployment; averagesea depth and average gear depth,recorded to the nearest meter or fathom.

(C) The date, time, and positioncoordinates of gear retrieval. If thevessel is using longline hook-and-linegear, the number of skates set. If thevessel is using longline pot or single potgear, the total number of pots set.

(D) The estimated total round fishweight of the groundfish catch.

(E) The species code of the intendedtarget species from Table 2 of this part.

(F) The estimated IFQ sablefishamounts in the ‘‘comments’’ column.

(iii) Discard/donated speciesinformation. The operator of a catcher

vessel or catcher/processor must recorddiscard/donation information asdescribed in paragraph (a)(10) of thissection.

(iv) Catcher vessels. If a catchervessel, the operator must record:

(A) The date of delivery.(B) The name, ADF&G processor code,

and ADF&G fish ticket number(s)provided by the operator of themothership or buying station deliveringto a mothership, or the manager of ashoreside processor or buying stationdelivering to a shoreside processor.

(v) Catcher/processors. If a catcher/processor, the operator must recordproduct information as set forth inparagraph (a)(9) of this section.

(d) Buying station DCL—(1) Timelimits. (i) The operator or manager ofeach buying station subject to this partmust record entries in the DCL as tocatcher vessel delivery informationwithin 2 hours after completion ofreceipt of the groundfish.

(ii) All other information required inthe DCL must be recorded by noon ofthe day following the day the receipt ofgroundfish was completed or discardoccurred.

(2) Information required—(i) General.The operator or manager of a buyingstation must record for each page:


(B) The date.(C) The buying station name and, if a

vessel, the ADF&G vessel number.(D) The operator’s or manager’s

signature.(E) Whether the buying station is in

an active or inactive period as describedin paragraph (a)(7) of this section.

(F) The name and ADF&G processorcode of the mothership or shoresideprocessor to which groundfishdeliveries were made.

(G) The number of crew.(ii) Groundfish deliveries. The

operator or manager of a buying stationmust record the following informationfor each delivery of groundfish:

(A) The ADF&G fish ticket numberissued to each catcher vessel deliveringgroundfish. If a fish ticket was notissued, the catch receipt number of thetransaction.

(B) Whether blue DFL logsheets werereceived from the catcher vesseldelivering the groundfish.

(C) The time when receipt ofgroundfish catch was completed.

(D) The name and ADF&G vesselregistration number of the catcher vesseldelivering the groundfish.

(E) The total groundfish deliveryweight.

(iii) Discard/donated speciesinformation. The operator or manager of

the buying station must record discard/donation information as described inparagraph (a)(10) of this section.

(e) Mothership DCPL—(1) Time limits.(i) The operator of each mothershipmust record entries in the DCPL as tocatcher vessel or buying station deliveryinformation within 2 hours aftercompletion of the groundfish receipt.

(ii) All other information required inthe DCPL must be recorded by noon ofthe day following the day the catchreceipt, discard, or production occurred.

(2) Information required—(i) General.The operator of each mothership mustrecord on each page:


(B) The date.(C) The name, ADF&G processor

number, and Federal processor number.(D) The operator’s signature.(E) Whether mothership is in an

active or inactive period as described inparagraph (a)(7) of this section.

(ii) Deliveries. The operator or eachmothership must record for eachdelivery:

(A) Whether delivery is from a catchervessel or a buying station.

(B) The name and ADF&G vesselregistration number (if applicable) of thecatcher vessel or buying stationdelivering the groundfish.

(C) The time and position coordinatesof the mothership when groundfishcatch is received.

(D) The estimated total ground fishweight of the groundfish catch.

(E) The ADF&G fish ticket numberissued to each catcher vessel deliveringgroundfish. If a fish ticket is not issued,record the catch receipt number of thetransaction.

(iii) Discard/donation. The operator ofeach mothership must record discard/donation information as described inparagraph (a)(10) of this section.

(iv) Production information. Theoperator of each mothership mustrecord product information as describedin paragraph (a)(9) of this section.

(f) Shoreside processor DCPL—(1)Time limits. (i) The manager of eachshoreside processor must record in theDCPL all catcher vessel or buyingstation delivery information within 2hours after completion of the groundfishreceipt.

(ii) All other information required inthe DCPL must be recorded by noon ofthe day following the day the catchreceipt, discard, or production occurred.

(2) Information required—(i) Part IA.The manager of each shoresideprocessor must record on each page:

(A) If a page is for an individual day,the date. If a page is for 1 week, theweek-ending date. See also paragraph(a)(6)(iii)(A) of this section.


(B) Participant identificationinformation as described in paragraph(a)(5) of this section.

(C) The signature of the manager.(D) Whether the shoreside processor

is in an active or inactive period asdescribed in paragraph (a)(7) of thissection.

(ii) Part IB. The manager of eachshoreside processor must record thefollowing information for each delivery:

(A) Date and time when receipt ofgroundfish catch was completed.

(B) Whether delivery is from catchervessel or buying station.

(C) Whether blue DFL logsheets weresubmitted by catcher vessel.

(D) The name and ADF&G vesselregistration number (if applicable) of thecatcher vessel or buying stationdelivering the groundfish.

(E) The total scale weight ofgroundfish delivery in pounds or to thenearest 0.01 mt.

(F) The ADF&G fish ticket numberissued to the catcher vessel deliveringgroundfish. If a fish ticket is not issued,record the catch receipt number of thetransaction.

(iii) Landings information, Part IC.The manager must record:

(A) The date next to the appropriateday of the week (SUN through SAT).

(B) Landings information as describedin paragraph (a)(8) of this section.

(iv) Discarded/donated speciesinformation (Part ID). The manager ofeach shoreside processor must record:

(A) The date next to the appropriateday of the week (SUN through SAT).

(B) Discard information, as describedin paragraph (a)(10) of this section.

(v) Part II. The manager of eachshoreside processor must record:

(A) Page numbers must beconsecutive within Part II, beginningwith page one for the first day productwas produced after the start of thefishing year and continuing throughoutthe section for the remainder of thefishing year.

(B) The name, ADF&G processor codenumber, and Federal processor numberof shoreside processor.

(C) The signature of the manager ofthe shoreside processor.

(D) Product information. (1) Theweek-ending date.

(2) The management area (BSAI orGOA).

(3) The date next to the appropriateday of the week (SUN through SAT).

(4) Product information as describedin paragraph (a)(9) of this section.

(g) Groundfish Product TransferReport (PTR)—(1) Applicability. (i) Theoperator of a mothership or catcher/processor or the manager of a shoresideprocessor must record each transfer ofgroundfish product on a separate PTR.

(ii) The manager of a shoresideprocessor must report on a PTR thosefish products that are subsequentlytransferred to an offsite meal reductionplant.

(iii) The operator of a mothership orcatcher/processor or manager of ashoreside processor must report on aPTR, daily sales or transfer ofgroundfish to vessels for bait. Individualsales of groundfish for bait purposesduring a day may be aggregated whenrecording the amount of product leavinga facility that day.

(2) Time limits and submittal. Theoperator of a mothership or catcher/processor or manager of a shoresideprocessor must:

(i) Record all product transferinformation on a PTR within 2 hours ofthe completion of the transfer.

(ii) Submit by fax a copy of each PTRto the Regional Director within 24 hoursof completion of transfer.

(3) Information required—(i) General.The operator of a mothership or catcher/processor or manager of a shoresideprocessor must record on each page ofa PTR:

(A) Whether the PTR is an original orrevised report, as described inparagraph (a)(6)(iii)(G) of this section.

(B) Page numbers must be numberedconsecutively, starting with the firsttransfer of the fishing year as page 1 andcontinuing throughout the remainder ofthe fishing year.

(C) ‘‘RECEIPT,’’ if product (includingraw fish) is received; ‘‘OFFLOAD,’’ ifproduct (including raw fish) is offloadedfrom a mothership or catcher/processor;‘‘SHIPMENT,’’ if product (including rawfish) is shipped from a shoresideprocessor.

(D) Representative identificationinformation, as described in paragraph(a)(5)(vi) of this section.

(E) If a catcher/processor ormothership, the participantidentification information as describedin paragraph (a)(5) of this section andUSCG documentation number. If ashoreside processor, the participantidentification information as describedin paragraph (a)(5) of this section.

(ii) Transfer information. The operatorof a catcher/processor or mothership ormanager of a shoreside processor mustrecord on each page the followinginformation for each transfer:

(A) If another vessel is involved withthe transfer, the name and call sign ofthe vessel receiving or deliveringgroundfish or groundfish products.

(B) If a mothership or catcher/processor and the transfer takes place inport, the port of landing and country, ifa foreign location.

(C) If the transfer is made to an agent,the agent’s name. For purposes of thissection, ‘‘agent’’ is defined as thetransport company, the buyer, or thedistributor.

(D) Intended first destination ofproduct. (1) If an offload or shipment,the intended destination of the vessel oragent receiving the groundfish orgroundfish product.

(2) If an offload or shipment hasseveral destinations, the first intendeddestination.

(3) If offload or shipment has a singledestination but requires loading onmultiple vans, trucks, or airline flights,the transfer may be recorded on a singlePTR page.

(E) Date and time of producttransfer—(1) Start date. The date, asdescribed in paragraph (a)(6)(iii)(B) ofthis section, and time, as described inparagraph (a)(6)(iii)(C) of this section,the transfer starts.

(2) Finish date. The date and time thetransfer is completed, as follows:

(i) If shipment is an individual vanload or flight, the date and time wheneach shipment leaves the plant.

(ii) If shipment involves multiple vansor trucks, the date and time whenloading of vans or trucks is completedfor each day.

(iii) If shipment involves airlineflights, record date, as described inparagraph (a)(6)(iii)(B) of this section,and time, as described in paragraph(a)(6)(iii)(C) of this section, when thelast airline flight shipment of the dayleaves the plant.

(F) Position transferred. If a catcher/processor or mothership and transfer ofproduct is made at sea, the transferposition coordinates.

(iii) Products and quantitiesoffloaded, shipped, or received. Theoperator of a catcher/processor ormothership or manager of a shoresideprocessor must record the followinginformation:

(A) If a catcher/processor ormothership, the Harvest Zone code ofthe area in which groundfish wereharvested as defined in Table 8 of thispart.

(B) The species code and productcode for each product transferred asdefined in Tables 1 and 2 of this part.

(C) The number of cartons orproduction units transferred.

(D) The average net weight of onecarton for each species and productcode in kilograms or pounds.

(E) The total net weight (fish productweight, to the nearest 0.01 mt) of theproducts transferred.

(iv) Total or partial offload. If acatcher/processor or mothership,whether the transfer is a total or partial


offload. If partial offload, the total fishproduct weight, to the nearest 0.01 mt,of the products (by harvest zone, speciesand product codes) remaining on boardafter this transfer.

(h) Check-in/check-out report—(1)Applicability—(i) Transit betweenreporting areas. If a vessel is transitingthrough a reporting area and is notfishing or receiving fish, a check-in orcheck-out report is not required fromthat area.

(ii) Multiple vessel operationscategories—(A) Check-in report. If acatcher/processor is functioningsimultaneously as a mothership in thesame reporting area, the operator mustsubmit a separate check-in report foreach vessel operations category.

(B) Check-out report. Uponcompletion of each activity, the operatormust submit a check-out report for eachvessel operations category.

(2) Time limits and submittal—(i)Check-in report (BEGIN message)—(A)Catcher/processor. Before the operatorof a catcher/processor commencesharvest of groundfish in Alaska State orFederal waters of any reporting areaexcept 300, 400, 550, or 690, theoperator must submit by fax a check-inreport (BEGIN message) to the RegionalDirector.

(B) Mothership or buying stationdelivering to a mothership. Before theoperator of a mothership or buyingstation delivering to a mothershipcommences receipt of groundfish fromAlaska State or Federal waters of anyreporting area except 300, 400, 550, or690, the operator must submit by fax acheck-in report (BEGIN message) to theRegional Director.

(C) Shoreside processor or buyingstation delivering to a shoresideprocessor. Before the manager of ashoreside processor or buying stationdelivering to a shoreside processorcommences receipt of groundfish fromAlaska State or Federal waters of anyreporting area except 300, 400, 550, or690, the manager must submit by fax acheck-in report to the Regional Director.

(ii) Check-out report (CEASEmessage)—(A) Catcher/processor. If acatcher/processor departs a reportingarea or moves between Alaska State andFederal waters in a reporting area, andgear retrieval is complete from that area,the operator must submit by fax a check-out report to the Regional Directorwithin 24 hours after departing areporting area or leaving either theAlaska State or Federal part of areporting area.

(B) Mothership or buying stationdelivering to a mothership. If amothership or buying station deliveringto a mothership completes receipt of

groundfish, the operator must submit byfax a check-out report to the RegionalDirector within 24 hours after departinga reporting area or leaving either theAlaska State or Federal part of areporting area.

(C) Shoreside processor. If a shoresideprocessor, the manager must submit byfax a check-out report to the RegionalDirector within 48 hours after the endof the applicable weekly reportingperiod that a shoreside processor ceasesto process groundfish for the fishingyear or has not processed groundfish formore than one weekly reporting period.

(D) Buying station delivering to ashoreside processor. If a buying stationdelivering to a shoreside processor, themanager must submit by fax a check-outreport to the Regional Director within 48hours after the applicable weeklyreporting period that a buying stationdelivering to a shoreside processorceases to receive or deliver groundfishfor the fishing year or has not receivedor delivered groundfish for more thanone weekly reporting period.

(E) End of fishing year. If a check-outreport has not previously beensubmitted during a fishing year, theoperator or manager must submit acheck-out report at the end of thatfishing year, December 31.

(3) Information required—(i) General.The operator of a catcher/processor,mothership, or buying station deliveringto a mothership or the manager of ashoreside processor or buying stationdelivering to a shoreside processor mustrecord on each page:

(A) Whether it is an original orrevised report as described in paragraph(a)(6)(iii)(G) of this section.


(C) Representative identificationinformation as described in paragraph(a)(5)(vi) of this section.

(D) For a mothership or catcher/processor, the processor type and geartype used to harvest the groundfish. Ifgroundfish are received by a mothershipin the same reporting area from morethan one gear type, or if groundfish arecaught by a catcher/processor in thesame reporting area using more than onegear type, the operator must submit aseparate form for each gear type.

(E) Whether harvest is under a CDQProgram; if yes, the CDQ number.

(F) If a buying station, the number ofcrew on the last day of the reportingweek.

(ii) BEGIN message. The operator of acatcher/processor, mothership, orbuying station delivering to amothership or the manager of ashoreside processor or buying station

delivering to a shoreside processor mustrecord:

(A) For a catcher/processor, date andtime that gear is deployed. For amothership, date and time that receiptof groundfish begins.

(B) For a catcher/processor, positioncoordinates where gear is set. For amothership, position coordinates wheregroundfish receipt begins.

(C) For a catcher/processor, thereporting area code of gear deploymentand whether gear deployment was inFederal or Alaska State waters. For amothership or buying station deliveringto a mothership, the reporting area codewhere groundfish receipt begins andwhether receipt of groundfish occurredin Federal or Alaska State waters.

(D) For a shoreside processor, the datereceipt of groundfish will begin,whether checking in for the first time infishing year or checking in to restartreceipt and processing of groundfishafter filing a check-out report.

(E) For a mothership or catcher/processor, the primary and secondaryspecies expected to be harvested. For abuying station, the intended primarytarget expected to be harvested. Achange in intended target species withinthe same reporting area does not requirea new BEGIN message.

(iii) CEASE message. The operator ofa catcher/processor, mothership, orbuying station delivering to amothership or the manager of ashoreside processor or buying stationdelivering to a shoreside processor mustreport:

(A) If a catcher/processor, mothershipor buying station delivering to amothership, the date, time and positioncoordinates where the vessel departedthe reporting area or moved to Federalwaters from Alaska State waters withina reporting area, or vice versa.

(B) If a shoreside processor or buyingstation delivering to a shoresideprocessor, the date that receipt ofgroundfish ceased.

(iv) Fish or fish product held at plant.The manager of a shoreside processormust report the weight of the fish or fishproducts in pounds or to the nearest0.01 mt by species and product codes.

(i) Weekly Production Report (WPR)—(1) Applicability. (i) The operator of acatcher/processor or mothership or themanager of a shoreside processor mustsubmit a WPR for any week themothership, catcher/processor, orshoreside processor is checked inpursuant to paragraph (h)(2)(i) of thissection.

(ii) The operator of a vessel that isauthorized to conduct operations asboth a catcher/processor and as amothership must submit separate WPRs


to report production and discard as acatcher/processor and production anddiscard as a mothership.

(2) Time limits and submittal. Theoperator or manager must submit a WPRby fax to the Regional Director by 1200hours, A.l.t., on the Tuesday followingthe end of the applicable weeklyreporting period.

(3) Information required—(i) General.The operator of a catcher/processor ormothership, or the manager of ashoreside processor must record on eachpage:

(A) Whether an original or revisedreport, as described in paragraph(a)(6)(iii)(G) of this section.


(C) Representative identificationinformation as described in paragraph(a)(5)(vi) of this section and date WPRwas completed.

(D) If a mothership or catcher/processor, the processor type and geartype used to harvest the groundfish.


(F) The week-ending date.(G) The primary and secondary target

codes for the next week.(H) If a mothership or catcher/

processor, the number of crew on thelast day of the reporting week.

(ii) Landings information. Themanager of a shoreside processor mustreport landings information as describedin paragraph (a)(8) of this section.

(iii) Discarded/donated speciesinformation (Part ID). The operator of acatcher/processor or mothership, or themanager of a shoreside processor mustreport discard/donated speciesinformation as described in paragraph(a)(10) of this section.

(iv) Product information. The operatorof a catcher/processor or mothership, orthe manager of a shoreside processormust report product information asdescribed in paragraph (a)(9) of thissection.

(v) Catcher vessel deliveryinformation. If ADF&G fish tickets areissued, the operator of the mothershipor manager of the shoreside processormust list the fish ticket numbers issuedto catcher vessels for the weeklyreporting period.

(j) Daily Production Report (DPR)—(1)Notification. If the Regional Directordetermines that DPRs are necessary toavoid exceeding a groundfish TAC orprohibited species bycatch allowance,NMFS may require submission of DPRsfrom motherships, catcher/processors,and shoreside processors for reportingone or more specified species, inaddition to a WPR. NMFS will publish

notification in the Federal Registerspecifying the fisheries that requireDPRs and the dates that submittal ofDPRs are required.

(2) Applicability. (i) If a catcher/processor, mothership, or shoresideprocessor is checked in to the specifiedreporting area and is harvesting,receiving, processing, or discarding thespecified species or is receiving reportsfrom a catcher vessel of discard at seaof the specified species, the operator ofcatcher/processor or mothership or themanager of a shoreside processor mustsubmit a DPR.

(ii) The operator of a catcher/processor or mothership or the managerof a shoreside processor must use aseparate DPR for each gear type,processor type, and CDQ number.

(3) Time limit and submittal. Theoperator or manager must submit a DPRby fax to the Regional Director by 1200hours, A.l.t., the day following each dayof landings, discard, or production.

(4) Information required—(i) General.The operator of a catcher/processor ormothership, or the manager of ashoreside processor must record on eachpage:

(A) Whether it is an original orrevised report as described in paragraph(a)(6)(iii)(G) of this section.

(B) Participant identificationinformation as described in paragraph(a)(5) of this section, and processor type.

(C) Representative identificationinformation as described in paragraph(a)(5)(vi) of this section.

(D) The gear type used to harvest thegroundfish, date landings were received,and Federal reporting area wherelandings were harvested.


(ii) Landings information. Themanager of a shoreside processor mustreport landings information as describedin paragraph (a)(8) of this section.

(iii) Product information. Theoperator of a mothership or catcher/processor must report productinformation as described in paragraph(a)(9) of this section.

(iv) Discard/donated speciesinformation. The operator of amothership or catcher/processor and themanager of a shoreside processor mustreport discard/donated speciesinformation as described in paragraph(a)(10) of this section.

(k) U.S. Vessel Activity Report(VAR)—(1) Applicability. The operatorof a catcher vessel, catcher/processor, ormothership regulated under this partmust submit a VAR by fax to NMFSAlaska Enforcement Division, Juneau,AK, before the vessel crosses theseaward boundary of the EEZ off Alaska

or crosses the U.S.-Canadianinternational boundary between Alaskaand British Columbia.

(2) Information required—(i) General.The operator of each catcher vessel,catcher/processor, or mothership mustrecord on each page:

(A) Whether an original or revisedreport as described in paragraph(a)(6)(iii)(G) of this section.


(C) Representative identificationinformation as described in paragraph(a)(5)(vi) of this section, and date VARwas completed.

(D) If the vessel is crossing into theseaward boundary of the EEZ off Alaskaor crossing the U.S.-Canadianinternational boundary between Alaskaand British Columbia, the operator mustindicate ‘‘return’’ report.

(E) If the vessel is crossing out of theseaward boundary of the EEZ off Alaskaor crossing the U.S.-Canadianinternational boundary between Alaskaand British Columbia into Canadianwaters, the operator must indicate‘‘depart’’ report.

(F) Port of landing.(G) Whether the vessel is returning

from fishing or departing to fish in theRussian Zone.

(H) Date and time the vessel will crossthe seaward boundary of the EEZ offAlaska or the U.S.-Canadianinternational boundary between Alaskaand British Columbia.

(I) Latitude and longitude at the pointof crossing the seaward boundary of theEEZ off Alaska or U.S.-Canadianinternational boundary between Alaskaand British Columbia.

(ii) Fish or fish products. The operatorof a catcher vessel, catcher/processor, ormothership must record the fish or fishproduct on board the vessel whencrossing the seaward boundary of theEEZ off Alaska or U.S.-Canadianinternational boundary as follows:

(A) The Harvest Zone code of the areain which groundfish were harvested asdefined in Table 8 of this part.

(B) The species code and productcode for each species on board asdefined in Tables 1 and 2 of this part.

(C) The fish product weight ofproducts on board in pounds or to thenearest 0.01 mt.

(l) IFQ recordkeeping and reportingrequirements. In addition to therecordkeeping and reportingrequirements in this section and asspecified in part 301 of this title, thefollowing reports are required.

(1) IFQ landings report—(i) Priornotice of IFQ landing. The operator ofany vessel making an IFQ landing must


notify the Alaska Region, NMFS, no lessthan 6 hours before landing IFQ halibutor IFQ sablefish, unless permission tocommence an IFQ landing within 6hours of notification is granted by aclearing officer.

(A) Notification of an IFQ landingmust be made to the toll-free telephonenumber specified on the IFQ permitbetween the hours of 0600 hours, A.l.t.,and 2400 hours, A.l.t.

(B) Notification must include: Nameand location of the registered buyer(s) towhom the IFQ halibut or IFQ sablefishwill be landed, vessel identification,estimated weight of the IFQ halibut orIFQ sablefish that will be landed,identification number(s) of the IFQcard(s) that will be used to land the IFQhalibut or IFQ sablefish, and anticipateddate and time of landing.

(ii) Registered buyer reports IFQlandings. (A) A registered buyer mustreport an IFQ landing in the mannerprescribed on the registered buyerpermit within 6 hours after all such fishare landed and prior to shipment ordeparture of the delivery vessel from thelanding site.

(B) An IFQ landing may be made onlybetween the hours of 0600 hours, A.l.t.,and 1800 hours, A.l.t., unlesspermission to land at a different time isgranted in advance by a clearing officer.An IFQ landing may continue after thistime period if it were started during theperiod.

(iii) Verification and inspection. (A)Each IFQ landing and all fish retainedon board the vessel making an IFQlanding are subject to verification,inspection, and sampling by authorizedofficers, clearing officers, or observers.Each IFQ halibut landing is subject tosampling for biological information bypersons authorized by the IPHC.

(B) A copy of all reports and receiptsrequired by this section must beretained by registered buyers and bemade available for inspection by anauthorized officer or a clearing officerfor a period of 3 years.

(iv) Information required. Informationcontained in a complete IFQ landingreport shall include: Date, time, andlocation of the IFQ landing; names andpermit numbers of the IFQ card holderand registered buyer; product typelanded; and fish product weight ofsablefish and halibut landed.

(2) IFQ shipment report—(i)Applicability. Each registered buyer,other than those conducting docksidesales, must report on a shipment reportany shipments or transfers of IFQhalibut and IFQ sablefish to anylocation other than the location of theIFQ landing.

(ii) Submittal. (A) A shipment reportmust be submitted to the Chief, RAMDivision, prior to shipment or transfer,in a manner prescribed on the registeredbuyer permit.

(B) A shipment report must specify:Species and product type beingshipped, number of shipping units, fishproduct weight, names of the shipperand receiver, names and addresses ofthe consignee and consignor, mode oftransportation, and intended route.

(iii) Registered buyer. A registeredbuyer must assure that:

(A) Shipments of IFQ halibut or IFQsablefish from that registered buyer inAlaska or in any IFQ regulatory area toa destination outside Alaska or outsidean IFQ regulatory area do not commenceuntil the shipment report is received bythe Alaska Region, NMFS.

(B) A copy of the shipment report ora bill of lading that contains the sameinformation accompanies the shipmentto all points of sale in Alaska and to thefirst point of sale outside of Alaska.

(iv) Dockside sale and outsidelanding. (A) A person holding a validIFQ permit, IFQ card, and registeredbuyer permit may conduct a docksidesale of IFQ halibut or IFQ sablefish toa person who has not been issued aregistered buyer permit.

(B) The person making such an IFQlanding must submit an IFQ landingreport in the manner prescribed inparagraph (l)(1) of this section beforeany fish are sold, transferred, orremoved from the immediate vicinity ofthe vessel with which they wereharvested.

(C) A receipt that includes the date ofsale or transfer, the registered buyerpermit number, and the fish productweight of the sablefish or halibuttransferred must be issued to eachindividual receiving IFQ halibut or IFQsablefish through a dockside sale.

(D) A person holding a valid IFQpermit, IFQ card, and registered buyerpermit may conduct a IFQ landingoutside an IFQ regulatory area or theState of Alaska to a person who does nothold a registered buyer permit. Theperson making such an IFQ landingmust submit an IFQ landing report inthe manner prescribed in paragraph(l)(1) of this section.

(v) Transshipment. (A) No personmay transship processed IFQ halibut orIFQ sablefish between vessels withoutauthorization by a clearing officer.Authorization must be obtained for eachinstance of transshipment.

(B) An IFQ transshipper’s request forauthorization to transship must bereceived by a clearing officer at least 24hours before the transshipment isintended to occur.

(3) IFQ vessel clearance—(i)Applicability. A person who makes anIFQ landing at any location other thanin an IFQ regulatory area or in the Stateof Alaska must obtain prelandingwritten clearance of the vessel andprovide the weight of IFQ halibut andIFQ sablefish on board to the clearingofficer.

(ii) State of Alaska. A vessel obtainingprelanding written clearance at a port inthe State of Alaska must obtain thatclearance prior to departing the watersof the EEZ adjacent to the jurisdictionalwaters of the State of Alaska, theterritorial sea of the State of Alaska, orthe internal waters of the State ofAlaska.

(iii) State other than Alaska. (A) Avessel obtaining prelanding writtenclearance at a port in a state other thanAlaska must provide a departure reportto NMFS, Alaska Region, prior todeparting the waters of the EEZ adjacentto the jurisdictional waters of the Stateof Alaska, the territorial sea of the Stateof Alaska, or the internal waters of theState of Alaska.

(B) The departure report must includethe weight of the IFQ halibut or IFQsablefish on board and the intendeddate and time the vessel will obtainprelanding written clearance at that portin a state other than Alaska.

(iv) Foreign port other than Canada.A vessel operator who lands IFQ speciesin a foreign port must first obtain vesselclearance from a clearing officer locatedat a primary port in the State of Alaska.

(v) Canadian ports. No person shallmake an IFQ landing in Canada otherthan at the ports of Port Hardy, PrinceRupert, or Vancouver, British Columbia.

(vi) Reporting requirements. (A) Avessel operator must land and report allIFQ species on board at the same timeand place as the first landing of anyspecies harvested during a fishing trip.

(B) Any person requesting a vesselclearance must have valid IFQ andregistered buyer permits and one ormore valid IFQ cards on board thatindicate that IFQ holdings are equal toor greater than all IFQ halibut and IFQsablefish on board, and must report theintended date, time, and location of IFQlanding.

(C) Any person granted a vesselclearance must submit an IFQ landingreport, required under this section, forall IFQ halibut, IFQ sablefish, andproducts thereof that are on board thevessel at the first landing of any fishfrom the vessel.

(vii) Inspection. A vessel seekingclearance is subject to inspection of allfish, log books, permits, and otherdocuments on board the vessel, at thediscretion of the clearing officer.


(viii) Primary ports. Unlessspecifically authorized on a case-by-casebasis, vessel clearances will be issuedonly by clearing officers at the followingprimary ports:

Port Northlatitude

Westlongitude

Akutan ............ 54°08′05′′ 165°46′20′′Bellingham ..... 48°45′04′′ 122°30′02′′Cordova ......... 60°33′00′′ 145°45′00′′Craig .............. 55°28′30′′ 133°09′00′′Dutch Harbor/

Unalaska.53°53′27′′ 166°32′05′′

Excursion Inlet 58°25′00′′ 135°26′30′′Homer ............ 59°38′40′′ 151°33′00′′Ketchikan ....... 55°20′30′′ 131°38′45′′King Cove ...... 55°03′20′′ 162°19′00′′Kodiak ............ 57°47′20′′ 152°24′10′′Pelican ........... 57°57′30′′ 136°13′30′′Petersburg ..... 56°48′10′′ 132°58′00′′St. Paul .......... 57°07′20′′ 170°16′30′′Sand Point ..... 55°20′15′′ 160°30′00′′Seward ........... 60°06′30′′ 149°26′30′′Sitka ............... 57°03 135°20Yakutat ........... 59°33 139°44′

§ 679.6 Experimental fisheries.(a) General. For limited experimental

purposes, the Regional Director mayauthorize, after consulting with theCouncil, fishing for groundfish in amanner that would otherwise beprohibited. No experimental fishingmay be conducted unless authorized byan experimental fishing permit issuedby the Regional Director to theparticipating vessel owner inaccordance with the criteria andprocedures specified in this section.Experimental fishing permits will beissued without charge and will expire atthe end of a calendar year unlessotherwise provided for under paragraph(e) of this section.

(b) Application. An applicant for anexperimental fishing permit shallsubmit to the Regional Director, at least60 days before the desired effective dateof the experimental fishing permit, awritten application including, but notlimited to, the following information:

(1) The date of the application.(2) The applicant’s name, mailing

address, and telephone number.(3) A statement of the purpose and

goal of the experiment for which anexperimental fishing permit is needed,including a general description of thearrangements for disposition of allspecies harvested under theexperimental fishing permit.

(4) Technical details about theexperiment, including:

(i) Amounts of each species to beharvested that are necessary to conductthe experiment, and arrangement fordisposition of all species taken.

(ii) Area and timing of theexperiment.

(iii) Vessel and gear to be used.(iv) Experimental design (e.g.,

sampling procedures, the data andsamples to be collected, and analysis ofthe data and samples).

(v) Provision for public release of allobtained information, and submission ofinterim and final reports.

(5) The willingness of the applicant tocarry observers, if required by theRegional Director, and a description ofaccommodations and work space for theobserver(s).

(6) Details for all coordinating partiesengaged in the experiment andsignatures of all representatives of allprincipal parties.

(7) Information about each vessel tobe covered by the experimental fishingpermit, including:

(i) Vessel name.(ii) Name, address, and telephone

number of owner and master.(iii) USCG documentation, state

license, or registration number.(iv) Home port.(v) Length of vessel.(vi) Net tonnage.(vii) Gross tonnage.(8) The signature of the applicant.(9) The Regional Director may request

from an applicant additionalinformation necessary to make thedeterminations required under thissection. Any application that does notinclude all necessary information willbe considered incomplete. Anincomplete application will not beconsidered to be complete until thenecessary information is provided inwriting. An applicant for anexperimental fishing permit need not bethe owner or operator of the vessel(s) forwhich the experimental fishing permitis requested.

(c) Review procedures. (1) TheRegional Director, in consultation withthe Alaska Fishery Science Center, willreview each application and will makea preliminary determination whetherthe application contains all theinformation necessary to determine ifthe proposal constitutes a valid fishingexperiment appropriate for furtherconsideration. If the Regional Directorfinds any application does not warrantfurther consideration, the applicant willbe notified in writing of the reasons forthe decision.

(2) If the Regional Director determinesany application is complete andwarrants further consideration, he orshe will initiate consultation with theCouncil by forwarding the applicationto the Council. The Council’s ExecutiveDirector shall notify the applicant of ameeting at which the Council willconsider the application and invite theapplicant to appear in support of the

application, if the applicant desires. Ifthe Regional Director initiatesconsultation with the Council, NMFSwill publish notification of receipt ofthe application in the Federal Registerwith a brief description of the proposal.

(d) Notifying the applicant. (1) Thedecision of the Regional Director, afterconsulting with the Council, to grant ordeny an experimental fishing permit isthe final action of the agency. TheRegional Director shall notify theapplicant in writing of the decision togrant or deny the experimental fishingpermit and, if denied, the reasons forthe denial, including:

(i) The applicant has failed to disclosematerial information required, or hasmade false statements as to any materialfact, in connection with the application.

(ii) According to the best scientificinformation available, the harvest to beconducted under the permit woulddetrimentally affect living marineresources, including marine mammalsand birds, and their habitat in asignificant way.

(iii) Activities to be conducted underthe experimental fishing permit wouldbe inconsistent with the intent of thissection or the management objectives ofthe FMP.

(iv) The applicant has failed todemonstrate a valid justification for thepermit.

(v) The activity proposed under theexperimental fishing permit couldcreate a significant enforcementproblem.

(vi) The applicant failed to makeavailable to the public information thathad been obtained under a previouslyissued experimental fishing permit.

(vii) The proposed activity hadeconomic allocation as its sole purpose.

(2) In the event a permit is denied onthe basis of incomplete information ordesign flaws, the applicant will beprovided an opportunity to resubmit theapplication, unless a permit is deniedbecause experimental fishing woulddetrimentally affect marine resources,be inconsistent with the managementobjectives of the FMP, create significantenforcement problems, or haveeconomic allocation as its sole purpose.

(e) Terms and conditions. TheRegional Director may attach terms andconditions to the experimental fishingpermit that are consistent with thepurpose of the experiment, including,but not limited to:

(1) The maximum amount of eachspecies that can be harvested andlanded during the term of theexperimental fishing permit, includingtrip limitations, where appropriate.

(2) The number, sizes, names, andidentification numbers of the vessels


authorized to conduct fishing activitiesunder the experimental fishing permit.

(3) The time(s) and place(s) whereexperimental fishing may be conducted.

(4) The type, size, and amount of gearthat may be used by each vesseloperated under the experimental fishingpermit.

(5) The condition that observers becarried aboard vessels operated underan experimental fishing permit.

(6) Reasonable data reportingrequirements.

(7) Such other conditions as may benecessary to assure compliance with thepurposes of the experimental fishingpermit and consistency with the FMPobjectives.

(8) Provisions for public release ofdata obtained under the experimentalfishing permit.

(f) Effectiveness. Unless otherwisespecified in the experimental fishingpermit or superseding notification orregulation, an experimental fishingpermit is effective for no longer than 1calendar year, but may be revoked,suspended, or modified during thecalendar year. Experimental fishingpermits may be renewed following theapplication procedures in paragraph (b)of this section.

§679.7 Prohibitions.In addition to the general prohibitions

specified in § 600.725 of this chapter, itis unlawful for any person to do any ofthe following:

(a) Groundfish of the GOA andBSAI—(1) Federal fisheries permit. Fishfor groundfish with a vessel of theUnited States that does not have onboard a valid Federal fisheries permitissued pursuant to § 679.4.

(2) Inseason adjustment. Conduct anyfishing contrary to notification ofinseason adjustment issued under§ 679.25.

(3) Observer plan. Fish for groundfishexcept in compliance with the terms ofan observer plan as provided by subpartE of this part.

(4) Pollock roe. Retain pollock roe onboard a vessel in violation of§ 679.20(g).

(5) Bycatch rate standard. Exceed abycatch rate standard specified for avessel under § 679.21(f).

(6) Gear. Deploy any trawl, longline,single pot-and-line, or jig gear in an areawhen directed fishing for, or retentionof, all groundfish by operators of vesselsusing that gear type is prohibited in thatarea, except that this paragraph (a)(6)shall not prohibit:

(i) Deployment of hook-and-line gearby operators of vessels fishing forhalibut during seasons governed by part301 of this title.

(ii) Deployment of pot gear byoperators of vessels fishing for crabduring seasons governed by the State ofAlaska.

(iii) Deployment of jig gear byoperators of vessels fishing for salmonduring seasons governed by the State ofAlaska.

(7) Inshore/offshore (Applicablethrough December 31, 1998).

(i) Operate any vessel in more thanone of the three categories included inthe definition of ‘‘inshore component,’’in § 679.2, during any fishing year.

(ii) Operate any vessel under both the‘‘inshore component’’ and ‘‘offshorecomponent’’ definitions in § 679.2during the same fishing year.

(8) Fishing in Donut Hole. Except asauthorized by permit issued pursuant tothe section of the Donut HoleConvention implementing legislationauthorizing NMFS to issue Donut Holefishing permits (Public Law 104–43,section 104(d)), it is unlawful for anyperson to:

(i) Fish in the Donut Hole from avessel for which a Federal fisheriespermit has been issued pursuant to§ 679.4 during the year for which thepermit was issued.

(ii) Possess within the EEZ fishharvested from the Donut Hole on boarda vessel for which a Federal fisheriespermit has been issued pursuant to§ 679.4 during the year for which thepermit was issued.

(9) Authorized fishing gear. Retaingroundfish taken with other thanauthorized fishing gear as defined in§ 679.2, except that groundfishincidentally taken by pot gear by avessel while participating in an opencrab season governed by the State ofAlaska may be retained for use asunprocessed bait on board that vessel.

(10) Recordkeeping and reporting.Fail to comply with or fail to ensurecompliance with requirements in§ 679.5.

(11) Tender vessel. Use a catchervessel or catcher/processor as a tendervessel before offloading all groundfishor groundfish product harvested orprocessed by that vessel.

(b) Prohibitions specific to GOA—(1)Observer. Forcibly assault, resist,impede, intimidate, or interfere with anobserver placed aboard a fishing vesselpursuant to this part.

(2) Sablefish. Engage in directedfishing for sablefish with hook-and-linegear from a vessel that was used todeploy hook-and-line gear within 72hours prior to the opening of thesablefish hook-and-line directed fishery.

(3) Halibut. With respect to halibutcaught with hook-and-line geardeployed from a vessel fishing for

groundfish, except for vessels fishing forhalibut in accordance with part 301 ofthis title:

(i) Fail to release the halibut outboarda vessel’s rails.

(ii) Release the halibut by any methodother than—A) Cutting the gangion.

(B) Positioning the gaff on the hookand twisting the hook from the halibut.

(C) Straightening the hook by usingthe gaff to catch the bend of the hookand bracing the gaff against the vessel orany gear attached to the vessel.

(iii) Puncture the halibut with a gaffor other device.

(iv) Allow the halibut to contact thevessel, if such contact causes, or iscapable of causing, the halibut to bestripped from the hook.

(4) Crab, when fishing for groundfishwith trawl gear. Except for pollock byvessels using pelagic trawl gear, have onboard, at any particular time, 20 or morecrabs of any species that have a widthof more than 1.5 inches (38 mm) at thewidest dimension, and that are caughtwith trawl gear when directed fishingfor groundfish with trawl gear.

(c) Prohibitions specific to BSAI—(1)Trawl gear in Zone 1. Use a vessel tofish with trawl gear in that part of Zone1 closed to fishing with trawl gear:

(i) In violation of § 679.22(a)(1)(i) and(a)(2)(i), unless specifically allowed byNMFS as provided under§ 679.22(a)(1)(ii) and (a)(2)(ii).

(ii) At any time when no scientificdata collection and monitoring programexists or after such program has beenterminated.

(iii) Without complying fully with ascientific data collection and monitoringprogram.

(2) Incidental salmon. Discard anysalmon taken incidental to a directedfishery for BSAI groundfish by vesselsusing trawl gear until notified by aNMFS-certified observer that thenumber of salmon has been determinedand the collection of any scientific dataor biological samples has beencompleted as provided in § 679.21(c)(1).

(3) Prohibited species. Conduct anyfishing contrary to a notification issuedunder § 679.21.

(4) Crab, when fishing for pollock withnonpelagic trawl gear. Have on board atany particular time 20 or more crabs ofany species that have a width of morethan 1.5 inches (38 mm) at the widestdimension, caught with trawl gear whendirected fishing for pollock withnonpelagic trawl gear.

(d) CDQ (Applicable throughDecember 31, 1998). (1) Participate in aWestern Alaska CDQ program inviolation of subpart C of this part,submit information that is false orinaccurate with a CDP application or


request for an amendment, or exceed aCDQ as defined in § 679.2.

(2) Operate a vessel that harvestspollock for credit to a CDQ allocationwhen that allocation has been fullyharvested.

(e) Moratorium on entry. (1) Submitfalse or inaccurate information on amoratorium permit application orapplication to transfer moratoriumqualification.

(2) Alter, erase, or mutilate anymoratorium permit.

(3) Catch and retain a moratoriumspecies with a vessel that has a LOAgreater than the maximum LOA for thevessel.

(4) Catch and retain a moratoriumspecies with a vessel that has receivedan unauthorized transfer of moratoriumqualification.

(5) Catch and retain moratorium crabspecies or conduct directed fishing forany moratorium groundfish species witha vessel that has not been issued a validmoratorium permit, unless the vessel islawfully conducting directed fishing forsablefish under subparts C and D of thispart.

(6) Catch and retain moratorium crabspecies or conduct directed fishing forany moratorium groundfish species witha vessel that does not have a validmoratorium permit on board, unless thevessel is lawfully conducting directedfishing for sablefish under subparts Cand D of this part.

(f) IFQ fisheries. (1) Fail to submit, orsubmit inaccurate information on, anyreport, application, or statementrequired under this part.

(2) Intentionally submit falseinformation on any report, application,or statement required under this part.

(3) Retain halibut or sablefish caughtwith fixed gear without a valid IFQpermit and without an IFQ card in thename of an individual aboard.

(4) Except as provided in § 679.5(l)(3),retain IFQ halibut or IFQ sablefish on avessel in excess of the total amount ofunharvested IFQ, applicable to thevessel category and IFQ regulatory areain which the vessel is deploying fixedgear, and that is currently held by allIFQ card holders aboard the vessel,unless the vessel has an observer aboardunder subpart E of this part andmaintains the applicable daily fishinglog under § 301.15 of this title and§ 679.5.

(5) Possess, buy, sell, or transport IFQhalibut or IFQ sablefish harvested orlanded in violation of any provision ofthis part.

(6) Make an IFQ landing without anIFQ card in the name of the individualmaking the landing.

(7) Possess on a vessel or land IFQsablefish concurrently with non-IFQsablefish, except that CDQ sablefish maybe possessed on a vessel and landedconcurrently with IFQ sablefish.

(8) Discard Pacific cod or rockfish thatare taken when IFQ halibut or IFQsablefish are on board, unless Pacificcod or rockfish are required to bediscarded under § 679.20 or unless, inwaters within the State of Alaska,Pacific cod or rockfish are required to bediscarded by laws of the State of Alaska.

(9) Harvest on any vessel more IFQhalibut or IFQ sablefish than areauthorized under § 679.42.

(10) Make an IFQ landing other thandirectly to (or by) a registered buyer.

(11) Discard halibut or sablefishcaught with fixed gear from any catchervessel when any IFQ card holder aboardholds unused halibut or sablefish IFQfor that vessel category and the IFQregulatory area in which the vessel isoperating, unless:

(i) Discard of halibut is requiredunder part 301 of this title;

(ii) Discard of sablefish is requiredunder § 679.20 or, in waters within theState of Alaska, discard of sablefish isrequired under laws of the State ofAlaska; or

(iii) Discard of halibut or sablefish isrequired under other provisions.

(12) Make an IFQ landing withoutprior notice of landing and before 6hours after such notice, except asprovided in § 679.5.

(13) Operate a vessel as a catchervessel and a freezer vessel during thesame fishing trip.

(14) Any person who is issued aregistered buyer permit under§ 679.4(d)(2) and who also is required toobtain a Federal processor permit under§ 679.4(f) may not transfer or receivesablefish harvested in Federal waters orhalibut, unless the person possesses avalid Federal processor permit issuedunder § 679.4.

(15) Violate any other provision undersubpart D of this part.

(g) Research Plan. (1) Forcibly assault,resist, oppose, impede, intimidate, orinterfere with an observer.

(2) Interfere with or bias the samplingprocedure employed by an observer,including sorting or discarding anycatch before sampling; or tamper with,destroy, or discard an observer’scollected samples, equipment, records,photographic film, papers, or personaleffects without the express consent ofthe observer.

(3) Prohibit or bar by command,impediment, threat, coercion, or byrefusal of reasonable assistance, anobserver from collecting samples,conducting product recovery rate

determinations, making observations, orotherwise performing the observer’sduties.

(4) Harass an observer by conduct thathas sexual connotations, has thepurpose or effect of interfering with theobserver’s work performance, orotherwise creates an intimidating,hostile, or offensive environment. Indetermining whether conductconstitutes harassment, the totality ofthe circumstances, including the natureof the conduct and the context in whichit occurred, will be considered. Thedetermination of the legality of aparticular action will be made from thefacts on a case-by-case basis.

(5) Process or receive fish from aResearch Plan fishery without a validpermit issued pursuant to this part.

(6) Deliver fish from a Research Planfishery to a processor not possessing avalid permit issued pursuant to thispart.

(7) Subtract from a billed feeassessment costs paid for observercoverage under provisions of § 679.50that are based on false or inaccurateinformation.

(8) Fish for or process fish withoutobserver coverage required undersubpart E of this part.

(9) Require an observer to performduties normally performed by crewmembers, including, but not limited to,cooking, washing dishes, standingwatch, vessel maintenance, assistingwith the setting or retrieval of gear, orany duties associated with theprocessing of fish, from sorting the catchto the storage of the finished product.

§ 679.8 Facilitation of enforcement.

See § 600.740 of this chapter.

§ 679.9 Penalties.

See § 600.735 of this chapter.

Subpart B—Management Measures

§ 679.20 General limitations.

This section applies to vesselsengaged in directed fishing forgroundfish in the GOA and BSAI.

(a) Harvest limits—(1) OY. The OY forBSAI and GOA target species and the‘‘other species’’ category is a range thatcan be harvested consistently with thispart, plus the amounts of ‘‘nonspecifiedspecies’’ taken incidentally to theharvest of target species and the ‘‘otherspecies’’ category. The speciescategories are defined in Table 1 of thespecifications as provided in paragraph(c) of this section.

(i) BSAI. The OY for groundfish in theBSAI regulated by this section and bypart 600 of this chapter is 1.4 to 2.0million mt.


(ii) GOA. The OY for groundfish inthe GOA regulated by this section andby part 600 of this chapter is 116,000 to800,000 mt.

(2) TAC. NMFS, after consultationwith the Council, will specify andapportion the annual TAC and reservesfor each calendar year among the GOAand BSAI target species and the ‘‘otherspecies’’ categories. TACs in the targetspecies category may be split orcombined for purposes of establishingnew TACs with apportionments thereofunder paragraph (c) of this section. Thesum of the TACs so specified must bewithin the OY range specified inparagraph (a)(1) of this section.

(3) Annual TAC determination. Theannual determinations of TAC for eachtarget species and the ‘‘other species’’category, and the reapportionment ofreserves may be adjusted, based upon areview of the following:

(i) Biological condition of groundfishstocks. Resource assessment documentsprepared annually for the Council thatprovide information on historical catchtrend; updated estimates of the MSY ofthe groundfish complex and itscomponent species groups; assessmentsof the stock condition of each targetspecies and the ‘‘other species’’category; assessments of themultispecies and ecosystem impacts ofharvesting the groundfish complex atcurrent levels, given the assessedcondition of stocks, includingconsideration of rebuilding depressedstocks; and alternative harvestingstrategies and related effects on thecomponent species group.

(ii) Socioeconomic considerations.Socioeconomic considerations that areconsistent with the goals of the fisherymanagement plans for the groundfishfisheries of the BSAI and the GOA,including the need to promoteefficiency in the utilization of fisheryresources, including minimizing costs;the need to manage for the optimummarketable size of a species; the impactof groundfish harvests on prohibitedspecies and the domestic target fisheriesthat utilize these species; the desire toenhance depleted stocks; the seasonalaccess to the groundfish fishery bydomestic fishing vessels; thecommercial importance of a fishery tolocal communities; the importance of afishery to subsistence users; and theneed to promote utilization of certainspecies.

(4) Sablefish TAC—(i) GOA EasternArea. Vessels in the Eastern Area of theGOA using trawl gear will be allocated5 percent of the sablefish TAC forbycatch in other trawl fisheries.

(ii) GOA Central and Western Areas—(A) Hook-and-line gear. Vessels in the

Central and Western Areas of the GOAusing hook-and-line gear will beallocated 80 percent of the sablefishTAC in each of the Central and Westernareas.

(B) Trawl gear. Vessels using trawlgear will be allocated 20 percent of thesablefish TAC in these areas.

(iii) Bering Sea subarea—(A) Hook-and-line or pot gear. Vessels in theBering Sea subarea using hook-and-lineor pot gear will be allocated 50 percentof each TAC for sablefish.

(B) Trawl gear. Vessels in the BeringSea subarea using trawl gear will beallocated 50 percent of each TAC forsablefish.

(iv) Aleutian Islands subarea—(A)Hook-and-line or pot gear. Vessels inthe Aleutian Islands subarea usinghook-and-line or pot gear will beallocated 75 percent of each TAC forsablefish.

(B) Trawl gear. Vessels in the AleutianIslands subarea using trawl gear will beallocated 25 percent of each TAC forsablefish.

(5) Pollock TAC—(i) BSAI—(A)Seasonal allowances. The TAC ofpollock in each subarea or district of theBSAI will be divided, after subtractionof reserves, into two allowances. Thefirst allowance will be available fordirected fishing from 0001 hours, A.l.t.,January 1, through 1200 hours, A.l.t.,April 15. The second allowance will beavailable for directed fishing from 1200hours, A.l.t., August 15, through the endof the fishing year. Within any fishingyear, unharvested amounts of the firstallowance will be added to the secondallowance, and harvests in excess of thefirst allowance will be deducted fromthe second allowance.

(B) Apportionment to vessels usingnonpelagic trawl gear— (1) General.NMFS, in consultation with theCouncil, may limit the amount ofpollock TAC that may be taken in thedirected fishery for pollock usingnonpelagic trawl gear.

(2) Factors to be considered. TheRegional Director must consider thefollowing information when limiting theamount of pollock TAC that isapportioned to the directed fishery forpollock using nonpelagic trawl gear:

(i) The PSC limits and PSC bycatchallowances established under § 679.21.

(ii) The projected bycatch ofprohibited species that would occurwith and without a limit in the amountof pollock TAC that may be taken in thedirected fishery for pollock usingnonpelagic trawl gear.

(iii) The cost of a limit in terms ofamounts of pollock TAC that may betaken with nonpelagic trawl gear on thenonpelagic and pelagic trawl fisheries.

(iv) Other factors pertaining toconsistency with the goals andobjectives of the FMP.

(3) Notification. NMFS will publishproposed and final apportionment ofpollock TAC to the directed fishery forpollock using nonpelagic trawl gear inthe Federal Register with notification ofproposed and final specificationsdefined in § 679.20.

(ii) GOA—(A) Apportionment by area.The TAC for pollock in the combinedGOA Western and Central RegulatoryAreas will be apportioned amongstatistical areas 610, 620, and 630 inproportion to the distribution of thepollock biomass as determined by themost recent NMFS surveys.

(B) Seasonal allowances. Eachapportionment will be divided intothree seasonal allowances of 25 percent,25 percent, and 50 percent of theapportionment, respectively,corresponding to the three fishingseasons defined at § 679.23(d)(2).

(1) Within any fishing year, anyunharvested amount of any seasonalallowance will be added proportionatelyto all subsequent seasonal allowances,resulting in a sum for each allowancenot to exceed 150 percent of the initialseasonal allowance.

(2) Within any fishing year, harvestsin excess of a seasonal allowance will bededucted proportionately from allsubsequent seasonal allowances.

(6) Inshore/offshore apportionments(Applicable through December 31,1998)—(i) BSAI pollock. Theapportionment of pollock in each BSAIsubarea or district, and for each seasonalallowance defined in paragraph (a)(5)(i)of this section, will be allocated 35percent to vessels catching pollock forprocessing by the inshore componentand 65 percent to vessels catchingpollock for processing by the offshorecomponent.

(ii) GOA pollock. The apportionmentof pollock in all GOA regulatory areasand for each seasonal allowancedescribed in paragraph (a)(5)(ii) of thissection will be allocated entirely tovessels catching pollock for processingby the inshore component aftersubtraction of an amount that isprojected by the Regional Director to becaught by, or delivered to, the offshorecomponent incidental to directedfishing for other groundfish species.

(iii) GOA Pacific cod. Theapportionment of Pacific cod in all GOAregulatory areas will be allocated 90percent to vessels catching Pacific codfor processing by the inshorecomponent and 10 percent to vesselscatching Pacific cod for processing bythe offshore component.


(iv) Directed fishing allowances andprohibitions. The Regional Director mayestablish separate directed fishingallowances and prohibitions authorizedunder paragraph (d) of this section for:

(A) BSAI pollock. Vessels catchingpollock in the BSAI for processing bythe inshore component and for vesselscatching pollock for processing by theoffshore component.

(B) GOA pollock. Vessels catchingpollock in the GOA for processing bythe inshore component and for vesselscatching pollock for processing by theoffshore component.

(C) GOA Pacific cod. Vessels catchingPacific cod in the GOA for processing bythe inshore component and for vesselscatching Pacific cod for processing bythe offshore component.

(v) Reallocation—(A) BSAI pollock. If,during a fishing year, the RegionalDirector determines that either theinshore or offshore component will notbe able to process the entire amount ofpollock in the BSAI allocated to vesselscatching pollock for processing by thatcomponent, NMFS will publishnotification in the Federal Register thatreallocates the projected unused amountof pollock to vessels catching pollockfor processing by the other component.

(B) GOA pollock. If the RegionalDirector determines that the inshorecomponent will not be able to processthe entire amount of pollock in the GOAallocated to vessels catching pollock forprocessing by the inshore componentduring a fishing year, NMFS willpublish notification in the FederalRegister that reallocates the projectedunused amount of pollock to vesselscatching pollock for processing by theoffshore component.

(C) GOA Pacific cod. If, during afishing year, the Regional Directordetermines that either the inshore oroffshore component will not be able toprocess the entire amount of Pacific codin the GOA allocated to vessels catchingPacific cod for processing by thatcomponent, NMFS will publishnotification in the Federal Register thatreallocates the projected unused amountof Pacific cod to vessels catching Pacificcod for processing by the othercomponent.

(7) Pacific cod TAC, BSAI (Applicablethrough December 31, 1996)—(i) TAC bygear. (A) The BSAI TAC of Pacific cod,after subtraction of reserves, will beallocated 2 percent to vessels using jiggear, 44 percent to vessels using hook-and-line or pot gear, and 54 percent tovessels using trawl gear.

(B) The Regional Director mayestablish separate directed fishingallowances and prohibitions authorizedunder paragraph (d) of this section for

vessels harvesting Pacific cod using jiggear, hook-and-line or pot gear, or trawlgear.

(ii) Unused gear allocation. If, duringa fishing year, the Regional Directordetermines that vessels using trawl gearor hook-and-line or pot gear will not beable to harvest the entire amount ofPacific cod in the BSAI allocated tothose vessels under paragraph (a)(7)(i) ofthis section, NMFS may reallocate theprojected unused amount of Pacific codto vessels harvesting Pacific cod usingthe other gear type(s) throughnotification in the Federal Register.

(iii) Reallocation of TAC specified forjig gear. On or about September 1 ofeach year, the Regional Director willreallocate 45 percent of any unusedamount of Pacific cod in the BSAIallocated to vessels using jig gear tovessels using hook-and-line or pot gearand 55 percent of any unused amountof Pacific cod allocated to vessels usingjig gear to vessels using trawl gearthrough publication in the FederalRegister.

(iv) Seasonal TAC apportionment—(A) Allocation periods. In thepublications of proposed and finalharvest limit specifications requiredunder paragraph (c) of this section,NMFS, after consultation with theCouncil, may seasonally apportion theamount of Pacific cod TAC in the BSAIallocated to vessels using hook-and-lineor pot gear under paragraph (a)(7)(i) ofthis section among the following threeperiods: January 1 through April 30;May 1 through August 31; andSeptember 1 through December 31.

(B) Factors to be considered. NMFSwill base any seasonal apportionment ofthe Pacific cod allocation to vesselsusing hook-and-line or pot gear on thefollowing information:

(1) Seasonal distribution of Pacificcod relative to prohibited speciesdistribution.

(2) Expected variations in prohibitedspecies bycatch rates experienced in thePacific cod fisheries throughout thefishing year.

(3) Economic effects of any seasonalapportionment of Pacific cod on thehook-and-line and pot-gear fisheries.

(8) All other groundfish TAC. Theinitial TAC for each target species andthe ‘‘other species’’ category will be 85percent of the TAC as provided underparagraph (b) of this section.

(b) Reserves—(1) BSAI—(i) General.Fifteen percent of the BSAI TAC foreach target species and the ‘‘otherspecies’’ category, except the hook-and-line and pot gear allocation forsablefish, is automatically placed in areserve, and the remaining 85 percent ofthe TAC is apportioned for each target

species and the ‘‘other species’’category, except the hook-and-line andpot gear allocation for sablefish.

(ii) Nonspecified reserve. The reserveis not designated by species or speciesgroup, and any amount of the reservemay be apportioned to a target species,except the hook-and-line gear and potgear allocation for sablefish, or the‘‘other species’’ category, provided thatsuch apportionments are consistentwith paragraph (a)(3) of this section anddo not result in overfishing of a targetspecies or the ‘‘other species’’ category.

(iii) Inshore/offshore reapportionment(Applicable through December 31,1998). Any amounts of the BSAInonspecific reserve that arereapportioned to pollock as provided bythis paragraph (b) must be apportionedbetween inshore and offshorecomponents in the same proportionspecified in paragraph (a)(6)(i) of thissection.

(iv) Pacific cod (Applicable throughDecember 31, 1996). Any amounts of theBSAI nonspecific reserve that areapportioned to Pacific cod as providedby this paragraph (b) must beapportioned between vessels using jig,hook-and-line or pot, and trawl gear inthe same proportion specified inparagraph (a)(7)(i) of this section, unlessthe Regional Director determines underparagraph (a)(7) (ii) or (iii) of thissection that vessels using a certain geartype will not be able to harvest theadditional amount of Pacific cod. In thiscase, the nonspecific reserve will beapportioned to vessels using the othergear type(s).

(2) GOA. Initial reserves areestablished for pollock, Pacific cod,flounder, and ‘‘other species,’’ whichare equal to 20 percent of the TACs forthese species or species groups.

(3) Apportionment of BSAI reserves—(i) Notification. (A) As soon aspracticable after April 1, June 1, andAugust 1, and on such other dates asNMFS determines appropriate, NMFSwill, by notification in the FederalRegister, apportion all or part of theBSAI reserve in accordance with thisparagraph (b).

(B) No apportionment, retention, orPSC limit adjustment may take effectuntil notification has been published inthe Federal Register with a statement ofthe findings upon which theapportionment, retention, or adjustmentis based.

(ii) Apportionment—(A) General.Except as provided in paragraph(b)(3)(ii)(B) of this section, NMFS willapportion the amount of BSAI reservethat will be harvested by U.S. vesselsduring the remainder of the year.


(B) Exception. Part or all of the reservemay be withheld if an apportionmentwould adversely affect the conservationof groundfish resources or prohibitedspecies.

(iii) Public comment—(A) Priorcomment. NMFS will provide allinterested persons an opportunity tocomment on the proposedapportionments, retentions, or PSC limitadjustments under this paragraph (b)before such apportionments, retentions,or adjustments are made, unless NMFSfinds that there is good cause for notproviding a prior comment opportunity,and publishes the reasons therefor inthe notification of apportionment,retention, or adjustment.

(B) Submittal dates. Commentsprovided for in this paragraph (b)(3)(iii)must be received by NMFS not laterthan 5 days before April 1, June 1, andAugust 1, or other dates that may bespecified.

(C) Subsequent comment. If NMFSdetermines for good cause thatnotification of apportionment, retentionor PSC limit adjustment must be issuedwithout providing interested persons aprior opportunity for public comment,comments on the apportionment,retention or adjustment will be receivedfor a period of 15 days after its effectivedate.

(D) Response to comments. NMFSwill consider all timely comments indeciding whether to make a proposedapportionment, retention, or PSC limitadjustment or to modify anapportionment, retention, or adjustmentthat previously has been made, andshall publish responses to thosecomments in the Federal Register assoon as practicable.

(E) Data available. The RegionalDirector will make available to thepublic during business hours theaggregate data upon which anypreliminary TAC or PSC limit figure isbased or the data upon which anyapportionment or retention of surplus orreserve, or PSC limit adjustment was oris proposed to be based. These data willbe available for a sufficient period tofacilitate informed comment byinterested persons.

(c) Annual specifications—(1)Proposed specifications—

(i) General—(A) Notification. As soonas practicable after consultation withthe Council, NMFS will publishproposed specifications for thesucceeding fishing year. The proposedspecifications will reflect as accuratelyas possible the projected changes in U.S.harvesting and processing capacity andthe extent to which U.S. harvesting andprocessing will occur during the comingyear.

(B) Public comment. NMFS willaccept public comment on the proposedspecifications for 30 days from the dateof publication in the Federal Register.

(ii) GOA. The GOA proposedspecifications will specify annual TACamounts for each target species and the‘‘other species’’ category andapportionments thereof establishedunder § 679.20(a)(2), halibut prohibitedspecies catch amounts establishedunder § 679.21, seasonal allowances ofpollock, and inshore/offshore Pacificcod.

(iii) BSAI. The BSAI proposedspecifications will specify the annualTAC and initial TAC amounts for eachtarget species and the ‘‘other species’’category and apportionments thereofestablished under § 679.20(a)(2),prohibited species catch allowancesestablished under § 679.21, seasonalallowances of pollock TAC, and reserveamounts established under § 679.31(a)and (c) for pollock CDQ and sablefishCDQ.

(2) Interim specifications. Interimharvest specifications will be in effecton January 1 and will remain in effectuntil superseded by the filing of thefinal specifications by the Office of theFederal Register. Interim specificationswill be established as follows:

(i) GOA. One-fourth of each proposedTAC and apportionment thereof (notincluding the reserves or the firstseasonal allowance of pollock), one-fourth of the proposed halibutprohibited species catch amounts, andthe proposed first seasonal allowance ofpollock.

(ii) BSAI. Except for the hook-and-lineand pot gear allocation of sablefish, one-fourth of each proposed initial TAC andapportionment thereof (not includingthe first seasonal allowance of pollock),one-fourth of the proposed prohibitedspecies catch allowance establishedunder § 679.21, and the proposed firstseasonal allowance of pollock.

(3) Final specifications—(i)Notification. NMFS will considercomments on the proposedspecifications received during thecomment period and, after consultationwith the Council, will publish finalspecifications in the Federal Register.The final specifications will supersedethe interim specifications.

(ii) GOA. The final specifications willspecify the annual TAC for each targetspecies and the ‘‘other species’’ categoryand apportionments thereof, halibutprohibited species catch amounts, andseasonal allowances of pollock.

(iii) BSAI. The final specificationswill specify the annual TAC for eachtarget species and the ‘‘other species’’category and apportionments thereof,

prohibited species catch allowances,seasonal allowances of the pollock TAC,and the sablefish CDQ reserve amountestablished under § 679.31(c).

(4) Inshore/offshore allocations(Applicable through December 31,1998). The proposed, interim, and finalspecifications will specify the allocationof GOA Pacific cod, GOA pollock, andBSAI pollock for processing by theinshore and offshore components, andany seasonal allowances thereof, asauthorized under paragraphs (a)(5) and(a)(7) of this section.

(5) BSAI Pacific cod gear allocations(Applicable through December 31,1996). The proposed, interim, and finalspecifications will specify the allocationof BSAI Pacific cod among gear types asauthorized under paragraph (a)(7) of thissection.

(d) Fishery closures—(1) Directedfishing allowance—(i) General. If theRegional Director determines that anyallocation or apportionment of a targetspecies or ‘‘other species’’ categoryspecified under paragraph (c) of thissection has been or will be reached, theRegional Director may establish adirected fishing allowance for thatspecies or species group.

(ii) Specified fishery amounts—(A)Inseason adjustments. The categoryallocations or apportionmentsestablished under paragraph (c) of thissection may be revised by inseasonadjustments for a given species orspecies group or pollock allowance, asidentified by regulatory area, subarea, ordistrict, and, if applicable, as furtheridentified by gear type.

(B) Incidental catch. In establishing adirected fishing allowance, the RegionalDirector shall consider the amount ofthe allocation or apportionmentestablished under paragraph (c) of thissection that will be taken as incidentalcatch in directed fishing for otherspecies in the same subarea, regulatoryarea, or district.

(iii) Directed fishing closure—(A)Notification. If the Regional Directorestablishes a directed fishing allowancefor a fishery allocation or apportionmentunder this paragraph (d), and thatallowance has been or will be reachedbefore the end of the fishing season oryear, NMFS will publish notification inthe Federal Register prohibitingdirected fishing in the specified subarea,regulatory area, or district.

(B) Retention of bycatch species. Ifdirected fishing for a target species orthe ‘‘other species’’ category isprohibited, a vessel may not retain thatbycatch species in an amount thatexceeds the maximum retainablebycatch amount, as calculated under


paragraphs (e) and (f) of this section, atany time during a fishing trip.

(2) Groundfish as prohibited speciesclosure. When the Regional Directordetermines that the TAC of any targetspecies or the ‘‘other species’’ categoryspecified under paragraph (c) of thissection has been or will be achievedprior to the end of a year, NMFS willpublish notification in the FederalRegister requiring that target species orthe ‘‘other species’’ be treated in thesame manner as a prohibited species, asdescribed under § 679.21(b), for theremainder of the year.

(3) Overfishing closure—(i)Notification. If, in making adetermination under paragraph (d)(2) ofthis section, the Regional Director alsodetermines that fishing for other targetspecies or species groups in the area,district or part thereof where thenotification applies, may lead to theoverfishing of the species or speciesgroup for which the allocation orapportionment has been or will bereached, NMFS will publish notificationin the Federal Register specifyinglimitations or prohibitions designed toprevent overfishing of that species orspecies group.

(ii) Limitations and prohibitions.These limitations and prohibitions mayprohibit directed fishing for otherspecies or species groups in the area,district, or part thereof where thenotification applies, or may limit time,area, or gear types that may be used indirected fishing for the other species orspecies groups.

(iii) Factors to be considered. Whenmaking the determinations specifiedunder paragraphs (d)(1), (d)(2), and(d)(3) of this section, the RegionalDirector may consider allowing fishingto continue or resume with certain geartypes or in certain areas and times basedon findings of:

(A) The risk of biological harm to agroundfish species or species group forwhich the TAC or PSC limit is or willbe reached.

(B) The risk of socioeconomic harm toauthorized users of the groundfish forwhich the TAC or PSC limit will be orhas been reached.

(C) The impact that the continuedclosure might have on thesocioeconomic well-being of otherdomestic fisheries.

(e) Maximum retainable bycatchamounts—(1) Proportion of basisspecies. The maximum retainablebycatch amount for a bycatch species orspecies group is calculated as aproportion of the basis species retainedon board the vessel using the retainablepercentages in Table 10 to this part forthe GOA species categories and in Table11 to this part for the BSAI speciescategories.

(2) Calculation. (i) To calculate themaximum retainable bycatch amount fora specific bycatch species, an individualretainable bycatch amount must becalculated with respect to each basisspecies that is retained on board thatvessel.

(ii) To obtain these individualretainable bycatch amounts, multiplythe appropriate retainable percentage forthe bycatch species/basis speciescombination, set forth in Table 10 tothis part for the GOA species categoriesand Table 11 to this part for the BSAIspecies categories, by the amount of thatbasis species, in round-weightequivalents.

(iii) The maximum retainable bycatchamount for that specific bycatch speciesis the sum of the individual retainablebycatch amounts.

(f) Directed fishing calculations anddeterminations—(1) Round-weightequivalents. Any determinationconcerning directed fishing, the amountor percentage of any species, speciesgroup, or any fish or fish products must

be calculated in round-weightequivalents.

(2) Retainable amounts. Arrowtoothflounder, or any groundfish species forwhich directed fishing is closed, maynot be used to calculate retainableamounts of other groundfish species.

(g) Allowable retention of pollockroe—(1) Percentage of pollock roe. (i)Pollock roe retained on board a vesselat any time during a fishing trip mustnot exceed 7 percent of the total round-weight equivalent of pollock, ascalculated from the primary pollockproduct on board the vessel during thesame fishing trip.

(ii) Determinations of allowableretention of pollock roe will be based onamounts of pollock harvested, received,or processed during a single fishing trip.

(iii) Pollock or pollock products fromprevious fishing trips that are retainedon board a vessel may not be used todetermine the allowable retention ofpollock roe for that vessel.

(2) Primary product. (i) For purposesof this paragraph (g), only one primarypollock product per fish, other than roe,may be used to calculate the round-weight equivalent.

(ii) A primary pollock product thatcontains roe (such as headed and guttedpollock with roe) may not be used tocalculate the round-weight equivalent ofpollock.

(iii) The primary pollock productmust be distinguished from ancillarypollock products in the DCPL requiredunder § 679.5. Ancillary products arethose such as meal, heads, internalorgans, pectoral girdles, or any otherproduct that may be made from thesame fish as the primary product.

(3) Pollock product recovery rates(PRRs). Only the following producttypes and standard PRRs may be usedto calculate round-weight equivalentsfor pollock for purposes of thisparagraph (g):

Productcode Product description

Standardproduct re-covery rate

07 ............ Headed and gutted, western cut ....................................................................................................................................... 0.6508 ............ Headed and gutted, eastern cut ........................................................................................................................................ 0.5610 ............ Headed and gutted, without tail ......................................................................................................................................... 0.5020 ............ Fillets with skin & ribs ........................................................................................................................................................ 0.3521 ............ Fillets with skin on, no ribs ................................................................................................................................................ 0.3022 ............ Fillets with ribs, no skin ..................................................................................................................................................... 0.3023 ............ Fillets, skinless, boneless .................................................................................................................................................. 0.2124 ............ Deep skin fillets .................................................................................................................................................................. 0.1630 ............ Surimi ................................................................................................................................................................................. 0.1631 ............ Mince .................................................................................................................................................................................. 0.2232 ............ Meal ................................................................................................................................................................................... 0.17

(4) Calculation of retainable pollockroe—(i) Round-weight equivalent. (A)

To calculate the amount of pollock roethat can be retained on board during a

fishing trip, first calculate the round-weight equivalent by dividing the total


amount of primary product on board bythe appropriate PRR.

(B) To determine the maximummount of pollock roe that can beretained on board a vessel during thesame fishing trip, multiply the round-weight equivalent by 0.07.

(C) Pollock roe retained on board fromprevious fishing trips will not becounted.

(ii) Two or more products fromdifferent fish. (A) If two or moreproducts, other than roe, are made fromdifferent fish, round-weight equivalentsare calculated separately for eachproduct.

(B) To determine the maximumamount of pollock roe that can beretained on board a vessel during afishing trip, add the round-weightequivalents together; then, multiply thesum by 0.07.

(iii) Two or more products from samefish. If two or more products, other thanroe, are made from the same fish, themaximum amount of pollock roe thatcan be retained during a fishing trip isdetermined from the primary product.

(5) Primary pollock product—(i)Process prior to transfer. Any primarypollock product used to calculateretainable amounts of pollock roe mustbe frozen, canned, or reduced to meal bythe vessel retaining the pollock roe priorto any transfer of the product to anothervessel.

(ii) No discard of processed product.Any pollock product that has beenfrozen, canned, or reduced to meal maynot be discarded at sea.

(h) Standard product types andstandard PRRs—(1) Calculating round-weight equivalents from standard PRRs.Round-weight equivalents forgroundfish products are calculatedusing the product codes and standardPRRs specified in Table 3 of this part.

(2) Adjustments. The RegionalDirector may adjust standard PRRs andproduct types specified in Table 3 ofthis part if he or she determines thatexisting standard PRRs are inaccurate orif new product types are developed.

(i) Adjustments to any standard PRRlisted in Table 3 of this part that arewithin and including 15 percent of thatstandard PRR may be made withoutproviding notification and opportunityfor prior public comment.

(ii) Adjustments of any standard PRRduring a calendar year, when aggregatedwith all other adjustments made duringthat year, will not exceed 15 percent ofthe standard PRR listed in Table 3 ofthis part at the beginning of thatcalendar year.

(iii) No new product type will beannounced until NMFS publishes theproposed adjustment and/or new

product type in the Federal Registerand provides the public with at least 30days opportunity for public comment.

(iv) Any adjustment of a PRR that actsto further restrict the fishery will not beeffective until 30 days after the date ofpublication in the Federal Register.

(v) If NMFS makes any adjustment orannouncement without providing aprior notification and opportunity forprior public comment, the RegionalDirector will receive public commentson the adjustment or announcement fora period of 15 days from the date ofpublication in the Federal Register.

§ 679.21 Prohibited species bycatchmanagement.

(a) Applicability. (1) This sectionapplies to all vessels required to have aFederal fisheries permit under § 679.4.

(2) Except as otherwise provided, thissection also applies to all mothershipsand shoreside processors that receivegroundfish from vessels required tohave a Federal fisheries permit under§ 679.4.

(b) General—(1) Definition. Prohibitedspecies, for the purpose of this part,means any of the species of Pacificsalmon (Oncorhynchus spp.), steelheadtrout (Oncorhynchus mykiss), halibut,Pacific herring (Clupea harenguspallasi), king crab, and Tanner crabcaught by a vessel regulated under thispart while fishing for groundfish in theBSAI or GOA, unless retention isauthorized by other applicable laws,including part 301 of this title.

(2) Prohibited species catchrestrictions. The operator of each vesselengaged in directed fishing forgroundfish in the GOA or BSAI must:

(i) Minimize its catch of prohibitedspecies.

(ii) Sort its catch as soon as possibleafter retrieval of the gear and, except asprovided under paragraph (c) of thissection, must return all prohibitedspecies or parts thereof to the seaimmediately, with a minimum of injury,regardless of its condition, afterallowing for sampling by an observer ifan observer is aboard.

(3) Rebuttable presumption. Except asprovided under paragraph (c) of thissection, it will be a rebuttablepresumption that any prohibited speciesretained on board a fishing vesselregulated under this part was caughtand retained in violation of this section.

(4) Prohibited species taken seawardof the EEZ off Alaska. No vessel fishingfor groundfish in the GOA or BSAI mayhave on board any species listed in thisparagraph (b) that was taken in watersseaward of these management areas,regardless of whether retention of such

species was authorized by otherapplicable laws.

(c) Salmon taken in BSAI trawlfishery—(1) Salmon discard. Except asprovided in paragraph (c)(3) of thissection, the operator of a vessel and themanager of a shoreside processor mustnot discard any salmon taken incidentalto a directed fishery for BSAI groundfishby vessels using trawl gear until thenumber of salmon has been determinedby a NMFS-certified observer and thecollection of any scientific data orbiological samples from the salmon hasbeen completed.

(2) Salmon retention and storage. (i)Operators of vessels carrying observersaboard and whose fishing operationsallow for sorting of BSAI groundfishcatch for salmon must retain all salmonbycatch from each haul in a separate binor other location that allows an observerfree and unobstructed physical access tothe salmon to count each fish andcollect any scientific data or biologicalsamples. Salmon from different haulsmust be retained separately in a mannerthat identifies the haul from which thesalmon were taken.

(ii) Operators of vessels not carryingobservers aboard or whose fishingoperations do not allow for sorting ofBSAI groundfish catch for salmon mustice, freeze, or store in a refrigeratedsaltwater tank all salmon taken asbycatch in trawl operations for deliveryto the processor receiving the vessel’sBSAI groundfish catch.

(iii) Processors receiving BSAIgroundfish harvested in a directedfishery for groundfish using trawl gearmust retain all salmon delivered by eachtrawl vessel during a weekly reportingperiod in separate bins marked with thevessel’s name and ADF&G fish ticketnumber(s) for each delivery until aNMFS-certified observer has countedeach salmon and collected any scientificdata or biological samples from thesalmon delivered to the processor bythat vessel. Processors without anobserver present must store wholesalmon in an iced or frozen state untilan observer is available to count eachfish. Salmon must be stored at a locationthat allows an observer free andunobstructed physical access to eachsalmon.

(3) Exemption. Motherships andshoreside processors that are exemptfrom obtaining observer coverage duringa month under § 679.52 are exempt frommandatory retention of salmon.

(4) Assignment of crew to assistobserver. Operators of vessels andmanagers of shoreside processors thatare required to retain salmon underparagraph (c)(1) of this section mustdesignate and identify to the NMFS-


certified observer aboard the vessel or atthe shoreside processor a crew person oremployee to be responsible for sorting,retention, and storage of salmon. Uponrequest of the NMFS-certified observer,the designated crew person or employeealso is responsible for counting salmonand taking biological samples fromretained salmon under the direction ofthe observer.

(5) Release of salmon. Salmon mustbe returned to Federal waters as soon asis practicable, with a minimum ofinjury, regardless of condition,following notification by a NMFS-certified observer that the number ofsalmon has been determined and thecollection of any scientific data orbiological samples has been completed.

(d) GOA halibut PSC limits. Thissection is applicable for vessels engagedin directed fishing for groundfish in theGOA.

(1) Notification—(i) Proposed andfinal limits and apportionments. NMFSwill publish annually in the FederalRegister proposed and final halibut PSClimits and apportionments thereof in thenotification required under § 679.20.

(ii) Modification of limits. NMFS, bynotification in the Federal Register, maychange the halibut PSC limits during theyear for which they were specified,based on new information of the typesset forth in this paragraph (d)(1).

(2) Public comment. NMFS willaccept public comment on the proposedhalibut PSC limits, and apportionmentsthereof, for a period of 30 days from thedate of publication in the FederalRegister. NMFS will consider commentsreceived on proposed halibut limits and,after consultation with the Council, willpublish notification in the FederalRegister specifying the final halibut PSClimits and apportionments thereof.

(3) Trawl gear proposed halibutlimit—(i) Notification. Afterconsultation with the Council, NMFSwill publish notification in the FederalRegister specifying the proposed halibutPSC limit for vessels using trawl gear.

(ii) Bycatch allowance. The halibutPSC limit specified for vessels usingtrawl gear may be further apportioned asbycatch allowances to the fisherycategories listed in paragraph (d)(3)(iii)of this section, based on each category’sproportional share of the anticipatedhalibut bycatch mortality during afishing year and the need to optimizethe amount of total groundfish harvestunder the halibut PSC limit. The sum ofall bycatch allowances will equal thehalibut PSC limit established under thisparagraph (d).

(iii) Trawl fishery categories. Forpurposes of apportioning the trawlhalibut PSC limit among fisheries, the

following fishery categories arespecified and defined in terms of round-weight equivalents of those GOAgroundfish species for which a TAC hasbeen specified under § 679.20:

(A) Shallow-water species fishery.Fishing with trawl gear during anyweekly reporting period that results ina retained aggregate catch of pollock,Pacific cod, shallow-water flatfish,flathead sole, Atka mackerel, and ‘‘otherspecies’’ that is greater than the retainedaggregate amount of other GOAgroundfish species or species group.

(B) Deep-water species fishery.Fishing with trawl gear during anyweekly reporting period that results ina retained catch of groundfish and is nota shallow-water species fishery asdefined under paragraph (d)(3)(iii)(A) ofthis section.

(4) Hook-and-line and pot gearfisheries—(i) Notification. Afterconsultation with the Council, NMFSwill publish notification in the FederalRegister specifying the proposed andfinal halibut PSC limits for vessels usinghook-and-line gear. The notification alsomay specify a halibut PSC limit for thepot gear fisheries.

(ii) Halibut bycatch allowance. Thehalibut PSC limit specified for vesselsusing hook-and-line gear may be furtherapportioned, as bycatch allowances, tothe fishery categories listed in paragraph(d)(4)(iii) of this section, based on eachcategory’s proportional share of theanticipated halibut bycatch mortalityduring a fishing year and the need tooptimize the amount of total groundfishharvest under the halibut PSC limit. Thesum of all bycatch allowances will equalthe halibut PSC limit established underthis paragraph (d).

(iii) Hook-and-line fishery categories.For purposes of apportioning the hook-and-line halibut PSC limit amongfisheries, the following fisherycategories are specified and defined interms of round-weight equivalents ofthose GOA groundfish species for whicha TAC has been specified under§ 679.20.

(A) Demersal shelf rockfish in theSoutheast Outside District. Fishing withhook-and-line gear in the SoutheastOutside District of the GOA EasternRegulatory Area (SEEO) during anyweekly reporting period that results ina retained catch of demersal shelfrockfish that is greater than the retainedamount of any other fishery categorydefined under this paragraph (d)(4)(iii).

(B) Sablefish fishery. Fishing withhook-and-line gear during any weeklyreporting period that results in aretained catch of sablefish that is greaterthan the retained amount of any other

fishery category defined under thisparagraph (d)(4)(iii).

(C) Other hook-and-line fishery.Fishing with hook-and-line gear duringany weekly reporting period that resultsin a retained catch of groundfish and isnot a demersal shelf rockfish fishery ora sablefish fishery defined underparagraphs (d)(4)(iii)(A) and (B) of thissection.

(5) Seasonal apportionments—(i)General. NMFS, after consultation withthe Council, may apportion each halibutPSC limit or bycatch allowancespecified under this paragraph (d) on aseasonal basis.

(ii) Factors to be considered. NMFSwill base any seasonal apportionment ofa halibut PSC limit or bycatchallowance on the following types ofinformation:

(A) Seasonal distribution of halibut.(B) Seasonal distribution of target

groundfish species relative to halibutdistribution.

(C) Expected halibut bycatch needs,on a seasonal basis, relative to changesin halibut biomass and expected catchesof target groundfish species.

(D) Expected variations in bycatchrates throughout the fishing year.

(E) Expected changes in directedgroundfish fishing seasons.

(F) Expected start of fishing effort.(G) Economic effects of establishing

seasonal halibut allocations on segmentsof the target groundfish industry.

(iii) Unused seasonal apportionments.Unused seasonal apportionments ofhalibut PSC limits specified for trawl,hook-and-line, or pot gear will be addedto the respective seasonalapportionment for the next seasonduring a current fishing year.

(iv) Seasonal apportionmentexceeded. If a seasonal apportionmentof a halibut PSC limit specified fortrawl, hook-and-line, or pot gear isexceeded, the amount by which theseasonal apportionment is exceededwill be deducted from the respectiveapportionment for the next seasonduring a current fishing year.

(6) Apportionment among regulatoryareas and districts. Each halibut PSClimit specified under this paragraph (d)also may be apportioned among theGOA regulatory areas and districts.

(7) Halibut PSC closures—(i) Trawlgear fisheries. If, during the fishing year,the Regional Director determines thatU.S. fishing vessels participating ineither of the trawl fishery categorieslisted in paragraph (d)(3)(iii) (A) or (B)of this section will catch the halibutbycatch allowance, or apportionmentsthereof, specified for that fisherycategory under paragraph (d)(1) of thissection, NMFS will publish notification


in the Federal Register closing theentire GOA or the applicable regulatoryarea or district to directed fishing withtrawl gear for each species and/orspecies group that comprises thatfishing category; provided, however,that when the halibut bycatchallowance, or seasonal apportionmentthereof, specified for the shallow-waterspecies fishery is reached, fishing forpollock by vessels using pelagic trawlgear may continue, consistent withother provisions of this part.

(ii) Hook-and-line fisheries. If, duringthe fishing year, the Regional Directordetermines that U.S. fishing vesselsparticipating in any of the three hook-and-line gear fishery categories listedunder paragraph (d)(4)(iii) of thissection will catch the halibut bycatchallowance, or apportionments thereof,specified for that fishery category underparagraph (d)(1) of this section, NMFSwill publish notification in the FederalRegister closing the entire GOA or theapplicable regulatory area or district todirected fishing with hook-and-line gearfor each species and/or species groupthat comprises that fishing category.

(iii) Pot gear fisheries. If, during thefishing year, the Regional Directordetermines that the catch of halibut byoperators of vessels using pot gear toparticipate in a directed fishery forgroundfish will reach the halibut PSClimit, or seasonal apportionmentthereof, NMFS will publish notificationin the Federal Register prohibitingdirected fishing for groundfish byvessels using pot gear for the remainderof the season to which the halibut PSClimit or seasonal apportionment applies.

(iv) Nonpelagic trawl gear fisheries—(A) Continued fishing under specifiedconditions. When the vessels to whicha halibut PSC limit applies have caughtan amount of halibut equal to that PSC,the Regional Director may, bynotification in the Federal Register,allow some or all of those vessels tocontinue to fish for groundfish usingnonpelagic trawl gear under specifiedconditions, subject to the otherprovisions of this part.

(B) Factors to be considered. Inauthorizing and conditioning suchcontinued fishing with bottom-trawlgear, the Regional Director will take intoaccount the following considerations,and issue relevant findings:

(1) The risk of biological harm tohalibut stocks and of socio-economicharm to authorized halibut users posedby continued bottom trawling by thesevessels.

(2) The extent to which these vesselshave avoided incidental halibut catchesup to that point in the year.

(3) The confidence of the RegionalDirector in the accuracy of the estimatesof incidental halibut catches by thesevessels up to that point in the year.

(4) Whether observer coverage ofthese vessels is sufficient to assureadherence to the prescribed conditionsand to alert the Regional Director toincreases in their incidental halibutcatches.

(5) The enforcement record of ownersand operators of these vessels, and theconfidence of the Regional Director thatadherence to the prescribed conditionscan be assured in light of availableenforcement resources.

(e) BSAI PSC limits—(1) Trawl gear—(i) Red king crab. The PSC limit of redking crab caught while conducting anytrawl fishery for groundfish in Zone 1during any fishing year is 200,000 redking crabs.

(ii) Tanner crab (C. bairdi), Zone 1.The PSC limit of C. bairdi Tanner crabscaught while conducting any trawlfishery for groundfish in Zone 1 duringany fishing year is 1 million animals.

(iii) Tanner crab (C. bairdi), Zone 2.The PSC limit of C. bairdi Tanner crabscaught while conducting any trawlfishery for groundfish in Zone 2 duringany fishing year is 3 million animals.

(iv) Halibut. The PSC limit of halibutcaught while conducting any trawlfishery for groundfish in the BSAIduring any fishing year is an amount ofhalibut equivalent to 3,775 mt of halibutmortality.

(v) Pacific herring. The PSC limit ofPacific herring caught while conductingany domestic trawl fishery forgroundfish in the BSAI is 1 percent ofthe annual eastern Bering Sea herringbiomass. The PSC limit will beapportioned into annual herring PSCallowances, by target fishery, and willbe published along with the annualherring PSC limit in the FederalRegister with the proposed and finalgroundfish specifications defined in§ 679.20.

(vi) Chinook salmon. The PSC limit ofchinook salmon caught whileconducting any trawl fishery forgroundfish in the BSAI between January1 and April 15 is 48,000 fish.

(vii) Non-chinook salmon. The PSClimit of non-chinook salmon caught byvessels using trawl gear during August15 through October 14 in the CVOA is42,000 fish.

(2) Nontrawl gear, halibut. The PSClimit of halibut caught while conductingany nontrawl fishery for groundfish inthe BSAI during any fishing year is anamount of halibut equivalent to 900 mtof halibut mortality.

(3) PSC apportionment to trawlfisheries—(i) General. NMFS, after

consultation with the Council, willapportion each PSC limit set forth inparagraphs (e)(1)(i) through (vii) of thissection into bycatch allowances forfishery categories defined in paragraph(e)(3)(iv) of this section, based on eachcategory’s proportional share of theanticipated incidental catch during afishing year of prohibited species forwhich a PSC limit is specified and theneed to optimize the amount of totalgroundfish harvested under establishedPSC limits. The sum of all bycatchallowances of any prohibited specieswill equal its PSC limit.

(ii) Red king crab, C. bairdi Tannercrab, and halibut—(A) General. Forvessels engaged in directed fishing forgroundfish in the GOA or BSAI, the PSClimits for red king crab, C. bairdi Tannercrab, and halibut will be apportioned tothe trawl fishery categories defined inparagraphs (e)(3)(iv) (B) through (F) ofthis section.

(B) Incidental catch in midwaterpollock fishery. Any amount of red kingcrab, C. bairdi Tanner crab, or halibutthat is incidentally taken in themidwater pollock fishery as defined inparagraph (e)(3)(iv)(A) of this sectionwill be counted against the bycatchallowances specified for the pollock/Atka mackerel/‘‘other species’’ categorydefined in paragraph (e)(3)(iv)(F) of thissection.

(iii) Pacific herring. The PSC limit forPacific herring will be apportioned tothe BSAI trawl fishery categoriesdefined in paragraphs (e)(3)(iv) (A)through (F) of this section.

(iv) Trawl fishery categories. Forpurposes of apportioning trawl PSClimits among fisheries, the followingfishery categories are specified anddefined in terms of round-weightequivalents of those groundfish speciesor species groups for which a TAC hasbeen specified under § 679.20.

(A) Midwater pollock fishery. Fishingwith trawl gear during any weeklyreporting period that results in a catchof pollock that is 95 percent or more ofthe total amount of groundfish caughtduring the week.

(B) Flatfish fishery. Fishing with trawlgear during any weekly reporting periodthat results in a retained aggregateamount of rock sole, ‘‘other flatfish,’’and yellowfin sole that is greater thanthe retained amount of any other fisherycategory defined under this paragraph(e)(3)(iv).

(1) Yellowfin sole fishery. Fishingwith trawl gear during any weeklyreporting period that is defined as aflatfish fishery under this paragraph(e)(3)(iv)(B) and results in a retainedamount of yellowfin sole that is 70percent or more of the retained


aggregate amount of rock sole, ‘‘otherflatfish,’’ and yellowfin sole.

(2) Rock sole/flathead sole/‘‘otherflatfish’’ fishery. Fishing with trawl gearduring any weekly reporting period thatis defined as a flatfish fishery under thisparagraph (e)(3)(iv)(B) and is not ayellowfin sole fishery as defined underparagraph (e)(3)(iv)(B)(1) of this section.

(C) Greenland turbot/arrowtoothflounder/sablefish fishery. Fishing withtrawl gear during any weekly reportingperiod that results in a retainedaggregate amount of Greenland turbot,arrowtooth flounder, and sablefish thatis greater than the retained amount ofany other fishery category defined underthis paragraph (e)(3)(iv).

(D) Rockfish fishery. Fishing withtrawl gear during any weekly reportingperiod that results in a retainedaggregate amount of rockfish species ofthe genera Sebastes and Sebastolobusthat is greater than the retained amountof any other fishery category definedunder this paragraph (e)(3)(iv).

(E) Pacific cod fishery. Fishing withtrawl gear during any weekly reportingperiod that results in a retainedaggregate amount of Pacific cod that isgreater than the retained amount of anyother groundfish fishery categorydefined under this paragraph (e)(3)(iv).

(F) Pollock/Atka mackerel/‘‘otherspecies.’’ Fishing with trawl gear duringany weekly reporting period that resultsin a retained aggregate amount ofpollock other than pollock harvested inthe midwater pollock fishery definedunder paragraph (e)(3)(iv)(A) of thissection, Atka mackerel, and ‘‘otherspecies’’ that is greater than the retainedamount of any other fishery categorydefined under this paragraph (e)(3)(iv).

(4) Halibut apportionment to nontrawlfishery categories—(i) General. NMFS,after consultation with the Council, mayapportion the halibut PSC limit fornontrawl gear set forth under paragraph(e)(2) of this section into bycatchallowances for nontrawl fisherycategories defined under paragraph(e)(4)(ii) of this section, based on eachcategory’s proportional share of theanticipated bycatch mortality of halibutduring a fishing year and the need tooptimize the amount of total groundfishharvested under the nontrawl halibutPSC limit. The sum of all halibutbycatch allowances will equal thehalibut PSC limit established inparagraph (e)(2) of this section.

(ii) Nontrawl fishery categories. Forpurposes of apportioning the nontrawlhalibut PSC limit among fisheries, thefollowing fishery categories arespecified and defined in terms of round-weight equivalents of those BSAI

groundfish species for which a TAC hasbeen specified under § 679.20.

(A) Pacific cod hook-and-line fishery.Fishing with hook-and-line gear duringany weekly reporting period that resultsin a retained catch of Pacific cod that isgreater than the retained amount of anyother groundfish species.

(B) Sablefish hook-and-line fishery.Fishing with hook-and-line gear duringany weekly reporting period that resultsin a retained catch of sablefish that isgreater than the retained amount of anyother groundfish species.

(C) Groundfish jig gear fishery.Fishing with jig gear during any weeklyreporting period that results in aretained catch of groundfish.

(D) Groundfish pot gear fishery.Fishing with pot gear under restrictionsset forth in § 679.24(b) during anyweekly reporting period that results ina retained catch of groundfish.

(E) Other nontrawl fisheries. Fishingfor groundfish with nontrawl gearduring any weekly reporting period thatresults in a retained catch of groundfishand does not qualify as a Pacific codhook-and-line fishery, a sablefish hook-and-line fishery, a jig gear fishery, or agroundfish pot gear fishery as definedunder paragraph (e)(4)(ii) of this section.

(5) Seasonal apportionments ofbycatch allowances—(i) General. NMFS,after consultation with the Council, mayapportion fishery bycatch allowances ona seasonal basis.

(ii) Factors to be considered. NMFSwill base any seasonal apportionment ofa bycatch allowance on the followingtypes of information:

(A) Seasonal distribution ofprohibited species;

(B) Seasonal distribution of targetgroundfish species relative to prohibitedspecies distribution;

(C) Expected prohibited speciesbycatch needs on a seasonal basisrelevant to change in prohibited speciesbiomass and expected catches of targetgroundfish species;

(D) Expected variations in bycatchrates throughout the fishing year;

(E) Expected changes in directedgroundfish fishing seasons;

(F) Expected start of fishing effort; or(G) Economic effects of establishing

seasonal prohibited speciesapportionments on segments of thetarget groundfish industry.

(iii) Seasonal trawl fishery bycatchallowances—(A) Unused seasonalapportionments. Unused seasonalapportionments of trawl fishery bycatchallowances made under this paragraph(e)(5) will be added to its respectivefishery bycatch allowance for the nextseason during a current fishing year.

(B) Seasonal apportionmentexceeded. If a seasonal apportionment

of a trawl fishery bycatch allowancemade under paragraph (d)(5) of thissection is exceeded, the amount bywhich the seasonal apportionment isexceeded will be deducted from itsrespective apportionment for the nextseason during a current fishing year.

(iv) Seasonal nontrawl fishery bycatchallowances—(A) Unused seasonalapportionments. Any unused portion ofa seasonal nontrawl fishery bycatchallowance made under this paragraph(e)(5) will be reapportioned to thefishery’s remaining seasonal bycatchallowances during a current fishing yearin a manner determined by NMFS, afterconsultation with the Council, based onthe types of information listed underparagraph (e)(5)(ii) of this section.

(B) Seasonal apportionmentexceeded. If a seasonal apportionmentof a nontrawl fishery bycatch allowancemade under this paragraph (e)(5) isexceeded, the amount by which theseasonal apportionment is exceededwill be deducted from the fishery’sremaining seasonal bycatch allowancesduring a current fishing year in amanner determined by NMFS, afterconsultation with the Council, based onthe types of information listed underparagraph (e)(5)(ii) of this section.

(6) Notification—(i) General. NMFSwill publish annually in the FederalRegister the proposed and final bycatchallowances, seasonal apportionmentsthereof, and the manner in whichseasonal apportionments of nontrawlfishery bycatch allowances will bemanaged, as required under thisparagraph (e).

(ii) Public comment. Public commentwill be accepted by NMFS on theproposed bycatch allowances, seasonalapportionments thereof, and the mannerin which seasonal apportionments ofnontrawl fishery bycatch allowanceswill be managed, for a period of 30 daysfrom the date of publication in theFederal Register.

(7) Trawl PSC closures—(i) Exception.When a bycatch allowance, or seasonalapportionment thereof, specified for thepollock/Atka mackerel/’’other species’’fishery category is reached, onlydirected fishing for pollock is closed totrawl vessels using nonpelagic trawlgear.

(ii) Red king crab or C. bairdi Tannercrab, Zone 1, closure. Except asprovided in paragraph (e)(7)(i) of thissection, if, during the fishing year, theRegional Director determines that U.S.fishing vessels participating in any ofthe fishery categories listed inparagraphs (e)(3)(iv)(B) through (F) ofthis section will catch the Zone 1bycatch allowance, or seasonalapportionment thereof, of red king crab


or C. bairdi Tanner crab specified forthat fishery category under paragraph(e)(3) of this section, NMFS will publishin the Federal Register the closure ofZone 1 to directed fishing for eachspecies and/or species group in thatfishery category for the remainder of theyear or for the remainder of the season.

(iii) Red king crab or C. bairdi Tannercrab, Zone 2, closure. Except asprovided in paragraph (e)(7)(i) of thissection, if, during the fishing year, theRegional Director determines that U.S.fishing vessels participating in any ofthe fishery categories listed inparagraphs (e)(3)(iv)(B) through (F) ofthis section will catch the Zone 2bycatch allowance, or seasonalapportionment thereof, of red king crabor C. bairdi Tanner crab specified forthat fishery category under paragraph(e)(3) of this section, NMFS will publishin the Federal Register the closure ofZone 2 to directed fishing for eachspecies and/or species group in thatfishery category for the remainder of theyear or for the remainder of the season.

(iv) Halibut closure. Except asprovided in paragraph (e)(7)(i) of thissection, if, during the fishing year, theRegional Director determines that U.S.fishing vessels participating in any ofthe trawl fishery categories listed inparagraphs (e)(3)(iv)(B) through (F) ofthis section in the BSAI will catch thehalibut bycatch allowance, or seasonalapportionment thereof, specified for thatfishery category under paragraph (e)(3)of this section, NMFS will publish inthe Federal Register the closure of theentire BSAI to directed fishing for eachspecies and/or species group in thatfishery category for the remainder of theyear or for the remainder of the season.

(v) Pacific herring—(A) Closure.Except as provided in paragraph(e)(7)(v)(B) of this section, if, during thefishing year, the Regional Directordetermines that U.S. fishing vesselsparticipating in any of the fisherycategories listed in paragraphs(e)(3)(iv)(A) through (F) of this sectionin the BSAI will catch the herringbycatch allowance, or seasonalapportionment thereof, specified for thatfishery category under paragraph (e)(3)of this section, NMFS will publish inthe Federal Register the closure of theHerring Savings Area as defined inFigure 4 of this part to directed fishingfor each species and/or species group inthat fishery category.

(B) Exceptions—(1) Midwater pollock.When the midwater pollock fisherycategory reaches its specified bycatchallowance, or seasonal apportionmentthereof, the Herring Savings Areas areclosed to directed fishing for pollockwith trawl gear.

(2) Pollock/Atka mackerel/ ‘‘otherspecies’’. When the pollock/Atkamackerel/’’other species’’ fisherycategory reaches its specified bycatchallowance, or seasonal apportionmentthereof, the Herring Savings Areas areclosed to directed fishing for pollock bytrawl vessels using nonpelagic trawlgear.

(vi) Chum salmon—(A) Trawlingprohibitions. (1) Trawling is prohibitedfrom August 1 through August 31 in theChum Salmon Savings Area.

(2) If the Regional Director determinesthat 42,000 non-chinook salmon havebeen caught by vessels using trawl gearduring August 15 through October 14 inthe CVOA defined under § 679.22(a)(5),NMFS will prohibit fishing with trawlgear for the remainder of the periodSeptember 1 through October 14 in theChum Salmon Savings Area as definedin paragraph (e)(7)(vi)(B) of this section.

(B) Chum Salmon Savings Area of theCVOA. The Chum Salmon Savings Areais an area defined by straight linesconnecting the following coordinates inthe order listed:56°00′ N. lat., 167°00′ W. long.56°00′ N. lat., 165°00′ W. long.55°30′ N. lat., 165°00′ W. long.55°30′ N. lat., 164°00′ W. long.55°00′ N. lat., 164°00′ W. long.55°00′ N. lat., 167°00′ W. long.56°00′ N. lat., 167°00′ W. long.

(vii) Chinook salmon—(A) Closure.When the Regional Director determinesthat 48,000 chinook salmon have beencaught by vessels using trawl gear in theBSAI during the time period fromJanuary 1 through April 15, NMFS willprohibit fishing with trawl gear for theremainder of that period within theChinook Salmon Savings Area definedin paragraph (e)(7)(vii)(B) of thissection.

(B) Chinook Salmon Savings Area.The Chinook Salmon Savings Area isdefined in the following three areas ofthe BSAI:

(1) The area defined by straight linesconnecting the following coordinates inthe order listed:56°30′ N. lat., 171°00′ W. long.56°30′ N. lat., 169°00′ W. long.56°00′ N. lat., 169°00′ W. long.56°00′ N. lat., 171°00′ W. long.56°30′ N. lat., 171°00′ W. long.

(2) The area defined by straight linesconnecting the following coordinates inthe order listed:54°00′ N. lat., 171°00′ W. long.54°00′ N. lat., 170°00′ W. long.53°00′ N. lat., 170°00′ W. long.53°00′ N. lat., 171°00′ W. long.54°00′ N. lat., 171°00′ W. long.

(3) The area defined by straight linesconnecting the following coordinates inthe order listed:56°00′ N. lat., 165°00′ W. long.56°00′ N. lat., 164°00′ W. long.55°00′ N. lat., 164°00′ W. long.55°00′ N. lat., 165°00′ W. long.54°30′ N. lat., 165°00′ W. long.54°30′ N. lat., 167°00′ W. long.55°00′ N. lat., 167°00′ W. long.55°00′ N. lat., 166°00′ W. long.55°30′ N. lat., 166°00′ W. long.55°30′ N. lat., 165°00′ W. long.56°00′ N. lat., 165°00′ W. long.

(8) Nontrawl halibut closures. If,during the fishing year, the RegionalDirector determines that U.S. fishingvessels participating in any of thenontrawl fishery categories listed underparagraph (e)(4) of this section willcatch the halibut bycatch allowance, orseasonal apportionment thereof,specified for that fishery category underparagraph (e)(4)(ii) of this section,NMFS will publish in the FederalRegister the closure of the entire BSAIto directed fishing with the relevant geartype for each species and/or speciesgroup in that fishery category.

(f) Program to reduce prohibitedspecies bycatch rates—(1)Requirements—(i) General. A vessel’sbycatch rate, as calculated at the end ofa fishing month under paragraph(f)(8)(ii) of this section, whileparticipating in the fisheries identifiedin paragraph (f)(2) of this section, shallnot exceed bycatch rate standardsreferenced in paragraph (f)(3) of thissection.

(ii) Applicability. A vessel is subjectto this paragraph (f) if the groundfishcatch of the vessel is observed on boardthe vessel, or on board a mothershipthat receives unsorted codends from thevessel, at any time during a weeklyreporting period, and the vessel isassigned to one of the fisheries definedunder paragraph (f)(2) of this section.

(2) Assigned fisheries. During anyweekly reporting period, a vessel’sobserved catch composition ofgroundfish species for which a TAC hasbeen specified in the GOA or BSAI willdetermine the fishery to which thevessel is assigned, as follows:

(i) GOA midwater pollock fisherymeans fishing with trawl gear in theGOA that results in an observed catchof groundfish from the GOA during anyweekly reporting period that iscomposed of 95 percent or more ofpollock when the directed fishery forpollock by vessels using trawl gear otherthan pelagic trawl gear is closed.

(ii) GOA other trawl fishery meansfishing with trawl gear in the GOA thatresults in an observed catch ofgroundfish from the GOA during any


weekly reporting period that does notqualify as a midwater pollock fisheryunder paragraph (f)(2)(i) of this section.

(iii) BSAI midwater pollock fisherymeans fishing with trawl gear in theBSAI that results in an observed catchof groundfish from the BSAI during anyweekly reporting period that iscomposed of 95 percent or more ofpollock when the directed fishery forpollock by vessels using trawl gear otherthan pelagic trawl gear is closed.

(iv) BSAI yellowfin sole fishery meansfishing with trawl gear in the BSAI thatresults in a retained aggregate amount ofrock sole, ‘‘other flatfish,’’ and yellowfinsole caught in the BSAI during anyweekly reporting period that is greaterthan the retained amount of any otherfishery under this paragraph (f)(2) andresults in a retained amount of BSAIyellowfin sole that is 70 percent or moreof the retained aggregate amount ofBSAI rock sole, ‘‘other flatfish,’’ andyellowfin sole.

(v) BSAI bottom pollock fishery meansfishing with trawl gear in the BSAI thatresults in a retained amount of pollockcaught in the BSAI during any weeklyreporting period other than pollockharvested in the midwater pollockfishery in the BSAI defined in paragraph(f)(2)(iii) of this section, that is greaterthan the retained amount of any otherfishery defined under this paragraph(f)(2).

(vi) BSAI other trawl fishery meansfishing with trawl gear in the BSAI thatresults in a retained amount ofgroundfish caught in the BSAI duringany weekly reporting period that doesnot qualify as a midwater pollock,yellowfin sole, or bottom pollockfishery.

(3) Notification of bycatch ratestandards—(i) Prior notice. Prior toJanuary 1 and July 1 of each year, theRegional Director will publishnotification in the Federal Registerspecifying bycatch rate standards for thefisheries identified in this paragraph (f)that will be in effect for specifiedseasons within the 6-month periods ofJanuary 1 through June 30 and July 1through December 31, respectively.

(ii) Adjustments. The RegionalDirector may adjust bycatch ratestandards as frequently as he or sheconsiders appropriate.

(4) Factors upon which bycatch ratestandards are based. Bycatch ratestandards for a fishery and adjustmentsto such standards will be based on thefollowing information andconsiderations:

(i) Previous years’ average observedbycatch rates for that fishery.

(ii) Immediately preceding season’saverage observed bycatch rates for thatfishery.

(iii) The bycatch allowances andassociated fishery closures specifiedunder paragraphs (d) and (e) of thissection.

(iv) Anticipated groundfish harvestsfor that fishery.

(v) Anticipated seasonal distributionof fishing effort for groundfish.

(vi) Other information and criteriadeemed relevant by the RegionalDirector.

(5) Public comment—(i) Priorcomment. Bycatch rate standards oradjustments to such standards specifiedunder this section will not take effectuntil NMFS has published the proposedbycatch rate standards or adjustments tosuch standards in the Federal Registerfor public comment for a period of 30days, unless NMFS finds for good causethat such notification and publiccomment are impracticable,unnecessary, or contrary to the publicinterest.

(ii) Comment after notification. IfNMFS decides, for good cause, thatbycatch rate standards or adjustments tosuch standards are to be made effectivewithout affording a prior opportunityfor public comment, public commentson the necessity for, and extent of,bycatch rate standards or adjustments tosuch standards will be received by theRegional Director for a period of 15 daysafter the effective date of notification.

(iii) Public inspection of data. Duringany such 15-day period, the RegionalDirector will make available for publicinspection, during business hours, theaggregate data upon which bycatch ratestandards or adjustments to suchstandards were based.

(iv) Written comments. If writtencomments are received during any such15-day period that oppose or protestbycatch rate standards or adjustments tosuch standards issued under thissection, NMFS will reconsider thenecessity for the bycatch standards oradjustment to such standards and, assoon as practicable after thatreconsideration, will either—

(A) Publish in the Federal Registernotification of continued effectivenessof bycatch rate standards or adjustmentto such standards, responding tocomments received; or

(B) Modify or rescind bycatch ratestandards or adjustment to suchstandards.

(6) Notification of adjustment tobycatch rate standards. Notification ofadjustments to bycatch rate standardsissued by NMFS under paragraph (f)(3)of this section will include thefollowing information:

(i) A description of the adjustment toone or more bycatch rate standardsspecified for a fishery.

(ii) The reasons for the adjustmentand the determinations required underparagraph (f)(4) of this section.

(iii) The effective date and anytermination date of such adjustment. Ifno termination date is specified, theadjustment will remain in effect untilrevised by subsequent notification inthe Federal Register.

(7) Vessel bycatch rates—(i) Observeddata. For purposes of this section,observed data collected for each haulsampled during a day will include:Date; Federal reporting area where trawlgear for the haul was retrieved; totalround weight of groundfish, in metrictons in the portion of the haul sampledby groundfish species or species groupfor which a TAC has been specifiedunder § 679.20; and total round weightof halibut, in kilograms, in the portionof the haul sampled. Observer data fromthe BSAI trawl fisheries also willinclude the total number of red kingcrab in the portion of the haul sampled.

(ii) Observer sampling procedures. (A)NMFS will randomly predetermine thehauls to be sampled by an observerduring the time the observer is on avessel.

(B) An observer will take samples atrandom from throughout the haul, andtake samples prior to sorting of the haulby the crew for processing or discardingof the catch.

(C) An observer will sample aminimum of 100 kg of fish from eachhaul sampled.

(D) While an observer is at sea, theobserver will report to NMFS, on at leasta weekly basis, the data for sampledhauls.

(E) Upon request, the observer willallow the vessel operator to see allobserved data set forth under paragraph(f)(7)(i) of this section that the observersubmits to NMFS.

(8) Determination of individual vesselbycatch rates. For each vessel, theRegional Director will aggregate fromsampled hauls the observed datacollected during a weekly reportingperiod on the total round weight, inmetric tons, of each groundfish speciesor species group for which a TAC hasbeen specified under § 679.20 todetermine to which of the fisheriesdescribed in paragraph (f)(8)(i) of thissection the vessel should be assigned forthat week.

(i) Vessel assignment to fisheries—(A)BSAI catcher/processors. Catcher/proc-essors will be assigned to fisheries at theend of each weekly reporting periodbased on the round-weight equivalent ofthe retained groundfish catch


composition reported on a vessel’s WPRthat is submitted to the RegionalDirector under § 679.5.

(B) BSAI catcher vessel delivery inFederal waters. Catcher vessels thatdeliver to motherships in Federal watersduring a weekly reporting period will beassigned to fisheries based on theround-weight equivalent of the retainedgroundfish catch composition reportedon the WPR submitted to the RegionalDirector for that week by the mothershipunder § 679.5.

(C) BSAI catcher vessel delivery inAlaska State waters. Catcher vesselsdelivering groundfish to shoresideprocessors or to motherships in AlaskaState waters during a weekly reportingperiod will be assigned to fisheriesbased on the round-weight equivalent ofthe groundfish retained by the processorand reported on an ADF&G fish ticket asrequired under Alaska State regulationsat A.S. 16.05.690.

(ii) Calculation of monthly bycatchrates—(A) Assigned fishery. At the endof each fishing month during which anobserver sampled at least 50 percent ofa vessel’s total number of trawl haulsretrieved while an observer was aboard(as recorded in the vessel’s DFL), theRegional Director will calculate thevessel’s bycatch rate based on observeddata for each fishery to which the vesselwas assigned for any weekly reportingperiod during that fishing month.

(B) Verified observer data. Onlyobserved data that have been checked,verified, and analyzed by NMFS will beused to calculate vessel bycatch rates forpurposes of this section.

(C) Calculation. The bycatch rate of avessel for a fishery defined underparagraph (f)(2) of this section during afishing month is a ratio of halibut togroundfish that is calculated by usingthe total round weight of halibut (inkilograms), or total number of red kingcrab, in samples during all weeklyreporting periods in which the vesselwas assigned to that fishery and thetotal round weight of the groundfish (inmetric tons) for which a TAC has beenspecified under § 679.20 in samplestaken during all such periods.

(9) Compliance with bycatch ratestandards. A vessel has exceeded abycatch rate standard for a fishery if thevessel’s bycatch rate for a fishing month,as calculated under paragraph (f)(8)(ii)of this section exceeds the bycatch ratestandard established for that fisheryunder paragraph (f)(2) of this section.

§ 679.22 Closures.(a) BSAI—(1) Zone 1 (512) closures to

trawl gear—(i) Year-round closures. Nofishing with trawl gear is allowed at anytime in reporting area 512 of Zone 1 in

the Bering Sea subarea (see Figure 1 ofthis part), except as described inparagraph (a)(1)(ii) of this section.

(ii) Partial closures (Port Moller).NMFS may allow fishing for Pacific codwith trawl gear in that portion ofreporting area 512 that lies south of astraight line connecting the coordinates56°43′ N. lat., 160°00′ W. long., and56°00′ N. lat., 162°00′ W. long.,provided that such fishing is incompliance with a scientific datacollection and monitoring program,established by the Regional Directorafter consultation with the Council,designed to provide data useful in themanagement of the trawl fishery, thehalibut, Tanner crab and king crabfisheries, and to prevent overfishing ofthe halibut, Tanner and king crab stocksin the area.

(2) Zone 1 (516) closures to trawlgear—(i) Seasonal closures. No fishingwith trawl gear is allowed at any timein reporting area 516 of Zone 1 in theBering Sea Subarea (see Figure 1 of thispart) during the period March 15through June 15, except as described inparagraph (a)(2)(ii) of this section.

(ii) Partial closures (Port Moller).During the period March 15 throughJune 15, NMFS may allow fishing forPacific cod with trawl gear in thatportion of reporting area 516 that liessouth of the line connecting 56°00′ N.lat., 162° W. long., and 55°38′ N. lat.,163°00′ W. long., provided that suchfishing is in compliance with ascientific data collection and monitoringprogram, established by the RegionalDirector after consultation with theCouncil, designed to provide data usefulin the management of the trawl fishery,halibut, Tanner crab and king crabfisheries, and to prevent overfishing ofthe halibut, Tanner crab, and king crabstocks in the area.

(3) Red king crab closures. If theRegional Director determines thatvessels fishing with trawl gear inreporting areas 512 and 516 will catchthe PSC limit of 12,000 red king crabs,he or she will immediately prohibit allfishing with trawl gear in those areas bynotification in the Federal Register.

(4) Walrus protection areas. FromApril 1 through September 30 of anyfishing year, vessels with a Federalfisheries permit under § 679.4 areprohibited in that part of the Bering Seasubarea between 3 and 12 nm seawardof the baseline used to measure theterritorial sea around islands namedRound Island and The Twins, as shownon National Ocean Survey Chart 16315,and around Cape Pierce (58°33′ N. lat.,161°43′ W. long.).

(5) Catcher Vessel Operational Area(CVOA) (applicable through December

31, 1998)—(i) Inshore component. TheCVOA is established annually from thebeginning of the second season ofdirected fishing for pollock defined at§ 679.23(e) until either the date thatNMFS determines that the pollock quotafor processing by the inshorecomponent has been harvested, orDecember 31, whichever is earlier.

(ii) Offshore component. (A) Vesselsin the offshore component areprohibited from conducting directedfishing for pollock in the CVOA unlessthey are operating under a CDPapproved by NMFS.

(B) Vessels in the offshore componentthat do not catch groundfish but doprocess pollock caught in a directedfishery for pollock may operate withinthe CVOA to process pollock.

(iii) Other than pollock. Vessels thatcatch or process groundfish in directedfisheries for species other than pollockmay operate within the CVOA.

(6) Pribilof Island Area HabitatConservation Zone. Trawling isprohibited at all times in the areabounded by a straight line connectingthe following pairs of coordinates in thefollowing order:57°57.0′ N. lat., 168°30.0′ W. long.56°55.2′ N. lat., 168°30.0′ W. long.56°48.0′ N. lat., 169°2.4′ W. long.56°34.2′ N. lat., 169°2.4′ W. long.56°30.0′ N. lat., 169°25.2′ W. long.56°30.0′ N. lat., 169°44.1′ W. long.56°55.8′ N. lat., 170°21.6′ W. long.57°13.8′ N. lat., 171°0.0′ W. long.57°57.0′ N. lat., 171°0.0′ W. long.57°57.0′ N. lat., 168°30.0′ W. long.

(7) Steller sea lion protection areas,Bering Sea Subarea and BogoslofDistrict—(i) Year-round closures.Trawling is prohibited within 10 nm(18.5 km) of each of the eight Steller sealion rookeries shown in Table 4a of thispart.

(ii) Seasonal closures. During January1 through April 15, or a date earlier thanApril 15, if adjusted under § 679.20,trawling is prohibited within 20 nm (37km) of each of the six Steller sea lionrookeries shown in Table 4b of this part.

(8) Steller sea lion protection areas,Aleutian Islands Subarea—(i) Year-round closures. Trawling is prohibitedwithin 10 nm (18.4 km) of each of the19 Steller sea lion rookeries shown inTable 5a of this part.

(ii) Seasonal closures. During January1 through April 15, or a date earlier thanApril 15, if adjusted under § 679.20,trawling is prohibited within 20 nm (37km) of each of the two Steller sea lionrookeries shown in Table 5b of this part.

(b) GOA—(1) Kodiak Island, trawlsother than pelagic trawls —(i) Type Iclosures. No person may trawl in watersof the EEZ within the vicinity of Kodiak


Island, as shown in Figure 5 of this partas Type I areas, from a vessel having anytrawl other than a pelagic trawl eitherattached or on board.

(ii) Type II closures. From February 15to June 15, no person may trawl inwaters of the EEZ within the vicinity ofKodiak Island, as shown in Figure 5 ofthis part as Type II areas, from a vesselhaving any trawl other than a pelagictrawl either attached or on board.

(iii) Type III closures. Type III areasare open to any trawl other than apelagic trawl gear year round.

(2) Steller sea lion protection areas—(i) Year-round closures. Trawling isprohibited in the GOA within 10 nm ofthe 14 Steller sea lion rookeriesdesignated in Table 6a of this part.

(ii) Seasonal closures. During January1 through April 15, or a date earlier thanApril 15, if adjusted under § 679.20,trawling is prohibited in the GOAwithin 20 nm of each of the three Stellersea lion rookeries presented in Table 6bof this part.

(c) Directed fishing closures. See§ 679.20(d).

(d) Groundfish as prohibited speciesclosures. See § 679.20(d).

(e) Overfishing closures. See§ 679.20(d).

(f) Prohibited species closures. See§ 679.21.

§ 679.23 Seasons.(a) General. Fishing for groundfish in

the GOA and BSAI is authorized from0001 hours, A.l.t., January 1, through2400 hours, A.l.t., December 31, subjectto the other provisions of this part,except as provided in paragraph (c) ofthis section.

(b) Time of groundfish openings andclosures. The time of all openings andclosures of fishing seasons, other thanthe beginning and end of the calendarfishing year, is 1200 hours, A.l.t.

(c) GOA and BSAI trawl groundfish.Notwithstanding other provisions of thispart, fishing for groundfish with trawlgear in the GOA and BSAI is prohibitedfrom 0001 hours, A.l.t., January 1,through 1200 hours, A.l.t., January 20.

(d) GOA seasons—(1) Directed fishingfor trawl rockfish. Directed fishing forrockfish of the genera Sebastes andSebastolobus with trawl gear isauthorized from 1200 hours, A.l.t., onthe first day of the third quarterlyreporting period of a fishing yearthrough 2400 hours, A.l.t., December 31,subject to other provisions of this part.

(2) Directed fishing for pollock.Subject to other provisions of this part,directed fishing for pollock in theWestern and Central Regulatory Areas isauthorized only during the threeseasons:

(i) From 0001 hours, A.l.t., January 1,through 1200 hours, A.l.t., April 1;

(ii) From 1200 hours, A.l.t., June 1,through 1200 hours, A.l.t., July 1; and

(iii) From 1200 hours, A.l.t.,September 1, through 2400 hours, A.l.t.,December 31.

(e) BSAI seasons—(1) Directed fishingfor arrowtooth flounder and Greenlandturbot. Directed fishing for arrowtoothflounder and Greenland turbot in theBSAI is authorized from 1200 hours,A.l.t., May 1, through 2400 hours, A.l.t.,December 31, subject to the otherprovisions of this part.

(2) Directed fishing for pollock.Subject to other provisions of this part,and except as provided in paragraph(e)(3) of this section, directed fishing forpollock is authorized from 0001 hours,A.l.t., January 1, through 1200 hours,A.l.t., April 15, and from 1200 hours,A.l.t., August 15, through the end of thefishing year.

(3) Offshore pollock (Applicablethrough December 31, 1998)—

(i) Subject to other provisions of thispart and except as provided inparagraph (e)(3)(ii) of this section,directed fishing for pollock by theoffshore component, defined at § 679.2,or by vessels delivering pollock to theoffshore component, is authorized from1200 hours, A.l.t., January 26, through1200 hours, A.l.t., April 15, and from1200 hours, A.l.t., August 15, throughthe end of the fishing year.

(ii) Directed fishing for pollock by theoffshore component or vesselsdelivering pollock to the offshorecomponent is prohibited through 1200hours, A.l.t., February 5, for thosevessels that are used to fish prior to1200 hours, A.l.t., January 26, forgroundfish in the BSAI, groundfish inthe GOA, as defined at § 679.2, or kingor Tanner crab in the BSAI, as definedat § 679.2. This paragraph (e)(3)(ii) doesnot apply to vessels used to fishexclusively in a directed fishery forpollock prior to 1200 hours, A.l.t.,January 26, under the Western AlaskaCDQ Program pursuant to subpart C ofthis part.

(4) CDQ fishing seasons. (i) CDQhalibut. Fishing for CDQ halibut withfixed gear under an approved CDQallocation may begin on the effectivedate of the allocation, except that CDQfishing may occur only during thefishing periods specified in part 301 ofthis title.

(ii) CDQ sablefish. Fishing for CDQsablefish with fixed gear under anapproved CDQ allocation may begin onthe effective date of the allocation,except that CDQ directed fishing mayoccur only during the IFQ fishing

season specified in paragraph (g)(1) ofthis section.

(iii) CDQ pollock. Directed fishing forpollock under the Western Alaska CDQProgram pursuant to subpart C of thispart is authorized from 0001 hours,A.l.t., January 1, through the end of thefishing year.

(f) IFQ halibut. The fishing period(s)for IFQ halibut are established by theIPHC and are specified in part 301 ofthis title. Catches of halibut by fixedgear at times other than during thespecified fishing periods must be treatedas prohibited species as prescribed at§ 679.21(b).

(g) IFQ sablefish. (1) Directed fishingfor sablefish using fixed gear in any IFQregulatory area may be conducted in anyfishing year during the period specifiedby the Regional Director and announcedby publication in the Federal Register.The Regional Director will take intoaccount the opening date of the halibutseason when determining the openingdate for sablefish for the purposes ofreducing bycatch and regulatorydiscards between the two fisheries.

(2) Catches of sablefish by fixed gearduring other periods may be retained upto the amounts provided for by thedirected fishing standards specified at§ 679.20 when made by an individualaboard the vessel who has a valid IFQcard and unused IFQ in the account onwhich the card was issued.

(3) Catches of sablefish in excess ofthe maximum retainable bycatchamounts and catches made without IFQmust be treated in the same manner asprohibited species.

§ 679.24 Gear limitations.Regulations pertaining to vessel and

gear markings are set forth in thissection and as prescribed in part 301 ofthis title.

(a) Marking of gear—longline markerbuoys. (1) All longline marker buoyscarried on board or used by any vesselregulated under this part shall bemarked with the following:

(i) The vessel’s name; and(ii) The vessel’s Federal fisheries

permit number; or(iii) The vessel’s registration number.(2) Markings shall be in characters at

least 4 inches (10.16 cm) in height and0.5 inch (1.27 cm) in width in acontrasting color visible above the waterline and shall be maintained so themarkings are clearly visible.

(b) Gear restrictions—(1) Pots—(i)Biodegradable panel. Each pot used tofish for groundfish must be equippedwith a biodegradable panel at least 18inches (45.72 cm) in length that isparallel to, and within 6 inches (15.24cm) of, the bottom of the pot, and that


is sewn up with untreated cotton threadof no larger size than No. 30.

(ii) Tunnel opening. Each pot used tofish for groundfish must be equippedwith rigid tunnel openings that are nowider than 9 inches (22.86 cm) and nohigher than 9 inches (22.86 cm), or softtunnel openings with dimensions thatare no wider than 9 inches (22.86 cm).

(iii) Longline pot gear. Any personusing longline pot gear must treat anycatch of groundfish as a prohibitedspecies as provided by § 679.21(b),except in the Aleutian Islands subarea.

(2) Net-sounder device. Each persontrawling in any GOA area limited topelagic trawling under § 679.22 mustmaintain on that trawl a properlyfunctioning, recording net-sounderdevice, and must retain all net-sounderrecordings on board the fishing vesselduring the fishing year.

(3) Trawl footrope. No person trawlingin any GOA area limited to pelagictrawling under § 679.22 may allow thefootrope of that trawl to be in contactwith the seabed for more than 10percent of the period of any tow, asindicated by the net-sounder device.

(c) Gear restrictions for sablefish—(1)Gear allocations. Gear allocations ofsablefish TAC are set out under§ 679.20.

(2) GOA Eastern Area—(i) General.(A) No person may use any gear otherthan hook-and-line and trawl gear whenfishing for sablefish in the GOA EasternArea.

(B) No person may use any gear otherthan hook-and-line gear to engage indirected fishing for sablefish.

(ii) Sablefish as prohibited species—(A) Trawl gear. When operators ofvessels using trawl gear have harvested5 percent of the TAC for sablefish in theGOA Eastern Regulatory Area duringany year, further trawl catches ofsablefish must be treated as prohibitedspecies as provided by § 679.21(b).

(B) Other gear. Operators of vesselsusing gear types other than thosespecified in paragraph (c)(2)(i) of thissection in the GOA Eastern RegulatoryArea must treat any catch of sablefish asa prohibited species as provided by§ 679.21(b).

(3) GOA Central and Western Areas;sablefish as prohibited species.Operators of vessels using gear typesother than hook-and-line and trawl gearin the GOA Central and WesternRegulatory Areas must treat any catch ofsablefish in these areas as a prohibitedspecies as provided by § 679.21(b).

(4) BSAI. Operators of vessels usinggear types other than hook-and-line, pot,or trawl gear in the BSAI must treatsablefish as a prohibited species asprovided by § 679.21(b).

(d) Trawl gear test areas—(1) General.For purposes of allowing pelagic andnonpelagic trawl fishermen to test trawlfishing gear, NMFS may establish, afterconsulting with the Council, locationsfor the testing of trawl fishing gear inareas that would otherwise be closed totrawling.

(2) Trawl gear testing. For thepurposes of this section, ‘‘trawl geartesting’’ means deploying trawl gear inareas designated in this paragraph (d)under the following conditions.

(i) The codend shall be unzippedwhile trawl gear testing.

(ii) Groundfish shall not be possessedon board when trawl gear testing.

(iii) Observers aboard vessels duringthe time spent trawl gear testing shallnot fulfill observer requirements atsubpart E of this part.

(3) Criteria. The establishment of testareas must comply with the followingcriteria:

(i) Depth and bottom type must besuitable for testing the particular geartype.

(ii) The areas must be outside Statewaters.

(iii) The areas must be in locations notnormally closed to fishing with that geartype.

(iv) The areas must be in locationsthat are not usually fished heavily bythat gear type.

(v) The areas must not be within adesignated Steller sea lion protectionarea at any time of the year.

(4) Test areas. Trawl gear testing isallowed in the following areas (Figure 7of this part) bounded by straight linesconnecting the coordinates in the orderlisted, at all times:

(i) Kodiak Test Area.57°37′ N. lat., 152°02′ W. long.57°37′ N. lat., 151°25′ W. long.57°23′ N. lat., 151°25′ W. long.57°23′ N. lat., 152°02′ W. long.57°37′ N. lat., 152°02′ W. long.

(ii) Sand Point Test Area.54°50′ N. lat., 161°00′ W. long.54°50′ N. lat., 160°30′ W. long.54°35′ N. lat., 160°30′ W. long.54°35′ N. lat., 161°00′ W. long.54°50′ N. lat., 161°00′ W. long.

(iii) Bering Sea Test Area.55°00′ N. lat., 167°00′ W. long.55°00′ N. lat., 166°00′ W. long.54°40′ N. lat., 166°00′ W. long.54°40′ N. lat., 167°00′ W. long.55°00′ N. lat., 167°00′ W. long.

§ 679.25 Inseason adjustments.(a) General—(1) Types of adjustments.

Inseason adjustments issued by NMFSunder this section include:

(i) Closure, extension, or opening of aseason in all or part of a managementarea.

(ii) Modification of the allowable gearto be used in all or part of amanagement area.

(iii) Adjustment of TAC and PSClimits.

(iv) Interim closures of statisticalareas, or portions thereof, to directedfishing for specified groundfish species.

(2) Determinations. (i) Any inseasonadjustment taken under paragraphs(a)(1)(i), (ii), or (iii) of this section mustbe based on a determination that suchadjustments are necessary to prevent:

(A) Overfishing of any species orstock of fish or shellfish;

(B) Harvest of a TAC for anygroundfish species or the taking of aPSC limit for any prohibited speciesthat, on the basis of the best availablescientific information, is found byNMFS to be incorrectly specified; or

(C) Underharvest of a TAC or gearshare of a TAC for any groundfishspecies when catch informationindicates that the TAC or gear share hasnot been reached.

(ii) Any inseason closure of astatistical area, or portion thereof, underparagraph (a)(1)(iv) of this section, mustbe based upon a determination that suchclosures are necessary to prevent:

(A) A continuation of relatively highbycatch rates of prohibited speciesspecified under § 679.21(b) in astatistical area, or portion thereof;

(B) Take of an excessive share of PSClimits or bycatch allowances establishedunder § 679.21(d) and (e) by vesselsfishing in a statistical area, or portionthereof;

(C) Closure of one or more directedfisheries for groundfish due to excessiveprohibited species bycatch ratesoccurring in a specified fisheryoperating within all or part of astatistical area; or

(D) Premature attainment ofestablished PSC limits or bycatchallowances and associated loss ofopportunity to harvest the groundfishOY.

(iii) The selection of the appropriateinseason management adjustmentsunder paragraphs (a)(1)(i) and (ii) of thissection must be from the followingauthorized management measures andmust be based upon a determination bythe Regional Director that themanagement adjustment selected is theleast restrictive necessary to achieve thepurpose of the adjustment:

(A) Any gear modification that wouldprotect the species in need ofconservation, but that would still allowother fisheries to continue;

(B) An inseason adjustment thatwould allow other fisheries to continuein noncritical areas and time periods;


(C) Closure of a management area andseason to all groundfish fishing; or

(D) Reopening of a management areaor season to achieve the TAC or gearshare of a TAC for any of the targetspecies or the ‘‘other species category.

(iv) The adjustment of a TAC or PSClimit for any species under paragraph(a)(1)(iii) of this section must be basedupon a determination by the RegionalDirector that the adjustment is basedupon the best available scientificinformation concerning the biologicalstock status of the species in questionand that the currently specified TAC orPSC limit is incorrect. Any adjustmentto a TAC or PSC limit must bereasonably related to the change inbiological stock status.

(v) The inseason closure of astatistical area, or a portion thereof,under paragraph (a)(1)(iv) of this sectionshall not extend beyond a 60-day periodunless information considered underparagraph (b) of this section warrants anextended closure period. Any closure ofa statistical area, or portion thereof, toreduce prohibited species bycatch ratesrequires a determination by the RegionalDirector that the closure is based on thebest available scientific informationconcerning the seasonal distributionand abundance of prohibited speciesand bycatch rates of prohibited speciesassociated with various groundfishfisheries.

(b) Data. All information relevant toone or more of the following factors maybe considered in making thedeterminations required underparagraphs (a)(2)(i) and (ii) of thissection:

(1) The effect of overall fishing effortwithin a statistical area;

(2) Catch per unit of effort and rate ofharvest;

(3) Relative distribution andabundance of stocks of groundfishspecies and prohibited species withinall or part of a statistical area;

(4) Condition of a stock in all or partof a statistical area;

(5) Inseason prohibited speciesbycatch rates observed in groundfishfisheries in all or part of a statisticalarea;

(6) Historical prohibited speciesbycatch rates observed in groundfishfisheries in all or part of a statisticalarea;

(7) Economic impacts on fishingbusinesses affected; or

(8) Any other factor relevant to theconservation and management ofgroundfish species or any incidentallycaught species that are designated asprohibited species or for which a PSClimit has been specified.

(c) Procedure. (1) No inseasonadjustment issued under this sectionwill take effect until—

(i) NMFS has filed the proposedadjustment for public inspection withthe Office of the Federal Register; and

(ii) NMFS has published the proposedadjustment in the Federal Register forpublic comment for a period of 30 daysbefore it is made final, unless NMFSfinds for good cause that suchnotification and public procedure isimpracticable, unnecessary, or contraryto the public interest.

(2) If NMFS decides, for good cause,that an adjustment is to be madewithout affording a prior opportunityfor public comment, public commentson the necessity for, and extent of, theadjustment will be received by theRegional Director for a period of 15 daysafter the effective date of notification.

(3) During any such 15-day period,the Regional Director will makeavailable for public inspection, duringbusiness hours, the aggregate data uponwhich an adjustment was based.

(4) If written comments are receivedduring any such 15-day period thatoppose or protest an inseasonadjustment issued under this section,NMFS will reconsider the necessity forthe adjustment and, as soon aspracticable after that reconsideration,will either—

(i) Publish in the Federal Registernotification of continued effectivenessof the adjustment, responding tocomments received; or

(ii) Modify or rescind the adjustment.(5) Notifications of inseason

adjustments issued by NMFS underparagraph (a) of this section will includethe following information:

(i) A description of the managementadjustment.

(ii) Reasons for the adjustment andthe determinations required underparagraph (a)(2)(i) of this section.

(iii) The effective date and anytermination date of such adjustment. Ifno termination date is specified, theadjustment will terminate on the lastday of the fishing year.

Subpart C—Western AlaskaCommunity Development QuotaProgram

§ 679.30 General CDQ regulations.(a) State of Alaska CDQ

responsibilities—(1) Compliance. TheState of Alaska must be able to ensureimplementation of the CDPs onceapproved by NMFS. To accomplish this,the State must establish a monitoringsystem that defines what constitutescompliance and non-compliance.

(2) Public hearings. Prior to grantingapproval of a CDP recommended by the

Governor, NMFS shall find that theGovernor developed and approved theCDP after conducting at least one publichearing, at an appropriate time andlocation in the geographical areaconcerned, so as to allow all interestedpersons an opportunity to be heard.Hearing(s) on the CDP do not have to beheld on the actual documents submittedto the Governor under paragraph (b) ofthis section, but must cover thesubstance and content of the proposedCDP in such a manner that the generalpublic, and particularly the affectedparties, have a reasonable opportunityto understand the impact of the CDP.The Governor must provide reasonablepublic notification of hearing date(s)and location(s). The Governor mustmake available for public review, at thetime of public notification of thehearing, all state materials pertinent tothe hearing(s) and must include atranscript or summary of the publichearing(s) with the Governor’srecommendations to NMFS inaccordance with this subpart. At thesame time this transcript is submitted toNMFS, it must be made available, uponrequest, to the public. The publichearing held by the Governor will serveas the public hearing for purposes ofNMFS review under paragraph (c) ofthis section.

(3) Council consultation. Beforesending his/her recommendations forapproval of CDPs to NMFS, theGovernor must consult with theCouncil, and make available, uponrequest, CDPs that are not part of theGovernor’s recommendations.

(b) CDP application. The Governor,after consultation with the Council,shall include in his or her writtenfindings to NMFS recommendingapproval of a CDP, that the CDP meetsthe requirements of these regulations,the Magnuson Act, the Alaska CoastalManagement Program, and otherapplicable law. At a minimum, thesubmission must discuss thedetermination of a community aseligible; information regardingcommunity development, includinggoals and objectives; businessinformation; and a statement of themanaging organization’s qualifications.For purposes of this section, an eligiblecommunity includes any community orgroup of communities that meets thecriteria set out in paragraph (d) of thissection. Applications for a CDP mustinclude the following information:

(1) Community developmentinformation. Community developmentinformation includes:

(i) Project description. A descriptionof the CDP projects that are proposed tobe funded by the CDQ and how the CDP


projects satisfy the goals and purpose ofthe CDQ program.

(ii) Allocation request. The allocationof each CDQ species requested for eachsubarea or district of the BSAI, asdefined at § 679.2 and for each IPHCregulatory area, as prescribed in part301 of this title.

(iii) Project schedule. The length oftime the CDQ will be necessary toachieve the goals and objectives of theCDP, including a project schedule withmeasurable milestones for determiningprogress.

(iv) Employment. The number ofindividuals to be employed under theCDP, the nature of the work provided,the number of employee-hoursanticipated per year, and the availabilityof labor from the applicant’scommunity(ies).

(v) Vocational and educationalprograms. Description of the vocationaland educational training programs thata CDQ allocation under the CDP wouldgenerate.

(vi) Existing infrastructure.Description of existing fishery-relatedinfrastructure and how the CDP woulduse or enhance existing harvesting orprocessing capabilities, supportfacilities, and human resources.

(vii) New capital. Description of howthe CDP would generate new capital orequity for the applicant’s fishing and/orprocessing operations.

(viii) Transition plan. A plan andschedule for transition from reliance onthe CDQ allocation under the CDP toself-sufficiency in fisheries.

(ix) Short- and long-term benefits. Adescription of short- and long-termbenefits to the applicant from the CDQallocation.

(2) Business information. Businessinformation includes:

(i) Method of harvest. Description ofthe intended method of harvesting theCDQ allocation, including the types ofproducts to be produced; amounts to beharvested; when, where, and howharvesting is to be conducted; andnames and permit numbers of thevessels that will be used to harvest aCDQ allocation.

(ii) Target market and competition.Description of the target market for saleof products and competition existing orknown to be developing in the targetmarket.

(iii) Business relationships.Description of business relationshipsbetween all business partners or withother business interests, if any,including arrangements formanagement, audit control, and a planto prevent quota overages. For purposesof this section, business partners means

all individuals who have a financialinterest in the CDQ project.

(iv) Profit sharing. Description ofprofit sharing arrangements.

(v) Funding. Description of allfunding and financing plans.

(vi) Partnerships. Description of jointventure arrangements, loans, or otherpartnership arrangements, including thedistribution of proceeds among theparties.

(vii) General budget for implementingthe CDP. A general budget is a generalaccount of estimated income andexpenditures for each CDP project thatis described in paragraph (b)(1)(i) of thissection for the total number of calendaryears that the CDP is in effect.

(viii) Capital equipment. A list of allcapital equipment.

(ix) Cash flow. A cash flow and break-even analysis.

(x) Income statement. A balance sheetand income statement, including profit,loss, and return on investment for theproposed CDP.

(3) Statement of managingorganization’s qualifications. Statementof the managing organization’squalifications includes:

(i) Structure and personnel.Information regarding its managementstructure and key personnel, such asresumes and references; including thename, address, fax number, andtelephone number of the managingorganization’s representative; and

(ii) Management qualifications. Adescription of how the managingorganization is qualified to manage aCDQ allocation and prevent quotaoverages. For purposes of this section, aqualified managing organization meansany organization or firm that wouldassume responsibility for managing allor part of the CDP and that meets thefollowing criteria:

(A) Official letter of support.Documentation of support from eachcommunity represented by the applicantfor a CDP through an official letter ofsupport approved by the governing bodyof the community.

(B) Legal relationship. Documentationof a legal relationship between the CDPapplicant and the managingorganization (if the managingorganization is different from the CDPapplicant), which clearly describes theresponsibilities and obligations of eachparty as demonstrated through acontract or other legally bindingagreement.

(C) Expertise. Demonstration ofmanagement and technical expertisenecessary to carry out the CDP asproposed by the CDP application (e.g.,proven business experience as shown bya balance and income statement,

including profit, loss, and the return oninvestment on all business ventureswithin the previous 12 months by themanaging organization).

(c) Review and approval of CDPs—(1)Consistent with criteria. (i) Upon receiptby NMFS of the Governor’srecommendation for approval ofproposed CDPs, NMFS will review therecord to determine whether thecommunity eligibility criteria and theevaluation criteria set forth in paragraph(d) of this section have been met. NMFSshall then approve or disapprove theGovernor’s recommendation within 45days of its receipt.

(ii) In the event of approval, NMFSshall notify the Governor and theCouncil in writing that the Governor’srecommendations for CDPs areconsistent with the evaluation criteriaunder paragraph (d) of this section andother applicable law, including NMFSreasons for approval.

(iii) Publication of the decision,including the percentage of each CDQreserve for each subarea or districtallocated under the CDPs and theavailability of the findings, will bepublished in the Federal Register.

(iv) NMFS will allocate no more than33 percent of the total CDQ to anyapproved CDP application.

(v) A CDQ community may notconcurrently receive more than onepollock, halibut, or sablefish allocationand only one application for each typeof CDP per CDQ applicant will beaccepted.

(2) Not consistent with criteria. (i) IfNMFS finds that the Governor’srecommendations for CDQ allocationsare not consistent with the evaluationcriteria set forth in these regulations anddisapproves the Governor’srecommendations, NMFS shall soadvise the Governor and the Council inwriting, including the reasons therefor.

(ii) Notification of the decision will bepublished in the Federal Register.

(3) Revised CDP. (i) The CDPapplicant may submit a revised CDP tothe Governor for submission to NMFS.

(ii) Review by NMFS of a revised CDPapplication will be in accordance withthe provisions set forth in this section.

(d) Evaluation criteria. NMFS willapprove the Governor’srecommendations for CDPs if NMFSfinds the CDP is consistent with therequirements of these regulations,including the following:

(1) CDP application. Each CDPapplication is submitted in compliancewith the application proceduresdescribed in paragraph (b) of thissection.

(2) NMFS review. Prior to approval ofa CDP recommended by the Governor,


NMFS will review the Governor’sfindings to determine that eachcommunity that is part of a CDP is listedin Table 7 of this part or meets thefollowing criteria for an eligiblecommunity:

(i) The community is located within50 nm from the baseline from which thebreadth of the territorial sea is measuredalong the Bering Sea coast from theBering Strait to the western most of theAleutian Islands, or on an island withinthe Bering Sea. A community is noteligible if it is located on the GOA coastof the North Pacific Ocean, even if it iswithin 50 nm of the baseline of theBering Sea.

(ii) The community is certified by theSecretary of the Interior pursuant to theNative Claims Settlement Act (PublicLaw 92–203) to be a native village.

(iii) The residents of the communityconduct more than half of their currentcommercial or subsistence fishing effortin the waters of the BSAI.

(iv) The community has notpreviously developed harvesting orprocessing capability sufficient tosupport substantial groundfish fisheriesparticipation in the BSAI, unless thecommunity can show that benefits froman approved CDP would be the onlyway to realize a return from previousinvestments. The communities ofUnalaska and Akutan are excludedunder this provision.

(3) Qualified managing organization.Each CDP application demonstrates thata qualified managing organization willbe responsible for the harvest and use ofthe CDQ allocation pursuant to the CDP.

(4) Exceeding the CDQ allocation.Each CDP application demonstrates thatits managing organization caneffectively prevent exceeding the CDQallocation.

(5) Governor’s findings. The Governorhas found for each recommended CDPthat:

(i) The CDP and the managingorganization are fully described in theCDP application, and have the ability tosuccessfully meet the CDP milestonesand schedule.

(ii) The managing organization has anadequate budget for implementing theCDP, and the CDP is likely to besuccessful.

(iii) A qualified applicant hassubmitted the CDP application and theapplicant and managing organizationhave the support of each communityparticipating in the proposed CDQproject as demonstrated through anofficial letter approved by the governingbody of each such community.

(iv) The following factors have beenconsidered:

(A) The number of individuals fromapplicant communities who will beemployed under the CDP, the nature oftheir work, and career advancement.

(B) The number and percentage of lowincome persons residing in theapplicant communities, and theeconomic opportunities provided tothem through employment under theCDP.

(C) The number of communitiescooperating in the application.

(D) The relative benefits to be derivedby participating communities and thespecific plans for developing a self-sustaining fisheries economy.

(E) The success or failure of theapplicant and/or the managingorganization in the execution of a priorCDP (e.g., exceeding a CDQ allocation orany other related violation may beconsidered a failure and may thereforeresult in partially or fully precluding aCDP from a future CDQ allocation).

(6) Qualified applicant. For purposesof this paragraph (d), ‘‘qualifiedapplicant’’ means:

(i) A local fishermen’s organizationfrom an eligible community, or group ofeligible communities, that isincorporated under the laws of the Stateof Alaska, or under Federal law, andwhose board of directors is composed ofat least 75 percent resident fishermen ofthe community (or group ofcommunities) that is (are) making anapplication; or

(ii) A local economic developmentorganization incorporated under thelaws of the State of Alaska, or underFederal law, specifically for the purposeof designing and implementing a CDP,and that has a board of directorscomposed of at least 75 percent residentfishermen of the community (or groupof communities) that is (are) making anapplication.

(7) Resident fisherman. For thepurpose of this paragraph (d), ‘‘residentfisherman’’ means an individual withdocumented commercial or subsistencefishing activity who maintains a mailingaddress and permanent domicile in thecommunity and is eligible to receive anAlaska Permanent Fund dividend at thataddress.

(8) Board of directors. If a qualifiedapplicant represents more than onecommunity, the board of directors of theapplicant must include at least onemember from each of the communitiesrepresented.

(e) Monitoring of CDPs—(1) CDPreports. The following reports must besubmitted to NMFS:

(i) Annual progress reports. (A) CDPapplicants are required to submit annualprogress reports to the Governor by June30 of the year following allocation.

(B) Annual progress reports willinclude information describing how theCDP has met its milestones, goals, andobjectives.

(C) On the basis of those reports, theGovernor will submit an annualprogress report to NMFS andrecommend whether CDPs should becontinued.

(D) NMFS must notify the Governor inwriting within 45 days of receipt of theGovernor’s annual progress report,accepting or rejecting the annualprogress report and the Governor’srecommendations.

(E) If NMFS rejects the Governor’sannual progress report, NMFS willreturn it for revision and resubmission.

(F) The report will be deemedapproved if NMFS does not notify theGovernor in writing within 45 days ofthe report’s receipt.

(ii) Annual budget report. (A) Anannual budget report is a detailedestimation of income and expendituresfor each CDP project as described inparagraph (b)(1)(i) of this section for acalendar year.

(B) The annual budget report must besubmitted to NMFS by December 15preceding the year for which the annualbudget applies.

(C) Annual budget reports areapproved upon receipt by NMFS, unlessdisapproved in writing by December 31.If disapproved, the annual budget reportmay be revised and resubmitted toNMFS.

(D) NMFS will approve or disapprovea resubmitted annual budget report inwriting.

(iii) Annual budget reconciliationreport. A CDQ group must reconcileeach annual budget by May 30 of theyear following the year for which theannual budget applied. Reconciliation isan accounting of the annual budget’sestimated income and expenditureswith the actual income andexpenditures, including the variance indollars and variance in percentage foreach CDP project that is described inparagraph (b)(1)(i) of this section. If ageneral budget, as described inparagraph (b)(2)(vii) of this section, isno longer correct due to thereconciliation of an annual budget, thenthe general budget must also be revisedto reflect the annual budgetreconciliation. The revised generalbudget must be included with theannual budget reconciliation report.

(2) Increase in CDQ allocation. If anapplicant requests an increase in a CDQ,the applicant must submit a new CDPapplication for review by the Governorand approval by NMFS as described inparagraphs (b) and (c) of this section.


(3) Substantial amendments. (i) ACDP is a working business plan andmust be kept up to date. Substantialamendments, as described in paragraph(e)(3)(iv) of this section, to a CDP willrequire written notification to theGovernor and subsequent approval bythe Governor and NMFS before anychange in a CDP can occur. TheGovernor may recommend to NMFS thatthe request for an amendment beapproved.

(ii) NMFS may notify the Governor inwriting of approval or disapproval of theamendment within 30 days of receipt ofthe Governor’s recommendation. TheGovernor’s recommendation forapproval of an amendment will bedeemed approved if NMFS does notnotify the Governor in writing within 30calendar days of receipt of theGovernor’s recommendation.

(iii) If NMFS determines that the CDP,if changed, would no longer meet thecriteria under paragraph (d) of thissection, or if any of the requirementsunder this section would not be met,NMFS shall notify the Governor inwriting of the reasons why theamendment cannot be approved.

(iv) For the purposes of this section,substantial amendments are defined aschanges in a CDP, including, but notlimited to, any of the following:

(A) Any change in the applicantcommunities or replacement of themanaging organization.

(B) A change in the CDP applicant’sharvesting or processing partner.

(C) Funding a CDP project in excessof $100,000 that is not part of anapproved general budget.

(D) More than a 20-percent increase inthe annual budget of an approved CDPproject.

(E) More than a 20-percent increase inactual expenditures over the approvedannual budget for administrativeoperations.

(F) A change in the contractualagreement(s) between the CDP applicantand its harvesting or processing partner,or a change in a CDP project, if suchchange is deemed by the Governor orNMFS to be a material change.

(v) Notification of an amendment to aCDP shall include the followinginformation:

(A) The background and justificationfor the amendment that explains whythe proposed amendment is necessaryand appropriate.

(B) An explanation of why theproposed change to the CDP is anamendment according to paragraph(e)(3)(i) of this section.

(C) A description of the proposedamendment, explaining all changes to

the CDP that result from the proposedamendment.

(D) A comparison of the original CDPtext with the text of the proposedchanges to the CDP, and the changedpages of the CDP for replacement in theCDP binder.

(E) Identification of any NMFSfindings that would need to be modifiedif the amendment is approved alongwith the proposed modified text.

(F) A description of how the proposedamendment meets the requirements ofthis subpart. Only those CDQregulations that are affected by theproposed amendment need to bediscussed.

(4) Technical amendments. (i) Anychange to a CDP that is not a substantialamendment as defined in paragraph(e)(3)(iv) of this section is a technicalamendment. It is the responsibility ofthe CDQ group to coordinate with theGovernor to ensure that a proposedtechnical amendment does not meet thedefinition for a substantial amendment.Technical amendments require writtennotification to the Governor and NMFSbefore the change in a CDP occurs.

(ii) A technical amendment will beapproved when the CDQ group receivesa written notification from NMFSannouncing the receipt of the technicalamendment. The Governor mayrecommend to NMFS, in writing, that atechnical amendment be disapproved atany time. NMFS may disapprove atechnical amendment in writing at anytime, with the reasons therefor.

(iii) Notification should include:(A) The pages of the CDP, with the

text highlighted to show deletions andadditions.

(B) The changed pages of the CDP forreplacement in the CDP binder.

(5) Cease fishing operations. It is theresponsibility of the CDQ-managingorganization to cease fishing operationsonce a CDQ allocation has been reached.

(f) Suspension or termination of aCDP—(1) Governor’s recommendation.(i) NMFS, at any time, may partiallysuspend, suspend, or terminate any CDPupon written recommendation of theGovernor setting out his or her reasonsthat the CDP recipient is not complyingwith these regulations.

(ii) After review of the Governor’srecommendation and reasons for apartial suspension, suspension, ortermination of a CDP, NMFS will notifythe Governor in writing of approval ordisapproval of his or herrecommendation within 45 days of itsreceipt.

(iii) In the event of approval of theGovernor’s recommendation, NMFS willpublish an announcement in theFederal Register that the CDP has been

partially suspended, suspended, orterminated, along with reasons therefor.

(2) Non-compliance. NMFS also maypartially suspend, suspend, or terminateany CDP at any time if NMFS finds arecipient of a CDQ allocation pursuantto the CDP is not complying with theseregulations, other regulations, orprovisions of the Magnuson Act or otherapplicable law. Publication ofsuspension or termination will appearin the Federal Register, along with thereasons therefor.

(3) Review of allocation. An annualprogress report, required underparagraph (e)(1)(i) of this section, willbe used by the Governor to review eachCDP to determine whether the CDP andCDQ allocation thereunder should becontinued, decreased, partiallysuspended, suspended, or terminatedunder the following circumstances:

(i) If the Governor determines that theCDP will successfully meet its goals andobjectives, the CDP may continuewithout any Secretarial action.

(ii) If the Governor recommends toNMFS that an allocation be decreased,the Governor’s recommendation fordecrease will be deemed approved ifNMFS does not notify the Governor, inwriting, within 30 days of receipt of theGovernor’s recommendation.

(iii) If the Governor determines that aCDP has not successfully met its goalsand objectives, or appears unlikely tobecome successful, the Governor maysubmit a recommendation to NMFS thatthe CDP be partially suspended,suspended, or terminated. The Governormust set out, in writing, his or herreasons for recommending suspensionor termination of the CDP.

(iv) After review of the Governor’srecommendation and reasons therefor,NMFS will notify the Governor, inwriting, of approval or disapproval ofhis or her recommendation within 30days of its receipt. In the case ofsuspension or termination, NMFS willpublish notification in the FederalRegister, with reasons therefor.

§ 679.31 CDQ reserve.

(a) Pollock CDQ reserve (applicablethrough December 31, 1998). (1) In theproposed and final harvestspecifications required under§ 679.20(c), one-half of the pollock TACplaced in the reserve for each subarea ordistrict will be assigned to a CDQreserve for each subarea or district.

(2) NMFS may add any amount of aCDQ reserve back to the nonspecificreserve if, after September 30, theRegional Director determines thatamount will not be used during theremainder of the fishing year.


(b) Halibut CDQ reserve. (1) NMFSwill annually withhold from IFQallocation the proportions of the halibutcatch limit that are specified in thisparagraph (b) for use as a CDQ reserve.

(2) Portions of the CDQ for eachspecified IPHC regulatory area may beallocated for the exclusive use of aneligible Western Alaska community orgroup of communities in accordancewith a CDP approved by the Governorin consultation with the Council andapproved by NMFS.

(3) The proportions of the halibutcatch limit annually withheld forpurposes of the CDQ program, exclusiveof issued QS, are as follows for eachIPHC regulatory area:

(i) Area 4B. In IPHC regulatory area4B, 20 percent of the annual halibutquota shall be made available for thehalibut CDQ program to eligiblecommunities physically located in orproximate to this regulatory area. Forthe purposes of this section, ‘‘proximateto’’ an IPHC regulatory area meanswithin 10 nm from the point where theboundary of the IPHC regulatory areaintersects land.

(ii) Area 4C. In IPHC regulatory area4C, 50 percent of the halibut quota shallbe made available for the halibut CDQprogram to eligible communitiesphysically located in IPHC regulatoryarea 4C.

(iii) Area 4D. In IPHC regulatory area4D, 30 percent of the halibut quota shallbe made available for the halibut CDQprogram to eligible communities locatedin or proximate to IPHC regulatory areas4D and 4E.

(iv) Area 4E. In IPHC regulatory area4E, 100 percent of the halibut quotashall be made available for the halibutCDQ program to communities located inor proximate to IPHC regulatory area 4E.A fishing trip limit of 6,000 lb (2.7 mt)will apply to halibut CDQ harvesting inIPHC regulatory area 4E.

(c) Sablefish CDQ reserve. In theproposed and final harvest limitspecifications required under§ 679.20(c), NMFS will specify 20percent of the fixed gear allocation ofsablefish in each BSAI subarea as asablefish CDQ reserve, exclusive ofissued QS. Portions of the CDQ reservefor each subarea may be allocated forthe exclusive use of CDQ applicants inaccordance with CDPs approved by theGovernor in consultation with theCouncil and approved by NMFS. NMFSwill allocate no more than 33 percent ofthe total CDQ for all subareas combinedto any one applicant with an approvedCDP application.

§ 679.32 Estimation of total pollockharvest in the CDQ fisheries (applicablethrough December 31, 1998).

(a) Recordkeeping and reportingrequirements. Vessels and processorsparticipating in pollock CDQ fisheriesmust comply with recordkeeping andreporting requirements set out at§ 679.5.

(b) Total pollock harvests—(1)Observer estimates. Total pollockharvests for each CDP will bedetermined by observer estimates oftotal catch and catch composition, asreported on the daily observer catchmessage.

(2) Cease fishing. The CDQ-managingorganization must arrange to receive acopy of the observer daily catch messagefrom processors in a manner that allowsthe CDQ-managing organization toinform processors to cease fishingoperations before the CDQ allocationhas been exceeded. CDQ-managingorganization representatives must alsoinform NMFS within 24 hours after theCDQ has been reached and fishing hasceased.

(3) NMFS estimates. If NMFSdetermines that the observer, theprocessor, or the CDQ-managingorganization failed to follow theprocedures described in paragraphs (c),(d), and (e) of this section for estimatingthe total harvest of pollock, or violatedany other regulation in this subpart C ofthis part, NMFS reserves the right toestimate the total pollock harvest basedon the best available data.

(c) Observer coverage. Vesseloperators and processors participatingin CDQ fisheries must comply with thefollowing requirements for observercoverage:

(1) Shoreside processor. (i) Eachshoreside processor participating in theCDQ fisheries must have one NMFS-certified observer present at all timeswhile groundfish harvested under aCDQ are being received or processed.

(ii) The Regional Director isauthorized to require more than oneobserver for a shoreside processor if:

(A) The CDQ delivery schedulerequires an observer to be on duty morethan 12 hours in a 24-hour period;

(B) Simultaneous deliveries of CDQharvests by more than one vessel cannotbe monitored by a single observer; or

(C) One observer is not capable ofadequately monitoring CDQ deliveries.

(2) Processor vessel. Each processorvessel participating in the CDQ fisheriesmust have two NMFS-certifiedobservers aboard the vessel at all timeswhile groundfish harvested under aCDQ are being harvested, processed, orreceived from another vessel.

(3) Catcher vessel. Observer coveragerequirements for catcher vesselsparticipating in the CDQ fisheries are inaddition to any observer coveragerequirements in subpart E of this part.Each catcher vessel deliveringgroundfish harvested under a CDQ,other than a catcher vessel deliveringonly unsorted codends to a processor oranother vessel, must have a NMFS-certified observer on the vessel at alltimes while the vessel is participating inthe CDQ fisheries, regardless of thevessel length.

(d) Shoreside processor equipmentand operational requirements. Eachshoreside processor participating in theCDQ fisheries must comply with thefollowing requirements:

(1) Certified scale. Groundfishharvested in the CDQ fisheries must berecorded and weighed on a scalecertified by the State of Alaska. Such ascale must measure catch weights at alltimes to at least 95-percent accuracy, asdetermined by a NMFS-certifiedobserver or authorized officer. The scaleand scale display must be visiblesimultaneously by the observer.

(2) Access to scale. Observers must beprovided access to the scale used toweigh groundfish landings.

(3) Retention of scale printouts.Printouts of scale measurements of eachCDQ delivery must be made available toobservers and be maintained in theshoreside processor for the duration ofthe fishing year, or for as long after afishing year as product from fishharvested during that year are retainedin the shoreside processor.

(4) Prior notice of offloading schedule.The manager of each shoresideprocessor must notify the observer(s) ofthe offloading schedule of each CDQgroundfish delivery at least 1 hour priorto offloading to provide the observer anopportunity to monitor the weighing ofthe entire delivery.

(e) Processor vessel measurementrequirements. Each processor vesselparticipating in the CDQ fishery forpollock must estimate the total weightof its groundfish catch by the volumetricprocedures specified in paragraph (e)(1)of this section or must weigh its catchin accordance with the procedures inparagraph (e)(2) of this section.

(1) Volumetric measures of totalcatch—(i) Receiving bins. Eachprocessor vessel estimating its catch byvolumetric measurement must have oneor more receiving bins in which all fishcatches are placed to determine totalcatch weight prior to sorting operations.

(ii) Bin volume. The volume of eachbin must be accurately measured, andthe bin must be permanently markedand numbered in 10-cm increments on


all internal sides of the bin. Markedincrements, except those on the wallcontaining the viewing port or window,must be readable from the outside of thebin at all times. Bins must be lighted ina manner that allows markedincrements to be read from the outsideof the bin by a NMFS-certified observeror authorized officer.

(iii) Bin certification. (A) The binvolume and marked and numberedincrements must be certified by aregistered engineer with no financialinterest in fishing, fish processing, orfish tender vessels, or by a qualifiedorganization that has been designated bythe USCG Commandant, or anauthorized representative thereof, forthe purpose of classing or examiningcommercial fishing industry vesselsunder the provisions of 46 CFR 28.76.

(B) Bin volumes and marked andnumbered increments must berecertified each time a bin is structurallyor physically changed.

(C) The location of bin markings, ascertified, must be described in writing.Tables certified under this paragraph(e)(1)(iii) indicating the volume of eachcertified bin in cubic meters for each 10-cm increment marked on the sides ofthe bins, must be submitted to theNMFS Observer Program prior toharvesting or receiving groundfish andmust be maintained on board the vesseland made available to NMFS-certifiedobservers at all times.

(D) All bin certification documentsmust be dated and signed by thecertifier.

(iv) Prior notification. Vesseloperators must notify observers prior toany removal or addition of fish fromeach bin used for volumetricmeasurements of catch in such amanner that allows an observer to takebin volume measurements prior to fishbeing removed from or added to the bin.Once a volumetric measurement hasbeen taken, additional fish may not beadded to the bin until at least half theoriginal volume has been removed. Fishmay not be removed from or added toa bin used for volumetric measurementsof catch until an observer indicates thatbin volume measurements have beencompleted and any samples of catchrequired by the observer have beentaken.

(v) Separation of fish. Fish fromseparate hauls or deliveries fromseparate harvesting vessels may not bemixed in any bin used for volumetricmeasurements of catch.

(vi) Bin viewing port. Fish must not beloaded into a bin used for volumetricmeasurements above the level of theviewing port in the bin.

(2) Scale weight measurements oftotal catch—(i) Equipment. Any scaleused on a processor vessel to weighgroundfish harvested in the CDQfisheries must measure catch weights toat least 95-percent accuracy at all timesas determined by a NMFS-certifiedobserver or authorized officer. The scalemust be equipped with a functionalmotion compensation device to accountfor vessel acceleration, roll, pitch, andvibration movement. The scale andscale display must be visible by theobserver simultaneously.

(ii) Printouts. Printouts of scalemeasurements of each haul weight mustbe made available to the observer and bemaintained on board the vessel for theduration of the fishing year or for aslong after a fishing year as productsfrom fish harvested during that year areretained on board a vessel.

(iii) Separation of fish. The catch fromeach haul must be kept separate, suchthat the scale weight can be obtainedseparately for each haul.

§ 679.33 Halibut and sablefish CDQ.

(a) Permits. The Regional Director willissue a halibut and/or sablefish CDQpermit to the managing organizationresponsible for carrying out an approvedCDQ project. A copy of the halibut and/or sablefish CDQ permit must be carriedon any fishing vessel operated by or forthe managing organization, and be madeavailable for inspection by anauthorized officer. Each halibut and/orsablefish CDQ permit will be non-transferable and will be effective for theduration of the CDQ project or untilrevoked, suspended, or modified.

(b) CDQ cards. The Regional Directorwill issue halibut and/or sablefish CDQcards to all individuals named on anapproved CDP application. Each halibutand/or sablefish CDQ card will identifya CDQ permit number and theindividual authorized by the managingorganization to land halibut and/orsablefish for debit against its CDQallocation.

(c) Alteration. No person may alter,erase, or mutilate a halibut and/orsablefish CDQ permit, card, registeredbuyer permit, or any valid and currentpermit or document issued under thispart. Any such permit, card, ordocument that has been intentionallyaltered, erased, or mutilated will beinvalid.

(d) Landings. All landings of halibutand/or sablefish harvested under anapproved CDQ project, dockside sales,and outside landings of halibut and/orsablefish must be landed by a personwith a valid halibut and/or sablefishCDQ card to a person with a valid

registered buyer permit, and reported incompliance with § 679.5 (l)(1) and (l)(2).

(e) CDQ fishing seasons. See§ 679.23(e)(4).

§ 679.34 CDQ halibut and sablefishdeterminations and appeals.

Section 679.43 describes theprocedure for appealing initialadministrative determinations for thehalibut and sablefish CDQ programmade under this subpart C of this part.

Subpart D—Individual Fishing QuotaManagement Measures

§ 679.40 Sablefish and halibut QS.The Regional Director shall annually

divide the TAC of halibut and sablefishthat is apportioned to the fixed gearfishery pursuant to part 301 of this titleand § 679.20, minus the CDQ reserve,among qualified halibut and sablefishquota share holders, respectively.

(a) Initial allocation of QS—(1)General. The Regional Director shallinitially assign to qualified persons, onor after October 18, 1994, halibut andsablefish fixed gear fishery QS that arespecific to IFQ regulatory areas andvessel categories. QS will be assigned asa block in the appropriate IFQregulatory area and vessel category, ifthat QS would have resulted in anallocation of less than 20,000 lb (9 mt)of IFQ for halibut or sablefish based onthe 1994 TAC for fixed gear in thosefisheries for specific IFQ regulatoryareas and the QS pools of those fisheriesfor specific IFQ regulatory areas as ofOctober 17, 1994.

(2) Qualified person. (i) As used inthis section, a ‘‘qualified person’’ meansa ‘‘person,’’ as defined in § 679.2:

(A) That owned a vessel that madelegal landings of halibut or sablefish,harvested with fixed gear, from any IFQregulatory area in any QS qualifyingyear; or

(B) That leased a vessel that madelegal landings of halibut or sablefish,harvested with fixed gear, from any IFQregulatory area in any QS qualifyingyear. A person who owns a vesselcannot be a qualified person based onthe legal fixed gear landings of halibutor sablefish made by a person wholeased the vessel for the duration of thelease.

(ii) Qualified persons, or theirsuccessors-in-interest, must exist at thetime of their application for QS.

(iii) A former partner of a dissolvedpartnership or a former shareholder of adissolved corporation who wouldotherwise qualify as a person may applyfor QS in proportion to his or herinterest in the dissolved partnership orcorporation.


(iv) Sablefish harvested within PrinceWilliam Sound, or under a State ofAlaska limited entry program, will notbe considered in determining whether aperson is a qualified person.

(3) Qualification for QS—(i) Year. AQS qualifying year is 1988, 1989, or1990.

(ii) Vessel ownership. Evidence ofvessel ownership shall be limited to thefollowing documents, in order ofpriority:

(A) For vessels required to bedocumented under the laws of theUnited States, the USCG abstract of titleissued in respect of that vessel.

(B) A certificate of registration that isdeterminative as to vessel ownership.

(C) A bill of sale.(iii) Vessel lease. Conclusive evidence

of a vessel lease will include a writtenvessel lease agreement or a notarizedstatement from the vessel owner andlease holder attesting to the existence ofa vessel lease agreement at any timeduring the QS qualifying years.Conclusive evidence of a vessel leasemust identify the leased vessel andindicate the name of the lease holderand the period of time during which thelease was in effect. Other evidence,which may not be conclusive, but maytend to support a vessel lease, may alsobe submitted.

(iv) Ownership interest. Evidence ofownership interest in a dissolvedpartnership or corporation shall belimited to corporate documents (e.g.,articles of incorporation) or notarizedstatements signed by each formerpartner, shareholder or director, andspecifying their proportions of interest.

(v) Legal landing of halibut orsablefish—(A) Definition. As used inthis section, a ‘‘legal landing of halibutor sablefish’’ means halibut or sablefishharvested with fixed gear and landed incompliance with state and Federalregulations in effect at the time of thelanding.

(B) Documentation. Evidence of legallandings shall be limited todocumentation of state or Federal catchreports that indicate the amount ofhalibut or sablefish harvested, the IPHCregulatory area or groundfish reportingarea in which it was caught, the vesseland gear type used to catch it, and thedate of harvesting, landing, or reporting.State catch reports are Alaska,Washington, Oregon, or California fishtickets. Federal catch reports are WPRsrequired under § 679.5. Sablefishharvested within Prince William Soundor under a State of Alaska limited entryprogram will not be considered indetermining qualification to receive QS,nor in calculating initial QS.

(4) Calculation of initial QS—(i)Halibut QS. The Regional Director shallcalculate the halibut QS for anyqualified person in each IFQ regulatoryarea based on that person’s highest totallegal landings of halibut in each IPHCregulatory area for any 5 years of the 7-year halibut QS base period 1984through 1990. The sum of all halibut QSfor an IFQ regulatory area will be thehalibut QS pool for that area.

(ii) Sablefish QS. The RegionalDirector shall calculate the sablefish QSfor any qualified person in each IFQregulatory area based on that person’shighest total legal landings of sablefishin each groundfish reporting area forany 5 years of the 6-year sablefish QSbase period 1985 through 1990. Thesum of all sablefish QS for an IFQregulatory area will be the sablefish QSpool for that area.

(iii) CDQ program. Each initial QScalculation will be modified toaccommodate the CDQ programprescribed at subpart C of this part.

(5) Assignment of QS to vesselcategories—(i) LOA. Each qualifiedperson’s QS will be assigned to a vesselcategory based on the LOA of vessel(s)from which that person made fixed gearlegal landings of groundfish or halibutin the most recent year of participationand the product type landed. As used inthis paragraph (a)(5), ‘‘the most recentyear of participation’’ means the mostrecent of 4 calendar years in which anygroundfish or halibut were harvestedusing fixed gear, as follows: 1988, 1989,or 1990; or calendar year 1991 prior toSeptember 26, 1991.

(ii) Vessel categories. Vesselcategories include:

(A) Category A—freezer vessels of anylength.

(B) Category B—catcher vesselsgreater than 60 ft (18.3 m) LOA.

(C) Category C—catcher vessels lessthan or equal to 60 ft (18.3 m) LOA forsablefish, or catcher vessels greater than35 ft (10.7 m) but less than or equal to60 ft (18.3 m) LOA for halibut.

(D) Category D—catcher vessels thatare less than or equal to 35 ft (10.7 m)LOA for halibut.

(iii) QS assignment. A qualifiedperson’s QS will be assigned:

(A) To vessel category A if, at anytime during his/her most recent year ofparticipation, that person’s vesselprocessed any groundfish or halibutcaught with fixed gear.

(B) To vessel category B if, at any timeduring his/her most recent year ofparticipation, that person’s vessel wasgreater than 60 ft (18.3 m) LOA and didnot process any groundfish or halibutcaught with fixed gear.

(C) To each applicable vessel categoryin proportion to the landings of halibutor sablefish made by that person if, atany time during their most recent yearof participation, that person used morethan one vessel in different categories.

(iv) Sablefish QS. A qualified person’ssablefish QS will be assigned:

(A) To vessel category C if, at any timeduring his/her most recent year ofparticipation, that person’s vessel wasless than or equal to 60 ft (18.3 m) LOAand did not process any groundfish orhalibut caught with fixed gear.

(B) To the vessel category in whichhalibut and groundfish were landed, orvessel categories in proportion to thetotal fixed gear landings of halibut andgroundfish, if, at any time during themost recent year of participation, thatperson’s vessel(s) makes no landing(s) ofsablefish.

(v) Halibut QS. A qualified person’shalibut QS will be assigned:

(A) To vessel category C if, at any timeduring his/her most recent year ofparticipation, that person’s vessel wasless than or equal to 60 ft (18.3 m), butgreater than 35 ft (10.7 m), LOA and didnot process any groundfish or halibutcaught with fixed gear.

(B) To vessel category D if, at any timeduring his/her most recent year ofparticipation, that person’s vessel wasless than or equal to 35 ft (10.7 m) LOAand did not process any groundfish orhalibut caught with fixed gear.

(C) To the vessel category in whichgroundfish were landed, or vesselcategories in proportion to the totalfixed gear landings of groundfish, if, atany time during the most recent year ofparticipation, that person’s vessel(s)makes no landing(s) of halibut.

(vi) Both species QS. A qualifiedperson’s QS for both species will beassigned to the vessel category in whichgroundfish were landed in the mostrecent year of participation if, at anytime during that year, that personlanded halibut in one vessel categoryand sablefish in a different vesselcategory.

(6) Application for initial QS—(i)Application form. Upon request, theRegional Director shall make availableto any person an application form for aninitial allocation of QS. The applicationform sent to the person requesting a QSallocation will include all data on thatperson’s vessel ownership and catchhistory of halibut and sablefish that canbe released to the applicant undercurrent state and Federal confidentialityrules, and that are available to theRegional Director at the time of therequest.

(ii) Application period. Anapplication period of no less than 180


days will be specified by notification inthe Federal Register and otherinformation sources that the RegionalDirector deems appropriate.

(iii) Complete application. Completeapplications received by the RegionalDirector will be acknowledged. Anincomplete application will be returnedto the applicant with specific kinds ofinformation identified that are necessaryto make it complete.

(7) Insufficient documentation.Halibut and sablefish catch history,vessel ownership or lease data, andother information supplied by anapplicant will be compared with datacompiled by the Regional Director. Ifadditional data presented in anapplication are not consistent with thedata compiled by the Regional Director,the applicant will be notified ofinsufficient documentation. Theapplicant will have 90 days to submitcorroborating documents (as specifiedin paragraph (a) of this section) insupport of his/her application or toresubmit a revised application. Allapplicants will be limited to oneopportunity to provide corroboratingdocumentation or a revised applicationin response to notification ofinsufficient documentation.

(8) Verified data. Uncontested data inapplications will be approved by theRegional Director. Based on these data,the Regional Director will calculate eachapplicant’s initial halibut and sablefishQS, as provided in paragraph (b) of thissection, for each IFQ regulatory area,respectively, and will add eachapplicant’s halibut and sablefish QS foran IFQ regulatory area to the respectiveQS pool for that area.

(9) Unverified data. Catch history,vessel ownership, or lease data thatcannot be verified by the RegionalDirector, following the proceduredescribed in paragraph (a)(7) of thissection, will not qualify for QS. Aninitial determination denying QS on thegrounds that claimed catch history,vessel ownership or lease data were notverified may be appealed following theprocedure described in § 679.43. Quotashare reflecting catch history, vesselownership, or lease data that arecontested between two or moreapplicants, at least one of which islikely to qualify for QS when thedispute is resolved, will be assigned toa reserve that will be considered part ofthe QS pool for the appropriate IFQregulatory area. Any QS and IFQ thatresults from agency action resolving thedispute will be assigned to theprevailing applicant(s) pursuant toparagraphs (a)(4), (a)(5), (b), and (c) ofthis section. If the assigned IFQ for the1995 fishing season becomes moot by

passage of time needed to resolve thedispute, the assignment of QS and IFQfor subsequent fishing seasons will beunaffected.

(b) Annual allocation of IFQ. TheRegional Director shall assign halibut orsablefish IFQs to each person holdingunrestricted QS for halibut or sablefish,respectively, up to the limits prescribedin § 679.42 (e) and (f). Each assignedIFQ will be specific to an IFQ regulatoryarea and vessel category, and willrepresent the maximum amount ofhalibut or sablefish that may beharvested from the specified IFQregulatory area and by the person towhom it is assigned during the specifiedfishing year, unless the IFQ assignmentis changed by the Regional Directorwithin the fishing year because of anapproved transfer or because all or partof the IFQ is sanctioned for violatingrules of this part.

(c) Calculation of annual IFQallocation—(1) General. The annualallocation of IFQ to any person (personp) in any IFQ regulatory area (area a)will be equal to the product of the TACof halibut or sablefish by fixed gear forthat area (after adjustment for purposesof the Western Alaska CDQ Program)and that person’s QS divided by the QSpool for that area. Overages will besubtracted from a person’s IFQ pursuantto paragraph (d) of this section.Expressed algebraically, the annual IFQallocation formula is as follows:IFQ pa = [(fixed gear TACa ¥ CDQ

reservea) × (QSpa/QS poola)] ¥overage of IFQpa.

(2) QS amounts. For purposes ofcalculating IFQs for any fishing year, theamount of a person’s QS and theamount of the QS pool for any IFQregulatory area will be the amounts onrecord with the Alaska Region, NMFS,as of 1200 hours, A.l.t., on January 31of that year.

(3) IFQ permit. The Regional Directorshall issue to each QS holder, pursuantto § 679.4, an IFQ permit accompaniedby a statement specifying the maximumamount of halibut and sablefish thatmay be harvested with fixed gear in aspecified IFQ regulatory area and vesselcategory as of January 31 of that year.Such IFQ permits will be sent bycertified mail to each QS holder at theaddress on record for that person afterthe beginning of each fishing year, butprior to the start of the annual IFQfishing season.

(d) Ten-percent adjustment policy. Aperson’s annual IFQ account will beadjusted in the year following adetermination that the person harvestedor landed IFQ species in an amount isgreater than the amount available in the

person’s annual IFQ account and if theamount greater than the amountavailable does not exceed 10 percent ofthe amount available in the person’sannual IFQ account at the time oflanding. The adjustment would be adeduction of the amount of IFQ speciesharvested or landed that wasdetermined to exceed the amountavailable in the person’s annual IFQaccount and will apply to any person towhom the affected IFQ is allocated inthe year following the determination.

(e) Underages. Underages of up to 10percent of a person’s total annual IFQaccount for a current fishing year will beadded to that person’s annual IFQaccount in the year followingdetermination of the underage. Thisunderage adjustment to the annual IFQallocation will be specific to IFQspecies, IFQ regulatory area, and vesselcategory for which an IFQ is calculated,and will apply to any person to whomthe affected IFQ is allocated in the yearfollowing determination of an underage.

(f) Harvesting privilege. Quota sharesallocated or permits issued pursuant tothis part do not represent either anabsolute right to the resource or anyinterest that is subject to the ‘‘takings’’provision of the Fifth Amendment of theU.S. Constitution. Rather, such quotashares or permits represent only aharvesting privilege that may be revokedor amended subject to the requirementsof the Magnuson Act and otherapplicable law.

§ 679.41 Transfer of QS and IFQ.(a) General. (1) Except as provided in

paragraph (a)(2) of this section, transferof QS or IFQ means any transactionrequiring QS, or the use thereof in theform of IFQ, to pass from one person toanother, permanently or for a fixedperiod of time.

(2) Transactions requiring IFQ cardsto be issued in the name of a vesselmaster employed by an individual or acorporation are not transfers of QS orIFQ.

(b) Transfer procedure—(1)Application for transfer. A person whoreceives QS by transfer may not use IFQresulting from that QS for harvestinghalibut or sablefish with fixed gear untilan Application for Transfer of QS/IFQ(Application for Transfer) is approvedby the Regional Director. The RegionalDirector shall provide an Applicationfor Transfer form to any person onrequest. Persons who submit anApplication for Transfer to the RegionalDirector for approval will receivenotification of the Regional Director’sdecision to approve or disapprove theApplication for Transfer, and, ifapplicable, the reason(s) for


disapproval, by mail posted on the dateof that decision, unless anothercommunication mode is requested onthe Application for Transfer.

(2) QS or IFQ accounts. QS or IFQaccounts affected by an Application forTransfer approved by the RegionalDirector will change on the date ofapproval. Any necessary IFQ permitswill be sent with the notification of theRegional Director’s decision.

(c) Application for Transfer approvalcriteria. Except as provided inparagraph (f) of this section, anApplication for Transfer will not beapproved until the Regional Director hasdetermined that:

(1) The person applying for transferreceived the QS or IFQ to be transferred:

(i) By initial assignment by theRegional Director as provided in§ 679.40(a); or

(ii) By approved transfer.(2) The person applying to receive the

QS or IFQ meets the requirements ofeligibility in paragraph (d) of thissection.

(3) The person applying for transferand the person applying to receive theQS or IFQ have their notarizedsignatures on the Application forTransfer.

(4) There are no fines, civil penalties,or other payments due and owing, oroutstanding permit sanctions, resultingfrom Federal fishery violationsinvolving either person.

(5) The person applying to receive theQS or IFQ currently exists.

(6) The transfer would not cause theperson applying to receive the QS orIFQ to exceed the use limits in § 679.42(e) or (f).

(7) The transfer would not violate theprovisions of paragraph (g) of thissection.

(8) Other pertinent informationrequested on the Application forTransfer has been supplied to thesatisfaction of the Regional Director.

(d) Eligibility to receive QS or IFQ bytransfer—(1) Application for Eligibility.All persons applying to receive QS orIFQ must submit an Application forEligibility to Receive QS/IFQ(Application for Eligibility), containingaccurate information, to the RegionalDirector. The Regional Director will notapprove a transfer of IFQ or QS to aperson until the Application forEligibility for that person is approved bythe Regional Director. The RegionalDirector shall provide an Applicationfor Eligibility form to any person onrequest.

(2) Type of eligibility. A person mustindicate on the Application forEligibility whether the eligibility soughtis as:

(i) An individual; or(ii) A corporation, partnership, or

other entity.(3) Application filing order. A person

may submit the Application forEligibility with the Application forTransfer or file the Application forEligibility prior to submitting theApplication for Transfer. If a person, asdescribed in paragraph (d)(2)(ii) of thissection, files the Application forEligibility prior to submitting theApplication for Transfer, and thatperson’s status subsequently changes, asdescribed in § 679.42(j), that personmust resubmit an Application forEligibility before submitting, or with,the Application for Transfer.

(4) Certified mail. The RegionalDirector’s approval of an Application forEligibility will be mailed to the personby certified mail.

(5) Notification. The Regional Directorwill notify the applicant if anApplication for Eligibility isdisapproved. This notification ofdisapproval will include:

(i) The disapproved Application forEligibility.

(ii) An explanation of why theApplication for Eligibility was notapproved.

(6) Reasons for disapproval. Reasonsfor disapproval of an Application forEligibility may include, but are notlimited to:

(i) Fewer than 150 days of experienceworking as an IFQ crewmember.

(ii) Lack of compliance with the U.S.citizenship or corporate ownershiprequirements specified by the definitionof ‘‘person’’ at § 679.2.

(iii) An incomplete Application forEligibility.

(iv) Fines, civil penalties, or otherpayments due and owing, oroutstanding permit sanctions, resultingfrom Federal fishery violations.

(e) Transfers of QS blocks. (1) A QSblock must be transferred as anundivided whole, unless the size of theQS block exceeds the use limitsspecified at § 679.42. If the QS block tobe transferred exceeds the use limitsspecified at § 679.42, the RegionalDirector will divide the block into twoblocks, one block containing themaximum amount of QS allowableunder the QS use limits and the otherblock containing the residual QS.

(2) QS blocks representing less than1,000 lb (0.5 mt) of IFQ for halibut orless than 3,000 lb (1.9 mt) for sablefish,based on the factors listed in § 679.40(a),for the same IFQ regulatory area andvessel category, may be consolidatedinto larger QS blocks, provided that theconsolidated QS blocks do not representgreater than 1,000 lb (0.5 mt) of IFQ for

halibut or greater than 3,000 lb (1.4 mt)of IFQ for sablefish based on the factorslisted in § 679.40(a). A consolidated QSblock cannot be divided and isconsidered a single block for purposesof use and transferability.

(f) Transfer of QS or IFQ withrestrictions. If QS or IFQ must betransferred as a result of a court order,operation of law, or as part of a securityagreement, but the person receiving theQS or IFQ by transfer does not meet allof the eligibility requirements of thissection, the Regional Director willapprove the Application for Transferwith restrictions. The Regional Directorwill not assign IFQ resulting from therestricted QS to any person. IFQ withrestrictions may not be used forharvesting halibut or sablefish withfixed gear. The QS or IFQ will remainrestricted until:

(1) The person who received the QSor IFQ with restrictions meets theeligibility requirements of this sectionand the Regional Director approves anApplication for Eligibility for thatperson; or

(2) The Regional Director approvesthe Application for Transfer from theperson who received the QS or IFQ withrestrictions to a person who meets therequirements of this section.

(g) Transfer restrictions, catcher vesselQS. (1) Except as provided in paragraph(f) or (g)(2) of this section, only personswho are IFQ crewmembers, or who wereinitially assigned catcher vessel QS, andmeet the other requirements in thissection may receive catcher vessel QS.

(2) Except as provided in paragraph(g)(3) of this section, only persons whoare IFQ crew members may receivecatcher vessel QS in IFQ regulatory area2C for halibut or in the IFQ regulatoryarea east of 140° W. long. for sablefish.

(3) Catcher vessel QS initiallyassigned to an individual may betransferred to a corporation that is solelyowned by the same individual. Suchtransfers of catcher vessel QS in IFQregulatory area 2C for halibut or in theIFQ regulatory area east of 140° W. long.for sablefish will be governed by the useprovisions of § 679.42(i); the useprovisions pertaining to corporations at§ 679.42(j) shall not apply.

(4) Except as provided in paragraph(h) of this section, or by court order,operation of law, or as part of a securityagreement, the Regional Director willnot approve an Application for Transferof catcher vessel QS subject to a leaseor any other condition of repossessionor resale by the person transferring QS.The Regional Director may request acopy of the sales contract or other termsand conditions of transfer between two


persons as supplementary informationto the transfer application.

(h) Leasing QS (applicable untilJanuary 2, 1998). A person may not useIFQ resulting from a QS lease forharvesting halibut or sablefish until anApplication for Transfer complyingwith the requirements of paragraph (b)of this section and the lease agreementare approved by the Regional Director.A person may lease no more than 10percent of that person’s total catchervessel QS for any IFQ species in anyIFQ regulatory area to one or morepersons for any fishing year. Afterapproving the Application for Transfer,the Regional Director shall change anyIFQ accounts affected by an approvedQS lease and issue all necessary IFQpermits. QS leases must comply with alltransfer requirements specified in thissection. All leases will expire onDecember 31 of the calendar year forwhich they are approved.

(i) Transfer across catcher vesselcategories—(1) CDQ compensation.Persons issued CDQ compensation QSin a catcher vessel category, pursuant to§ 679.41(j), and in an IFQ regulatoryarea in which they do not hold QS otherthan CDQ compensation QS, may usethat CDQ compensation QS on anycatcher vessel. This exemption fromcatcher vessel categories ends upon thefirst transfer of the CDQ compensationQS. CDQ compensation QS beingtransferred will be permanentlyassigned to a specific catcher vesselcategory as designated by the personreceiving the transfer.

(2) Redesignated catcher vesselcategory (Applicable until February 24,1997). Catcher vessel QS transferred aspartial or total consideration for thetransfer of CDQ compensation QS maybe redesignated into a new catchervessel category if the CDQcompensation QS being transferred canbe used on any catcher vessel pursuantto the exemption in paragraph (i)(1) ofthis section and the person to whichthat CDQ compensation QS was issuedis party to the transfer.

(3) CDQ compensation QS definition.For purposes of this paragraph (i), CDQcompensation QS is QS issued ascompensation for halibut and sablefishharvest privileges foregone due to theCDQ Program, as provided in paragraph(j) of this section.

(j) Compensation for CDQ allocations.(1) The Regional Director willcompensate persons that receive areduced halibut QS in IPHC regulatoryareas 4B, 4C, 4D, or 4E because of thehalibut CDQ program by adding halibutQS from IPHC regulatory areas 2C, 3A,3B, and 4A. This compensation ofhalibut QS from areas 2C, 3A, 3B, and

4A will be allocated in proportion to theamount of halibut QS foregone due tothe CDQ allocation authorized by thissection.

(2) The Regional Director willcompensate persons that receive areduced sablefish QS in any BSAI IFQregulatory area because of the sablefishCDQ program by taking sablefish QSfrom the IFQ regulatory areas of theGOA and allocating it in proportion tothe loss suffered by persons in the BSAIarea. Such additional compensation ofsablefish QS will be allocated inproportion to the amount of sablefishQS foregone due to the CDQ allocationauthorized by this section.

(3) Persons initially issued QS for IFQregulatory areas in which a portion ofthe TAC is allocated to the CDQProgram will be compensated forhalibut and sablefish harvest privilegesforegone due to the CDQ Program. If aperson does not hold QS in an IFQregulatory area on the date thecompensation is issued, that person’scompensation will be issued asunblocked. If a person does hold QS inan IFQ regulatory area on the datecompensation is issued, that person’scompensation will be added to theirexisting QS in that IFQ regulatory area.The resulting QS amount will beblocked or unblocked according to thecriteria found at § 679.40(a).Compensation will be calculated foreach non-CDQ area using the followingformula:QN = (QC×QSPN×RATE)/(SUMCDQ¥

[RATE×SUMTAC])([1¥RATE]×TACAVE) (QSPC×[CDQ PCT ¥RATE])

Where:QN = quota share in non-CDQ areaQC = quota share in CDQ areaQSPN = quota share pool in non-CDQ area (as

existing on January 31, 1995)RATE = SUMCDQ/average of the TAC (1988–

1994) for all CDQ and non-CDQ areasTACAVE = average of the TAC (1988–1994)

for CDQ areaQSPC = quota share pool in CDQ area (as

existing on January 31, 1995)CDQPCT = CDQ percentage for CDQ areaSUMCDQ = sum [TACAVE×CDQPCT]SUMTAC = sum [TACAVE]

§ 679.42 Limitations on use of QS and IFQ.(a) IFQ regulatory area. The QS or IFQ

specified for one IFQ regulatory areaand one vessel category must not beused in a different IFQ regulatory areaor vessel category, except as provided inparagraph (i)(2) of this section, or in§ 679.41(i)(1).

(b) Gear. Halibut IFQ must be usedonly to harvest halibut with fishing gearauthorized in § 679.2. Sablefish fixedgear IFQ must not be used to harvest

sablefish with trawl gear in any IFQregulatory area, or with pot gear in anyIFQ regulatory area of the GOA.

(c) Requirements. Any individual whoharvests halibut or sablefish with fixedgear must:

(1) Have a valid IFQ card.(2) Be aboard the vessel at all times

during fishing operations.(3) Sign any required fish ticket or

IFQ landing report for the amount ofhalibut or sablefish that will be debitedagainst the IFQ associated with theirIFQ card.

(i) Sablefish PRRs. The amount ofsablefish to be reported to NMFS fordebit from an IFQ account will be theround-weight equivalent determined bydividing the initial accurate scaleweight of the sablefish product obtainedat time of landing by the standard PRRsfor sablefish in Table 3 to this part.

(ii) Halibut PRRs. The amount ofhalibut to be reported to NMFS for debitfrom an IFQ account will be the gutted,head-off weight determined bymultiplying the initial accurate scaleweight of the halibut obtained at thetime of landing by the followingconversion factors:

Productcode

Productdescription

Conversionfactor

01 ............ Whole fish ........... 0.7504 ............ Gutted, head on 0.9005 ............ Gutted, head off 1.00

(d) Emergency waiver. Therequirement of paragraph (c) of thissection for an individual IFQ cardholder to be aboard the vessel duringfishing operations and to sign the IFQlanding report may be waived in theevent of extreme personal emergencyinvolving the IFQ user during a fishingtrip. The waiving of these requirementsshall apply only to IFQ halibut or IFQsablefish retained on the fishing tripduring which such emergency occurred.

(e) Sablefish QS use. (1) No person,individually or collectively, may use anamount of sablefish QS greater than 1percent of the combined total sablefishQS for the GOA and BSAI IFQregulatory areas, unless the amount inexcess of 1 percent was received in theinitial allocation of QS.

(2) In the IFQ regulatory area east of140° W. long., no person, individuallyor collectively, may use more than 1percent of the total amount of QS forthis area, unless the amount in excess of1 percent was received in the initialallocation of QS.

(f) Halibut QS use. Unless the amountin excess of the following limits wasreceived in the initial allocation ofhalibut QS, no person, individually orcollectively, may use more than:


(1) IFQ regulatory area 2C. Onepercent of the total amount of halibutQS for IFQ regulatory area 2C.

(2) IFQ Regulatory areas 2C, 3A, and3B. One-half percent of the total amountof halibut QS for IFQ regulatory areas2C, 3A, and 3B, combined.

(3) IFQ Regulatory areas 4A, 4B, 4C,4D, and 4E. One-half percent of the totalamount of halibut QS for IFQ regulatoryareas 4A, 4B, 4C, 4D, and 4E, combined.

(g) Limitations on QS blocks—(1)Number of blocks per species. (i) Exceptas provided in paragraph (g)(1)(ii) of thissection, no person, individually orcollectively, may hold more than twoblocks for each species in any IFQregulatory area.

(ii) If that person, individually orcollectively, holds unblocked QS for aspecies in an IFQ regulatory area, suchperson may only hold one QS block forthat species in that IFQ regulatory area.

(2) Holding or to hold blocks of QS.For purposes of this section, ‘‘holding’’or ‘‘to hold’’ blocks of QS means beingregistered by NMFS as the person whoreceived QS by initial assignment orapproved transfer.

(h) Vessel limitations—(1) Halibut. (i)Except as provided in paragraph(h)(1)(ii) of this section, no vessel maybe used, during any fishing year, toharvest more than one-half percent ofthe combined total catch limits ofhalibut for IFQ regulatory areas 2C, 3A,3B, 4A, 4B, 4C, 4D, and 4E.

(ii) In IFQ regulatory area 2C, novessel may be used to harvest more than1 percent of the halibut catch limit forthis area.

(2) Sablefish. (i) Except as provided inparagraph (h)(2)(ii) of this section, novessel may be used, during any fishingyear, to harvest more than 1 percent ofthe combined fixed gear TAC ofsablefish for the GOA and BSAI IFQregulatory areas.

(ii) In the IFQ regulatory area east of140° W. long., no vessel may be used toharvest more than 1 percent of the fixedgear TAC of sablefish for this area.

(3) Excess. A person who receives anapproved IFQ allocation of halibut orsablefish in excess of these limitationsmay nevertheless catch and retain all ofthat IFQ with a single vessel. However,two or more persons may not catch andretain their IFQs with one vessel inexcess of these limitations.

(i) Use of catcher vessel IFQ. Exceptas provided in paragraph (i)(1) of thissection, in addition to the requirementsof paragraph (c) of this section, catchervessel IFQ cards must be used only bythe individual who holds the QS fromwhich the associated IFQ is derived.

(1) Exemption. (i) An individual whoreceives an initial allocation of catcher

vessel QS does not have to be aboard thevessel and sign IFQ landing reports ifthat individual owns the vessel onwhich IFQ sablefish or halibut areharvested, and is represented on thevessel by a master employed by theindividual who received the initialallocation of QS.

(ii) The exemption provided inparagraph (i)(1)(i) of this section doesnot apply to individuals who receive aninitial allocation of catcher vessel QS forhalibut in IFQ regulatory area 2C or forsablefish QS in the IFQ regulatory areaeast of 140° W. long., and thisexemption is not transferrable.

(2) Freezer vessel. (i) Catcher vesselIFQ may be used on a freezer vessel,provided that the length of the freezervessel using the catcher vessel IFQ isconsistent with the vessel category ofthe catcher vessel IFQ, as specified at§ 679.40(a)(5)(ii) (B) through (D) and nofrozen or otherwise processed fishproducts are on board at any timeduring a fishing trip on which catchervessel IFQ is being used.

(ii) A vessel using catcher vessel IFQmay not land any IFQ species as frozenor otherwise processed product.Processing of fish on the same vesselthat harvested those fish using catchervessel QS is prohibited.

(j) Use of catcher vessel IFQ bycorporations and partnerships. Acorporation or partnership that receivesan initial allocation of catcher vessel QSmay use the IFQ resulting from that QSand any additional QS acquired withinthe limitations of this section, providedthe corporation or partnership owns thevessel on which its IFQ is used, and itis represented on the vessel by a masteremployed by the corporation orpartnership that received the initialallocation of QS. This provision is nottransferrable and does not apply tocatcher vessel QS for halibut in IFQregulatory area 2C or for sablefish in theIFQ regulatory area east of 140° W. long.that is transferred to a corporation orpartnership. Such transfers of additionalQS within these areas must be to anindividual pursuant to § 679.41(c) andbe used pursuant to paragraphs (c) and(i) of this section.

(1) A corporation or partnership,except for a publicly-held corporation,that receives an initial allocation ofcatcher vessel QS loses the exemptionprovided under paragraph (j)introductory text of this section on theeffective date of a change in thecorporation or partnership from thatwhich existed at the time of initialallocation.

(2) For purposes of this paragraph (j),‘‘a change in the corporation orpartnership’’ means the addition of any

new shareholder(s) or partner(s), exceptthat a court appointed trustee to act onbehalf of a shareholder or partner whobecomes incapacitated is not a changein the corporation or partnership.

(3) The Regional Director must benotified of a change in a corporation orpartnership as defined in this paragraph(j) within 15 days of the effective dateof the change. The effective date ofchange, for purposes of this paragraph(j), is the date on which the newshareholder(s) or partner(s) may realizeany corporate liabilities or benefits ofthe corporation or partnership.

(4) Catcher vessel QS and IFQresulting from that QS held in the nameof a corporation or partnership thatchanges, as defined in this paragraph (j),must be transferred to an individual, asprescribed in § 679.41, before it may beused at any time after the effective dateof the change.

§ 679.43 Determinations and appeals.(a) General. This section describes the

procedure for appealing initialadministrative determinations madeunder this subpart D, portions ofsubpart C of this part that apply to thehalibut and sablefish CDQ program, and§ 679.4(c).

(b) Who may appeal. Any personwhose interest is directly and adverselyaffected by an initial administrativedetermination may file a written appeal.For purposes of this section, suchpersons will be referred to as‘‘applicant’’ or ‘‘appellant.’’

(c) Submission of appeals. Appealsmust be in writing and must besubmitted in original form to theRegional Director. Contact the RegionalDirector for appeals address. Appealstransmitted by electronic means will notbe accepted.

(d) Timing of appeals. (1) If anapplicant appeals an initialadministrative determination, theappeal must be filed not later than 60days after the date the determination isissued.

(2) The time period within which anappeal may be filed begins to run on thedate the initial administrativedetermination is issued. If the last dayof the time period is a Saturday,Sunday, or Federal holiday, the timeperiod will extend to the close ofbusiness on the next business day.

(e) Address of record. NMFS willestablish as the address of record theaddress used by the applicant in initialcorrespondence to Chief, RAM Division,after the application period has begun.Notifications of all actions affecting theapplicant after establishing an addressof record will be mailed to that address,unless the applicant provides NMFS, in


writing, with any changes to thataddress. NMFS bears no responsibility ifa notification is sent to the address ofrecord and is not received because theapplicant’s actual address has changedwithout notification to NMFS.

(f) Statement of reasons for appeals.Applicants must timely submit a fullwritten statement in support of theappeal, including a concise statement ofthe reasons the initial administrativedetermination has a direct and adverseeffect on the applicant and should bereversed or modified. If the applicantrequests a hearing on any issuepresented in the appeal, such request forhearing must be accompanied by aconcise written statement raisinggenuine and substantial issues ofadjudicative fact for resolution and a listof available and specifically identifiedreliable evidence upon which thefactual issues can be resolved. Theappellate officer will limit his/herreview to the issues stated in the appeal;all issues not set out in the appeal willbe waived.

(g) Hearings. The appellate officerwill review the applicant’s appeal andrequest for hearing, and has discretionto proceed as follows:

(1) Deny the appeal;(2) Issue a decision on the merits of

the appeal, if the record containssufficient information on which to reachfinal judgment; or

(3) Order that a hearing be conducted.The appellate officer may so order onlyif the appeal demonstrates thefollowing:

(i) There is a genuine and substantialissue of adjudicative fact for resolutionat a hearing. A hearing will not beordered on issues of policy or law.

(ii) The factual issue can be resolvedby available and specifically identifiedreliable evidence. A hearing will not beordered on the basis of mere allegationsor denials or general descriptions ofpositions and contentions.

(iii) The evidence described in therequest for hearing, if established athearing, would be adequate to justifyresolution of the factual issue in the waysought by the applicant. A hearing willnot be ordered if the evidence describedis insufficient to justify the factualdetermination sought, even if accurate.

(iv) Resolution of the factual issue inthe way sought by the applicant isadequate to justify the action requested.A hearing will not be ordered on factualissues that are not determinative withrespect to the action requested.

(h) Types of hearings. If the appellateofficer determines that a hearing shouldbe held to resolve one or more genuineand substantial issues of adjudicativefact, he/she may order:

(1) A written hearing, as provided inparagraph (m) of this section; or

(2) An oral hearing, as provided inparagraph (n) of this section.

(i) Authority of the appellate officer.The appellate officer is vested withgeneral authority to conduct all hearingsin an orderly manner, including theauthority to:

(1) Administer oaths.(2) Call and question witnesses.(3) Issue a written decision based on

the record.(j) Evidence. All evidence that is

relevant, material, reliable, andprobative may be included in therecord. Formal rules of evidence do notapply to hearings conducted under thissection.

(k) Appellate officers’ decisions. Theappellate officer will close the recordand issue a decision after determiningthere is sufficient information to rendera decision on the record of theproceedings and that all proceduralrequirements have been met. Thedecision must be based solely on therecord of the proceedings. Except asprovided in paragraph (o) of thissection, an appellate officer’s decisiontakes effect 30 days after it is issuedand, upon taking effect, is the finalagency action for purposes of judicialreview.

(l) Disqualification of an appellateofficer. (1) The appellate officer willwithdraw from an appeal at any timehe/she deems himself/herselfdisqualified.

(2) The appellate officer maywithdraw from an appeal on anappellant’s motion if:

(i) The motion is entered prior to theappellate officer’s issuance of adecision; and

(ii) The appellant demonstrates thatthe appellate officer has a personal biasor any other basis for disqualification.

(3) If the appellate officer denies amotion to withdraw, he/she will so ruleon the record.

(m) Written hearing. (1) An appellateofficer may order a written hearingunder paragraph (h)(1) of this section ifhe/she:

(i) Orders a hearing as provided inparagraph (g)(3) of this section; and

(ii) Determines that the issues to beresolved at hearing can be resolved byallowing the appellant to presentwritten materials to support his/herposition.

(2) After ordering a written hearing,the appellate officer will:

(i) Provide the appellant withnotification that a written hearing hasbeen ordered.

(ii) Provide the appellant with astatement of issues to be determined athearing.

(iii) Provide the appellant with 30days to file a written response. Theappellant may also providedocumentary evidence to support his/her position. The period to file a writtenresponse may be extended at the solediscretion of the appellate officer, if theappellant shows good cause for theextension.

(3) The appellate officer may, afterreviewing the appellant’s writtenresponse and documentary evidence:

(i) Order that an oral hearing be held,as provided in paragraph (h)(2) of thissection, to resolve issues that cannot beresolved through the written hearingprocess;

(ii) Request supplementary evidencefrom the appellant before closing therecord; or

(iii) Close the record.(4) The appellate officer will close the

record and issue a decision afterdetermining that the information on therecord is sufficient to render a decision.

(n) Oral hearing. (1) The appellateofficer may order an oral hearing underparagraphs (h)(2) and (m)(3)(i) of thissection if he/she:

(i) Orders a hearing as provided inparagraph (g)(3) of this section; and

(ii) Determines that the issues to beresolved at hearing can best be resolvedthrough the oral hearing process.

(2) After ordering an oral hearing, theappellate officer will:

(i) Provide the appellant withnotification that an oral hearing hasbeen ordered.

(ii) Provide the appellant with astatement of issues to be determined athearing.

(iii) Provide the appellant withnotification, at least 30 days in advance,of the place, date, and time of the oralhearing. Oral hearings will be held inJuneau, AK, at the prescribed date andtime, unless the appellate officerdetermines, based upon good causeshown, that a different place, date, ortime will better serve the interests ofjustice. A continuance of the oralhearing may be ordered at the solediscretion of the appellate officer if theappellant shows good cause for thecontinuance.

(3) The appellate officer may, either athis/her own discretion or on the motionof the appellant, order a pre-hearingconference, either in person ortelephonically, to consider:

(i) The simplification of issues.(ii) The possibility of obtaining

stipulations, admissions of facts, andagreements to the introduction ofdocuments.

(iii) The possibility of settlement orother means to facilitate resolution ofthe case.


(iv) Such other matters as may aid inthe disposition of the proceedings.

(4) The appellate officer must providethe appellant with notification of a pre-hearing conference, if one is ordered, atleast 30 days in advance of theconference. All action taken at the pre-hearing conference will be made part ofthe record.

(5) At the beginning of the oralhearing, the appellate officer may firstseek to obtain stipulations as to materialfacts and the issues involved and maystate any other issues on which he/shemay wish to have evidence presented.Issues to be resolved at the hearing willbe limited to those identified by theappellate officer as provided inparagraph (g)(3) of this section. Theappellant will then be given anopportunity to present his/her case.

(6) During the oral hearing, theappellant has the right to presentreliable and material oral ordocumentary evidence and to conductsuch cross-examination as may berequired in the interests of justice.

(7) After the conclusion of the oralhearing, the appellant may be giventime by the appellate officer to submitany supplementary information thatmay assist in the resolution of the case.

(8) The appellate officer will close therecord and issue a decision afterdetermining that the information on therecord is sufficient to render a decision.

(o) Review by the Regional Director.An appellate officer’s decision is subjectto review by the Regional Director, asprovided in this paragraph (o).

(1) The Regional Director may affirm,reverse, modify, or remand the appellateofficer’s decision before the 30-dayeffective date of the decision providedin paragraph (k) of this section.

(2) The Regional Director may takeany of these actions on or after the 30-day effective date by issuing a stay ofthe decision before the 30-day effectivedate. An action taken under paragraph(o)(1) of this section takes effectimmediately.

(3) The Regional Director mustprovide a written explanation why anappellate officer’s decision has beenreversed, modified, or remanded.

(4) The Regional Director mustpromptly notify the appellant(s) of anyaction taken under this paragraph (o).

(5) The Regional Director’s decision toaffirm, reverse, or modify an appellateofficer’s decision is a final agency actionfor purposes of judicial review.

§ 679.44 Penalties.Any person committing, or a fishing

vessel used in the commission of, aviolation of the Magnuson Act orHalibut Act, or any regulation issued

under the Magnuson Act or Halibut Act,is subject to the civil and criminalpenalty provisions and civil forfeitureprovisions of the Magnuson Act orHalibut Act, to part 600 of this chapter,to 15 CFR part 904 (Civil Procedures),and to other applicable law. Penaltiesinclude but are not limited topermanent or temporary sanctions to QSand associated IFQ.

Subpart E—Observer Requirements/North Pacific Fisheries Research Plan

§ 679.50 Research Plan fee.

(a) Fee percentage. The fee percentagewill be set annually under procedures at§ 679.53, such that the total fees equalthe lesser of the following:

(1) The cost of implementing theResearch Plan, including nonpayments,minus any other Federal funds thatsupport the Research Plan and anyexisting surplus in the North PacificFishery Observer Fund; or

(2) Two percent of the exvessel valueof all Research Plan fisheries.

(b) Fee assessment—(1) Feeassessments applicable from January 1,1995, through August 31, 1995—(i)General. NMFS will calculate bimonthlyfee assessments for each processor ofResearch Plan fisheries based on thebest available information received bythe Regional Director since the lastbimonthly billing period on the amountof fish retained by the processor fromResearch Plan fisheries. Fee assessmentswill not be calculated for the retainedamounts of whole fish processed intomeal product.

(ii) Groundfish calculation. Thebimonthly fee assessment is calculatedby NMFS for each shoreside processoror mothership retaining groundfish, asfollows:Ag = (G1 × $exvessel × 1⁄2F) + (G2 ×

$exvessel × F)Where:

(A) Ag is the bimonthly feeassessment for groundfish.

(B) G1 is the round weight or round-weight equivalent of retained catch ofeach groundfish species delivered bycatcher vessels equal to and greater than60 ft (18.3 m) LOA determined by thebest available information received bythe Regional Director since the lastbimonthly billing period.

(C) G2 is the round weight or round-weight equivalent of retained catch ofeach groundfish species delivered bycatcher vessels less than 60 ft (18.3 m)LOA determined by the best availableinformation received by the RegionalDirector since the last bimonthly billingperiod.

(D) F is the fee percentage establishedpursuant to § 679.53 for the calendaryear.

(E) $exvessel is the standard exvesselprice established pursuant to § 679.53for the calendar year.

(iii) Crab calculation. The bimonthlyfee assessment is calculated by NMFSfor each processor retaining king orTanner crab, as follows:Ac = (C1 × $exvessel × 1⁄2F) + (C2 ×

$exvessel × F)Where:

(A) Ac is the bimonthly fee assessmentfor crab.

(B) C1 is the round weight or round-weight equivalent of retained catch ofred king crab or brown king crabharvested from ADF&G’s statistical areaR (Adak), defined at 5 AAC 34.700,brown king crab harvested fromADF&G’s statistical area O (DutchHarbor), defined at 5 AAC 34.600,Chionoecetes tanneri Tanner crab, C.angulatus Tanner crab, and Lithodescousei king crab determined by the bestavailable information received by theRegional Director since the lastbimonthly billing period.

(C) C2 is, except for those specieslisted under paragraph (b)(1)(iii)(B) ofthis section, the round weight or round-weight equivalent of retained catch ofking or Tanner crab, determined by thebest available information received bythe Regional Director since the lastbimonthly billing period.

(D) $exvessel is the standard exvesselprice established pursuant to § 679.53for the calendar year.

(E) F is the fee percentage establishedpursuant to § 679.53 for the calendaryear.

(iv) Groundfish and halibutcalculation. Except as provided inparagraph (b)(1)(ii) of this section, thebimonthly fee assessment is calculatedby NMFS for each processor that retainsgroundfish or halibut, as follows:Ah,g = (H × $exvessel × F)Where:(A) Ah,g is the bimonthly fee assessmentfor groundfish or halibut.

(B) H is the round weight or round-weight equivalent of retained catch ofgroundfish or halibut determined by thebest available information received bythe Regional Director since the lastbimonthly billing period.

(C) $exvessel is the standard exvesselprice established pursuant to § 679.53for the calendar year.


(2) Fee assessments applicable fromSeptember 1, 1995, through December31, 1996. Processors of Research Plan


fisheries will not be assessed fees basedon catch from Research Plan fisheriesthat is retained during the periodSeptember 1, 1995, through December31, 1996.

(3) Fee assessments applicable afterDecember 31, 1996. (i) The bimonthlyfee assessment is calculated by NMFSfor each processor of Research Planfisheries, as follows:ARP = (R × $exvessel × F)Where:

(A) ARP is the bimonthly feeassessment for Research Plan fisheries.

(B) R is the round weight or round-weight equivalent of retained catch foreach species from Research Planfisheries determined by the bestavailable information received by theRegional Director since the lastbimonthly billing period.

(C) $exvessel is the standard exvesselprice established pursuant to § 679.53for the calendar year.


(ii) Fee assessments will not becalculated for the retained amounts ofwhole fish processed into meal product.

(c) Fee payments. (1) NMFS will billeach processor of Research Planfisheries for bimonthly fee assessmentscalculated under paragraph (b) of thissection. Each processor must collect andpay the bimonthly fee assessments.Bimonthly fee assessment paymentsmust be in the form of certified check,draft, or money order payable in U.S.currency to ‘‘The Department ofCommerce/NOAA.’’

(2) Except as provided in paragraphs(d) and (f) of this section, payment infull must be received by the financialinstitution authorized by the U.S.Treasury to receive these funds within30 calendar days from the date ofissuance of each bimonthly feeassessment bill. Payments will bedeposited in the North Pacific FisheryObserver Fund within the U.S.Treasury.

(d) Credit for observer coverage costsincurred from January 1, 1995, throughAugust 31, 1995—(1) General. Subject tothe limitations set out in paragraph(d)(2) of this section, each processormay subtract from its portion of theprocessor’s billed fee assessment thecost of observer coverage paid by theprocessor to an observer contractor(s)for the processor’s compliance withobserver coverage requirements at§ 679.51.

(2) Limitations. (i) Only thosepayments to observer contractors forobserver coverage required under§ 679.51 that are received by observer

contractors prior to April 1, 1996, willbe credited against a processor’s billedfee assessment under this paragraph (d).

(ii) The amount that may besubtracted from a catcher/processor’sbilled fee assessment for retained catchof groundfish is limited to the actualcost of observer coverage required under§ 679.51 up to an amount equal to thefee assessment calculated underparagraph (b)(1)(iv) of this section.

(iii) The amount that may besubtracted from a shoreside processor’sor mothership processor vessel’s billedfee assessment for retained catch ofgroundfish is limited to the actual costof observer coverage required under§ 679.51 up to an amount equal to thesum of the fee assessment calculatedunder paragraph (b)(1)(ii)(B) of thissection plus one half the fee assessmentcalculated under paragraph (b)(1)(ii)(C)of this section.

(iv) The amount that may besubtracted from a catcher/processor ormothership processor vessel’s billed feeassessment for retained catch of king orTanner crab is limited to the actual costof observer coverage required under§ 679.51 up to an amount equal to thesum of the fee assessment calculatedunder paragraph (b)(1)(iii)(B) of thissection plus one half the fee assessmentcalculated under paragraph (b)(1)(iii)(C)of this section.

(3) Credit applied by NMFS tobimonthly fee assessments. If aprocessor’s cost for observer coveragerequired under § 679.51 during abimonthly period exceeds the calculatedfee assessment for that period, theRegional Director will credit theprocessor’s next bimonthly feeassessment up to an amount equal to theremaining observer coverage costs asreported to the Regional Director underparagraph (e) of this section, or thebimonthly fee assessment, whichever isless.

(e) Recordkeeping and reporting—(1)Processor requirements. (i) Allprocessors that subtract costs forobserver coverage from their bimonthlyfee assessment under this paragraph (e)must submit to the Regional Director acopy of each paid invoice for observercoverage and a copy of the check,money order, or other form of paymentsent to the observer contractor inpayment for observer coverage listed onthe invoice.

(ii) The information required underparagraph (e)(1)(i) of this section mustbe sent at the time the processor submitsthe payment of the bimonthly feeassessment to the Department ofCommerce/NOAA under paragraph (c)of this section.

(2) Observer contractor requirements.(i) Observer contractors must submit tothe Regional Director a completedObserver Coverage Payment ReceiptForm for each payment received from aprocessor for compliance with observercoverage requirements at § 679.51 and acopy of the check, money order, or otherform of payment. Each completed formand the attached copy of the record ofpayment must be submitted to NMFSAlaska Fisheries Science Center inSeattle, WA, within 7 days afterpayment is received.

(ii) Observer coverage paymentreceipt form. Observer contractors mayobtain Observer Coverage PaymentReceipt Forms from the RegionalDirector. The form requests thefollowing information:

(A) Observer contractor name andsignature of a person serving as arepresentative for the observercontractor;

(B) Identification of the processorvessel or shoreside processor thatreceived observer coverage;

(C) Name of the observer(s) anddate(s) of deployment for observercoverage;

(D) The name and mailing address ofthe person who paid for observercoverage; and

(E) The total amount paid for observercoverage and the date payment forobserver coverage was received; and

(F) Copies of the check, money order,or other form of payment.

(f) Disputed fee assessments. (1) Aprocessor must notify the RegionalDirector, in writing, within 30 days ofissuance of a bimonthly fee assessmentbill, if any portion of the bimonthly feeassessment bill is disputed. Theprocessor must pay the undisputedamount of the bimonthly fee assessmentbill within 30 days of its issuance, andprovide documentation supporting thedisputed portion claimed to be under-or over-billed.

(2) The Regional Director will reviewthe bimonthly fee assessment bill andthe documentation provided by theprocessor, and will notify the processorof his/her determination within 60 daysof the date of issuance of the bimonthlyfee assessment bill. If the RegionalDirector determines a billing error hasoccurred, the processor’s account willbe rectified by credit or issuance of acorrected fee assessment bill. If theRegional Director determines that abilling error has not occurred, theoutstanding payment on the bimonthlyfee assessment bill will be consideredpast-due from the date 30 days from thedate of issuance of the bill and latecharges will be assessed underparagraph (g) of this section.


(3) If the processor does not disputethe amount of the fee assessment billwithin 30 days of its issuance, the feeassessment will be final, and will be dueto the United States.

(g) Late charges. The NOAA Office ofthe Comptroller shall assess late chargesin the form of interest andadministrative charges for late paymentof fee assessments. Interest will accrueon the unpaid amount at a percentagerate established by the Federal ReserveBoard and applied to funds held by theU.S. Treasury for each 30-day period, orportion thereof, that the payment isoverdue. Payment received after 90 daysfrom the due date will be charged anadditional late payment penalty chargeof 6 percent of the balance due.

(h) Refund of the North PacificFishery Observer Fund (ObserverFund)—(1) General. (i) All monies in theObserver Fund will be refundedaccording to the refund procedure setout in paragraph (h)(2) of this section.The sum of all amounts refunded cannotexceed the amount available in theObserver Fund.

(ii) The monies in the Observer Fundinclude: Fee assessment payments asspecified in paragraph (c) of thissection, assessed late charges in theform of interest and administrativecharges for late payment of feeassessments as specified in paragraph(g) of this section, and accrued interest.Until the time of refund, monies willremain deposited in the Observer Fundearning interest.

(iii) Without exception, fulldisbursement of the Observer Fund willoccur to refund Research Planprocessors. NMFS will not retain anyfunds either to reimburse programs forcosts incurred to implement theResearch Plan or to issue refunds.

(2) Identification of the Research Planrefund recipient.

(i) Except as indicated in paragraph(h)(2)(ii) of this section, Research Planfees will be refunded to the person whowas billed and made payment to NMFS.The recipient of the refund and therefund amount will be based on Federalprocessor permit records and ResearchPlan billing.

(ii) Exceptions. (A) If a refundrecipient has died, the refund will beissued to the recipient’s estate;

(B) If a refund recipient is acorporation and has gone bankrupt,successor-in-interest guidelines, as setforth in applicable state law, will befollowed.

(3) Calculation of the principalportion of refund. All payment amountsas assessed under paragraphs (c) and (g)of this section, and paid by processors,will be verified by NMFS in the

Research Plan billing records and willconstitute the principal portion of therefund.

(4) Calculation of the interest portionof refund—(i) General. (A) The interestearned by the principal portion investedin the Observer Fund will be distributedamong paying processors based on theirproportional contribution to theObserver Fund. Contributions are basedon two factors: The processor’s totalpayment amount and the number ofdays the processor’s total paymentamount was on deposit.

(B) This method is necessary toensure that the interest that is refundeddoes not exceed the interest amount thatwas earned and is available in theObserver Fund. Due to theadministrative process used to investthe funds, certain delays existedbetween the date a processor madepayment and the actual investment date.The date of payment is not the date thedeposits were invested. Therefore, usingthe date of payment to calculate interestearned on an individual processor’spayments will not accurately reflect theinterest that was actually earned.

(C) NMFS has determined that thecalculation specified in this paragraph(h)(4) is a fair and equitable way todistribute the interest earned onObserver Fund investments among theprocessors that made Research Planpayments. The interest portion of therefund will be calculated as follows.

(ii) Processor’s contribution. Aprocessor’s total payment amountmultiplied by the number of days theprocessor’s total payment amount wason deposit equals the processor’scontribution. The number of days isbased on the payment receipt date at theFirst National Bank of Chicago. Forexample, if a processor’s total paymentamount was $20,000 and this amountwas on deposit for 150 days, then theprocessor’s contribution is$20,000×150=$3,000,000);

(iii) Processor’s percent contributionto Observer Fund. A processor’scontribution divided by the totalamount of all processor contributionsmultiplied by 100 equals the processor’spercent contribution to the ObserverFund. For example, if the total amountof all processor contributions is$750,000,000 ($5,000,000×150 days),then the processor’s percentcontribution is $3,000,000/$750,000,000×100=0.4 percent.

(iv) Processor’s interest portion ofResearch Plan refund. A processor’spercent contribution multiplied by thetotal amount of interest earned by theObserver Fund equals the processor’sinterest portion of the Research Planrefund. For example, if the total amount

of interest earned by the Observer Fundis $200,000, then the processor’s interestportion of the Research Plan refund is0.4 percent×$200,000=$800.

(5) Disinvestment of the ObserverFund. The interest portion of the refundcannot be calculated until ObserverFund investments are withdrawn.Withdrawal of investments will occurjust prior to the earliest possibleissuance of refund checks in order toavoid unwarranted loss of interest. Theactual amount of a processor’s interestportion of the refund will be evidentupon receipt of the refund check.

(6) Notification to processors ofrefund amounts. (i) NMFS will notifyeach processor by certified mail of apreliminary determination of theprincipal portion of the refund amount.The sum of the payment amountsreceived for each processor equals theprincipal portion of the Research Planrefund.

(ii) Final determination of aprocessor’s principal portion is subjectto resolution of all disputes receivedunder paragraph (h)(7) of this section.

(iii) The notification letter to eachprocessor will include the followingitemized reference information:

(A) Payment amount received.(B) Payment receipt date at the First

National Bank of Chicago.(C) Check number.(D) Research Plan bill number to

which the payment was applied.(E) The fishery category to which the

payment was applied.(7) Dispute process. A processor that

disagrees with any determination of theprincipal portion of the refund amountas described in paragraph (h)(3) of thissection must sign the certifiednotification letter and return it to NMFSwithin 30 days of receipt of the certifiedletter, accompanied by documentationsupporting the disputed principalportion of the refund amount.

(i) NMFS review. NMFS will reviewletters and documentation receivedunder this paragraph (h)(7).

(ii) NMFS determination. (A) If NMFSdetermines an error exists in thecalculation of the principal portion ofrefund amounts, NMFS will correctsuch calculations and notify the affectedprocessors of its determination; or

(B) If NMFS determines no errorexists in the calculation of the principalportion of refund amounts, NMFS willnotify the affected processors of itsdetermination.

(8) Disbursement of refund checks.Once all disputes received underparagraph (h)(7) of this section havebeen resolved, NMFS will authorize andprovide necessary documentation for


refund checks to be disbursed by theU.S. Treasury.

§ 679.51 General observer requirements(applicable through December 31, 1996).

(a) Coverage requirements foroperators of GOA and BSAI groundfishvessels. Observer coverage is required asfollows:

(1) Mothership. A mothership of anylength that:

(i) Processes 1,000 mt or more inround weight or round-weightequivalents of groundfish during acalendar month is required to have aNMFS-certified observer aboard thevessel each day it receives or processesgroundfish during that month.

(ii) Processes from 500 mt to 1,000 mtin round weight or round-weightequivalents of groundfish during acalendar month is required to have aNMFS-certified observer aboard thevessel at least 30 percent of the days itreceives or processes groundfish duringthat month.

(iii) Each mothership that receivespollock harvested by catcher vessels inthe CVOA, defined in Figure 2 of thispart, during the second pollock seasonthat starts on August 15 under § 679.23,is required to have a second NMFS-certified observer aboard, in addition tothe observer required under paragraphs(a)(1) (i) and (ii) of this section, for eachday of the second pollock season untilthe chum salmon savings area is closedunder § 679.21(e)(7)(vi), or October 15,1996, whichever occurs first.

(2) Catcher/processor or catchervessel. A catcher/processor or catchervessel:

(i) Except for a vessel fishing forgroundfish with pot gear as provided inparagraphs (a)(2) (iv) and (v) of thissection, 125 ft (38.1 m) LOA or longermust carry a NMFS-certified observerduring 100 percent of its fishing dayswhile fishing for groundfish.

(ii) Equal to or greater than 60 ft (18.3m) LOA, but less than 125 ft (38.1 m)LOA, must carry a NMFS-certifiedobserver during at least 30 percent of itsfishing days in each calendar quarter inwhich the vessel participates for morethan 3 fishing days in a directed fisheryfor groundfish. Each vessel thatparticipates for more than 3 fishing daysin a directed fishery for groundfish in acalendar quarter must carry a NMFS-certified observer during at least onefishing trip during that calendar quarterfor each of the groundfish fisherycategories defined under paragraph (b)of this section in which the vesselparticipates.

(iii) Fishing with hook-and-line gearthat is required to carry an observerunder paragraph (a)(2)(ii) of this section

must carry a NMFS-certified observerduring at least one fishing trip in theGOA Eastern Regulatory Area duringeach calendar quarter in which thevessel participates in a directed fisheryfor groundfish in the Eastern RegulatoryArea.

(iv) Equal to or greater than 60 ft (18.3m) LOA fishing with pot gear must carrya NMFS-certified observer during atleast 30 percent of its fishing days ineach calendar quarter in which thevessel participates for more than 3fishing days in a directed fishery forgroundfish.

(v) Each vessel that participates formore than 3 fishing days in a directedfishery for groundfish using pot gearmust carry a NMFS-certified observerduring at least one fishing trip during acalendar quarter for each of thegroundfish fishery categories definedunder paragraph (b) of this section inwhich the vessel participates.

(b) Groundfish fishery categoriesrequiring separate coverage. Directedfishing for groundfish, during anyfishing trip, results:

(1) Pollock fishery. In a retained catchof pollock that is greater than theretained catch of any other groundfishspecies or species group that is specifiedas a separate groundfish fishery underthis paragraph (b).

(2) Pacific cod fishery. In a retainedcatch of Pacific cod that is greater thanthe retained catch of any othergroundfish species or species group thatis specified as a separate groundfishfishery under this paragraph (b).

(3) Sablefish fishery. In a retainedcatch of sablefish that is greater than theretained catch of any other groundfishspecies or species group that is specifiedas a separate groundfish fishery underthis paragraph (b).

(4) Rockfish fishery. In a retainedaggregate catch of rockfish of the generaSebastes and Sebastolobus that isgreater than the retained catch of anyother groundfish species or speciesgroup that is specified as a separategroundfish fishery under this paragraph(b).

(5) Flatfish fishery. In a retainedaggregate catch of all flatfish species,except halibut, that is greater than theretained catch of any other groundfishspecies or species group that is specifiedas a separate groundfish fishery underthis paragraph (b).

(6) Other species fishery. In a retainedcatch of groundfish that does not qualifyas a pollock, Pacific cod, sablefish,rockfish, or flatfish fishery as definedunder paragraphs (b) (1) through (5) ofthis section.

(c) Assignment of vessels to fisheries.At the end of any fishing trip, a vessel’s

retained catch composition ofgroundfish species or species groups forwhich a TAC has been specified under§ 679.20, in round weight or round-weight equivalents, will determine towhich of the fishery categories listedunder paragraph (b) of this section thevessel is assigned.

(1) Catcher/processor. A catcher/processor will be assigned to a fisherycategory based on retained groundfishcatch composition reported on thevessel’s WPR submitted to the RegionalDirector under § 679.5.

(2) Catcher vessel delivery in Federalwaters. A catcher vessel that delivers tomotherships in Federal waters will beassigned to a fishery category based onthe retained groundfish catchcomposition reported on the WPRsubmitted to the Regional Director forthat week by the mothership under§ 679.5.

(3) Catcher vessel delivery in AlaskaState waters. A catcher vessel thatdelivers groundfish to a shoresideprocessor or to a mothership in AlaskaState waters will be assigned to a fisherycategory based on the retainedgroundfish catch composition reportedon one or more ADF&G fish tickets asrequired under Alaska Statutes at A.S.16.05.690.

(d) Coverage requirements formanagers of BSAI and GOA groundfishshoreside processors. Observer coverageis required as follows. A shoresideprocessor:

(1) That processes 1,000 mt or morein round weight or round-weightequivalents of groundfish during acalendar month is required to have aNMFS-certified observer present at thefacility each day it receives or processesgroundfish during that month.

(2) That processes 500 mt to 1,000 mtin round weight or round-weightequivalents of groundfish is required tohave a NMFS-certified observer presentat the facility at least 30 percent of thedays it receives or processes groundfishduring that month.

(3) That offloads pollock at more thanone location on the same dock; hasdistinct and separate equipment at eachlocation to process those pollock; andthat receives pollock harvested bycatcher vessels in the CVOA during thesecond pollock season that starts onAugust 15, under § 679.23, is required tohave a NMFS-certified observer, inaddition to the observer required underparagraphs (d) (1) and (2) of this section,at each location where pollock isoffloaded, for each day of the secondpollock season until the chum salmonsavings area is closed under§ 679.21(e)(7)(vi), or October 15, 1996,whichever occurs first.


(e) Coverage requirements for vesseloperators of BSAI king and Tanner crab.An operator of a vessel that harvests orprocesses king or Tanner crab must haveone or more State of Alaska-certifiedobservers aboard the vessel wheneverking or Tanner crab are received,processed, or on board the vessel in theBSAI if the operator is required to do soby Alaska State regulations at 5 AAC34.035, 34.082, 35.082, or 39.645.

§ 679.52 Observer coverage requirementsfor Research Plan fisheries (applicable afterDecember 31, 1996).

(a) BSAI and GOA groundfish andhalibut from convention waters offAlaska—(1) Operators of vessels. Anoperator of a vessel that catches andretains groundfish or halibut, or a vesselthat processes groundfish or halibut,must carry one or more NMFS-certifiedobservers aboard the vessel wheneverfishing operations are conducted, if theoperator is required to do so by theRegional Director under paragraph (c) ofthis section.

(2) Managers of shoreside processors.A manager of a shoreside processor thatprocesses groundfish or halibut receivedfrom vessels regulated under this partmust have one or more NMFS-certifiedobservers present at the facilitywhenever groundfish or halibut arereceived or processed, if the manager isrequired to do so by the RegionalDirector under paragraph (c) of thissection.

(b) BSAI king and Tanner crab—(1)Operators of vessels. An operator of avessel subject to this part must carry oneor more NMFS-certified observers orADF&G employees aboard the vesselwhenever fishing or processingoperations are conducted, if the operatoris required to do so by the RegionalDirector under paragraph (c) of thissection.

(2) Managers of shoreside processors.A manager of a shoreside processor thatprocesses king or Tanner crab receivedfrom vessels regulated under this partmust have one or more NMFS-certifiedobservers, or ADF&G employees,present at the facility whenever king orTanner crab is received or processed, ifthe manager is required to do so by theRegional Director under paragraph (c) ofthis section.

(c) Annual determination of coveragelevel. The appropriate level of observercoverage necessary to achieve theobjectives of the Research Plan, giventhe funds available from the NorthPacific Fishery Observer Fund, will beestablished annually under proceduresin § 679.53.

(d) Inseason changes in coveragelevel. (1) The Regional Director may

increase or decrease the observercoverage requirements for the ResearchPlan fisheries at any time to improve theaccuracy, reliability, and availability ofobserver data, and to ensure solvency ofthe observer program, so long as thestandards of section 313 of theMagnuson Act and other applicableFederal regulations are met, and thechanges are based on one or more of thefollowing:

(i) A finding that there has been, or islikely to be, a significant change infishing methods, times, or areas, orcatch or bycatch composition for aspecific fishery or fleet component.

(ii) A finding that such modificationsare necessary to improve dataavailability or quality in order to meetspecific fishery management objectives.

(iii) A finding that any decrease inobserver coverage resulting fromunanticipated funding shortfalls isconsistent with the following priorities:

(A) Status of stock assessments.(B) Inseason management.(C) Bycatch monitoring.(D) Vessel incentive programs and

regulatory compliance.(E) A determination that any

increased costs are commensurate withthe quality and usefulness of the data tobe derived from any revised program,and are necessary to meet fisherymanagement needs.

(2) The Regional Director will consultwith the Commissioner of ADF&G priorto making inseason changes in observercoverage level for the crab observerprogram.

(3) NMFS will publish changes inobserver coverage requirements madeunder this paragraph (d) in the FederalRegister, with the reasons for thechanges and any special instructions tovessels required to carry observers, atleast 10 calendar days prior to theirimplementation.

(e) Responsibilities—(1) Vesselresponsibilities. An operator of a vesselmust:

(i) Accommodations and food.Provide, at no cost to observers, theState of Alaska, or the United States,accommodations and food on the vesselfor the observer or observers that areequivalent to those provided for officers,engineers, foremen, deck-bosses or othermanagement level personnel of thevessel.

(ii) Safe conditions. Maintain safeconditions on the vessel for theprotection of observers during the timeobservers are aboard the vessel, byadhering to all USCG and otherapplicable rules, regulations, or statutespertaining to safe operation of thevessel.

(iii) Transmission of data. Facilitatetransmission of observer data by:

(A) Allowing observers to use thevessel’s communication equipment andpersonnel, on request, for the entry,transmission, and receipt of work-related messages, at no cost to theobservers, the State of Alaska, or theUnited States.

(B) Ensuring that each mothershipthat receives pollock harvested in theCVOA, during the pollock non-roeseason that starts on August 15, isequipped with INMARSAT Standard Asatellite communication capabilities,cc:Mail remote, and the data entrysoftware, provided by the RegionalDirector, for use by the observer. Theoperator of each mothership shall alsomake available for the observers’ use thefollowing equipment compatibletherewith and having the ability tooperate the NMFS-supplied data entrysoftware program: A personal computerwith a 486 or better processing chip anda DOS 3.0 or better operating systemwith 10 megabytes free hard disk storageand 8 megabytes RAM.

(C) Ensuring that the communicationequipment that is on motherships asspecified at paragraph (e)(1)(iii)(B) ofthis section, and that is used byobservers to transmit data is fullyfunctional and operational.

(iv) Vessel position. Allow observersaccess to, and the use of, the vessel’snavigation equipment and personnel, onrequest, to determine the vessel’sposition.

(v) Access. Allow observers free andunobstructed access to the vessel’sbridge, trawl or working decks, holdingbins, processing areas, freezer spaces,weight scales, cargo holds, and anyother space that may be used to hold,process, weigh, or store fish or fishproducts at any time.

(vi) Prior notification. Notifyobservers at least 15 minutes before fishare brought on board, or fish and fishproducts are transferred from the vessel,to allow sampling the catch or observingthe transfer, unless the observersspecifically request not to be notified.

(vii) Document access. Allowobservers to inspect and copy thevessel’s DFL, DCPL, product transferforms, any other logbook or documentrequired by regulations, printouts ortallies of scale weights, scale calibrationrecords, bin sensor readouts, andproduction records.

(viii) Assistance. Provide all otherreasonable assistance to enableobservers to carry out their duties,including, but not limited to:

(A) Measuring decks, codends, andholding bins.


(B) Providing the observers with a safework area adjacent to the samplecollection site.

(C) Providing crab observers with thenecessary equipment to conductsampling, such as scales, fish totes, andbaskets.

(D) Collecting bycatch whenrequested by the observers.

(E) Collecting and carrying baskets offish when requested by observers.

(F) Allowing observers to determinethe sex of fish when this procedure willnot decrease the value of a significantportion of the catch.

(ix) Embarking or debarking observer.Move the vessel to such places and atsuch times as may be designated by thecontractor, as instructed by the RegionalDirector, for purposes of embarking anddebarking observers.

(x) Transfer at sea. (A) Ensure thattransfers of observers at sea via smallboat or raft are carried out duringdaylight hours, under safe conditions,and with the agreement of observersinvolved.

(B) Notify observers at least 3 hoursbefore observers are transferred, suchthat the observers can collect personalbelongings, equipment, and scientificsamples.

(C) Provide a safe pilot ladder andconduct the transfer to ensure the safetyof observers during transfers.

(D) Provide an experienced crewmember to assist observers in the smallboat or raft in which any transfer ismade.

(2) Shoreside processorresponsibilities. A manager of ashoreside processor must:

(i) Safe conditions. Maintain safeconditions at the shoreside processor forthe protection of observers by adheringto all applicable rules, regulations, orstatutes pertaining to safe operation andmaintenance of the processing facility.

(ii) Operations information. Notifyobservers, as requested, of the plannedfacility operations and expected receiptof groundfish, crab, or halibut prior toreceipt of those fish.

(3) Transmission of data. Facilitatetransmission of observer data by:

(i) Allowing observers to use theshoreside processor’s communicationequipment and personnel, on request,for the entry, transmission, and receiptof work-related messages, at no cost tothe observers, the State of Alaska, or theUnited States;

(ii) Ensuring that each shoresideprocessor that is required to have 100-percent observer coverage under§ 679.51 and that receives pollockharvested in the CVOA, during thesecond pollock season that starts onAugust 15, under § 679.23, makes

available to the observer the followingequipment or equipment compatibletherewith: A personal computer with aminimum of a 486 processing chip withat least a 9600-baud modem and atelephone line. The personal computermust be equipped with a mouse,Windows version 3.1, or a programhaving the ability to operate the NMFS-supplied data entry software program,10 megabytes free hard disk storage, 8megabytes RAM, and with data entrysoftware provided by the RegionalDirector for use by the observers.

(iii) Ensuring that the communicationequipment that is in the shoresideprocessor as specified in paragraph(e)(3)(ii) of this section and that is usedby observers to transmit data is fullyfunctional and operational.

(4) Access. Allow observers free andunobstructed access to the shoresideprocessor’s holding bins, processingareas, freezer spaces, weight scales,warehouses, and any other space thatmay be used to hold, process, weigh, orstore fish or fish products at any time.

(5) Document access. Allow observersto inspect and copy the shoresideprocessor’s DCPL, product transferforms, any other logbook or documentrequired by regulations; printouts ortallies of scale weights; scale calibrationrecords; bin sensor readouts; andproduction records.

(6) Assistance. Provide all otherreasonable assistance to enable theobserver to carry out his or her duties,including, but not limited to:

(i) Assisting the observer in movingand weighing totes of fish.

(ii) Cooperating with product recoverytests.

(iii) Providing a secure place to storebaskets of sampling gear.

(f) Notification of observer contractorsby processors and operators of vesselsrequired to carry observers. (1)Processors and operators of vesselsrequired to carry observers under theResearch Plan are responsible formeeting their observer coveragerequirements. Processors and vesseloperators must notify the appropriateobserver contractor, as identified byNMFS, in writing or fax, at least 60 daysprior to the need for an observer, toensure that an observer will beavailable. Processors and vesseloperators must notify the appropriateobserver contractor again, in writing,fax, or by telephone, at least 10 daysprior to the need for an observer, tomake final arrangements for observerdeployment.

(2) If observer contractors are notnotified within the time periods set outat paragraph (f)(1) of this section, theavailability of an observer to meet

observer coverage requirements will notbe guaranteed.

(3) Names of observer contractors,information for contacting contractors,and a list of embarkment/disembarkment ports for observers willbe published in the Federal Registerannually, prior to the beginning of thecalendar year, pursuant to § 679.53.

(g) Release of observer data to thepublic—(1) Summary of weekly data.The following information collected byobservers for each catcher processor andcatcher vessel during any weeklyreporting period may be made availableto the public:

(i) Vessel name and Federal permitnumber.

(ii) Number of chinook salmon and‘‘other salmon’’ observed.

(iii) The ratio of total round weight ofhalibut or Pacific herring to the totalround weight of groundfish in sampledcatch.

(iv) The ratio of number of king crabor C. bairdi Tanner crab to the totalround weight of groundfish in sampledhauls.

(v) The number of observed trawlhauls or fixed gear sets.

(vi) The number of trawl hauls thatwere basket sampled.

(vii) The total weight of basketsamples taken from sampled trawlhauls.

(2) Haul-specific data. (i) Theinformation listed in paragraphs(g)(2)(i)(A) through (M) of this sectionand collected by observers fromobserved hauls on board vessels usingtrawl gear to participate in a directedfishery for groundfish other thanrockfish, Greenland turbot, or Atkamackerel may be made available to thepublic:

(A) Date.(B) Time of day gear is deployed.(C) Latitude and longitude at

beginning of haul.(D) Bottom depth.(E) Fishing depth of trawl.(F) The ratio of the number of chinook

salmon to the total round weight ofgroundfish.

(G) The ratio of the number of othersalmon to the total round weight ofgroundfish.

(H) The ratio of total round weight ofhalibut to the total round weight ofgroundfish.

(I) The ratio of total round weight ofherring to the total round weight ofgroundfish.

(J) The ratio of the number of kingcrab to the total round weight ofgroundfish.

(K) The ratio of the number of C.bairdi Tanner crab to the total roundweight of groundfish.


(L) Sea surface temperature (whereavailable).

(M) Sea temperature at fishing depthof trawl (where available).

(ii) The identity of the vessels fromwhich the data in paragraph (g)(2)(i) ofthis section are collected will not bereleased.

(3) Disclosure. In exceptionalcircumstances, the owners andoperators of vessels may provide to theRegional Director written justification atthe time observer data are submitted, orwithin a reasonable time thereafter, thatdisclosure of the information listed inparagraphs (g)(1) and (2) of this sectioncould reasonably be expected to causesubstantial competitive harm. Thedetermination whether to disclose theinformation will be made pursuant to 15CFR 4.7.

(h) Vessel safety requirements. Anyvessel that is required to carry observersunder paragraph (a)(1) or (b)(1) of thissection or § 679.51(a) or (e) must haveon board one of the following:

(1) A valid Commercial Fishing VesselSafety Decal issued within the past 2years that certifies compliance withregulations found in 33 CFR Chapter Iand 46 CFR Chapter III.

(2) A certificate of compliance issuedpursuant to 46 CFR 28.710.

(3) A valid certificate of inspectionpursuant to 46 U.S.C. 3311. NMFS willnot station observers aboard vessels thatdo not meet this requirement.

§ 679.53 Annual Research Planspecifications.

(a) Proposed Research Planspecifications. Annually, afterconsultation with the Council, and, inthe case of observer coverage levels inthe crab fisheries, the State of Alaska,NMFS will publish for public commentin the Federal Register:

(1) Standard exvessel prices. Standardexvessel prices will be used indetermining the annual fee percentagefor the calendar year and will be thebasis for calculating fee assessments.Standard exvessel prices for speciesharvested in Research Plan fisheries foreach calendar year will be based on:

(i) Exvessel price information byapplicable season, area, gear, and

processing sector for the most recent 12-month period for which data areavailable.

(ii) Factors that are expected tochange exvessel prices in the calendaryear.

(iii) Any other relevant informationthat may affect expected exvessel pricesduring the calendar year.

(2) Total exvessel value. The totalexvessel value of Research Plan fisherieswill be calculated as the sum of theproduct of the standard exvessel pricesestablished under paragraph (a)(1) ofthis section and projected retainedcatches, by species. The value of wholefish processed into meal product willnot be included in this calculation.

(3) Research Plan fee percentage. TheResearch Plan fee percentage for acalendar year will equal the lesser of 2percent of the exvessel value of retainedcatch in the Research Plan fisheries orthe fee percentage calculated using thefollowing equation:Fee percentage=[100×(RRPC–FB–OF)/V]/(1–NPR)Where:

(i) RRPC is the projection ofrecoverable Research Plan costs for thecoming year.

(ii) FB is the projected end of the yearbalance of funds collected under theResearch Plan.

(iii) OF is the projection of otherfunding for the coming year.

(iv) V is the projected exvessel valueof retained catch in the Research Planfisheries for the coming year.

(v) NPR is the percent (expressed asa decimal) of fee assessments that areexpected to result in nonpayment.

(4) Observer coverage. For the periodJanuary 1, 1996, through December 31,1996, observer coverage levels inResearch Plan fisheries will be asrequired by § 679.51. After December31, 1996, the level of observer coveragewill be determined annually by NMFS,after consultation with the Council andthe State of Alaska, and may vary byfishery and vessel or processor size,depending upon the objectives to be metfor the groundfish, halibut, and king andTanner crab fisheries. The RegionalDirector may change observer coverageinseason pursuant to § 679.52(d).

(5) Embarkment/disembarkmentports. Ports to be used to embark anddisembark observers will be selected onthe basis of convenience to the affectedindustry and on the availability offacilities, transportation, andaccommodations deemed by theRegional Director to be necessary for thesafe and reasonable deployment ofobservers.

(b) Final Research Plan specifications.NMFS will consider comments receivedon the proposed specifications and,following consultation with the Council,and with the State of Alaska, in the caseof observer coverage in the crabfisheries, will publish the final totalexvessel value; standard exvessel prices;fee percentage; levels of observercoverage for Research Plan fisheries,including names of observer contractorsand information for contacting them;and embarkment/disembarkment portsin the Federal Register annually, priorto the beginning of the calendar year.

§ 679.54 Compliance.

The operator of any fishing vesselsubject to this subpart, and the managerof any shoreside processor that receivesgroundfish, halibut, or king and Tannercrab from vessels subject to this subpart,must comply with the requirements ofthis subpart. The owner of any fishingvessel subject to this subpart, or anyshoreside processor that receivedgroundfish, halibut, or king and Tannercrab from vessels subject to this subpart,must ensure that the operator ormanager complies with therequirements of this subpart and isliable, either individually or jointly andseverally, for compliance with therequirements of this subpart.

Subpart F—Scallop Fishery off Alaska

§ 679.60 Prohibitions.

In addition to the general prohibitionsspecififed in § 600.725 of this chapter, itis unlawful for any person to retain anyscallops in the EEZ seaward of Alaskaduring the period that extends throughthe earlier of August 28, 1996, or othersuperseding management measures.BILLING CODE 3510–22–W


Figure 1 to Part 679.—BSAI Statistical and Reporting Areas

a. Map

BILLING CODE 3510–22–C


Figure 1 to Part 679—BSAI Statistical and Reporting Areas

b. Coordinates of Reporting Areas

Code Description

300 ......... Russian waters. Those waters inside the Russian 200 mile limit as described in the current editions of NOAA chart INT 813 BeringSea (Southern Part) and NOAA chart INT 814 Bering Sea (Northern Part).

400 ......... Chukchi Sea. North of a diagonal line between 66°00′ N, 169°42.5′ W (Cape Dezhneva, Russia); and 65°37.5′ N, 168°7.5′ W (CapePrince of Wales, Alaska) and to the limits of the U.S. EEZ as described in the current edition of NOAA chart INT 814 Bering Sea(Northern Part).

508 ......... South of 58°00′ N between the intersection of 58°00′ N lat with the Alaska Peninsula and 160°00′ W long.509 ......... South of 58°00′ N lat between 163°00′ W long and 165°00′ W long.512 ......... South of 58°00′ N lat, north of the Alaska Peninsula between 160°00′ W long and 162°00′ W long.513 ......... Between 58°00′ N lat and 56°30′ N lat, and between 165°00′ W long and 170°00′ W long.514 ......... North of 58°00′ N to the southern boundary of the Chukchi Sea, area 400, and east of 170°00′ W long.516 ......... South of 58°00′ N lat, north of the Alaska Peninsula, and between 162°00′ and 163°00′ W long.517 ......... South of 56°30′ N lat, between 165°00′ W long and 170°00′ W long; and north of straight lines between

54°30′ N lat, 165°00′ W long,54°30′ N lat, 167°00′ W long, and55°46′ N lat, 170°00′ W long.

518 ......... Bogoslof District: South of a straight line between 55°46′ N lat, 170°00′ W long and 54°30′ N lat, 167°00′ W long, and between167°00′ W long and 170°00′ W long, and north of the Aleutian Islands and straight lines between the islands connecting the fol-lowing coordinates in the order listed:

52°49.2′ N, 169°40.4′ W,52°49.8′ N, 169°06.3′ W,53°23.8′ N, 167°50.1′ W,53°18.7′ N, 167°51.4′ W.

519 ......... South of a straight line between 54°30′ N lat, 167°00′ W long and 54°30′ N lat, 164°54′ W long; east of 167°00′ W long; west ofUnimak Island; and north of the Aleutian Islands and straight lines between the islands connecting the following coordinates in theorder listed:

53°59.0′ N, 166°17.2′ W,54°02.9′ N, 166°03.0′ W,54°07.7′ N, 165°40.6′ W,54°08.9′ N, 165°38.8′ W,54°11.9′ N, 165°23.3′ W,54°23.9′ N, 164°44.0′ W.

521 ......... The area bounded by straight lines connecting the following coordinates in the order listed:55°46′ N, 170°00′ W,59°25′ N, 179°20′ W,60°00′ N, 179°20′ W,60°00′ N, 171°00′ W,58°00′ N, 171°00′ W,58°00′ N, 170°00′ W,55°46′ N, 170°00′ W.

523 ......... The area bounded by straight lines connecting the following coordinates in the order listed:59°25′ N, 179°20′ W;55°46′ N, 170°00′ W;55°00′ N, 170°00′ W;55°00′ N, 180°00′ W;

and north to the limits of the US EEZ as described in the current edition of NOAA chart INT 813 Bering Sea (Southern Part).524 ......... The area west of 170°00′ W bounded south by straight lines connecting the following coordinates in the order listed:

58°00′ N, 170°00′ W58°00′ N, 171°00′ W;60°00′ N, 171°00′ W;60°00′ N, 179°20′ W;59°25′ N, 179°20′ W

and to the limits of the US EEZ as described in the current edition of NOAA chart INT 813 Bering Sea (Southern Part).530 ......... The area north of 55°00′ N lat and west of 180°00′ W long to the limits of the US EEZ as described in the current edition of NOAA

chart INT 813 Bering Sea (Southern Part).541 ......... Eastern Aleutian District. The area south of 55°00′ N lat, west of 170°00′ W long, and east of 177°00′ W long and bounded on the

south by the limits of the US EEZ as described in the current editions of NOAA chart INT 813 Bering Sea (Southern Part) andNOAA chart 530 (San Diego to Aleutian Islands and Hawaiian Islands).

542 ......... Central Aleutian District. The area south of 55°00′ N lat, west of 177°00′ W long, and east of 177°00′ E long and bounded on thesouth by the limits of the US EEZ as described in the current editions of NOAA chart INT 813 Bering Sea (Southern Part) andNOAA chart 530 (San Diego to Aleutian Islands and Hawaiian Islands).

543 ......... Western Aleutian District. The area south of 55°00′ N lat and west of 177°00′ E long, and bounded on the south and west by thelimits of the US EEZ as described in the current editions of NOAA chart INT 813 Bering Sea (Southern Part) and NOAA chart 530(San Diego to Aleutian Islands and Hawaiian Islands).

550 ......... Donut Hole. International waters of the Bering Sea outside the limits of the EEZ and Russian economic zone as depicted on the cur-rent edition of NOAA chart INT 813 Bering Sea (Southern Part).

Statistical Area. A statistical area is the part of a reporting area contained in the EEZ.

BILLING CODE 3510–22–W


Figure 2 to Part 679—BSAI Catcher Vessel Operational Area


Figure 3 to Part 679—Gulf of Alaska Statistical and Reporting Areas

a. Map



Figure 3b to Part 679—Gulf of AlaskaStatistical and Reporting Areas

b. Coordinates of Reporting Areas

Code Description

610 ......... Western Regulatory Area, Shumagin District. Along the south side of the Aleutian Islands and straight lines between the islands andthe Alaska Peninsula connecting the following coordinates in the order listed:

52° 49.2′ N, 169° 40.4′ W;52° 49.8′ N, 169° 06.3′ W;53° 23.8′ N, 167° 50.1′ W;53° 18.7′ N, 167° 51.4′ W;53° 59.0′ N, 166° 17.2′ W;54° 02.9′ N, 166° 03.0′ W;54° 07.7′ N, 165° 40.6′ W;54° 0.89′ N, 165° 38.8′ W;54° 11.9′ N, 165° 23.3′ W;54° 23.9′ N, 164° 44.0′ W; and southward to the

limits of the US EEZ as described in the current editions of NOAA chart INT 813 (Bering Sea, Southern Part) and NOAA chart 500(West Coast of North America, Dixon Entrance to Unimak Pass), between 170° 00′ W long and 159° 00′ W long.

620 ......... Central Regulatory Area, Chirikof District. Along the south side of the Alaska Peninsula, between 159° 00′ W long and 154° 00′ Wlong, and southward to the limits of the US EEZ as described in the current edition of NOAA chart 500 (West Coast of NorthAmerica, Dixon Entrance to Unimak Pass).

630 ......... Central Regulatory Area, Kodiak District. Along the south side of continental Alaska, between 154° 00′ W long and 147° 00′ W long,and southward to the limits of the US EEZ as described in the current edition of NOAA chart 500 (West Coast of North America,Dixon Entrance to Unimak Pass). Excluding area 649.

640 ......... Eastern Regulatory Area, West Yakutat District. Along the south side of continental Alaska, between 147° 00′ W long and 140° 00′W long, and southward to the limits of the US EEZ, as described in the current edition of NOAA chart 500 (West Coast of NorthAmerica, Dixon Entrance to Unimak Pass). Excluding area 649.

649 ......... Prince William Sound. Includes those waters of the State of Alaska inside the base line as specified in Alaska State regulations at 5AAC 28.200.

650 ......... Eastern Regulatory Area, Southeast Outside District. East of 140° 00′ W long and southward to the limits of the US EEZ as de-scribed in the current edition of NOAA chart 500 (West Coast of North America, Dixon Entrance to Unimak Pass). Excluding area659.

659 ......... Southeast Inside District. As specified in Alaska State regulations at 5 AAC 28.105(a)(1) and (2).690 ......... Gulf of Alaska outside the U.S. EEZ as described in the current editions of NOAA chart INT 813 (Bering Sea, Southern Part) and

NOAA chart 500 (West Coast of North America, Dixon Entrance to Unimak Pass).

Statistical Area. A statistical area is the part of a reporting area contained in the EEZ.



Figure 4 to Part 679—Herring Savings Areas in the BSAI a. Map



Figure 4 to Part 679—Herring Savings Areas in the BSAI

b. Coordinates

Name Description and effective date

Summer Herring Savings Area 1 ............ That part of the Bering Sea subarea that is south of 57° N. lat and between 162° and 164° W. longfrom 1200 hours, A.l.t., June 15 through 1200 hours, A.l.t. July 1 of a fishing year.

Summer Herring Savings Area 2 ............ That part of the Bering Sea subarea that is south of 56° 30′ N. lat and between 164° and 167° W.long from 1200 hours, A.l.t., July 1 through 1200 hours, A.l.t. August 15 of a fishing year.

Winter Herring Savings Area ................... That part of the Bering Sea subarea that is between 58° and 60° N. lat and between 172° and 175°W. long from 1200 hours, A.l.t. September 1 of the current fishing year through 1200 hours, A.l.t.March 1 of the succeeding fishing year.



Figure 5a to part 679—Kodiak Island Areas Closed to Nonpelagic Trawl Gear

a. Map



Figure 5 to Part 679—Kodiak Island Areas Closed to Nonpelagic Trawl Gear

b. Coordinates

Name and description ofreference area North latitude/West longitude Reference point

Alitak Flats and Towers Areas—All waters of Alitak flats and the Towers Areas enclosed by a line connecting the following 7 points in the orderlisted:

a ......................................................................... 56°59′4′′ 154°31′1′′ Low Cape.b ......................................................................... 57°00′0′′ 155°00′0′′c ......................................................................... 56°17′0′′ 155°00′0′d ......................................................................... 56°17′0′′ 153°52′0′′e ......................................................................... 56°33′5′′ 153°52′0′′ Cape Sitkinak.f .......................................................................... 56°54′5′′ 153°32′5′′ East point of Twoheaded Island.g ......................................................................... 56°56′0′′ 153°35′5′′ Kodiak Island, thence, along the coastline.a ......................................................................... 56°59′4′′ 154°31′1′′ Low Cape.

Marmot Flats Area—All waters enclosed by a line connecting the following five points in the clockwise order listed:a ......................................................................... 58°00′0′′ 152°30′0′′b ......................................................................... 58°00′0′′ 151°47′0′′c ......................................................................... 57°37′0′′ 151°47′0′′d ......................................................................... 57°37′0′′ 152°10′1′′ Cape Chiniak, then along the coastline of Ko-

diak Island to North Cape.e ......................................................................... 57°54′5′′ 152°30′0′′a ......................................................................... 58°00′0′′ 152°30′0′′Chirikof Island Area—All waters surrounding Chirikof Island enclosed by a line connecting the following four points in the counter-clockwise order

listed:a ......................................................................... 56°07′0′′ 155°13′0′′b ......................................................................... 56°07′0′′ 156°00′0′′c ......................................................................... 55°41′0′′ 156°00′0′′d ......................................................................... 55°41′0′′ 155°13′0′′a ......................................................................... 56°07′0′′ 155°13′0′′

Barnabas Area—All waters enclosed by a line connecting the following six points in the counter clockwise order listed a57° 00′ 0′′ 153° 18′ 0′′Black Point

b ......................................................................... 56°56′0′′ 153°09′0′′c ......................................................................... 57°22′0′′ 152°18′5′′ South Tip of Ugak Island.d ......................................................................... 57°23′5′′ 152°17′5′′ North Tip of Ugak Island.e ......................................................................... 57°25′3′′ 152°20′0′′ Narrow Cape, thence, along the coastline of

Kodiak Island.f .......................................................................... 57°04′2′′ 153°30′0′′ Cape Kasick to Black Point, including inshore

waters.a ......................................................................... 57°00′0′′ 153°18′0′′



Figure 6 to Part 679—Length Overall of a Vessel


Figure 7 to Part 679—Location of trawl gear test areas in the GOA and the BSAI



TABLE 1 TO PART 679—PRODUCT CODES

Fish prod-uct code Description

1 ............. Whole fish/food fish.2 ............. Whole fish/bait. Processed for bait.3 ............. Bled only. Throat, or isthmus, slit to allow blood to drain.4 ............. Gutted only. Belly slit and viscera removed.6 ............. Head and gutted, with roe.7 ............. Headed and gutted, Western cut. Head removed just in front of the collarbone, and viscera removed.8 ............. Headed and gutted, Eastern cut. Head removed just behind the collarbone, and viscera removed.10 ........... Headed and gutted, tail removed. Head removed usually in front of collar bone, and viscera and tail removed.11 ........... Kirimi. Head removed either in front or behind the collarbone, viscera removed, and tail removed by cuts perpendicular to the spine,

resulting in a steak.12 ........... Salted and split. Head removed, belly slit, viscera removed, fillets cut from head to tail but remaining attached near tail. Product salt-

ed.13 ........... Wings. On skates, side finds are cut off next to body.14 ........... Roe. Eggs, either loose or in sacs, or skeins.15 ........... Pectoral girdle. Collar bone and associated bones, cartilage and flesh.16 ........... Heads. Heads only, regardless where severed from body.17 ........... Cheeks. Muscles on sides of head.18 ........... Chins. Lower jaw (mandible), muscles, and flesh.19 ........... Belly. Flesh in region of pelvic and pectoral fins and behind head.20 ........... Fillets with skin and ribs. Meat and skin with ribs attached, from sides of body behind head and in front of tail.21 ........... Fillets with skin, no ribs. Meat and skin with ribs removed, from sides of body behind head and in front of tail.22 ........... Fillets with ribs and no skin. Meat with ribs with skin removed, from sides of body behind head and in front of tail.23 ........... Fillets, skinless/boneless. Meat with both skin and ribs removed, from sides of body behind head and in front of tail.24 ........... Deep-skin fillet. Meat with skin, adjacent meat with silver lining, and ribs removed from sides of body behind head and in front of

tail, resulting in thin fillets.30 ........... Surimi. Paste from fish flesh and additives.31 ........... Minced. Ground flesh.32 ........... Fish meal. Meal from fish and fish parts, including bone meal.33 ........... Fish oil. Rendered oil.34 ........... Milt. (in sacs, or testes).35 ........... Stomachs. Includes all internal organs.36 ........... Octopus/squid mantles. Flesh after removal of viscera and arms.37 ........... Butterfly, no backbone. Head removed, belly slit, viscera and most of backbone removed; fillets attached.39 ........... Bones (if meal, report as 32).86 ........... Donated Salmon. Includes salmon retained and donated under Salmon Donation Program.97 ........... Other retained product

DISCARD PRODUCT CODES

92 ........... Discard, bait. Whole fish used as bait on board vessel.94 ........... Discard, consumption. Fish or fish products eaten on board or taken off the vessel for personal use.96 ........... Previously discarded fish (decomposed) taken with trawl gear in current fishing efforts. Discarded.98 ........... Discard, at sea. Whole groundfish and prohibited species discarded by catcher vessels, Catcher/Processors, Motherships, or Buying

Stations delivering to Motherships.99 ........... Discard, dockside. Discard after delivery and before processing; Discard, at plant. Inplant discard of whole groundfish and prohibited

species by Shoreside Processors and Buying Stations delivering to Shoreside Processors before and during processing.M99 ........ Discard, off site meal reduction plant. Discarded fish that are transferred to any off site facility for reduction to fish meal, fish oil and/

or discard at sea.

PRODUCT DESIGNATION

A ............. Ancillary. Product made in addition to a primary product from the same fish.P ............. Primary. Product made from each fish with the highest recovery rate.R ............ Reprocessed. Product that results from processing a previously reported product.


TABLE 2 TO PART 679—SPECIES CODES

Code Species

110 ........... Pacific cod.120 ........... Miscellaneous flatfish (all flatfish without separate codes).121 ........... Arrowtooth flounder and/or Kamchatka flounder.122 ........... Flathead sole.123 ........... Rock sole.124 ........... Dover sole.125 ........... Rex sole.126 ........... Butter sole.127 ........... Yellowfin sole.128 ........... English sole.129 ........... Starry flounder.131 ........... Petrale sole.132 ........... Sand sole.133 ........... Alaska Plaice flounder.134 ........... Greenland turbot.135 ........... Greenstripe rockfish.136 ........... Northern rockfish.137 ........... Bocaccio rockfish.138 ........... Copper rockfish.141 ........... Pacific ocean perch (S. alutus only).142 ........... Black rockfish.143 ........... Thornyhead rockfish (all Sebastolobus species).145 ........... Yelloweye rockfish.146 ........... Canary rockfish.147 ........... Quillback rockfish.148 ........... Tiger rockfish.149 ........... China rockfish.150 ........... Rosethorn rockfish.151 ........... Rougheye rockfish.152 ........... Shortraker rockfish.153 ........... Redbanded rockfish.154 ........... Dusky rockfish.155 ........... Yellowtail rockfish.156 ........... Widow rockfish.157 ........... Silvergray rockfish.158 ........... Redstripe rockfish.159 ........... Darkblotched rockfish.160 ........... Sculpins.166 ........... Sharpchin rockfish.167 ........... Blue rockfish.175 ........... Yellowmouth rockfish.176 ........... Harlequin rockfish.177 ........... Blackgill rockfish.178 ........... Chilipepper rockfish.179 ........... Pygmy rockfish.181 ........... Shortbelly rockfish.182 ........... Splitnose rockfish.183 ........... Stripetail rockfish.184 ........... Vermilion rockfish.185 ........... Aurora rockfish.193 ........... Atka mackerel.270 ........... Pollock.510 ........... Smelt.511 ........... Eulachon.516 ........... Capelin.689 ........... Sharks.700 ........... Skates.710 ........... Sablefish.870 ........... Octopus.875 ........... Squid.888 ........... Mixed species tote (for use on Product Transfer Report only).


TABLE 2 TO PART 679—SPECIES CODES—Continued

Code Species

GROUP CODES. These group codes may be used if individual species cannot be identified.

144 ........... Slope rockfish (aurora, blackgill, Bocaccio, redstripe, silvergray, chilipepper, darkblotched, greenstriped, harlequin, pygmy,shortbelly, splitnose, stripetail, vermillion, yellowmouth, sharpchin).

168 ........... Demersal shelf rockfish (china, copper, quillback, rosethorn, tiger, yelloweye, canary).169 ........... Pelagic shelf rockfish (blue, dusky, yellowtail, widow).171 ........... Shortraker/rougheye rockfish.

PROHIBITED SPECIES CODES

000 ........... Unspecified salmon.200 ........... Pacific halibut.235 ........... Pacific herring.410 ........... Salmon, Chinook.420 ........... Salmon, Sockeye.430 ........... Salmon, Coho.440 ........... Salmon, Pink.450 ........... Salmon, Chum.540 ........... Steelhead trout.920 ........... Unspecified king crab.921 ........... Red king crab.922 ........... Blue king crab.923 ........... Gold/brown king crab.930 ........... Unspecified tanner crab.931 ........... Bairdi tanner crab.932 ........... Opilio tanner crab.


TABLE 3 TO PART 679—PRODUCT RECOVERY RATES FOR GROUNDFISH SPECIES

FMP SPECIESSPE-CIESCODE

PRODUCT CODE

WHOLEFOODFISH

WHOLEBAITFISH

BLED GUT-TED

H&GWITHROE

H&GWEST-ERNCUT

H&GEAST-ERNCUT

H&GW/OTAIL

KIRIMISALT-ED &SPLIT

WINGS ROE

1 2 3 4 6 7 8 10 11 12 13 14

PACIFIC COD 110 1.00 1.00 0.98 0.85 0.63 0.57 0.47 0.44 ............ 0.45 ............ 0.05ARROWTOOTH

FLOUNDER 121 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08ROCKFISH 1 ..... ............ 1.00 1.00 0.98 0.88 ............ 0.60 0.50 ............ ............ ............ ............ ............SCULPINS ....... 160 1.00 1.00 0.98 0.87 ............ 0.50 0.40 ............ ............ ............ ............ ............ATKA MACK-

EREL ............ 193 1.00 1.00 0.98 0.87 0.67 0.64 0.61 ............ ............ ............ ............ ............POLLOCK ........ 270 1.00 1.00 0.98 0.80 0.70 0.65 0.56 0.50 ............ ............ ............ 0.04SMELTS ........... 510 1.00 1.00 0.98 0.82 ............ 0.71 ............ ............ ............ ............ ............ ............EULACHON ..... 511 1.00 1.00 0.98 0.82 ............ 0.71 ............ ............ ............ ............ ............ ............CAPELIN .......... 516 1.00 1.00 0.98 0.89 ............ 0.78 ............ ............ ............ ............ ............ ............SHARKS .......... 689 1.00 1.00 0.98 0.83 ............ 0.72 ............ ............ ............ ............ ............ ............SKATES ........... 700 1.00 1.00 0.98 0.90 ............ ............ 0.32 ............ ............ ............ 0.32 ............SABLEFISH ..... 710 1.00 1.00 0.98 0.89 ............ 0.68 0.63 0.50 ............ ............ ............ ............OCTOPUS ....... 870 1.00 1.00 0.98 0.69 ............ ............ ............ ............ ............ ............ ............ ............Target species

categoriesGOA only:

DEEPWATERFLAT-FISH ...... 118 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08

FLATHEADSOLE ..... 122 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08

REX SOLE 125 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08SHALLOW

WATERFLAT-FISH ...... 119 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08

THORNYH-EADROCK-FISH ...... 143 1.00 1.00 0.98 0.88 0.55 0.60 0.50 ............ ............ ............ ............ ............

Target speciescategoriesBSAI only:

OTHERFLAT-FISH ...... 120 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08

ROCKSOLE ..... 123 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08

YELLOW-FINSOLE ..... 127 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08

GREEN-LANDTURBOT 134 1.00 1.00 0.98 0.90 0.80 0.72 0.65 0.62 0.48 ............ ............ 0.08

SQUID ....... 875 1.00 1.00 0.98 0.69 ............ ............ ............ ............ ............ ............ ............ ............

1 Rockfish means all species of Sebastes and Sebastolobus.

31298 Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Rules and RegulationsT

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TABLE 3 TO PART 679—PRODUCT RECOVERY RATES FOR GROUNDFISH SPECIES—Continued

FMP SPECIESSPE-CIESCODE

PRODUCT CODE

OIL MILT STOM-ACHS

MAN-TLES

BUT-TER-FLY

BACK-BONERE-

MOVED

DE-COM-

POSEDFISH

DIS-CARDS

33 34 35 36 37 96 92, 94,98, 99,

M99

PACIFIC COD ................................................................................. 110 ............ ............ ............ ............ 0.43 0.00 1.00ARROWTOOTH FLOUNDER ......................................................... 121 ............ ............ ............ ............ ............. 0.00 1.00ROCKFISH ...................................................................................... ............ ............ ............ ............ ............ ............. 0.00 1.00SCULPINS ...................................................................................... 160 ............ ............ ............ ............ ............. 0.00 1.00ATKA MACKEREL .......................................................................... 193 ............ ............ ............ ............ ............. 0.00 1.00POLLOCK ....................................................................................... 270 ............ ............ ............ ............ 0.43 0.00 1.00SMELTS .......................................................................................... 510 ............ ............ ............ ............ ............. 0.00 1.00EULACHON .................................................................................... 511 ............ ............ ............ ............ ............. 0.00 1.00CAPELIN ......................................................................................... 516 ............ ............ ............ ............ ............. 0.00 1.00SHARKS .......................................................................................... 689 ............ ............ ............ ............ ............. 0.00 1.00SKATES .......................................................................................... 700 ............ ............ ............ ............ ............. 0.00 1.00SABLEFISH ..................................................................................... 710 ............ ............ ............ ............ ............. 0.00 1.00OCTOPUS ....................................................................................... 870 ............ ............ ............ 0.85 1.00 0.00 1.00Target species categories at GOA only:

DEEP WATER FLATFISH ....................................................... 118 ............ ............ ............ ............ ............. 0.00 1.00FLATHEAD SOLE .................................................................... 122 ............ ............ ............ ............ ............. 0.00 1.00REX SOLE ............................................................................... 125 ............ ............ ............ ............ ............. 0.00 1.00SHALLOW WATER FLATFISH ............................................... 119 ............ ............ ............ ............ ............. 0.00 1.00THORNYHEAD ROCKFISH .................................................... 143 ............ ............ ............ ............ ............. 0.00 1.00

Target species categories at BSAI only:OTHER FLATFISH .................................................................. 120 ............ ............ ............ ............ ............. 0.00 1.00ROCK SOLE ............................................................................ 123 ............ ............ ............ ............ ............. 0.00 1.00YELLOWFIN SOLE .................................................................. 127 ............ ............ ............ ............ ............. 0.00 1.00GREENLAND TURBOT ........................................................... 134 ............ ............ ............ ............ ............. 0.00 1.00SQUID ...................................................................................... 875 ............ ............ ............ 0.75 1.00 0.00 1.00


TABLE 4 TO PART 679—BERING SEA SUBAREA STELLER SEA LION PROTECTION AREAS

IslandFrom To

Latitude Longitude Latitude Longitude

3-nm NO TRANSIT ZONES described at part 227.12(a)(2) of this titlea. Year-round Trawl Closures (Trawling Prohibited Within 10 nm).

Sea Lion Rocks ................................................................................................ 55°28.0′ N 163°12.0′ WUgamak Island .................................................................................................. 54°14.0′ N 164°48.0′ W 54°13.0′ N 164°48.0′ WAkun Island ....................................................................................................... 54°18.0′ N 165°32.5′ W 54°18.0′ N 165°31.5′ WAkutan Island .................................................................................................... 54°03.5′ N 166°00.0′ W 54°05.5′ N 166°05.0′ WBogoslof Island ................................................................................................. 53°56.0′ N 168°02.0′ WOgchul Island .................................................................................................... 53°00.0′ N 168°24.0′ WAdugak Island ................................................................................................... 52°55.0′ N 169°10.5′ WWalrus Island .................................................................................................... 57°11.0′ N 169°56.0′ W

b. Seasonal Trawl Closures (During January 1 through April 15, or a date earlier than April 15, if adjusted under part 679, TrawlingProhibited Within 20 nm).

Sea Lion Rocks ................................................................................................ 55°28.0′ N 163°12.0′ WAkun Island ....................................................................................................... 54°18.0′ N 165°32.5′ W 54°18.0′ N 165°31.5′ WAkutan Island .................................................................................................... 54°03.5′ N 166°00.0′ W 54°05.5′ N 166°05.0′ WUgamak Island .................................................................................................. 54°14.0′ N 164°48.0′ W 54°13.0′ N 164°48.0′ WSeguam Island .................................................................................................. 52°21.0′ N 172°35.0′ W 52°21.0′ N 172°33.0′ WAgligadak Island ............................................................................................... 52°06.5′ N 172°54.0′ W

Note: The bounds of each rookery extend in a clockwise direction from the first set of geographic coordinates, along the shoreline at meanlower low water, to the second set of coordinates; if only one set of geographic coordinates is listed, the rookery extends around the entireshoreline of the island at mean lower low water.

TABLE 5 TO PART 679—ALEUTIAN ISLANDS SUBAREA STELLER SEA LION PROTECTION AREAS

IslandFrom To



Yunaska Island ................................................................................................. 52°42.0′ N 170°38.5′ W 52°41.0′ N 170°34.5′ WSeguam Island .................................................................................................. 52°21.0′ N 172°35.0′ W 52°21.0′ N 172°33.0′ WAgligadak Island ............................................................................................... 52°06.5′ N 172°54.0′ WKasatochi Island ............................................................................................... 52°10.0′ N 175°31.0′ W 52°10.5′ N 175°29.0′ WAdak Island ....................................................................................................... 51°36.5′ N 176°59.0′ W 51°38.0′ N 176°59.5′ WGramp Rock ..................................................................................................... 51°29.0′ N 178°20.5′ WTag Island ......................................................................................................... 51°33.5′ N 178°34.5′ WUlak Island ........................................................................................................ 51°20.0′ N 178°57.0′ W 51°18.5′ N 178°59.5′ WSemisopochnoi ................................................................................................. 51°58.5′ N 179°45.5′ E 51°57.0′ N 179°46.0′ ESemisopochnoi ................................................................................................. 52°01.5′ N 179°37.5′ E 52°01.5′ N 179°39.0′ EAmchitka Island ................................................................................................ 51°22.5′ N 179°28.0′ E 51°21.5′ N 179°25.0′ EAmchitka Is./Column Rocks ............................................................................. 51°32.5′ N 178°49.5′ EAyugadak Point ................................................................................................ 51°45.5′ N 178°24.5′ EKiska Island ...................................................................................................... 51°57.5′ N 177°21.0′ E 51°56.5′ N 177°20.0′ EKiska Island ...................................................................................................... 51°52.5′ N 177°13.0′ E 51°53.5′ N 177°12.0′ EBuldir Island ...................................................................................................... 52°20.5′ N 175°57.0′ E 52°23.5′ N 175°51.0′ EAgattu Is./Gillion Pt ........................................................................................... 52°24.0′ N 173°21.5′ EAgattu Island ..................................................................................................... 52°23.5′ N 173°43.5′ W 52°22.0′ N 173°41.0′ EAttu Island ......................................................................................................... 52°54.5′ N 172°28.5′ W 52°57.5′ N 172°31.5′ E

b. Seasonal Trawl Closures (During January 1 through April 15, or a date earlier than April 15, if adjusted under part 679.20. TrawlingProhibited Within 20 nm).

Seguam Island .................................................................................................. 52°21.0′ N 172°35.0′ W 52°21.0′ N 172°33.0′ WAgligadak Island ............................................................................................... 52°06.5′ N 172°54.0′ W

Note: Each rookery extends in a clockwise direction from the first set of geographic coordinates, along the shoreline at mean lower low water,to the second set of coordinates; if only one set of geograhic coordinates is listed, the rookery extends around the entire shoreline of the islandat mean lower low water.


TABLE 6 TO PART 679—GULF OF ALASKA STELLER SEA LION PROTECTION AREAS

IslandFrom To



Outer Island ...................................................................................................... 59°20.5′ N 150°23.0′ W 59°21.0′ N 150°24.5′ WSugarloaf Island ................................................................................................ 58°53.0′ N 152°02.0′ WMarmot Island ................................................................................................... 58°14.5′ N 151°47.5′ W 58°10.0′ N 151°51.0′ WChirikof Island ................................................................................................... 55°46.5′ N 155°39.5′ W 55°46.5′ W 155°43.0′ WChowiet Island .................................................................................................. 56°00.5′ N 156°41.5′ W 56°00.5′ N 156°42.0′ WAtkins Island ..................................................................................................... 55°03.5′ N 159°18.5′ WChernabura Island ............................................................................................ 54°47.5′ N 159°31.0′ W 54°45.5′ N 159°33.5′ WPinnacle Rock ................................................................................................... 54°46.0′ N 161°46.0′ WClubbing Rocks-N ............................................................................................. 54°43.0′ N 162°26.5′ WClubbing Rocks-S ............................................................................................. 54°42.0′ N 162°26.5′ WUgamak Island .................................................................................................. 54°14.0′ N 164°48.0′ W 54°13.0′ N 164°48.0′ WAkun Island ....................................................................................................... 54°18.0′ N 165°32.5′ W 54°18.0′ N 165°31.5′ WAkutan Island .................................................................................................... 54°03.5′ N 166°00.0′ W 54°05.5′ N 166°05.0′ WOgchul Island .................................................................................................... 53°00.0′ N 168°24.0′ W

b. Seasonal Trawl Closures (During January 1 through April 15, or a date earlier than April 15, if adjusted under part 679.20. TrawlingProhibited Within 20 nm).

Akun I. .............................................................................................................. 54°18.0′ N 165°32.5′ W 54°18.0′ N 165°31.5′ WAkutan I. ........................................................................................................... 54°03.5′ N 166°00.0′ W 54°05.5′ N 166°05.0′ WUgamak I. ......................................................................................................... 54°14.0′ N 164°48.0′ W 54°13.0′ N 164°48.0′ W

Note: The bounds of each rookery extend in a clockwise direction from the first set of geographic coordinates, along the shoreline at meanlower low water, to the second set of coordinates; if only one set of geographic coordinates is listed, the rookery extends around the entireshoreline of the island at mean lower low water.


TABLE 7 TO PART 679—COMMUNITIESDETERMINED TO BE ELIGIBLE TOAPPLY FOR COMMUNITY DEVELOP-MENT QUOTAS

[Other communities may also be eligible, butdo not appear on this table.]

Aleutian Region:1. Atka2. False Pass3. Nelson Lagoon4. Nikolski5. St. George6. St. Paul

Bering Strait:1. Brevig Mission2. Diomede/Inalik3. Elim4. Gambell5. Golovin6. Koyuk7. Nome8. Savoonga9. Shaktoolik

10. St. Michael11. Stebbins12. Teller13. Unalakleet14. Wales15. White Mountain

Bristol Bay:1. Alegnagik2. Clark’s Point

TABLE 7 TO PART 679—COMMUNITIESDETERMINED TO BE ELIGIBLE TOAPPLY FOR COMMUNITY DEVELOP-MENT QUOTAS—Continued


3. Dillingham4. Egegik5. Ekuk6. Manokotak7. Naknek8. Pilot Point/Ugashi9. Port Heiden/Meschick

10. South Naknek11. Sovonoski/King Salmon12. Togiak13. Twin Hills

Southwest Coastal Lowlands:1. Alakanuk2. Chefornak3. Chevak4. Eek5. Emmonak6. Goodnews Bay7. Hooper Bay8. Kipnuk9. Kongiganak

10. Kotlik11. Kwigilingok12. Mekoryuk13. Newtok14. Nightmute

TABLE 7 TO PART 679—COMMUNITIESDETERMINED TO BE ELIGIBLE TOAPPLY FOR COMMUNITY DEVELOP-MENT QUOTAS—Continued


15. Platinum16. Quinhagak17. Scammon Bay18. Sheldon’s Point19. Toksook Bay20. Tununak21. Tuntutuliak

TABLE 8 TO PART 679—Harvest ZoneCodes for Use with Product Trans-fer Reports and Vessel Activity Re-ports

Harvestzone Description

A .......... EEZ off Alaska.D .......... Donut Hole.F .......... Foreign Waters Other than Russia.I ........... International Waters other than

Donut Hole and Seamounts.R .......... Russian waters.S .......... Seamounts in International waters.U .......... U.S. EEZ other than Alaska.

TABLE 9 TO PART 679—REQUIRED LOGBOOKS, REPORTS AND FORMS FROM PARTICIPANTS IN THE FEDERAL GROUNDFISHFISHERIES

Name of logbook/Form Catcher-vessel Cather-proc-essor Mothership Shoreside

processor Buying station

Daily Fishing Logbook (DFL) ................................................ Yes No No No NoDaily Cumulative Production Logbook (DCPL) .................... No Yes Yes Yes NoDaily Cumulative Logbook (DCL) ......................................... No No No No YesCheck-in/Check-out Report .................................................. No Yes Yes Yes YesU.S. Vessel Activity Report (VAR) ....................................... Yes Yes Yes No NoWeekly Production Report (WPR) ........................................ No Yes Yes Yes NoDaily Production Report (DPR)* ........................................... No Yes Yes Yes NoProduct Transfer Report (PTR) ............................................ No Yes Yes Yes No

* When required by Regional Director.


TABLE 10 TO PART 679—GULF OF ALASKA RETAINABLE PERCENTAGES

Basis species 1 Bycatch species 1

Pollock PacificCod

Deepflatfish

RexSole

Flat-headSole

Shal-low

flatfishArrowtooth Sable-

fish

Aggre-gatedrock-fish 2

DSRSEEO 4

Atkamack-erel

Otherspe-cies

Pollock .......................... 3 na 20 20 20 20 20 35 1 5 10 20 20Pacific cod .................... 20 3 na 20 20 20 20 35 1 5 10 20 20Deep flatfish .................. 20 20 3 na 20 20 20 35 15 15 1 20 20Rex sole ........................ 20 20 20 3 na 20 20 35 15 15 1 20 20Flathead sole ................ 20 20 20 20 3 na 20 35 15 15 1 20 20Shallow flatfish .............. 20 20 20 20 20 3 na 35 1 5 10 20 20Arrowtooth ..................... 0 0 0 0 0 0 3 na 0 0 0 0 0Sablefish ....................... 20 20 20 20 20 20 35 3 na 15 1 20 20Pacific Ocean perch ..... 20 20 20 20 20 20 35 15 15 1 20 20Shortraker/rougheye ..... 20 20 20 20 20 20 35 15 15 1 20 20Other rockfish ............... 20 20 20 20 20 20 35 15 15 1 20 20Northern rockfish .......... 20 20 20 20 20 20 35 15 15 1 20 20Pelagic rockfish ............. 20 20 20 20 20 20 35 15 15 1 20 20DSR-SEEO ................... 20 20 20 20 20 20 35 15 15 3 na 20 20Thornyhead ................... 20 20 20 20 20 20 35 15 15 1 20 20Atka mackerel ............... 20 20 20 20 20 20 35 1 5 10 3 na 20Other species ................ 20 20 20 20 20 20 35 1 5 10 20 3 naAggregated amount

non-groundfish spe-cies ............................ 20 20 20 20 20 20 35 1 5 10 20 20

1 For definition of species, see Table 1 of the Gulf of Alaska groundfish specifications.2 Aggregated rockfish means rockfish of the genera Sebastes and Sebastolobus except in the southeast Outside District where demersal shelf

rockfish (DSR) is a separate category.3 na = not applicable.4 SEEO = Southeast Outside District.


TABLE 11 TO PART 679—BERING SEA AND ALEUTIAN ISLANDS MANAGEMENT AREA RETAINABLE PERCENTAGES

Basis spe-cies 1

Bycatch species 1

Pollock Pacificcod

Atkamack-erel

Arrowtooth Yellow-fin sole

Otherflatfish Rocksole

Flat-headsole

Green-land

turbot

Sable-fish

Aggre-gatedrock-fish 2

SquidOtherspe-cies

Pollock ........ 3 na 20 20 35 20 20 20 20 1 1 5 20 20Pacific cod 20 3 na 20 35 20 20 20 20 1 1 5 20 20Atka mack-

erel .......... 20 20 3 na 35 20 20 20 20 1 1 5 20 20Arrowtooth 0 0 0 3 na 0 0 0 0 0 0 0 0 0Yellowfin

sole ......... 20 20 20 35 3 na 35 35 35 1 1 5 20 20Other flatfish 20 20 20 35 35 3 na 35 35 1 1 5 20 20Rocksole ..... 20 20 20 35 35 35 3 na 35 1 1 5 20 20Flathead

sole ......... 20 20 20 35 35 35 35 3 na 35 15 15 20 20Greenland

turbot ....... 20 20 20 35 20 20 20 20 3 na 15 15 20 20Sablefish ..... 20 20 20 35 20 20 20 20 35 3 na 15 20 20Other rock-

fish .......... 20 20 20 35 20 20 20 20 35 15 15 20 20Other red

rockfish-BS ........... 20 20 20 35 20 20 20 20 35 15 15 20 20

PacificOceanperch ....... 20 20 20 35 20 20 20 20 35 15 15 20 20

Sharpchin/Northern-AI ............. 20 20 20 35 20 20 20 20 35 15 15 20 20

Shortraker/Rougheye-AI ............. 20 20 20 35 20 20 20 20 35 15 15 20 20

Squid .......... 20 20 20 35 20 20 20 20 1 1 5 3 na 20Other spe-

cies .......... 20 20 20 35 20 20 20 20 1 1 5 20 3 naAggregated

amountnon-groundfishspecies .... 20 20 20 35 20 20 20 20 1 1 5 20 20

1 For definition of species, see Table 1 of the Bering Sea and Aleutian Islands groundfish specifications.2 Aggregated rockfish of the genera Sebastes and Sebastolobus.3 na = not applicable.

[FR Doc. 96–14593 Filed 6–18–96; 8:45 am]BILLING CODE 3510–22–W

fede

ral r

egiste

r

31305


Part III

Department ofAgricultureAgricultural Marketing Service

7 CFR Part 999Specialty Crops; Import Regulations;Peanut Import Regulations; Final Rule



Agricultural Marketing Service

7 CFR Part 999

[Docket No. FV94–999–2FR]

Specialty Crops; Import Regulations;Peanut Import Regulations

AGENCY: Agricultural Marketing Service,USDA.ACTION: Final rule.

SUMMARY: This final rule establishesminimum quality, identification,certification and safeguard requirementsfor imported farmers stock, shelled, andcleaned-inshell peanuts. This rule isissued under section 108B(f)(2) of theAgricultural Act of 1949, as amended.The provisions of paragraph (f)(2)require all peanuts in the domesticmarket to fully comply with all qualitystandards under Peanut MarketingAgreement No. 146 (Agreement).Therefore, this rule establishes the samequality requirements and handlingprocedures for imported peanuts asthose which are in effect fordomestically produced peanuts. Thisfinal rule addresses comments to theproposed rule submitted by members ofthe industry and other interestedpersons. This action will benefit peanuthandlers, importers and consumers byhelping to ensure that all peanuts in themarketplace comply with the samequality standards.EFFECTIVE DATE: July 19, 1996.FOR FURTHER INFORMATION CONTACT: TomTichenor or Rick Lower, MarketingSpecialists, Marketing OrderAdministration Branch, Fruit andVegetable Division, AMS, USDA, P.O.Box 96456, room 2523–S, Washington,DC 20090–6456; tel: (202) 720–6862 or(202) 720–2020 respectively; fax (202)720–5698.SUPPLEMENTARY INFORMATION: This finalrule is issued under paragraph (f)(2) ofsection 108B of the Agricultural Act of1949 (7 U.S.C. 1445c–3), as amendedNovember 28, 1990; Pub. Law 101–624,hereinafter referred to as the Act.Paragraph (f)(2) of section 108B of theAct provides that the Secretary ofAgriculture (Secretary) shall require thatall peanuts in the domestic market fullycomply with all quality standards underMarketing Agreement No. 146 (7 CFRpart 998), issued pursuant to theAgricultural Marketing Agreement Actof 1937, as amended (7 U.S.C. 601–674).

This rule adds ‘‘§ 999.600 governingthe importation of peanuts’’ under 7CFR part 999—Specialty Crops; ImportRegulations. Section 999.600 establishes

minimum quality, identification,certification and safeguard requirementsfor foreign produced farmers stock,shelled and cleaned-inshell peanutspresented for importation into theUnited States. The quality requirementsare the same as those specified in§ 998.100 Incoming quality regulationand § 998.200 Outgoing qualityregulation established pursuant to theAgreement. Whenever the regulationsspecified in the Agreement are changed,the regulations in § 999.600 will bechanged accordingly. Safeguardprocedures enable the Department tomonitor and assure importers’compliance with the requirements ofthis regulation.

The intent of paragraph (f)(2) ofsection 108B of the Act is to ensure thatall peanuts in the domestic marketplacecomply with the same quality standards.

The U.S. Department of Agriculture(Department or USDA) is issuing thisrule in accordance with Executive Order12866.

This rule has been reviewed underExecutive Order 12778, Civil JusticeReform, and is not intended to haveretroactive effect. This rule will notpreempt any State or local laws,regulations, or policies, unless theypresent an irreconcilable conflict withthis rule. There are no administrativeprocedures which must be exhaustedprior to any judicial challenge to theprovisions of this rule.

Pursuant to requirements set forth inthe Regulatory Flexibility Act (RFA), theAgricultural Marketing Service (AMS)has considered the economic impact ofthis rule on small entities.

The purpose of the RFA is to fitregulatory actions to the scale ofbusiness subject to such actions in orderthat small businesses will not be undulyor disproportionately burdened. Smallagricultural service firms, whichinclude importers, have been defined bythe Small Business Administration (13CFR 121.601) as those whose annualreceipts are less than $5 million. Thisimport regulation is based onregulations established under theAgreement which regulates the qualityof domestically produced peanuts.

Experience shows that peanutimporters affected by this regulation arecomprised primarily of signatories tothe Agreement and import brokers. Themajority of signatories to the Agreementcannot be classified as small entities.Import brokers may contract withpeanut handlers who have theequipment and storage facilities neededto carry out necessary shelling andreconditioning of imported peanuts.While the Department is aware of atleast seven importers who imported

peanuts into the United States (most ofwhom are small entities), it is unable toaccurately estimate the number or sizeof importers who may choose to importpeanuts in the future. The Departmentestimates that there are as many as 50domestic peanut handlers with storageand milling facilities that can be used toprepare peanuts for humanconsumption markets.

The quality and handlingrequirements of this import regulationapply uniformly to all importers,whether small or large. The peanutimport quota, while limited, is availableto all importers, regardless of size orbusiness orientation. There are noknown additional costs incurred bysmall importers that are not incurred bylarge importers.

No significant alternatives whichcould accomplish the objectives of thisaction were identified.

Importers must incur the costs ofinspection and aflatoxin analysis.However, these costs are proportional tothe volume of peanuts imported and thesize of each inspected and tested lot.Such costs are applied to all importersregardless of size and also are consistentwith such costs incurred by handlers ofdomestically produced peanuts.Additional costs are incurred if animported lot must be reconditioned tomeet quality requirements of the importrule. Losses may occur if an importedfailing lot cannot be reconditioned andmust be disposed to a non-edible peanutoutlet, destroyed or re-exported.However, such costs are relative to thequality of each imported peanut lot, andimporters may reduce the likelihood ofincurring reconditioning costs or otherlosses due to poor quality peanuts, byimporting only high quality peanuts. Inthis regard, the business risks for peanutimporters are no different than those forhandlers of domestically producedpeanuts. Further, it is common industrypractice that buyers (manufacturers) ofpeanuts require, or make purchasecontingent upon, passing grade andaflatoxin certificates of each peanut lotpurchased. Thus, the costs of inspectionand maintenance of lot identificationare a part of normal business practicesfor this industry.

While the level of benefits of thisaction are difficult to quantify, thestabilizing effects of shipping only highquality and wholesome peanuts tohuman consumption outlets impactboth small and large importerspositively by helping them maintainand expand markets. The Department isnot aware of any Federal rules whichduplicate, overlap, or conflict with thisfinal rule. Finally, this action is requiredby statute.


Based on available information, theAMS has determined that this rulewould not have a significant impact ona substantial number of small entities.

In the past, the importation of peanutshas been limited to 1.71 million poundsannually. However, the Schedule of theUnited States annexed to the NorthAmerican Free Trade Agreement(NAFTA), implemented on January 1,1994, provided duty free entry for up toapproximately 7.43 million pounds ofqualifying peanuts from Mexico. For1996, the duty-free access for Mexicanpeanuts increased to approximately 7.88million pounds. In calendar year 2008,access for Mexican peanuts will beunlimited. In addition, the United StatesSchedule to the Uruguay RoundAgreements negotiated under theGeneral Agreement on Tariffs and Trade(GATT) relaxes the peanut import quotato 74.5 million pounds in 1995, withadditional annual increases ofapproximately 10 million pounds toreach a ceiling of 125 million pounds bythe year 2000 for all imported peanuts.

Various qualities of peanuts areentered into the United States fromcountries such as Argentina, Mexico,Nicaragua, India, and the People’sRepublic of China. Foreign producedpeanuts are produced under varyingweather conditions and using differentcultural practices.

Consistent with the Agreement’sregulatory provisions, each lot ofpeanuts entered into the U.S. would berequired to be officially sampled andgraded by the Federal or Federal-StateInspection Service (inspection service).Incoming inspection for farmers stockpeanuts and outgoing inspection foredible quality shelled peanuts andcleaned-inshell peanuts will be requiredfor imported peanuts. A list ofinspection service offices is provided inparagraph (d)(2)(i) of this regulation.

Some peanuts contain defects or otherdamage which cause them to be of lowquality or have poor taste which couldaffect the demand for peanuts.Producers, handlers and manufacturersin the domestic peanut industry believethat even an isolated quality problemcould adversely affect consumerconfidence, which would be detrimentalto the domestic peanut industry.

The Agreement imposes qualitystandards for domestically producedinshell and shelled peanuts. Peanut lotsare graded based on the percentage ofunshelled peanuts, percentage ofkernels with damage and minor defects,percentage of loose shelled kernels,percentage of foreign material, andpercentage of moisture content. Inaddition, an integral part of thesequality standards is the extent of the

presence of Aspergillus flavus mold (theprincipal cause of aflatoxin, which is acarcinogen). This mold is more likely tobe found on damaged or defectivekernels than on sound, whole, goodquality kernels. A chemical analysis foraflatoxin is required on shelled peanutlots not meeting superior qualityrequirements. Shelled lots that exceedcertain superior quality requirementsneed not be analyzed prior to shipmentfor human consumption.

The proposed rule was issued January23, 1996, and published in the FederalRegister February 1, 1996. A 30-daycomment period was provided and 16comments were received. Commentswere received from a United StatesCongressman, as well as personsrepresenting the agricultural office of aSouth American embassy, the PeanutAdministrative Committee (PAC), theAmerican Farm Bureau Federation, theSouthwestern Peanut Growers’Association, the Peanut GrowersCooperative Marketing Association inthe Virginia-Carolina area, the AmericanPeanut Shellers Association, and theAmerican Peanut ProductManufacturers, Inc. Comments werealso received from a peanut productmanufacturer, three peanut brokers, onepeanut handler/importer, and acompany making chemical analysistesting kits. Most all commenters agreethat imported peanuts should meetdomestic requirements for humanconsumption. However, they also werecritical of various provisions in theproposed rule.

Three commenters stated that theregulation should establishrequirements for aflatoxin testing ofpeanut butter and peanut pasteimported from Canada and Mexico.However, Peanut Marketing AgreementNo. 146, the authorizing statute, and thequality regulations under the Agreementare only applicable to peanuts and notpeanut products. The Food and DrugAdministration (FDA) is responsible forcertifying the aflatoxin level of importedpeanut butter and peanut products.

Four commenters recommended thatthe rule should establish country-of-origin requirements on importedpeanuts to guard against peanutsproduced in one country andtranshipped through another countrybefore importation into the U.S.However, the purpose of this rule is toestablish quality requirements for allimported peanuts, and establishment ofcountry-of-origin requirements is notnecessary. The United States CustomsService (Customs Service) monitorscountry-of-origin on imported peanutsfor tariff purposes. In addition, the gradeand aflatoxin certificates will identify

the country-of-origin as the shippingcountry unless another producingcountry is identified on CustomsService documentation.

Five commenters were of the opinionthat the regulation is contrary to thespirit of GATT and NAFTA, which is topromote free and fair trade. However,both GATT and NAFTA recognize therights of signatories to protectthemselves from inferior quality importsby allowing the receiving country toapply to imports the same standardsmandated for its domestically produced,agricultural products. The Departmentbelieves that this rule meets such‘‘national treatment’’ requirements inthat it provides the same grade andhandling requirements applied topeanuts domestically producedthroughout the United States.

One commenter indicated thatEuropean countries are implementing aprogram using the quality test resultsconducted by suppliers in origin-producing countries. The commenterquestioned why the Department doesnot honor origin-testing programs inother countries while United Statespeanut suppliers are aggressivelysupporting origin-testing of peanutsthey ship to Europe. The commenterrecommended that imported peanuts beorigin-tested by recognized independentlaboratories overseas. The commentersuggested that a laboratory owned andoperated by a PAC-approved laboratoryin the United States be authorized toperform the grade and aflatoxininspections in Argentina. The lab iscurrently certifying peanut shipments tothe United States and Europe, and thoseshipments have met minimum aflatoxinrequirements over the past year.

The Agreement’s requirements, asreflected in these import regulations, aresupported by an integrated qualityassurance system that includesstatistically based sampling, positive lotidentification, and laboratory oversight.Because it would be difficult, at thistime, to ascertain that imported peanutsmeet the same quality requirements asdomestic peanuts without theapplication of that inspection system,these regulations do not provide forcountry of origin inspection and testing.

A number of commenters complainedabout the increased burden onimporters, and four commenterscontended that the regulation is moreburdensome on importers than thedomestic regulation is on handlersunder the Agreement. Individually orjointly, they commented that theproposed regulations would increaseimporters’ burdens by: placing timeconstraints on certification or non-edible disposition of each imported lot;


requiring bonded storage which may bescarce or not available; adding costs fordemurrage, sampling, and inspection ofimported lots; and adding layers ofbureaucracy and regulations. Theycommented that any peanut lotsrequiring more than simple aflatoxintesting could not be shelled, sorted,sized, remilled, and reported in 23 days.

As stated in the proposed rule, thepurpose of these regulations is to ensurethat all peanuts (including importedpeanuts) marketed in the United Statescomply with quality standards of theAgreement. Quality standards cannot beguaranteed without handlingrequirements that prohibit thecommingling of certain peanut lots andensure lot identification of importedshipments. Further, in order to ensurecompliance with non-edible dispositionrequirements, it is necessary to requirethat imported peanut lots failing ediblequality be certified as handled anddisposed of to appropriate non-ediblepeanut uses.

In this rule, the Department attemptedto establish the least burdensome andleast costly procedures which wouldassure that imported peanuts meet therequired quality standards. Grade anddisposition requirements are the sameas those provided under the Agreement.Lot identification and storagerequirements are similar to those of theAgreement, but vary slightly because ofCustoms Service requirements andbecause shipments have to be monitoredfrom the place and time of conditionalrelease rather than from a buying pointor shelling facility.

The initial 30 day reporting period isa Customs Service requirement thatcannot be changed by a USDAregulation. It is applied by CustomsService to imported merchandise thatmust meet product requirements ineffect in the United States. Also, asstated in the proposed rule, theDepartment needs to establish a shorterreporting period because a CustomsService port-of-entry office issuing theentry documentation needs up to 7 daysto issue a redelivery demand notice.Therefore, the Department established areporting period of 23 days from thedate of entry by the Customs Service.

The intent of a Customs Serviceredelivery notice is not necessarily torequire immediate return of theshipment to the port-of-entry. Rather,the redelivery notice serves as a noticeto the importer that the lot must beeither: (1) Brought into compliance withprogram requirements within thenumber of days specified on theredelivery notice, or (2) returned to theport-of-entry. During the redeliveryperiod, the importer may recondition a

failing lot in order to bring the lot intocompliance with regulatoryrequirements. This option was notclearly stated in the proposed rule.

The Department has been informedthat it may establish a redelivery periodwhich is longer than the 30 daysspecified in the proposal. Therefore, toenable importers more opportunity tomeet the requirements of this regulation,the Department is extending theredelivery demand period from 30 daysto 60 days. Customs Form 4647 (‘‘Noticeto Mark and/or Notice to Redeliver’’) isissued by the Customs Service at therequest of AMS. A 60 day redeliveryperiod should be entered by theCustoms Service under item 15 on theform. Thus, an importer has as long as90 days to move an imported peanut lotthrough the peanut handling process. Bythe end of the redelivery period, theimporter must submit certifications toAMS that the lot either: (1) Meetsrequirements for human consumption;(2) is disposed to one or more non-edible peanut outlets; (3) is destroyedunder supervision of the inspectionservice and Customs Service; or (4) isexported out of the U.S. Alternatively,the importer must redeliver the peanutsto the port-of-entry pursuant to theredelivery notice.

An exception to this rule may beapplied to cleaned-inshell peanuts thatare conditionally released for movementto an inland facility for outgoinginspection. As stated in the proposedrule, such cleaned-inshell peanut lotsmust proceed directly to the outgoinginspection and may not undergo anycleaning, drying or sorting prior tooutgoing inspection. During outgoinginspection, if AMS determines that thepeanut lot sampled and graded is afarmers stock lot which has beenmislabeled or misrepresented as cleanedin-shell peanuts, the lot is considered asungraded farmers stock peanuts andmust be sent to incoming inspection orredelivered to the port-of-entry. Suchlots, if determined to be Segregation 1quality at incoming inspection, can thenbe cleaned, dried, sorted and otherwiseprepared for outgoing inspection ascleaned-inshell peanuts.

The importer must notify both theCustoms Service and the AMS that anoutstanding lot has been certified asmeeting disposition requirements ofthese regulations, destroyed or exported.Failure to meet these requirements orredeliver the peanut lot can result inliquidated damages up to three timesthe value of the product.

The Department also wishes toreiterate that the above importprocedure is not the only procedureavailable to importers. Importers can

avoid the 23-day reporting requirementby holding shelled and cleaned-inshellshipments under Customs Servicecustody until the peanuts are sampled,tested and certified as meetingrequirements for human consumption.This should be possible withcontainerization of the shipment thatallows for sampling by the inspectionservice and storage while underCustoms Service custody.

The Customs Service requires (19 CFRpart 141.5) that lots so held must beentered within 5 working days afterarrival at the port. Thus, it is importantthat the peanut shipment be sampledand the samples sent for outgoingquality inspection and chemicalanalysis as soon as possible afterunloading. Using overnight mailservices and fax transmissions, theimporter should be able to obtain gradeand aflatoxin content certificates within2 or 3 days. If certified as meetingimport requirements for humanconsumption, such peanuts do not haveto be reported to the Department and arenot subject to further handlingrequirements of this regulation. Asstated in the proposed regulations,shipments moved inland under CustomsService custody and held in bondedwarehouses are not considered asentered by the Customs Service. Thus,the time under Customs Service custodywill not be counted against the 23-dayreporting period.

One commenter questioned how thetime frames relate to the stamp-and-faxprocedure and receipt of aflatoxinanalyses. For all imported shipments, itis incumbent on the importer to planahead by contacting the inspectionservice offices where sampling andgrading will take place and the aflatoxinlab where the analysis will beconducted. The stamp and faxprocedure should take place beforearrival of the shipment. As noted above,the 23-day reporting period begins whenthe shipment is released from CustomsService custody, whether at the port-of-entry or inland after movement andstorage under Customs Service custody.Samples can be taken, inspectionsperformed, and results reported back tothe importer within 2 or 3 days. Extrademurrage charges at a port-of-entrywould be less likely if the importer orcustoms broker makes properpreparations prior to the arrival of ashipment.

The Customs Service suggested thattwo definitions in paragraph (a) bechanged to be consistent withterminology used by Customs. TheDepartment has revised definitions for‘‘importation’’ and ‘‘conditionallyreleased’’ and has made conforming


changes throughout this final rule to beconsistent with the new definitions. Inthe proposed rule, the term‘‘importation’’ was defined to meanrelease from custody of the CustomsService. That definition referred topeanuts after arrival and release by theCustoms Service for inland movement.To make the term consistent withCustoms Service operations, and for thepurposes of this peanut importregulation, the term ‘‘importation’’means the arrival of a peanut shipmentat a port-of-entry with the intent to enterthe peanuts into channels of commerceof the United States.

‘‘Conditionally released’’ was definedin the proposed rule to mean peanutsreleased under bond for consumption orwithdrawal from warehouse forconsumption. This definition did notdescribe the reason for release. For thepurposes of this import regulation,‘‘conditional release’’ means releasedfrom Customs Service custody forfurther handling (sampling, inspection,chemical analysis, or storage) beforeliquidation (final release aftercomputation of applicable duties) by theCustoms Service of the imported peanutlot.

After receiving information from aCustoms Service port-of-entry officer,the Department has made an additionalrelaxation that could reduce the filingburden on importers. The proposed rulestated that one Customs Service entrydocument must be filed for each peanutlot entered. However, one entrydocument may encompass several lots.Each lot must be separately identifiedon the entry document to allow forappropriate monitoring and clearance.For example, a shipment of 500,000pounds of shelled peanuts in 10containers can be entered on one entrydocument as 10 lots of one container perlot; 5 lots of two containers per lot; 3lots of 200,000 and 200,000 and 100,000pounds per lot, or other variations.Subdivision of a large shipment is adecision for the importer, workingcooperatively with the Customs Serviceand the inspection service at the port-of- entry. Paragraph (g) has beenchanged accordingly.

Two commenters pointed out that theproposed rule did not provide forchanges in lot weight, especially afterremilling or cleaning of a failing lot. TheDepartment acknowledges potentialdifficulty in accounting for the totalweight of a very large lot which may beshelled and reconditioned several times.However, the Department believes thatthe accepted percentage for the weightof shells in the shelling process plus thecombined weight of resultant sublotsand residuals should account for the

total weight of the original lot. TheCustoms Service and the inspectionservice both recognized that inshellpeanuts are 65 percent kernel weightand 35 percent shell weight. Further,the lot identification procedures of theinspection service identify the weight ofthe certified lot. Thus, when animporter reports disposition of a lot thathas been reconditioned, the report mustinclude inspection and lot identificationcertificates on all sublots—both edibleand non-edible residuals—resultingfrom remilling or blanching.

One commenter offered threerecommendations that the Departmenthas included in this final rule. Thecommenter correctly stated that, underthe Agreement, in addition to shelling,failing cleaned-inshell lots may beremilled by running the inshell peanutsthrough inshell milling two or moretimes to remove moldy, damaged,moisture laden peanuts, and foreignmaterial that prompted the failingcertification. However, as noted aboveregarding reconditioning of cleaned-inshell peanuts, reconditioning may notbe conducted if the inspection servicedetermines that the failing peanuts arefarmers stock peanuts and not cleaned-inshell peanuts. Such lots areconsidered to be mislabeled and,therefore, subject to redelivery withoutreconditioning.

The commenter also pointed out thatdestroying failing peanuts by buryingmust be carried out under thesupervision of the inspection service.Finally, he pointed out that under theAgreement, Segregation 2 and 3 farmersstock peanuts which are shelled beforeexportation, must first also befragmented. This requirement is asafeguard against such peanuts beingdiverted to human consumption outlets.Therefore these changes have beenmade in the final rule.

A commenter pointed out two placesin the preamble of the proposed rulewhere positive lot identificationprovisions could be inserted to ensurepositive lot identification of failingpeanut lots. The commenter alsosuggested that a definition for positivelot identification be added to the finalrule. While the Department agrees withthe need to ensure lot identification onall imported lots, it also understands thegreat burden that ’positive’ lotidentification could place onimporters—particularly for largeshiploads of peanuts. Positive lotidentification involves an inspectionservice seal or tag that clearly identifiesthe peanuts covered by the seal or tag—which is affixed in such a way that thepeanut container cannot be tamperedwith without destroying the seal or tag.

Because of the size of some importedshipments (up to 200,000 pounds), orbecause of the multiple containers orbags used for such lots, it would beimpractical to require that a seal beplaced or tag be sewed onto everycontainer or bag of such large shipmentsat the port-of-entry. For this reason, adefinition of positive lot identificationwas not included in the proposed rule.This does not mean, however, that lotidentity is not as important under theimport regulation as it is under theAgreement. Each imported lot must belot identified in such a way as to clearlydistinguish the peanuts in the lot, butnot necessarily require tags onindividual bags or plastic wrap aroundan entire lot. Arrangements for lotidentification should be made with theinspection service and Customs Serviceofficers at the port-of-entry. Sucharrangements can be tailored for theparticular circumstances of eachimported lot. Lot identificationrequirements of this rule should provideno less assurance of positive lot identitythan is provided under the Agreementfor domestically produced peanuts.

The commenter’s suggestion thatpositive lot identification be placed onfailing lots is accepted by theDepartment. This final rule makes theidentification procedures for failingresidual peanuts more precise byestablishing that residual peanutsresulting from the reconditioning,remilling or blanching of a failingimported lot must be positive lotidentified. At this point in the handlingprocess, residual peanuts from a millingprocess are capable of being handled thesame as domestically producedpeanuts—and therefore, should besubject to the same positive lot identitylabeling requirements (such as sewingtags on bags or stamping individualcontainers of failing peanuts) that arerequired for domestically producedfailing peanuts. Clarifying sentences areadded to paragraphs (c)(3) and (g)(2)requiring positive lot identification ofresidual lots.

Several commenters addressed theproposed provision which states thatsuperior quality shelled peanuts do nothave to be tested for aflatoxin prior toshipment for human consumption. Twoaddressed the dangers of aflatoxincontamination in food products andrecommended that aflatoxin testing berequired on all peanut lots importedinto the United States.

Under the Agreement, alldomestically produced, shelled peanutsintended for human consumption usemust meet specified minimum qualityrequirements found in the Agreement’s‘‘Other Edible Quality’’ table and must


undergo chemical analysis for aflatoxincontent prior to shipment for humanconsumption. Other edible quality gradeis referred to as minimum grade in thisimport regulation. Further, theAgreement provides that peanuts whichmeet the higher quality requirementsfound in the ‘‘Indemnifiable Grades’’table do not need to undergo suchchemical analysis. Indemnifiable gradeis referred to as superior grade in thisimport regulation.

One commenter referred to paragraph(l)(3) of section 998.300 ‘‘Terms andConditions for Indemnification’’ as arequirement for aflatoxin analysis.However, this section of the Agreementrefers to indemnified lots and has norelevance to imported peanuts as thosepeanuts cannot be indemnified underthe Agreement.

One commenter, while recognizingthat the superior grade peanuts do nothave to be tested for aflatoxin, suggestedthat uncontrolled temperature,humidity, and moisture could degradethe condition of a peanut lot duringshipment. Therefore, the commenterrecommended that all importedpeanuts, even those that meet ‘‘SuperiorQuality Requirements’’ upon arrival inthe U.S., should be chemically tested foraflatoxin content. Imported peanut lotswhich are not properly packaged orhandled during shipment and aredegraded or otherwise damaged as aresult, would most likely fail ‘‘SuperiorQuality Requirements’’ and would besubject to aflatoxin analysis. Therefore,the recommendation is denied.

One commenter asked whether theregulations in the proposed rulerepresented an overlap of responsibilitybetween the Department and FDA withregards to the methodology used forsampling and testing peanut shipmentsand the enforcement of test results. Asstated in the proposed rule, this ruledoes not supersede laws orrequirements of other Federalgovernment agencies. Thus, this ruledoes not prevent FDA from inspectingimported peanut shipments, should itchoose to do so. The Department hasinitiated a Memorandum ofUnderstanding with FDA to minimizepossible duplication of inspections.

Three commenters recommended thatthe implementation of the regulation bedelayed. Two suggested that becausesome members of the Agreement wish toamend the regulations regarding thehandling of farmers stock peanuts, itwould be better to delayimplementation of the import regulationuntil such a change, if approved by theSecretary, is implemented. Theycommented that such delay wouldavoid confusion regarding applicable

import requirements. One commentercomplained that some peanut shipmentsare already in transit to the UnitedStates and should not be held torequirements established after departureof the shipment. Because of concernssuch as these, the Department hasdecided to make this rule effective 30days after the date of publication in theFederal Register. Since the rule wasfirst proposed on February 1, 1996,importers should have ample time toprepare for its implementation.

As noted in the proposed rule,whenever the quality requirements andhandling procedures are changed in theAgreement, the same or equivalentchanges will be made in the qualityrequirements and handling proceduresof this import regulation.

In preparing for implementation ofthis regulation, the inspection servicehas issued instructions to its fieldoffices which will receive and collectthe samples of imported peanutshipments. To reduce the possibility ofsplit kernels caused in the samplingprocess, special instructions have beenissued for collecting the samples frombags. While no comments were receivedregarding this issue, the Departmentwants the industry to be aware thatprecautions have been taken to avoidcausing defects in lots during thehandling. The same procedures arefollowed when sampling domesticallyproduced peanuts presented in bags.

Several minor corrections andclarifications also are made to correctreferences to paragraphs in theregulatory text and clarify procedurespresented in the proposed rule. Thechanges are based on commentsreceived and on the Department’sreview of the published proposed rule.

Customs Service Entry Requirementsand USDA Safeguard Procedures

Importer obligations include filingdocuments notifying the CustomsService and the Department of differentactions taken concerning foreignproduced inshell and shelled peanuts.Customs Service importationprocedures and requirements are set outin title 19 of the Code of FederalRegulations (19 CFR). The CustomsService regulations applicable to peanuthandling and processing include, butare not limited to: bond requirements(19 CFR part 113); transfer from port-of-entry to another Customs Service officelocation (19 CFR part 112); entry ofmerchandise for consumption (19 CFRpart 141); warehouse entry, andwithdrawal from warehouse forconsumption (19 CFR part 144);establishment of bonded warehouses (19CFR parts 19.13 and 19.2); and

manipulation in bonded warehouses (19CFR part 19.11); transfer of ownership(19 CFR parts 141.113 and 141.20);failure to recondition (19 CFR part113.62(e); and redelivery ofmerchandise 19 CFR part 113.62(d). Forpurposes of this regulation, the term‘‘consumption’’ means ‘‘use in theUnited States.’’ Customs Service entryprocedures are not superseded by thisimport regulation.

Foreign produced peanuts may beentered for ‘‘warehouse’’ or entered for‘‘consumption,’’ or may be transportedto another Customs Service port-of-entryto be entered there for warehouse orconsumption. Peanuts transported fromone Customs Service port-of-entry toanother Customs Service port-of-entrymust be transported by a carrierdesignated by the Customs Serviceunder 19 U.S.C. 1551. Peanuts enteredfor warehouse are stored in a CustomsService bonded warehouse. Suchpeanuts remain in Customs Servicecustody until they are withdrawn fromwarehouse, or entered, forconsumption—and are released fromCustoms Service custody. Peanutsentered for consumption, or withdrawnfrom warehouse for consumption, arereleased conditionally, pendingcertification that the peanuts meet thehandling and quality requirements ofthis regulation and conform to CustomsService entry requirements. TheCustoms Service can demand redeliveryof peanuts that fail these requirements.

The importer, or import broker actingon behalf of the importer, is required tofile with the Customs Service requiredentry documentation for each foreignproduced peanut shipment to beentered. More than one lot can be filedon one entry document. Undersafeguard procedures established in thisrule, each importer is also required tofile completed entry documentation(Customs Form 3461 or other equivalentform) with the inspection service officethat will perform the sampling of the lotfor inspection to provide that office withadvanced notice of requestedinspection. The entry documentationmay be filed by mail or facsimiletransmission (fax). The filing shouldoccur prior to arrival of the shipment atthe port-of-entry in order to expediteentry procedures. The inspectionservice office will stamp, sign, and datethe entry document and return it to theimporter or broker by fax or mail. Theimporter/broker will then submit thestamped copy to the Customs Service.This ‘‘stamp-and-fax’’ procedure issimilar to a procedure in place for otherimported agricultural commoditiesunder AMS jurisdiction. Failure to showthe Customs Service a copy of the entry


documentation stamped by theinspection service will result in a delayor denial of entry of a peanut lot. Theimporter/broker must also mail or fax acompleted copy of the document toAMS to initiate the Department’smonitoring process.

The location and telephone numbersof inspection service offices thatperform peanut sampling and/or gradeinspections are provided in paragraph(d)(3) of this rule. Inspection serviceoffices at other locations may becontacted to sample the importedpeanut lot. In such cases, the collectedpeanut samples will be shipped to aninspection service office which hasequipment and personnel qualified toperform grade inspections. Samples oflots meeting minimum graderequirements will also be sent to anapproved laboratory (listed in paragraph(d)(4)) for aflatoxin analysis. The lot willhave to remain in storage pending gradeand aflatoxin certification.

It is the importer’s responsibility toprovide, in the mailed or faxeddocumentation, sufficient informationto identify the peanut lot being enteredand to ensure that arrangements aremade for sampling and inspection. Theinformation will include the containeridentification, weight of the peanut lot,the city, street address, and buildingnumber (if known) receiving the peanutlot, the requested date and time ofinspection, and a contact name ornumber at the destination. If thedestination is changed from that listedon the stamp-and-fax document, it is theimporter’s responsibility to immediatelyadvise inspection service offices at boththe original destination and the newdestination of such change. Shipmentswhich are not made available pursuantto the entry document, or are notproperly displayed for samplingpurposes, will be reported to theCustoms Service.

Falsification of reports submitted toAMS is a violation of Federal lawpunishable by fine or imprisonment, orboth.

A bond secured by surety or U.S.Treasury obligations is required to beposted by the importer with theCustoms Service to guarantee theimporter’s performance. Peanuts can bedetermined inadmissible because theimporter failed to follow CustomsService importation procedures, thepeanuts failed to meet qualityrequirements, or because the handlingprocedures (including lot identificationand certification) specified in thisregulation were not followed.

Redelivery will be demanded forfailure to comply with the quality,handling, and reporting requirements of

this import regulation, including: arrivalat the inland destination with a brokenCustoms Service or inspection serviceseal; failure to maintain lot identity;mislabeling of the peanuts beingimported; failure to receive requiredinspection; commingling of peanut lotsnot of like quality or condition;disposition of non-edible peanuts to anedible peanut outlet or an improper,non-edible peanut outlet; and failure tofully report the disposition of foreignproduced peanuts. Disposition reportswill include grade, aflatoxin, andidentification certifications and bills oflading, sales receipts, and otherdocumentation showing the peanutswere disposed to a non-edible peanutoutlet, exported, or destroyed.

Following Customs Serviceregulations, a redelivery demand mustbe issued by the Customs Service within30 days of Customs Service entry of thepeanuts—if the peanuts are not certifiedas meeting requirements of this importregulation. Because the Customs Servicerequires one week to prepare and issuea redelivery demand notice, this importrule establishes that importers mustreport disposition of lots of peanuts toAMS within 23 calendar days of thedate of entry. Although a 23-dayreporting deadline may be consideredburdensome by some, the deadline isnecessary because of the CustomsService 30-day notification requirement.

If an importer has difficulty meetingedible consumption certification orcompleting necessary shelling,remilling, or other reconditioning by the23rd day after entry, the importershould notify AMS of such difficulty. Ifthe importer fails to so notify AMS, orfails to report necessary certification,AMS will request the Customs Serviceto issue a redelivery demand for the out-of-compliance lot.

As covered above, after receiving anotice of redelivery, the importer maycontinue to try to recondition the failinglot or redeliver the failing lot to the port-of-entry. The redelivery notice, in effect,provides an additional 60 days, from thedate of issuance, for the importer tocomply with requirements of thisimport regulation. The exception to thisis for peanuts labeled as cleaned-inshellwhich are determined by the inspectionservice to be unprepared farmers stockpeanuts. Such peanuts must beredelivered immediately and may not bereconditioned.

If the importer is unable to meet theseimport requirements by the end of the60-day redelivery period, the importermay request an extension of the periodfrom the Customs Service. The CustomsService may authorize an appropriateextension for good cause. The importer

is responsible for reporting any suchextension to AMS.

When moving a conditionallyreleased lot inland, the importer willcause a copy of the entry documentationapplicable to the peanut lot to beforwarded with the peanuts to the lot’sinland destination. If the shipment issealed by Customs Service or theinspection service, the seal must remainintact and can be broken only by anauthorized official at the destinationpoint.

The identification requirements inthis regulation are similar to theAgreement’s lot identificationrequirements. Lot size is limited to200,000 pounds to comply withAgreement requirements and samplingprovisions of the inspection service.Boatload shipments exceeding 200,000pounds must be entered as two or morelots, but may be entered under oneCustoms Service entry document. Forinstance, five containers averaging40,000 pounds each (the domesticindustry standard) may be entered asfive lots on one entry document. Lotsize and identification arrangementsmust be made consistent with the port-of-entry inspection service officerequirements and should be establishedcooperatively between the inspectionservice, Customs Service offices and theimporter at the port-of entry. This willfacilitate subsequent lot identification,inspection, and reporting of largeimported shipments.

Foreign produced peanuts placed instorage may be commingled only withlike-quality, foreign produced peanutsbelonging to the same importer.Similarly, failing quality peanuts maybe commingled with other such foreignproduced peanuts prior to clean-up ornon-edible disposition. Reportscertifying disposition of all peanuts inthe commingled lot must be filed within23 days of Customs Service entry of theearliest-entered lot commingled, or, if aredelivery notice is issued on theearliest entered lot, within the 60-dayredelivery period for that lot. Theremaining commingled peanuts must bewithdrawn, inspected, properlydisposed, and reported before the end ofthat 60-day redelivery period. Ifnecessary, the importer may request thatCustoms Service extend the redeliveryperiod for the remaining peanuts in thecommingled lot.

The objective of the lot identificationrequirements is to help ensure thatindividual peanut lots are disposed asrequired and that defects in poor qualitypeanut lots are not blended out bycommingling poor quality peanuts withhigher quality peanuts. The lotidentification requirements in this


import regulation are similar to positivelot identification requirements specifiedfor domestically produced peanuts.Positive lot identification involves aFederal or Federal-State InspectionService seal or tag that clearly identifiesthe peanuts covered by the seal or tag,and which is affixed in such a way thatthe peanut lot cannot be tampered with,without destroying the seal or tag.Because of the size of some importedshipments (up to 200,000 pounds) itwould be impractical to have a seal ortag sewed onto every bag or container insuch a lot. Thus, an imported lot maybe lot identified in such a way as toclearly distinguish the peanuts in thelot, but not require tags on individualbags or plastic wrap around the entirelot. However, residual sublots resultingfrom the reconditioning, remilling orblanching of a failing lot must bepositive lot identified, consistent withthe provisions of lot identificationprovisions of the Agreement.

All USDA required sampling, qualitycertification, and lot identification mustbe conducted by the inspection service.Chemical analysis must be conductedby a USDA or an approved laboratory.Foreign produced peanuts stored inbonded warehouses are subject toCustoms Service audits. Importers willreimburse the inspection service,laboratories, and the Customs Servicefor services provided and costs incurredwith regard to the entry of theimporter’s peanuts.

Depending on condition (shelled orcleaned-inshell) and containerization,foreign produced peanuts may be either:(1) Sampled, inspected, and held in aCustoms Service bonded warehouse atthe port-of-entry until certified by theinspection service as meeting the ediblequality requirements of this rule; or, (2)conditionally released at the port-of-entry and entered under CustomsService entry procedures for laterinspection and certification.

Under option (1), foreign producedshelled or cleaned-inshell peanutswhich are cleaned, sorted, sized, andotherwise prepared for edibleconsumption prior to importation, aresampled at the port-of-entry. Theimporter must present such peanuts incontainers or bags that allowappropriate sampling of the lot pursuantto inspection service requirements.After sampling, such lots are held at theport-of-entry, under lot identificationrequirements of the inspection service,pending results of the inspection andchemical analysis. Depending onlocation of the port-of-entry, portions ofthe samples are sent to an inspectionservice inspection facility for gradeinspection and to an aflatoxin laboratory

for chemical analysis. If determined tomeet the applicable edible qualityrequirements in paragraph (c) of thisrule, the shelled or cleaned-inshellpeanuts may be entered forconsumption without furtherinspection. Reports of such entries donot have to be filed with AMS becausethe lots cleared all requirements whileunder Customs Service custody.

Such shelled or cleaned-inshellpeanuts, sampled and held at the port-of-entry, which fail edible qualityrequirements may, at the importer’sdiscretion, be: (1) re exported; (2)entered for reconditioning, and ifsatisfactorily remilled or blanched,certified for edible consumption; or (3)entered for non-edible consumption.Failing peanuts that are re-exported donot have be reported to AMS becausethe peanuts were not entered into theU.S. The importer must filecertifications which report all actionstaken on each lot entered forreconditioning or non-edibleconsumption. Such certifications mustbe reported within 23 days of entry, or,if a redelivery notice is issued, withinthe 60-day redelivery period.

Under option (2), shelled andcleaned-inshell peanuts which arecleaned, sorted, sized, and otherwiseprepared for edible consumption priorto importation, may be entered andtransported inland for subsequentsampling, inspection, and certification.Farmers stock peanuts also must beshipped inland for sampling andinspection because specialized, farmersstock sampling facilities are notavailable at ports-of-entry. Certificationsreporting disposition of these lots mustbe filed within 23 days of entry, or, ifa redelivery notice is issued on the lot,within the 60-day redelivery period.

Categories of Peanuts Submitted forImportation

Farmers Stock Peanuts

Such peanuts are required to undergoincoming inspection at a prearrangedbuying point prior to arrival at ashelling or storage destination. Allrequired inspections, shelling, anddispositions of farmers stock peanutsmust be completed and reported within23 days of entry, or, if a redeliverynotice is issued on the lot, within the60-day redelivery period.

Foreign produced farmers stockpeanut lots cannot be commingled withother peanut lots prior to incominginspection. Incoming inspectiondetermines the quality of the farmersstock peanuts based on moisturecontent, foreign material, damage, looseshelled kernels, and visible Aspergillus

flavus mold. The inspection service willissue USDA form CFSA–1007,‘‘Inspection Certificate and SalesMemorandum’’ (formerly ASCS–1007)designating the lot as either Segregation1, 2, or 3 quality.

Only Segregation 1 peanuts can beprepared for human consumption use.Such peanuts may be shelled orprepared for cleaned-inshell use. Forquality control and reporting purposes,Segregation 1 lots intended for humanconsumption outlets may becommingled only with other like qualitypeanuts of the same importer. ASegregation 1 lot which is commingledwith Segregation 2 or 3 peanuts mustassume the lower Segregation 2 or 3quality and must be disposed as non-edible quality peanuts.

Foreign produced farmer stockpeanuts received by importers anddetermined at incoming inspection to beSegregation 2 and 3 quality peanutsmust be disposed only as non-ediblepeanuts. Segregation 3 and commingledSegregation 2 and 3 farmers stockpeanuts may be exported inshell orexported shelled if fragmented prior toexport. Segregation 2 and 3 peanuts alsomay be destroyed by burying (underinspection service and Customs Servicesupervision) or exported (certified byCustoms Service). The importer mustreport non-edible disposition byproviding a copy of the incominginspection certificate, bills of lading andsales receipts, or other officialcertifications as proof of disposition tocrushing, exportation, other non-edibleoutlets, or burying. Segregation 2 and 3peanuts that are exported must be lotidentified by the inspection service andcertified as exported by the CustomsService. Certification of non-edibledisposition or export must be filed withAMS within 23 days of entry, or, if aredelivery notice is issued, within the60-day redelivery period. CustomsService re-export procedures must befollowed.

Foreign produced Segregation 2 and 3quality peanuts may be shelled by acustom seed sheller for seed use and, ifso disposed, such peanuts must be dyedor chemically treated so as to be unfitfor human or animal consumption.Domestically produced Segregation 2and 3 peanuts shelled for seed need notbe dyed or treated but must be producedunder the auspices of a State agency,shelled by a custom seed sheller, andsubject to PAC oversight. Measures suchas these are necessary to ensure thatpeanuts used for human consumptionare safe and wholesome. Proof of dyeingor chemical treatment of foreignproduced peanuts must be filed withAMS within 23 days of entry, or, if a


redelivery notice is issued on the lot,within the 60-day redelivery period.

Foreign produced farmers stockpeanuts do not qualify for the supportprogram administered by theDepartment’s Farm Service Agency,formerly the Agricultural Stabilizationand Conservation Service.

Shelled peanuts: Foreign producedshelled peanuts may: (1) Originate fromforeign produced Segregation 1 farmersstock milled at facilities in the U.S., or(2) be peanuts produced and milled inanother country which are conditionallyreleased at the port-of-entry for inlandsampling and inspection. Bothcategories of shelled peanuts must besampled and inspected against outgoingquality requirements specified inparagraph (c) of this regulation.

Domestically produced shelledpeanuts intended for edible marketsmust originate from farmers stockpeanuts which have undergoneincoming inspection and are determinedto be of Segregation 1 quality. AMScannot determine whether peanutsproduced and shelled in a foreigncountry originated from Segregation 1quality peanuts prior to shelling.However, because outgoing inspectionand chemical analysis is more reliableand precise in determining aflatoxincontent in peanut kernels, this importregulation provides that peanuts shelledprior to importation are exempt fromincoming inspection before delivery foroutgoing inspection. Such shelledpeanuts must be sampled and testedagainst outgoing quality requirementsprior to disposition to edible outlets.

Two grade levels for shelled peanutsare in effect under the Agreement andare established in this import regulation.The Agreement provides that shelledpeanut lots meeting the qualityrequirements specified in a tableentitled ‘‘Other Edible Quality,’’ underparagraph (a) of § 998.200, must bechemically analyzed for aflatoxincontent prior to disposition to edibleoutlets. The quality requirementsspecified in the Other Edible Qualitytable are duplicated in ‘‘Table 1,Minimum Grade Requirements—Peanuts for Human Consumption’’ ofthis import regulation. The outgoingquality requirements also include aparts-per-billion tolerance for aflatoxin,determined by chemical analysis.

The Department has corrected anentry in Table 1. Minimum GradeRequirements’’ as published in theproposed rule. Under the ‘‘Lots ofsplits’’ category, the cite for Virginiapeanuts should read ‘‘Virginia (not lessthan 90% splits).’’ The proposed ruleincorrectly stated not more than 90%.

Aflatoxin appears most frequently indamaged, stressed, under-developedand malformed kernels. Domestic lotswith fewer poor quality kernels are lesslikely to be contaminated and, thus, donot have to be chemically tested. TheAgreement’s ‘‘Indemnifiable Grades’’table in paragraph (a) of § 998.200,provides for a superior quality levelwith more rigorous percentagetolerances than those found in the OtherEdible Quality table. Foreign producedshelled lots meeting the superior qualitystandards do not have to be chemicallyanalyzed prior to their disposition forhuman consumption. The qualityrequirements specified in the‘‘Indemnifiable Grades’’ table areduplicated in ‘‘Table 2 Superior QualityRequirements—Peanuts for HumanConsumption’’ of this rule.

Paragraph (c)(4) of § 998.200 providesthat peanuts are considered ediblequality if the chemical assay shows thelot contains 15 ppb or less of aflatoxin.Thus, the level of aflatoxin in foreignproduced peanut lots intended foredible peanut markets must not exceed15 ppb. Consistent with paragraphs(c)(4) and (g)(3) of § 998.200, non-ediblequality peanut lots with 25 ppb or lessmust be disposed to certain non-ediblepeanut outlets. Disposition of non-edible quality peanut lots with aflatoxinexceeding 25 ppb must be furtherrestricted to certain other non-ediblepeanut outlets. The sampling, testing,certification and identification offoreign produced peanut lots must beperformed in accordance withparagraph (d)(4) of this rule.

Chemical testing is performed by anAMS, Science and Technology Divisionlaboratory or a laboratory approved bythe PAC. The PAC locally administersthe Agreement with Departmentoversight. A list of approvedlaboratories is provided in paragraph(d)(4)(iv) of this regulation. These arethe same laboratories specified in theAgreement and any changes to the listwill be incorporated in this section.

Thus, to obtain approval for humanconsumption use of a foreign producedshelled peanut lot, the importer mustpresent to AMS and the CustomsService two certifications: (1) Qualitycertification Form FV–184–9A ‘‘MilledPeanut Inspection Certificate’’ and (2)aflatoxin certification Form CSSD–3‘‘Certificate of Analysis for OfficialSamples’’ issued by USDA laboratories,or equivalent forms issued by a PACapproved lab. An aflatoxin certificate isnot required if the lot meets the superiorgrade requirements, but may be requiredby the buyer. The certificates are thesame as those used to report grade andchemical analysis results for

domestically produced peanuts. Therequired certificates must be received byAMS within 23 days of entry, or, if aredelivery notice is issued, within 60days of the redelivery notice.

Cleaned-Inshell Peanuts

Inshell peanuts that have beencleaned, sorted, and prepared in anothercountry for edible inshell peanutmarkets in the U.S. may be presented forimportation at the port-of-entry. Suchpeanuts can be declared as cleaned-inshell peanuts on the Customs Serviceentry document and can either bepresented for outgoing inspection at theport-of-entry, if delivered in bags andpresented is such a way as to beaccessible for sampling by theinspection service, or conditionallyreleased for outgoing inspection at afacility inside the U.S. Because theDepartment is unable to determine ifforeign produced cleaned-inshellpeanuts come from Segregation 1peanuts, peanuts declared as cleaned-inshell on a Customs Service entrydocument must not undergo additionalcleaning, sorting, sizing, or drying priorto outgoing inspection at the destinationpoint inside the U.S.

Cleaned-inshell lots that fail outgoinginspection for inshell peanuts may bereconditioned (remilled) andsubsequently sampled and graded foroutgoing inspection. If there is anyindication that an imported farmersstock lot is mislabeled ormisrepresented as cleaned-inshellpeanuts when entered, redelivery of thelot will be required and the lot may notbe reconditioned prior to redelivery tothe port-of-entry.

Cleaned-inshell peanut lots destinedfor edible peanut markets are requiredto meet certain minimum quality inshellrequirements for damage, moisture andforeign material. Cleaned-inshell lotscontaining more than 1 percent kernelswith visible mold have to be chemicallytested and meet minimum aflatoxinrequirements. The cleaned-inshellquality requirements specified inparagraph (c)(2) of this rule are the sameas the quality requirements in paragraph(b) of § 998.200 of the Agreement.

Foreign produced farmers’ stockSegregation 1 peanuts also can beprepared and presented at outgoinginspection as cleaned-inshell peanuts.Such peanuts inspected and certified asmeeting grade requirements for ediblecleaned-inshell peanuts must bedesignated as imported peanuts oninspection service form FV–184–9A.The importer must file form FV–184–9Awith AMS for each lot of foreignproduced cleaned-inshell peanuts


meeting edible quality requirements forcleaned-inshell peanuts.

Imported peanuts certified as meetingedible requirements can be used anyway desired. Only after shelled andcleaned-inshell peanuts are certified asmeeting applicable requirements cansuch peanuts be commingled withimported lots of other importers ordomestically produced peanuts whichalso have been certified for humanconsumption.

Disposition of Failing PeanutsThe following peanuts cannot be used

for human consumption: (1) Farmers’stock peanuts that grade eitherSegregation 2 or Segregation 3; (2)cleaned-inshell and shelled peanuts thatfail outgoing quality and/or aflatoxinrequirements and are not reconditionedor reworked (the removal of defectivekernels); and (3) below grade residuefrom any shelling, milling or blanchingoperations.

Cleaned-inshell lots that fail outgoinginspection requirements of paragraph(c)(2) can be reconditioned by remillingthe peanuts, which can include shelling.If shelled or remilled, the peanuts mustmeet outgoing requirements ofparagraph (c)(1) for shelled peanuts or(c)(2) for inshell peanuts.

Failing lots of shelled peanuts, whichoriginated from Segregation 1 peanuts,can be reconditioned followingprocedures established in paragraph (f)of this rule. These provisions are thesame as those established under variousprovisions of the Agreement.Segregation 1 shelled peanuts which failquality requirements in Table 1 and/orexceed 15 ppb aflatoxin content can bereconditioned by remilling and/orblanching and, when subsequentlyreinspected and certified as meetingedible quality and aflatoxinrequirements, can be disposed to ediblepeanut outlets. If not reconditioned,failing Segregation 1 lots must bedisposed to non-edible peanut outlets asunrestricted or restricted peanuts asdescribed below.

Provisions controlling the dispositionof residue peanuts from inshellremilling and shelled remilling andblanching that continue to fail ediblequality requirements are also providedin this rule. Two categories of non-edible peanuts are specified under theAgreement—‘‘unrestricted’’ and‘‘restricted.’’ The designation is basedon the amount of aflatoxin detected inthe lot. ‘‘Unrestricted’’ peanuts arepeanuts which fail one or more qualityrequirements and, when chemicallyassayed, contain more than 15 ppb but25 ppb or less aflatoxin. While suchpeanuts are of non-edible quality, they

can be crushed for oil, exported or usedin animal feed, provided that certainhandling and container labelingrequirements are followed. Unrestrictedpeanuts also can be used for seed (ifdyed or treated to prevent edible use),crushed for oil, exported, or buried.Meal resulting from the crushing ofunrestricted peanuts does not have to betested a second time for aflatoxincontent. Disposition of meal resultingfrom the crushing of peanuts is notregulated under the Agreement or thisregulation.

Peanuts containing more than 25 ppbaflatoxin are designated as ‘‘restricted’’peanuts. Restricted peanut lots may ormay not meet quality requirements ofTable 1. At the direction of the importer,restricted peanut lots must be usedeither for seed (if dyed or treated),crushed for oil, destroyed by burying(under supervision of the inspectionservice), or exported. Meal resultingfrom the crushing of restricted peanutsmust be certified as to aflatoxin contentand such certification must accompanythe meal into the channels of commerce.

The importer can dispose of a failingpeanut lot directly to a non-ediblepeanut outlet or set aside andcommingle several failing lots foreventual disposition to one or morenon-edible outlets. Commingled failingquality peanuts must be held separateand apart from edible peanuts andidentified with red tags indicating non-edible peanuts. Eventual dispositionmust be to non-edible peanut outletsconsistent with the failing quality of thepeanuts, pursuant to paragraph (e) ofthis rule.

If an importer chooses to destroyunrestricted or restricted peanuts byburying, the peanuts must be lotidentified and disposition must bereported to AMS. The importer mustprovide inspection service and CustomsService certification if a lot is buried, ora Customs Service export declaration ifa lot is exported. Customs Serviceprocedures controlling re-exportedmerchandise must also be followed bythe importer. Burying and exportationexpenses are borne by the importer.

It is the importer’s responsibility tofile inspection certificates and otherdocumentation sufficient to account fordisposition of all failing quality peanutsacquired by the importer. Such proofconsists of copies of bills of lading andsales receipts between the importer andnon-edible peanut outlet receivers. Thedocumentation must contain identifyinginformation, such as container or lotnumbers, that tie the peanuts reportedon the documents to failing qualitypeanuts on inspection service oraflatoxin certificates. The name and

address of the non-edible peanutreceiver and valid contact informationmust also be specified on thedocumentation.

Disposition of unrestricted andrestricted peanut lots must be reportedto AMS within 23 days of filing forentry with the Customs Service, or, if aredelivery notice is issued, within the60-day redelivery period. As noted inabove, disposition of unrestricted andrestricted peanut lots may be carried outand reported during the redeliverydemand period.

The inspection service identifiesimported peanuts as peanuts of foreignorigin on the inspection certificate toassist in lot identification. Foreignorigin designations also help AMS meetits monitoring responsibilities.

From time to time, the PAC mayrecommend to the Secretary that qualityrequirements or handling proceduresspecified in the Agreement be revised.If such changes are approved by theSecretary and implemented for thedomestic peanut industry in 7 CFR Part998, corresponding changes will bemade in § 999.600. Changes inregulations for domestically producedpeanuts are generally made effectiveJuly 1. Thus, corresponding changes tothe import regulation will be madeeffective on that date, or as close to thatdate as possible under informalrulemaking, unless otherwise specifiedin the regulation. Quality requirementsin effect on the date of inspection of aforeign produced lot will be applied tothe inspected lot.

Safeguard ProceduresThis rule establishes a procedure to

verify importers’ compliance withimport requirements. The safeguardprocedures provide for monitoring ofpeanut lots from importation to finaldisposition. The purpose of theseprocedures are to ensure that foreignproduced peanuts either meet ediblerequirements or are appropriatelydisposed to non-edible peanut outlets,exported or destroyed. The safeguardprocedures are similar to safeguardprocedures already in place for otherimported commodities and areconsistent with the inspection,identification and certificationrequirements applied to domesticallyproduced peanuts under the Agreement.

The safeguard process includes the‘‘stamp-and-fax’’ entry procedure, asalready described, whereby the importerprovides the Customs Service with anentry document stamped by theinspection service. The importer alsofiles a copy of the entry document withAMS and forwards a copy, with thereleased lot, to the inland destination


where the lot is to be inspected orwarehoused. Edible certification andnon-edible disposition is reported byfiling with AMS copies of all gradecertificates, aflatoxin certificates, andproof of non-edible disposition. Suchcertifications must be filed within 23days of filing for entry, or, if a redeliverynotice is issued, within the 60-dayredelivery period.

Failure to report or redeliver peanutswithin applicable time frames couldresult in liquidated damages against theimporter.

Certificates and other supplementarydocumentation must be sent to AMS,Marketing Order Administration Branch(MOAB) which oversees the domesticpeanut program and this importprogram. Facsimile or express maildeliveries can be used to ensure timelyreceipt of certificates and other requireddocumentation. Overnight and expressmail deliveries should be addressed tothe USDA, AMS, Marketing OrderAdministration Branch, 14th andIndependence Avenue, SW., Room2525, Washington, DC 20250, Attn:Report of Imported Peanuts. TheMOAB’s fax number is (202) 720–5698,Attn: Report of Imported Peanuts.

For the purposes of checking andverifying reports filed by importers anddisposition outlets, this regulationprovides that importers must allow theSecretary, through duly authorizedagents, to have access to any premiseswhere peanuts may be held andprocessed. Authorized agents, at anytime during regular business hours, arepermitted to inspect any peanuts held,and any and all records with respect tothe acquisition, holding or dispositionof any peanuts which may be held, orwhich may have been disposed by thatimporter.

USDA record retention requirementsalso are established to require importersto retain information for at least twoyears beyond the year of applicability.Customs Service record retentionrequirements are longer.

The handling of each imported lotmust be consistent with CustomsService procedures and reported inaccordance with normal CustomsService requirements. Any CustomsService reporting or recordkeepingrequirements for disposition ofimported merchandise or clearance ofbonding requirements are notsuperseded by this regulation.

Paperwork Reduction ActIn accordance with the Paperwork

Reduction Act of 1980 (44 U.S.C.Chapter 35) as amended in 1995, theinformation and collection requirementsthat are contained in this rule have been

approved by the Office of Managementand Budget (OMB) on a temporary basisand have been assigned OMB number0581–0176. A 60-day period wasestablished in the proposed rule toreceive comments on the informationcollection requirements. All responsesto the request for comments will besummarized and included in the requestfor OMB approval. All comments willbecome a matter of public record.

In addition to the reportingrequirements, this rule establishes thatimporters and customs brokers retaincopies of all certifications and entrydocumentation for not less than twoyears after the calendar year ofacquisition. This is a commonlyaccepted records retention period andwithin good business practices. Thetime for maintaining records by filingeach document internally is included inthe filing estimate. The informationcollected is used only for compliancepurposes by personnel of theDepartment.

The reporting and recordkeepingrequirements established in this rulewill enable the Department to overseethe entry of peanuts and help ensurethat only good quality, wholesomepeanuts will be used in edible peanutoutlets in the U.S. Without the qualityrequirements specified in theAgreement (7 CFR Part 998), regulationsfor non-signatory handlers (7 CFR Part997), and these regulations, poor qualitypeanuts could more easily be enteredinto edible channels, causing consumerdissatisfaction and having a negativeimpact on the market for peanuts andpeanut products. Compliance with thesestandards help the peanut industry inits efforts to expand markets.

Although these requirements result insome additional costs for importers, thebenefits from restricting low qualitypeanuts from edible markets outweighany additional inspection, handling,recordkeeping and reporting costsresulting from the requirements. Theserequirements have been carefullyreviewed and every effort has beenmade to minimize any unnecessaryreporting and recordkeeping costs.

List of Subjects in 7 CFR part 999Dates, Filberts, Food grades and

standards, Imports, Nuts, Peanuts,Prunes, Raisins, Reporting andrecordkeeping requirements, Walnuts.

For the reasons set forth in thepreamble, 7 CFR part 999 is amended asfollows:

PART 999—SPECIALTY CROPS;IMPORT REGULATIONS

1. The authority citation for 7 CFRpart 999 is revised to read as follows:

Authority: 7 U.S.C. 601–674; and 7 U.S.C.1445c–3.

2. A new § 999.600 is added to part999 to read as follows:

§ 999.600 Regulation governing imports ofpeanuts.

(a) Definitions. (1) Peanuts means theseeds of the legume Arachis hypogaeaand includes both inshell and shelledpeanuts produced in countries otherthan the United States, other than thosemarketed in green form for consumptionas boiled peanuts.

(2) Farmers stock peanuts meanspicked and threshed raw peanuts whichhave not been shelled, crushed, cleanedor otherwise changed (except forremoval of foreign material, looseshelled kernels, and excess moisture)from the form in which customarilymarketed by producers.

(3) Inshell peanuts means peanuts, thekernels or edible portions of which arecontained in the shell.

(4) Incoming inspection means thesampling and inspection of farmersstock peanuts to determine Segregationquality.

(5) Segregation 1 peanuts, unlessotherwise specified, means farmersstock peanuts with not more than 2percent damaged kernels nor more than1.00 percent concealed damage causedby rancidity, mold, or decay and whichare free from visible Aspergillus flavusmold.

(6) Segregation 2 peanuts, unlessotherwise specified, means farmersstock peanuts with more than 2 percentdamaged kernels or more than 1.00percent concealed damage caused byrancidity, mold, or decay and which arefree from visible Aspergillus flavusmold.

(7) Segregation 3 peanuts, unlessotherwise specified, means farmers’stock peanuts with visible Aspergillusflavus mold.

(8) Shelled peanuts means the kernelsof peanuts after the shells are removed.

(9) Outgoing inspection means thesampling and inspection of either:shelled peanuts which have beencleaned, sorted, sized and otherwiseprepared for human consumptionmarkets; or inshell peanuts which havebeen cleaned, sorted and otherwiseprepared for inshell humanconsumption markets.

(10) Negative aflatoxin content means15 parts-per-billion (ppb) or less forpeanuts which have been certified asmeeting edible quality graderequirements, and 25 ppb or less fornon-edible quality peanuts.

(11) Person means an individual,partnership, corporation, association, orany other business unit.


(12) Secretary means the Secretary ofAgriculture of the United States or anyofficer or employee of the United StatesDepartment of Agriculture (Departmentor USDA) who is, or who may hereafterbe, authorized to act on behalf of theSecretary.

(13) Inspection service means theFederal or Federal-State InspectionService, Fruit and Vegetable Division,Agricultural Marketing Service, USDA.

(14) USDA laboratory meanslaboratories of the Science andTechnology Division, AgriculturalMarketing Service, USDA, thatchemically analyze peanuts for aflatoxincontent.

(15) PAC approved laboratories meanslaboratories approved by the PeanutAdministrative Committee, pursuant toPeanut Marketing Agreement No. 146 (7CFR Part 998), that chemically analyzepeanuts for aflatoxin content.

(16) Conditionally released meansreleased from Customs Service custodyfor further handling (sampling,inspection, chemical analysis, orstorage) before final release.

(17) Importation means the arrival ofa peanut shipment at a port-of-entrywith the intent to enter the peanuts intochannels of commerce of the UnitedStates.

(b) Incoming regulation: (1) Farmersstock peanuts presented forconsumption must undergo incominginspection. Only Segregation 1 peanutsmay be used for human consumption.All foreign produced farmers stockpeanuts for human consumption mustbe sampled and inspected at a buyingpoint or other handling facility capableof performing incoming sampling andinspection. Sampling and inspectionshall be conducted by the inspectionservice. Only Segregation 1 peanutscertified as meeting the followingrequirements may be used in humanconsumption markets:

(i) Moisture. Except as provided underparagraph (b)(2) Seed peanuts, of thissection, peanuts may not contain morethan 10.49 percent moisture: Provided,That peanuts of a higher moisturecontent may be received and dried tonot more than 10.49 percent moistureprior to storage or milling.

(ii) Foreign material. Peanuts may notcontain more than 10.49 percent foreignmaterial, except that peanuts having ahigher foreign material content may beheld separately until milled, or moved

over a sand-screen before storage, orshipped directly to a plant for promptshelling. The term sand-screen meansany type of farmers stock cleaner which,when in use, removes sand and dirt.

(iii) Damage. For the purpose ofdetermining damage, other thanconcealed damage, on farmers stockpeanuts, all percentage determinationsshall be rounded to the nearest wholenumber.

(iv) Loose shelled kernels. Peanutsmay not contain more than 14.49percent loose shelled kernels, exceptthat peanuts having a higher looseshelled kernel content may be importedif held separately until milled orshipped directly to a shelling facility forprompt shelling. All percentagedeterminations shall be rounded to thenearest whole number. Kernels whichride screens with the following or largerslot openings may be separated fromloose shelled kernels: Runner—16⁄64 x 3⁄4inch; Spanish and Valencia—15⁄64 x 3⁄4inch; Virginia—15⁄64 x 1 inch. If soseparated, those loose shelled kernelswhich ride the screens may be includedwith shelled peanuts prepared forinspection and sale for humanconsumption: Provided, That no morethan 5 percent of such loose shelledkernels are kernels which would fallthrough screens with such minimumprescribed openings. Those looseshelled kernels which do not ride thescreens shall be removed from thefarmers’ stock peanuts and shall be heldseparate and apart from other peanutsand disposed of for non-edible use,pursuant to paragraph (e) of this section.If the kernels which ride the prescribedscreen are not separated from thekernels which do not ride the prescribedscreen, the entire amount of looseshelled kernels shall be removed fromthe farmers stock peanuts and shall beheld separate and apart and disposed offor non-edible use, pursuant toparagraph (e) of this section.

(2) Seed peanuts. Farmers stockpeanuts determined to be Segregation 1quality, and shelled peanuts certifiednegative to aflatoxin (15 ppb or less),may be imported for seed purposes.Disposition of such peanuts to a seedoutlet must be reported to the Secretaryby submitting a copy of the bill of ladingor sales contract which reports theweight of the peanuts so disposed, andthe name, address and telephonenumber of the receiving seed outlet.

Residuals from the shelling ofSegregation 1 seed peanuts shall be heldand/or milled separate and apart fromother peanuts, and such residualsmeeting quality requirements specifiedin paragraph (c)(1) of this section maybe disposed to human consumptionchannels, and any portion not meetingsuch quality requirements shall bedisposed to non-edible peanut channelspursuant to paragraph (e) of this section.Segregation 2 and 3 peanuts may beshelled for seed purposes but must bedyed or chemically treated so as to beunfit for human or animal consumption.All disposition of seed peanuts andresiduals from seed peanuts shall bereported to the Secretary pursuant toparagraphs (g)(2) and (g)(3) of thissection. The receiving seed outlet mustretain records of the transaction,pursuant to paragraph (h)(7) of thissection.

(3) Oilstock and exportation. Farmersstock peanuts of lower quality thanSegregation 1 (Segregation 2 and 3peanuts) shall be used only in non-edible outlets as provided herein.Segregation 2 and 3 peanuts may becommingled but shall be kept separateand apart from edible quality peanutlots. Commingled Segregation 2 and 3peanuts and Segregation 3 peanuts shallbe disposed only to oilstock, exportedinshell, or exported as shelled iffragmented as provided in paragraph(e)(3) of this section. Shelled peanutsand cleaned-inshell peanuts which failto meet the requirements for humanconsumption in paragraph (b)(1) may becrushed for oil or exported.

(4) Whenever the Secretary has reasonto believe that peanuts may have beendamaged or deteriorated while instorage, the Secretary may reject thethen effective inspection certificate andmay require the importer to have thepeanuts reinspected to establishwhether or not such peanuts may bedisposed of for human consumption.

(c) Outgoing regulation. No personshall import peanuts for humanconsumption into the United Statesunless such peanuts are lot identifiedand certified by the inspection serviceas meeting the following requirements:

(1)(i) Shelled peanuts. All shelledpeanuts shall at least meet therequirements specified in Table 1 asfollows:


TABLE 1.—MINIMUM GRADE REQUIREMENTS—PEANUTS FOR HUMAN CONSUMPTION

[Whole Kernels and Splits]

Maximum limitations

Excluding lots of ‘‘splits’’

Type and gradecategory

Unshelledpeanuts and

damagedkernels

(percent)

Unshelledpeanuts,damaged

kernels andminor

defects(percent)

Fall through Foreign ma-terials (per-

cent)

Moisture(percent)

Sound split andbroken kernels

Sound whole ker-nels Total

Runner .............................. 1.50 2.50 3.00%; 17⁄64 inchround screen.

3.00%; 16⁄64× 3⁄4inch; slotscreen.

4.00%; bothscreens.

.20 9.00

Virginia (except No. 2) ..... 1.50 2.50 3.00%; 17⁄64 inch;round screen.

3.00%; 15⁄64×1inch; slotscreen.

4.00%; bothscreens.

.20 9.00

Spanish and Valencia ...... 1.50 2.50 3.00%; 16⁄64 inch;round screen.

3.00%; 15⁄64×3⁄4inch; slotscreen.

4.00%; bothscreens.

.20 9.00

No. 2 Virginia ................... 1.50 3.00 6.00%; 17⁄64 inch;round screen.

6.00%; 15⁄64×1inch; slotscreen.

6.00%; bothscreens.

.20 9.00

Lots of ‘‘Splits’’

Runner (not more than 4%sound whole kernels).

1.50 2.50 3.00%; 17⁄64 inch;round screen.


4.00%; bothscreens.

.20 9.00

Virginia (not less than90% splits).


3.00%; 14⁄64×1inch slotscreen.

4.00%; bothscreens.

.20 9.00

Spanish and Valencia (notmore than 4% soundwhole kernels).



4.00%; bothscreens.

.20 9.00

(ii) Peanuts meeting the specifications in Table 1 must also be certified ‘‘negative’’ to aflatoxin content, pursuantto paragraph (d)(4) of this section, prior to shipment to domestic human consumption markets. Shelled peanuts meetingrequirements specified in Table 2 must be sampled pursuant to paragraph (d)(4) of this section but may be disposedto human consumption outlets without testing for aflatoxin.

TABLE 2.— SUPERIOR QUALITY REQUIREMENTS—PEANUTS FOR HUMAN CONSUMPTION

[Whole Kernels and Splits]

Maximum limitations



damagedkernels

(percent)


kernels andminor

defects(percent)

Fall throughForeign ma-

terials(percent)

Moisture(percent)Sound split and

broken kernels(percent)

Sound whole ker-nels

(percent)Total

Runner U.S. No.1 andbetter.

1.25 2.00 3.00%; 17⁄64 inch,round screen.

3.00%; 16⁄64 x 3⁄4inch, slotscreen.

4.00%; bothscreens.

.10 9.00

Virginia U.S. No.1 andbetter.


3.00%; 15⁄64 x 1inch, slotscreen.

4.00%; bothscreens.

.10 9.00

Spanish and ValenciaU.S. No.1 and better.



4.00%; bothscreens.

.10 9.00

Runner U.S. Splits (notmore than 4% sound,whole kernels).



4.00%; bothscreens.

.20 9.00


TABLE 2.— SUPERIOR QUALITY REQUIREMENTS—PEANUTS FOR HUMAN CONSUMPTION—Continued[Whole Kernels and Splits]

Maximum limitations



damagedkernels

(percent)


kernels andminor

defects(percent)

Fall throughForeign ma-

terials(percent)

Moisture(percent)Sound split and

broken kernels(percent)

Sound whole ker-nels

(percent)Total

Virginia U.S. Splits (notless than 90% splits andnot more than 3.00%sound whole kernelsand portions passingthrough 20⁄64 inch roundscreen).



4.00%; bothscreens.

.20 9.00

Spanish and ValenciaU.S. Splits (not morethan 4% sound, wholekernels).



4.00%; bothscreens.

.20 9.00

Runner with splits (notmore than 15% soundsplits).



4.00%; bothscreens.

.10 9.00

Virginia with splits (notmore than 15% soundsplits).



4.00%; bothscreens.

.10 9.00

Spanish and Valencia withsplits (not more than15% sound splits).



4.00%; bothscreens.

.10 9.00

(2) Cleaned-inshell peanuts. Peanutsdeclared as cleaned-inshell peanuts maybe presented for sampling and outgoinginspection in bags at the port-of-entry.Alternatively, peanuts may beconditionally released as cleaned-inshell peanuts but shall notsubsequently undergo any cleaning,sorting, sizing or drying process prior topresentation for outgoing inspection ascleaned-inshell peanuts. Cleaned-inshell peanuts which fail outgoinginspection may be reconditioned orredelivered to the port-of-entry, at theoption of the importer. Cleaned-inshellpeanuts determined to be unpreparedfarmers stock peanuts must be inspectedagainst incoming quality requirementsand determined to be Segregation 1peanuts prior to outgoing inspection forcleaned-inshell peanuts. Cleaned-inshell peanuts intended for humanconsumption may not contain morethan:

(i) 1.00 percent kernels with moldpresent, unless a sample of suchpeanuts is drawn by the inspectionservice and analyzed chemically by aUSDA or PAC approved laboratory andcertified ‘‘negative’’ as to aflatoxin.

(ii) 2.00 percent peanuts withdamaged kernels;

(iii) 10.00 percent moisture (carried tothe hundredths place); and

(iv) 0.50 percent foreign material.(3) Reconditioned peanuts. Peanuts

shelled, sized and sorted in another

country prior to arrival in the U.S. andshelled peanuts which originated fromSegregation 1 peanuts that fail qualityrequirements of Table 1 (excessivedamage, minor defects, moisture, orforeign material) or are positive toaflatoxin may be reconditioned byremilling and/or blanching. After suchreconditioning, peanuts meeting thequality requirements of Table 1 andwhich are negative to aflatoxin (15 ppbor less) may be disposed for ediblepeanut use. Residuals resulting fromsuch reconditioning of failing lots shallbe positive lot identified, and red-taggedif in sacks, and disposed of pursuant toparagraphs (g)(2) and (g)(3) of thissection.

(d) Sampling and inspection. (1) Allsampling and inspection, qualitycertification, chemical analysis, and lotidentification, required under thissection, shall be done by the inspectionservice, a USDA laboratory, or a PAC-approved laboratory, as applicable, inaccordance with the proceduresspecified herein. The importer shallmake arrangements with the inspectionservice for sampling, inspection, lotidentification and certification of allpeanuts accumulated by the importer.The importer also shall makearrangements for the appropriatedisposition of peanuts failing ediblequality requirements of this section. Allcosts of sampling, inspection,

certification, identification, anddisposition incurred in meeting therequirements of this section shall bepaid by the importer. Whenever peanutsare offered for inspection, the importershall furnish any labor and pay anycosts incurred in moving and openingcontainers as may be necessary forproper sampling and inspection.

(2) For farmers stock inspection, theimporter shall cause the inspectionservice to perform an incominginspection and to issue an CFSA–1007,‘‘Inspection Certificate and SalesMemorandum’’ form designating the lotas Segregation 1, 2, or 3 quality peanuts.For shelled and cleaned-inshell peanuts,the importer shall cause the inspectionservice to perform an outgoinginspection and issue an FV–184–9A,‘‘Milled Peanut Inspection Certificate’’reporting quality and size of the shelledor cleaned-inshell peanuts, whether thelot meets or fails to meet qualityrequirements for human consumption ofthis section, and that the lot originatedin a country other than the UnitedStates. The importer shall provide to theSecretary copies of all CFSA 1007 andFV–184–9A applicable to each peanutlot conditionally released to theimporter. Such reports shall besubmitted as provided in paragraphs(g)(2) and (g)(3) of this section.

(3) Procedures for sampling andtesting peanuts. Sampling and testing of


peanuts for incoming and outgoinginspections of peanuts presented forconsumption into the United States willbe conducted as follows:

(i) Application for sampling. Theimporter shall request inspection andcertification services from one of thefollowing inspection service officesconvenient to the location where thepeanuts are presented for incoming and/or outgoing inspection. To avoidpossible delays, the importer shouldmake arrangements with the inspectionservice in advance of the inspectiondate. A copy of the Customs Serviceentry document specific to the peanutsto be inspected shall be presented to theinspection official prior to sampling ofthe lot.

(A) The following offices provideincoming farmers stock inspection:Dothan, AL, tel: (205) 792–5185,Graceville, FL, tel: (904) 263–3204,Winter Haven, FL, tel: (813) 291–5820, ext

260,Albany, GA, tel: (912) 432–7505,Williamston, NC, tel: (919) 792–1672,Columbia, SC, tel: (803) 253–4597,Suffolk, VA, tel: (804) 925–2286,Portales, NM, tel: (505) 356–8393,Oklahoma City, OK, tel: (405) 521–3864,Gorman, TX, tel: (817) 734–3006,Yuma, AZ, tel: (602) 344–3869.

(B) The following offices, in additionto the offices listed in paragraph (d)(3)(i)(A) of this section, provide outgoingsampling and/or inspection services,and certify shelled and cleaned-inshellpeanuts as meeting or failing the qualityrequirements of this section:

Eastern U.S.

Mobile, AL, tel: (205) 690–6154,Jacksonville, FL, tel: (904) 359–6430,Miami, FL, tel: (305) 592–1375,Tampa, FL, tel: (813) 272–2470,Presque Isle, ME, tel: (207) 764–2100,Baltimore/Washington, tel: (301) 344–1860,Boston, MA, tel: (617) 389–2480,Newark, NJ, tel: (201) 645–2670,New York, NY, tel: (212) 718–7665,Buffalo, NY, tel: (716) 824–1585,Philadelphia, PA, tel: (215) 336–0845,Norfolk, VA, tel: (804) 441–6218,

Central U.S.

New Orleans, LA, tel: (504) 589–6741,Detroit, MI, tel: (313) 226–6059,St. Paul, MN, tel: (612) 296–8557,Las Cruces, NM, tel: (505) 646–4929,Alamo, TX, tel: (210) 787–4091,El Paso, TX, tel: (915) 540–7723,Houston, TX, tel: (713) 923–2557,

Western U.S.

Nogales, AZ, tel: (602) 281–0783,Los Angeles, CA, tel: (213) 894–2489,San Francisco, CA, tel: (415) 876–9313,Honolulu, HI, tel: (808) 973–9566,Salem, OR, tel: (503) 986–4620,Seattle, WA, tel: (206) 859–9801.

(C) Questions regarding inspectionservices or requests for furtherassistance may be obtained from: FreshProducts Branch, P.O. Box 96456, room2049–S, Fruit and Vegetable Division,AMS, USDA, Washington, D.C. 20090–6456, telephone (202) 690–0604, fax(202) 720–0393.

(ii) Sampling. Sampling of bulkfarmers’ stock lots shall be performed ata facility that utilizes a pneumaticsampler or approved automaticsampling device. The size of farmers’stock lots, shelled lots, and cleaned-inshell lots, in bulk or bags, shall notexceed 200,000 pounds. For farmers’stock, shelled and cleaned-inshell lotsnot completely accessible for sampling,the applicant shall be required to havelots made accessible for samplingpursuant to inspection servicerequirements. The importer shall causeappropriate samples of each lot of ediblequality shelled peanuts to be drawn bythe inspection service. The amount ofsuch peanuts drawn shall be largeenough to provide for a grade and sizeanalysis, for a grading check-sample,and for three 48-pound samples foraflatoxin assay. Because there is noacceptable method of drawing officialsamples from bulk conveyances ofshelled peanuts, the importer shallarrange to have bulk conveyances ofshelled peanuts sampled during theunloading process. A bulk lot sampledin this manner must be positive lotidentified by the inspection service andheld in a sealed bin until the associatedinspection and aflatoxin test resultshave been reported.

(4) Aflatoxin assay. (i) The importershall cause appropriate samples of eachlot of shelled peanuts intended foredible consumption to be drawn by theinspection service. The three 48-poundsamples shall be designated by theinspection service as ‘‘Sample 1IMP,’’‘‘Sample 2IMP,’’ and ‘‘Sample 3IMP’’and each sample shall be placed in asuitable container and lot identified bythe inspection service. Sample 1IMPmay be prepared for immediate testingor Samples 1IMP, 2IMP and 3IMP maybe returned to the importer for testing ata later date, under lot identificationprocedures.

(ii) The importer shall cause Sample1IMP to be ground by the inspectionservice or a USDA or PAC-approvedlaboratory in a subsampling mill. Theresultant ground subsample shall be ofa size specified by the inspectionservice and shall be designated as‘‘Subsample 1–ABIMP.’’ At theimporter’s option, a second subsamplemay also be extracted from Sample1IMP and designated ‘‘Subsample 1–CDIMP’’ which may be sent for aflatoxin

assay to a USDA or PAC-approvedlaboratory. Both subsamples shall beaccompanied by a notice of samplingsigned by the inspector containingidentifying information as to theimporter, the lot identification of theshelled peanut lot, and otherinformation deemed necessary by theinspection service. Subsamples 1–ABIMP and 1–CDIMP shall be analyzedonly in a USDA or PAC-approvedlaboratory. The methods prescribed bythe Instruction Manual for AflatoxinTesting, SD Instruction-1, August 1994,shall be used to assay the aflatoxinlevel. The cost of testing andnotification of Subsamples 1–ABIMPand 1–CDIMP shall be borne by theimporter.

(iii) The samples designated asSample 2IMP and Sample 3IMP shall beheld as aflatoxin check-samples by theinspection service or the importer untilthe analyses results from Sample 1IMPare known. Upon call from the USDA orPAC-approved laboratory, the importershall cause Sample 2IMP to be groundby the inspection service in asubsampling mill. The resultant groundsubsample from Sample 2IMP shall bedesignated as ‘‘Subsample 2–ABIMP.’’Upon further call from the laboratory,the importer shall cause Sample 3IMP tobe ground by the inspection service ina subsampling mill.

The resultant ground subsample shallbe designated as ‘‘Subsample 3–ABIMP.’’ The importer shall causeSubsamples 2–ABIMP and 3–ABIMP tobe sent to and analyzed only in a USDAor PAC-approved laboratory. Eachsubsample shall be accompanied by anotice of sampling. The results of eachassay shall be reported by the laboratoryto the importer. All costs involved inthe sampling, shipment and assayanalysis of subsamples required by thissection shall be borne by the importer.

(iv)(A) Importers should contact oneof the following USDA or PAC-approvedlaboratories to arrange for chemicalanalysis.Science and Technology Division, AMS/

USDA, P.O. Box 279, 301 West Pearl St.,Aulander, NC 27805, Tel: (919) 345–1661Ext. 156, Fax: (919) 345–1991

Science and Technology Division, AMS/USDA, 1211 Schley Ave., Albany, GA31707, Tel: (912) 430–8490 / 8491, Fax:(912) 430–8534

Science and Technology Division, AMS/USDA, P.O. Box 488, Ashburn, GA 31714,Tel: (912) 567–3703

Science and Technology Division, AMS/USDA, 610 North Main St., Blakely, GA31723, Tel: (912) 723–4570, Fax: (912)723–3294

Science and Technology Division, AMS/USDA, P.O. Box 1368, Dothan, AL 36301,Tel: (205) 792–5185, Fax: (205) 671–7984


Science and Technology Division, AMS/USDA, 107 South Fourth St., Madill, OK73446, Tel: (405) 795–5615, Fax: (405)795–3645

Science and Technology Division, AMS/USDA, P.O. Box 272, 715 N. Main Street,Dawson, GA 31742, Tel: (912) 995–7257,Fax: (912) 995–3268

Science and Technology Division, AMS/USDA, P.O. Box 1130, 308 Culloden St.,Suffolk, VA 23434, Tel: (804) 925–2286,Fax: (804) 925–2285

ABC Research, 3437 SW 24th Avenue,Gainesville, FL 32607–4502, Tel: (904)372–0436, Fax: (904) 378–6483

J. Leek Associates, Inc., P.O. Box 50395, 1200Wyandotte (31705), Albany, GA 31703–0395, Tel: (912) 889–8293, Fax: (912) 888–1166

J. Leek Associates, Inc., P.O. Box 368, 675East Pine, Colquitt, GA 31737, Tel: (912)758–3722, Fax: (912) 758–2538

J. Leek Associates, Inc., P.O. Box 6, 502 WestNavarro St., DeLeon, TX 76444, Tel: (817)893–3653, Fax: (817) 893–3640

J. Leek Associates, Inc., P.O. Box 548, 42 N.Ellis St., Camilla, GA 31730, Tel: (912)336–8781, Fax: (912) 336–0146

Pert Laboratories, P.O. Box 267, PeanutDrive, Edenton, NC 27932, Tel: (919) 482–4456, Fax: (919) 482–5370

Pert Laboratory South, P.O. Box 149, Hwy 82East, Seabrook Drive, Sylvester, GA 31791,Tel: (912) 776–7676, Fax: (912) 776–1137

Professional Service Industries, Inc., 3Burwood Lane, San Antonio, TX 78216,Tel: (210) 349–5242, Fax: (210) 342–9401

Southern Cotton Oil Company, 600 E. NelsonStreet, P.O. Box 180, Quanah, TX 79252,Tel: (817) 663–5323, Fax: (817) 663–5091

Quanta Lab, 9330 Corporate Drive, Suite 703,Selma, TX 78154–1257, Tel: (210) 651–5799, Fax: (210) 651–9271.

(B) Further information concerningthe chemical analyses required pursuantto this section may be obtained from:Science and Technology Division,USDA/AMS, P.O. Box 96456, room3507–S, Washington, DC 20090–6456,telephone (202) 720–5231, or facsimile(202) 720–6496.

(v) Reporting aflatoxin assays. Aseparate aflatoxin assay certificate, FormCSSD–3 ‘‘Certificate of Analysis forOfficial Samples’’ or equivalent PACapproved laboratory form, shall beissued by the laboratory performing theanalysis for each lot. The assaycertificate shall identify the importer,the volume of the peanut lot assayed,date of the assay, and numerical testresult of the assay. The results of theassay shall be reported as follows.

(A) Lots containing 15 ppb or lessaflatoxin content shall be certified as‘‘Meets U.S. import requirements foredible peanuts under § 999.600 withregard to aflatoxin.’’

(B) Lots containing more than 15 ppbaflatoxin content shall be certified as‘‘Fails to meet U.S. import requirementsfor edible peanuts under § 999.600 withregard to aflatoxin.’’ The importer shall

file USDA Form CSSD–3, or equivalentform, with the Secretary, regardless ofresult.

(5) Appeal inspection. In the event animporter questions the results of aquality and size inspection, an appealinspection may be requested by theimporter and performed by theinspection service. A second samplewill be drawn from each container andshall be double the size of the originalsample. The results of the appealsample shall be final and the fee forsampling, grading and aflatoxin analysisshall be charged to the importer.

(e) Disposition of peanuts failingedible quality requirements. (1) Peanutsfailing grade and/or aflatoxinrequirements shall be designated asnon-edible quality ‘‘unrestricted’’peanuts or ‘‘restricted’’ peanuts andshall be crushed for oil, exported, ordisposed to other non-edible outlets asspecified in this section. For thepurposes of this regulation, the term‘‘non-edible quality unrestrictedpeanuts’’ means loose shelled kernels,fall through, and pickouts from—andthe entire milled production of—Segregation 1, Segregation 2, andcommingled Segregation 1 and 2farmers stock peanuts which containmore than 15 ppb and 25 ppb or lessaflatoxin. The term ‘‘non-edible qualityrestricted peanuts’’ means loose shelledkernels, fall through, and pickoutsfrom—and the entire milled productionof—Segregation 1, Segregation 2, andcommingled Segregation 1 and 2farmers stock peanuts which contain inexcess of 25 ppb aflatoxin. The termloose shelled kernels means peanutkernels or portions of kernelscompletely free of their hulls, as foundin deliveries of farmers stock peanuts orthose which fail to ride the screensprescribed in paragraph (b)(1)(iv) of thissection; the term fall through meanssound split and broken kernels andwhole kernels which pass throughspecified screens; and the term pickoutsmeans those peanuts removed duringthe final milling process at the pickingtable, by electronic equipment, orotherwise during the milling process.

(2) Non-edible quality unrestrictedpeanuts may be disposed to animal feed:Provided, That such peanuts arecertified by the inspection service as tomoisture, foreign material content andtreated with a coloring agent or dyeingsolution covering at least 80 percent ofthe peanuts, handled and shipped underlot identification procedures. Except forbulk loads, red tags shall be used andmarked ‘‘Animal Feed, Not For HumanConsumption.’’

(3) Lots of non-edible qualityunrestricted peanuts may be

commingled during or afterfragmentation and, if certified asmeeting fragmentation requirements bythe inspection service, such fragmentedpeanuts may be exported. For thepurposes of this section, the termfragmented means that not more than 30percent of the peanuts shall be wholekernels that ride the following screens,by type: Spanish—15⁄64 x 3⁄4 inch slot;Runner—16⁄64 x 3⁄4 inch slot; andVirginia—15⁄64 x 1 inch slot. All peanutlots exported must be lot identified bythe inspection service, certified asexported by the Customs Service, andreported to AMS pursuant to paragraphs(g)(2) and (g)(3) of this section.Applicable Customs Service proceduresfor the export of merchandise must befollowed.

(4) Unrestricted fall through may bedisposed for use as wild-life feed androdent bait, if in labeled containers.

(5) Seed peanuts which arechemically treated causing them to beunfit for edible or animal feed use shallbe exempt from the requirements ofparagraph (c) of this section.

(6) Meal produced from the crushingof unrestricted peanuts shall be exemptfrom further aflatoxin testing. Mealproduced from the crushing of restrictedpeanuts shall be tested and thenumerical test result of the chemicalassay shall be shown on a certificatecovering each lot and the certificationshall accompany each shipment ordisposition.

(7) Non-edible quality restrictedpeanuts may be crushed for oil orexported: Provided, That such peanutsare positive lot identified, bagged, redtagged, and so certified by theinspection service.

(8) All certifications and proof of non-edible dispositions sufficient to accountfor all peanuts in each consumptionentry filed by the importer must bereported to the Secretary by theimporter pursuant to paragraphs (g)(2)and (g)(3) of this section.

(f) Reconditioning of failing peanuts:(1) Importers may remill and/or blanchshelled peanuts which originated fromSegregation 1 peanuts that fail qualityrequirements of Table 1 or are positiveto aflatoxin. After such reconditioning,peanuts meeting the qualityrequirements of Table 1 and which arecertified negative to aflatoxin (15 ppb orless) may be disposed for edible use.

(2) Whole lots of remilled and/orblanched peanuts, and residuals of suchpeanuts, which continue to fail qualityrequirements of Table 1 and contain 25ppb or less aflatoxin content shall beconsidered ‘‘non-edible qualityunrestricted’’ peanuts and shall bedisposed as ‘‘unrestricted’’ peanuts


crushed for oil, exported, or animalfeed, pursuant to provisions ofparagraph (e) of the section. Mealproduced from unrestricted peanutsshall be disposed pursuant to paragraph(e)(6) of this section.

(3) Whole lots of remilled and/orblanched peanuts, and residuals of suchpeanuts, which continue to fail qualityrequirements of Table 1 and containmore than 25 ppb aflatoxin content,shall be considered ‘‘non-edible qualityrestricted’’ peanuts and shall bedisposed as ‘‘restricted’’ peanutspursuant to paragraph (e)(6) of thissection. Meal produced from restrictedpeanuts shall be disposed pursuant toparagraph (e)(6).

(4) All certifications and proof of non-edible dispositions sufficient to accountfor all peanuts in each consumptionentry filed by the importer must bereported to the Secretary by theimporter pursuant to paragraphs (g)(2)and (g)(3) of this section.

(g) Safeguard procedures. (1) Prior toarrival of a foreign produced peanut lotat a port-of-entry, the importer, orcustoms broker acting on behalf of theimporter, shall mail or send by facsimiletransmission (fax) a copy of the CustomsService entry documentation for thepeanut lot or lots to the inspectionservice office that will perform samplingof the peanut shipment. More than onelot may be entered on one entrydocument. The documentation shallinclude identifying lot(s) or containernumber(s) and volume of the peanuts ineach lot being entered, and the location(including city and street address), dateand time for inspection sampling. Theinspection office shall sign, stamp, andreturn the entry document to theimporter. The importer shall present thestamped document to the CustomsService at the port-of-entry and send acopy of the document to the Secretary.The importer also shall cause a copy ofthe entry document to accompany thepeanut lot and be presented to theinspection service at the inlanddestination of the lot.

(2) The importer shall file with theSecretary copies of the entry documentand grade, aflatoxin, and lotidentification certifications sufficient toaccount for all peanuts in each lot listedon the entry document filed by theimporter. Positive lot identification ofresidual lots, transfer certificates, andother documentation providing proof ofnon-edible disposition, such as bills oflading, certificates of burying, exportdeclarations, and sales receipts whichreport the weight of peanuts beingdisposed and the name, address andtelephone number of the non-ediblepeanut receiver, must be sent to the

Marketing Order AdministrationBranch, Attn: Report of ImportedPeanuts. Facsimile transmissions andovernight mail may be used to ensuretimely receipt of inspection certificatesand other documentation. Fax reportsshould be sent to (202) 720–5698.Overnight and express mail deliveriesshould be addressed to USDA, AMS,Marketing Order AdministrationBranch, 14th and IndependenceAvenue, SW, Room: 2525–S,Washington, DC, 20250, Attn: Report ofImported Peanuts. Regular mail shouldbe sent to AMS, USDA, P.O. Box 96456,room 2526–S, Washington, DC 20090–6456, Attn: Report of Imported Peanuts.Telephone inquiries should be made to(202) 720–6862.

(3) Certificates and otherdocumentation for each peanut lot mustbe filed within 23 days of the date offiling for consumption entry, or, if aredelivery notice is issued on the peanutlot, subsequently filed prior toconclusion of the redelivery periodwhich will be 60 days, unless otherwisespecified by the Customs Service.

(4) The Secretary shall ask theCustoms Service to issue a redeliverydemand for foreign produced peanutlots failing to meet requirements of thissection. Extensions in a redeliveryperiod granted by the Customs Servicewill be correspondingly extended by theSecretary, upon request of the importer.Importers unable to account for thedisposition of all peanuts covered in aredelivery order, or redeliver suchpeanuts, shall be liable for liquidateddamages. Failure to fully comply withquality and handling requirements orfailure to notify the Secretary ofdisposition of all foreign producedpeanuts, as required under this section,may result in a compliance investigationby the Secretary. Falsification of reportssubmitted to the Secretary is a violationof Federal law punishable by fine orimprisonment, or both.

(h) Additional requirements: (1)Nothing contained in this section shallpreclude any importer from milling orreconditioning, prior to importation,any shipment of peanuts for the purposeof making such lot eligible forimportation into the United States.However, all peanuts presented forentry for human consumption use mustbe certified as meeting the qualityrequirements specified in paragraph (c)of this section.

(2) Conditionally released peanut lotsof like quality and belonging to the sameimporter may be commingled. Defects inan inspected lot may not be blended outby commingling with other lots ofhigher quality. Commingling also mustbe consistent with applicable Customs

Service regulations. Commingled lotsmust be reported and disposed ofpursuant to paragraphs (e)(2) and (e)(3)respectively of this section.

(3) Inspection by the Federal orFederal-State Inspection Service shall beavailable and performed in accordancewith the rules and regulations governingcertification of fresh fruits, vegetablesand other products (7 CFR part 51). Theimporter shall make each conditionallyreleased lot available and accessible forinspection as provided herein. Becauseinspectors may not be stationed in theimmediate vicinity of some ports-of-entry, importers must makearrangements for sampling, inspection,and certification through one of theoffices and laboratories listed inparagraphs (d)(3) and (d)(4),respectively, of this section.

(4) Imported peanut lots sampled andinspected at the port-of-entry, or at otherlocations, shall meet the qualityrequirements of this section in effect onthe date of inspection.

(5) A foreign-produced peanut lotentered for consumption or forwarehouse may be transferred or sold toanother person: Provided, That theoriginal importer shall be the importerof record unless the new owner appliesfor bond and files Customs Servicedocuments pursuant to 19 CFR§§ 141.113 and 141.20: and Providedfurther, That such peanuts must becertified and reported to the Secretarypursuant to paragraphs (g)(2) and (g)(3)of this section.

(6) The cost of transportation,sampling, inspection, certification,chemical analysis, and identification, aswell as remilling and blanching, andfurther inspection of remilled andblanched lots, and disposition of failingpeanuts, shall be borne by the importer.Whenever peanuts are presented forinspection, the importer shall furnishany labor and pay any costs incurred inmoving, opening containers, andshipment of samples as may benecessary for proper sampling andinspection. The inspection service shallbill the importer for fees coveringquality and size inspections; time forsampling; packaging and deliveringaflatoxin samples to laboratories;certifications of lot identification and lottransfer to other locations, and otherinspection certifications as may benecessary to verify edible quality ornon-edible disposition, as specifiedherein. The USDA and PAC-approvedlaboratories shall bill the importerseparately for fees for aflatoxin assay.The importer also shall pay all requiredCustoms Service costs as required bythat agency.


(7) Each person subject to this sectionshall maintain true and completerecords of activities and transactionsspecified in this part. Such records anddocumentation accumulated duringentry shall be retained for not less thantwo years after the calendar year ofacquisition, except that Customs Servicedocuments shall be retained as requiredby that agency. The Secretary, through

duly authorized representatives, shallhave access to any such person’spremises during regular business hoursand shall be permitted, at any suchtime, to inspect such records and anypeanuts held by such person.

(8) The provisions of this section donot supersede any restrictions orprohibitions on peanuts under theFederal Plant Quarantine Act of 1912,

the Federal Food, Drug and CosmeticAct, any other applicable laws, orregulations of other Federal agencies,including import regulations andprocedures of the Customs Service.

Dated: June 11, 1996.Robert C. Keeney,Director, Fruit and Vegetable Division.[FR Doc. 96–15361 Filed 6–18–96; 8:45 am]BILLING CODE 3410–02–P

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Part IV

Department ofTransportationFederal Aviation Administration

14 CFR Parts 1 and 33Airworthiness Standards: Aircraft EnginesNew One-Engine-Inoperative (EOI)Ratings, Definitions and TypeCertification Standards; Final Rule





[Docket No. 26019; Amendment Nos. 1–46,33–18]

RIN 2120–AD21

Airworthiness Standards: AircraftEngines New One-Engine-Inoperative(OEI) Ratings, Definitions and TypeCertification Standards


SUMMARY: This amendment establishesdefinitions for new one-engineinoperative (OEI) ratings, and typecertification standards for those ratings.This amendment is the result of apetition for rulemaking from AerospaceIndustries Association of America, Inc.(AIA), and a recognition by both theFAA, along with other civilairworthiness authorities, and theaviation industry for a need foradditional OEI power rating standards.The maximum engine power rating forrotorcraft available under currentcertification standards contained in theFederal Aviation Regulations (FAR’s) isthe 21⁄2-minute OEI rating. Thisamendment establishes definitions andtype certification standards for the 30-second OEI and 2-minute OEI rating athigher power levels than currentlyavailable. These new ratings willenhance rotorcraft safety after an enginefailure or precautionary shutdown byproviding the availability for higher OEIpower. The benefits from thisamendment are enhanced safety throughimproved rotorcraft takeoff and landingperformances, and shorter fieldoperations or higher payload with thesame degree of safety.EFFECTIVE DATE: August 19, 1996.FOR FURTHER INFORMATION CONTACT:Chung C. Hsieh, Aerospace Engineer,Engine and Propeller Standards Staff,ANE–110, Engine and PropellerDirectorate, Aircraft CertificationService, FAA, 12 New EnglandExecutive Park, Burlington, MA 01803–5229, telephone (617) 238–7115; fax(617) 238–7199.


BackgroundThe FAA issued a Notice of Proposed

Rulemaking (NPRM) No. 89–27 that waspublished in the Federal Register onSeptember 22, 1989 (54 FR 39080), andalso issued Supplemental Notice ofProposed Rulemaking (SNPRM) No. 89–

27A that was published in the FederalRegister on February 7, 1995 (60 FR7380). These notices proposed to definenew one-engine inoperative (OEI)ratings for rotorcraft engines andestablish type certification standards forthese new OEI ratings. The new OEIratings will be applicable to turbineengines installed on multienginepowered rotorcraft.

The payload for multiengine rotorcraftis limited by the power available fromthe remaining operating engine(s) in theevent one engine fails during takeoff orlanding. Currently, the maximumengine power rating available forrotorcraft under part 33 is the 21⁄2 OEIrating. This amendment establishes 30-second OEI and 2-minute OEI ratings athigher power level than currentlyavailable. The new rating will allowrotorcraft to carry higher payloads fromexisting fields or to takeoff from smallerfields with current payloads, withoutdecreasing the level of safety for theseoperations. Engine type certificationusing these new ratings, however, aswith other OEI ratings, remainsoptional.

The Aerospace Industries Associationof America, Inc., (AIA) submitted apetition for rulemaking to the FAA onSeptember 20, 1984, requesting anamendment of the FAR’s to permit typecertification of engines and rotorcraftwith new OEI ratings. The FAAacknowledged receipt of the AIApetition, by letter on November 26,1984, and issued a notice of thatpetition that was published in theFederal Register on December 10, 1984(49 FR 48759). The FAA subsequentlyheld the petition in abeyance pendingAIA’s submission of a revised petitionfor rulemaking on April 1, 1987.

The AIA then sponsored a meetingwith the Association European desConstructeurs de Materiel d′Aerospatial(AECMA), the European HelicopterAssociation (EHA), and the EuropeanJoint Airworthiness Authorities (JAA)on April 9, 1987, and invited the FAAto attend. The purpose of this meetingwas to familiarize the Europeancommunity with the AIA petition.Thereafter, the FAA and the JAAconvened their annual harmonizationmeeting on May 19–21, 1987, to discuss,in part, the status of programs of mutualinterest. One result of the FAA/JAAmeeting was a recommendation that theFAA and the JAA should strive topromulgate more harmonious rules andguidance material. Accordingly, theFAA coordinated their reviews of theAIA petition directly with the JAA. Ameeting was held in late August 1987between representatives of the FAA andthe JAA to discuss the JAA’s concerns

with the AIA petition. The JAAprovided many comments, most ofwhich contained significant deviationsfrom specifies of the petition beingconsidered.

On November 19, 1987, AIA, AECMA,and EHA jointly sponsored a meeting atAIA Headquarters in Washington, DC,and invited the FAA and the JAA toattend. The purpose of this meeting wasfor industry, AIA, AECMA, and EHA, tojointly address and respond to thecomments and concerns previouslyexpressed by the JAA. In follow-up tothis meeting, on June 8, 1988, the AIAsubmitted additional revisions to theirpetition for rulemaking.

The FAA then issued a final rule froma previous proposal amending parts 1and 33 of the FAR’s. Amendments 1–34and 33–12 were issued and published inthe Federal Register on September 2,1988 (53 FR 34196, effective October 3,1988), which redefined OEI ratings inpart 1 and added the Continuous OEIrating in both part 1 and part 33.

After reviewing the revised AIApetition, and coordinating with the JAA,the FAA issued NPRM No. 89–27 (54 FR39080), to address the part 33 enginecertification aspects of 39-second and 2-minute OEI ratings, and NPRM No. 89–26 (54 FR 39086), to address the part 27and part 29 rotorcraft certificationaspects of the OEI ratings. Both NPRM’swere published in the Federal Registeron September 22, 1989. During thecomment period, the FAA held a jointpublic meeting to discuss the proposalsof both NPRM’s in Fort Worth, Texas,on November 16, 1989 (see Notice ofpublic meeting published on October13, 1989, 54 FR 41986). The Final rulesto part 27 and part 29 were publishedin the Federal Register on September16, 1994 (59 FR 47764).

Based on the comments received, theFAA determined that the proposalscontained in NPRM 89–27 warrantedfurther consideration. Substantivechanges were made to the proposedrule, and SNPRM 89–27A waspublished in the Federal Register onFebruary 7, 1995 (60 FR 7380). TheSNPRM gave all interested parties anopportunity to comment on themodified proposed rule.

All interested persons have beengiven an opportunity to participate inthis rulemaking, and due considerationhas been given to all matters presented.Some minor editorial changes have beenmade to clarify the proposals asindicated herein. The changes are basedon comments received and further FAAreview of the proposals. The FAA hasdetermined that certain technical issuesassociated with proposed revisions to§ 33.27 have not been resolved. These


technical issues will be discussed in anAviation Rulemaking AdvisoryCommittee (ARAC) working group (seeNotice of establishment of PropulsionHarmonization Working Group at 57 FR58840, December 11, 1992). Except forthe proposed revisions to § 33.27 andother changes as indicated herein, theproposals contained in SNPRM 89–27Ahave been adopted without change.

Discussion of CommentsThe commenters represent domestic

and foreign engine manufacturers, andforeign civil airworthiness authorities.Four commenters provided the FAAwith comments to NPRM 89–27,addressing numerous issues. The FAAalso received comments to SNPRM 89–27A from three commenters. Thisdiscussion addresses all the commentsmade to SNPRM 89–27A, plus thosecomments made to NPRM 89–27 thatwere not already addressed in thediscussion section of SNPRM 89–27A.Some comments presented orally at theNovember 16, 1989, public meetinghave not been addressed here, sincethey have been withdrawn; other oralcomments were submitted in writing tothe rules docket. The transcript of thepublic meeting is in the Rules Docket.The comments are grouped according tothe applicable sections of the proposedamendment, with general commentsdiscussed first.

General CommentsOne commenter recommends that the

FAA should publish the proposals asworded in the SNPRM as a final rule forall applicable 14 CFR part 1 and 33sections, with the exception of theproposed revisions to § 33.27.

One commenter states that the newstructure of helicopter engine ratings asproposed creates a new certificationscheme for helicopters and, accordingly,all the pertinent regulatory and advisorymatter must be considered at the sametime. The commenter points out thatguidance material for the proposedratings, including the maintenanceinspection requirements under § 33.90and on the issue of power assurance, isnot available. Therefore, the commenterstates that an acceptable level of safetycannot be achieved until all advisoryand regulatory material can be reviewedat the same time.

The FAA disagrees. Even thoughspecific advisory material that addressesthe new OEI ratings is not yet available,the FAA will not delay issuing thisFinal rule. The existing guidancematerial on the issue of powerassurance, which is a certificationrequirement of the helicopter under§§ 27.45(f) and 29.45(f), may be of

assistance to applicants for typecertification. A joint effort between theFAA’s Engine & Propeller Directorateand the Rotorcraft Directorate, and boththe engine and the helicopter industry,has resulted in a report published by theSociety of Automotive Engineers (SAE),Aerospace Information Report AIR4083,‘‘Helicopter Power Assurance,’’ datedJuly 13, 1989. Also, guidance materialaddressing the existing § 33.90 isprovided in FAA Advisory Circular(AC) AC 33–2B, ‘‘Aircraft Engine TypeCertification Handbook’’. This AC willbe revised to include guidance materialon power assurance and mandatorymaintenance requirements for the newOEI ratings following the adoption ofthis Final rule. The FAA plans to issueadvisory material for these new OEIratings as soon as practical.

The commenter also states that thisrulemaking is based on an assumptionthat the new OEI ratings will be usedonly during the takeoff and landingphases of flight. The commenterspeculates that it would be possible thatthese new ratings be utilized under the‘‘External Load Operations’’ provisionsof § 133.45(e)(1). The commentersuggests that the Regulatory Evaluationsection needs to address whether thisassumption will be invalidated if theenhanced OEI performance is taken intoaccount for other than takeoff andlanding purposes.

The FAA disagrees. While theproposed new OEI ratings are intendedto be used only after the failure of oneengine on a multiengine rotorcraftduring takeoff, climb, or landing, it isentirely possible that these new ratingsmight be utilized to meet the provisionsof current § 133.45(e)(1), if the rotorcraftand the operator fulfill those criteria.Therefore, the Regulatory Evaluationdoes not depend on how the higherpower levels associated with the newOEI ratings may be used in showingcompliance with an existing regulation.In addition the commenter does notsuggest any changes to the regulatorylanguage of the proposed amendment topart 1 or part 33 to address that concern.These new ratings are intended tosupplement the existing OEI ratingstructure for the type certification ofengines and rotorcraft. Existingrotorcraft operating rules with respect toOEI conditions should not be impactedby the addition of the 30-second and the2-minute OEI ratings.

Section 1.1 DefinitionsOne commenter recommends that the

existing § 1.1 definition of rated 30-minute OEI power should be amendedto clarify that the period of use must notexceed a total of 30 minutes during any

flight. The commenter further states thatmany authorities are aware of instancesof misinterpretations, not precluded byFlight Manuals, whereby more than 30minutes of 30-minute OEI power couldhave been accumulated during oneflight. This commenter alsorecommends that the common aspectsof all existing and proposed definitionsof rated power/thrust be expressed inidentical language to eliminatedifferences as much as possible.

The FAA disagrees. The existing § 1.1definition of rated 30-minute OEI powerstates that the engine power at thisrating is limited in use to a period of notmore than 30 minutes after the failureof one engine of a multienginerotorcraft. The language used to definethe new 30-second OEI and 2-minuteOEI ratings is consistent with this andother OEI definitions. Therecommendations on the existingdefinitions of rated power and thrust arebeyond the scope of this rulemaking.Such a change may be considered,however, as part of the Engine &Propeller Directorate’s ongoing study onengine ratings.

Section 33.14 Start-Stop Cyclic StressOne commenter states that the

proposal should also include a changeto existing § 33.14 that would excludeOEI ratings from the meaning of theterm ‘‘maximum rated power’’ as itappears in § 33.14. The commenterbases the need for this change on aninterpretation of the existing § 33.14using the preambles to two previousamendments to the FAR’s, both pre-dating the most recent changes to parts1 and 33 relating to OEI ratings. Thecommenter concludes that the suggestedchanges would make § 33.14 morerational and provide clarity to promoteconsistent application. The commenteralso states that § 33.14 should addressrotational speed operating limits androtor temperatures in addition to ratedpowers/thrusts.

The FAA disagrees. No changes to§ 33.14 were proposed in either NPRMNo. 89–27 or SNPRM 89–27A. The FAAfinds that the existing § 33.14 isadequate to address the new 30-secondOEI and 2-minute OEI ratings.

Section 33.27 Turbine, Compressor,Fan and Turbosupercharger Rotors

Several commenters state thatproposed revisions to § 33.27, rotorintegrity, are not consistent with thestatus of the discussions on rotorintegrity requirements currently ongoingin an ARAC working group.

The FAA agrees that proposed § 33.27is not harmonized with JAR–E. Theproposed revision to § 33.27 has been


removed from the Final rule as theproposal has not been completelyharmonized by the FAA (part 33) andthe JAA (JAR–E). However, the FAAwill consider additional amendments to§ 33.27, and ARAC harmonization isanticipated. In the interim the FAA willaddress each application for typecertification that requests 30-second OEIand 2-minute OEI ratings on a case bycase basis.

Section 33.29 Instrument ConnectionOne commenter states that

§ 29.1305(a)(24) requires an indicationto the pilot when the use of OEI ratingbegins and when the allowed time ofthis rating has expired, and theproposed 33.29(c)(1) should haveconsistent requirements.

The FAA agrees. New § 33.29(c)(1) ischanged accordingly. In addition, new§ 33.29(c)(3) is changed to clarify theFAA’s intent to require that each usageof a power level at one of the new OEIratings is limited in duration. Therefore,for example, as the definition of therating provides, 30-second OEI power islimited to three periods of use in anyone flight following an engine failure,and each period of use is limited to nomore than 30 seconds. Unused timefrom one period of use may not beaccumulated for use during asubsequent period. Accordingly, new§ 33.29(c)(3) is changed to provide for ameans to record each use and theduration of each use of power at eachrating.

Section 33.85 Calibration TestsOne commenter states that the

reference in proposed § 33.85(d) to§§ 33.87(f) (1) through (8) should read§ 33.87, because paragraphs (1) through(8) of proposed § 33.87(f) relate only tothe new 30-second OEI and 2-minuteOEI ratings where proposed § 33.85(d) isalso applicable to the 21⁄2-minute OEIrating.

The FAA disagrees. New § 33.85(d) isintended for 30-second OEI and 2-minute OEI ratings only, and referenceto the 21⁄2-minute OEI rating wasaccidentally included in the SNPRM.Therefore, the reference to the 21⁄2-minute OEI rating is removed from new§ 33.85(d).

Section 33.87 Endurance TestOne commenter questions whether,

during the additional endurance testingintroduced by proposed § 33.87 (f)(1)through (f)(8), at least 100 percent of 30-second OEI and 2-minute OEI ratedpowers must be produced during allsuch operations. The commenter statesthat it appears to be the intent because§ 33.87(a)(3) remains applicable to the

proposed § 33.87(f), yet the commenterstates that 100 percent power may onlybe required for the first sequence ofproposed § 33.87(f), and not for all thesequences.

The FAA disagrees. The 100 percentrule of § 33.87(a)(3) applies to new§ 33.87(f) for all sequences; noexceptions are intended or implied.

One commenter suggests thefollowing for proposed § 33.87 (f)(1)through (f)(8):

1. The test sequence described by§ 33.87 (f)(1) through (f)(8) would berequired to be repeated eight times fora total time of not less than 180 minutesand would be required to be conductedin a prescribed sequence and withoutstopping during the 180 minutes totaltest period.

2. The sequence during which thelength of the particular test conditiondefined by § 33.87(f)(4) is increased tosixty-five minutes would need to be re-defined as: ‘‘except that during thefourth or fifth test sequence this periodshall be sixty-five minutes.’’

The FAA disagrees. The two hoursupplementary test is to simulate aflight scenario using 30-second and 2-minute OEI ratings. After the initial 30-second and 2-minute applications tocomplete the takeoff or effect a rejectedtakeoff and the climb out to a safealtitude and airspeed, the engine is runat the 30-minute or continuous OEIrating power to maintain a safe altitudeenroute and to complete a landing of theaircraft. The two hour cyclic testdefined in this section demonstrates theability of the engine to complete a safeflight with up to three applications ofthe 30-second and 2-minute OEI ratingsduring one flight. The proposed changesfrom the commenter are not supportedby reasonable technical justification.

Section 33.88 Engine OvertemperatureTest

One commenter suggests that thewords ‘‘steady state’’ be inserted beforethe words ‘‘power-on r.p.m.’’ inproposed § 33.88(c). The commenterstates that the words are necessary sincethe test is conducted at maximumsteady state rpm limit rather thanmaximum transient rpm limit. Inaddition, the proposed change to‘‘steady state’’ rpm limit and to the posttest acceptance criteria is alsoapplicable to engines not havingautomatic temperature limiting whichare tested at 75 °F above the maximumtemperature limit.

The FAA disagrees. Theovertemperature condition associatedwith usage of the 30-second OEI ratingis normally expected from over-fuelingand consequently is accompanied by an

excess rpm, not a steady state levelassociated with a non-overtemperatureor a non-overboost condition.

One commenter states that use of thewords ‘‘provides an exception from theexisting requirements’’ in the preamblefor Proposal No. 10 of NPRM 89–27,published September 22, 1989,concerning proposed § 33.88, could bemisconstrued, and that it would havebeen better to state ‘‘ * * * provides foran alleviation from the rotational speedand the gas temperature prescribed bythe existing requirements* * *.’’

The FAA disagrees. The commenterdoes not suggest any changes toproposed § 33.88 and the editorialcomment addresses the wordingpreference in the preamble only.

One commenter states that the lastsentence of proposed § 33.88(c) shouldread as follows: ‘‘Following this run, theturbine assembly may exceedserviceable limits, provided there is noevidence of imminent failure. Theapplicant may be required to show thereis no evidence of imminent failure byanalysis or test’’. Another commenterstates that current JAR–E has no directequivalent to the 5 minute tests of eitherthe existing § 33.88 or proposed§ 33.88(a). Proposed § 33.88 (b) and (c),which make provision for 5 minute or4 minute over-temperature test for 30-second OEI ratings, will be consideredby the JAA as a possible basis for arevision to JAR–E. However, this will bein addition to complying with theexisting turbine rotor overtemperaturerequirement of JAR–E, C4–6, paragraph22. The commenter also suggests thatproposed § 33.88 (b) and (c) shouldinclude a requirement that the worstcase intended flight profile must beassumed to include at least a further twoapplications of 30-second OEI power,each followed by an application of 2minute OEI power for consistency ofinterpretation and compatibility withusage rational for these particular OEIratings, as stated in the ‘‘Background’’ ofNPRM 89–27.

The FAA disagrees. The intent of thepost-test requirements is to assure thatafter the overtemperature test, theengine is suitable for continued serviceuse to complete the worst case intendedflight profile associated with theapplication of the 30-second OEI powerrating. Although the worst case scenariomay include at lease two additionalapplications of both 30-second OEIpower and 2-minute OEI power, the lastsentence of revised § 33.88(b) andrevised § 33.88(c) will permit the FAA,on a case by case assessment, to applythe best engineering judgment for eachgiven engine type design tested.


Two commenters state that the FAA isproposing a certification standard forrotorcraft engines with a temperaturelimiter that differs from the standard forall other type engines. The commentersconclude that if a temperature limiterprinciple is acceptable for rotorcraftengines, it should also be acceptable forother gas turbine engines and for otherengine ratings. Therefore, the proposalshould be changed to apply generallyand not just to 30-second and 2-minuteOEI ratings.

The FAA disagrees. The FAAconsiders that this comment is beyondthe scope of this rulemaking, whichaddresses only certification standardsfor rotorcraft engines. The FAA mayconsider further rulemaking to revise§ 33.88 for other gas turbine enginecertifications.

One commenter states that theovertemperature subject has beenincorporated into the harmonizationeffort and requests that the FAA clearlyindicate the intent to harmonizecertification standards related toovertemperature.

The FAA agrees. The FAA willcontinue to support the ongoingharmonization effort toward theovertemperature test rule with the JAAthrough the ARAC. However, theproposed overtemperature testrequirements in the SNPRM for 30-second and 2-minute OEI ratings arepublished as an addition to the existingrule based on the comments received. Itis anticipated that the ARAC willrecommend the adoption of theovertemperature test for these newratings in their draft proposals.

Section 33.90 Initial MaintenanceInspection

One commenter suggests that theinterpretation of the current § 33.90needs to clearly define the requirementsin that section for engines thatincorporate the new OEI rated powerlevels, and that an advisory circularmust be published together with thisFinal rule.

The FAA disagrees. The FAA shouldnot delay publication of this Final rulepending the development of newadvisory material. The FAA plans toissue to the advisory material as soon aspractical.

Section 33.93 Teardown InspectionOne commenter states that in

proposed § 33.93, there is an ‘‘and’’which they believe should be an ‘‘or’’ inthe first sentence of proposed § 33.93(c),so that the fifth and sixth lines wouldread: ‘‘the endurance testing of § 33.87(b) or (c) or (d) or (e) or this part andfollowed * * *’’. This change is needed

because proposed 33.87(a) states: ‘‘forengines tested under paragraphs (b), (c),(d) or (e) of this section * * *’’ and thenew § 33.87(f) reads: ‘‘and followingcompletion of the tests underparagraphs (b), (c), (d) or (e) of thissection * * *’’.

The FAA agrees. The changes torevised § 33.93 are made.

Regulatory Evaluation Summary

Changes to the federal regulationsmust undergo several economicanalyses. First, Executive Order 12866directs Federal agencies to promulgatenew regulations or modify existingregulations only if the potential benefitsto society outweigh the potential costs.Second, the Regulatory Flexibility Actof 1980 requires agencies to analyze theeconomic impact of regulatory changeson small entities. Finally, the Office ofManagement and Budget directsagencies to assess the effects ofregulatory changes on internationaltrade. In conducting these assessments,the FAA has determined that this rule:(1) Will generate benefits exceeding itscosts and is not ‘‘significant’’ as definedin Executive Order 12866; (2) is not‘‘significant’’ as defined in DOT’sPolicies and Procedures; (3) will nothave a significant impact on asubstantial number of small entities;and (4) will not restrain internationaltrade. These analyses are available inthe docket.

The new OEI power ratings will affordrotorcraft manufacturers the opportunityto install higher rated engines in theirproducts. The principal operationalbenefits will be the ability to carryhigher payloads from existing fields orto takeoff from smaller fields withcurrent payloads, which should enablemore Category B operators to use theirrotorcraft for Category A operations, andalso increase the potential for alloperators to use more efficient andprofitable routes.

The testing costs associated withobtaining these ratings should beviewed as the price of an additionalcapability and would be evaluated bythe manufacturer based on marketpotential. It is not possible to quantifythe extent of the net operational benefitsthat will be realized by the operatorsbecause the number of products thatwill be certificated to this standardcannot be predicted. The FAA is able toconclude, however, that the rule willnot have a negative economic impact onmanufacturers or operators. Becausethese are optional ratings,manufacturers will provide thiscapability only if the additional costscan be recovered in the marketplace.

Safety after an engine failure underthe provisions of this rule will be as testequivalent to operational safety underthe previous regulations. Thisassessment is based on the requirementfor an engine inspection following onemission cycle of either the 30-second or2-minute OEI power levels. All engineparts that may not be suitable for furtheruse must be discarded and replaced inorder to maintain the continuedairworthiness of the engine. Theexisting minimum level of engineairworthiness will be maintained underthis rule by virtue of new and existingdesign, analysis, and test certificationrequirements. In summary, the FAAfinds that the benefits of this rule willexceed the costs.

International Trade Impact AnalysisThese rule changes will have little or

no impact on trade for both U.S. firmsdoing business in foreign countries andforeign firms doing business in theUnited States. In the U.S. market,foreign manufacturers will have theoption of designing engines andhelicopters capable of satisfying the newOEI ratings and therefore will not be ata competitive disadvantage with U.S.manufacturers. Because of the large U.S.market, foreign manufacturers are likelyto certify their rotorcraft to U.S. rules,which will limit any competitiveadvantage U.S. manufacturers mightgain in foreign markets.

Regulatory Flexibility DeterminationThe Regulatory Flexibility Act of 1980

(RFA) was enacted by Congress toensure that small entities are notunnecessarily or disproportionatelyburdened by Government regulations.The RFA requires a RegulatoryFlexibility Analysis if a rule would havea significant economic impact, eitherdetrimental or beneficial, on asubstantial number of small entities.FAA order 2100.14A, RegulatoryFlexibility Criteria and Guidance,establishes threshold cost values andsmall entity size standards forcomplying with RFA reviewrequirements in FAA rulemakingactions. A review of domestic enginemanufacturers indicates that none meetsthe minimum size threshold. As such,the FAA has determined that this rulewill not have significant economicimpact on a substantial number of smallentities.

Federalism ImplicationsThe regulations adopted herein will

not have substantial direct effects on theStates, on the relationship between thenational government and the States, oron the distribution of power and


responsibilities among the variouslevels of government. Therefore, inaccordance with Executive Order 12612,it is determined that this regulation doesnot have sufficient federalismimplications to warrant the preparationof a Federalism Assessment.

Conclusion

For the reasons discussed in thepreamble, and based on the findings inthe Regulatory Flexibility Determinationand the International Trade ImpactAnalysis, the FAA has determined thatthis regulation is not a significantregulatory action under Executive Order12866. In addition, the FAA certifiesthat these amendments do not have asignificant economic impact, positive ornegative, on a substantial number ofsmall entities under the criteria of theRegulatory Flexibility Act. Theseamendments are considerednonsignificant under DOT RegulatoryPolicies and Procedures (44 FR 11034,February 26, 1979). A regulatoryevaluation of the amendments,including a Regulatory FlexibilityDetermination and Trade ImpactAnalysis, has been placed in the docket.A copy may be obtained by contactingthe person identified under FOR FURTHERINFORMATION CONTACT.

List of Subjects

14 CFR Part 1

Airmen, Flights, Balloons, Parachutes,Aircraft Pilots, Pilots Transportation,Agreements, Kites, Air Safety, Safety,Aviation Safety, Air Transportation, AirCarriers, Aircraft, Airports, Airplanes,Helicopters, Rotorcraft, Heliports,Engines, Ratings.

14 CFR Part 33

Engines, Rotorcraft, AirTransportation, Aircraft, Aviationsafety, Safety.

Adoption of the Amendments

Accordingly, The Federal AviationAdministration (FAA) amends 14 CFRpart 1 and part 33 as follows:

PART 1—DEFINITIONS ANDABBREVIATIONS


Authority: 49 U.S.C 106(g), 40113, 44701.

2. Section 1.1 is amended by addingthe definitions in alphabetical order of‘‘Rated 30-Second OEI Power’’ and‘‘Rated 2-Minute OEI Power’’ to read asfollows:

§ 1.1 General Definitions.

* * * * *

Rated 30-second OEI power, withrespect to rotorcraft turbine engines,means the approved brake horsepowerdeveloped under static conditions atspecified altitudes and temperatureswithin the operating limitationsestablished for the engine under part 33of this chapter, for continued one-flightoperation after the failure of one enginein multiengine rotorcraft, limited tothree periods of use no longer than 30seconds each in any one flight, andfollowed by mandatory inspection andprescribed maintenance action.

Rated 2-minute OEI power, withrespect to rotorcraft turbine engines,means the approved brake horsepowerdeveloped under static conditions atspecified altitudes and temperatureswithin the operating limitationsestablished for the engine under part 33of this chapter, for continued one-flightoperation after the failure of one enginein multiengine rotorcraft, limited tothree periods of use no longer than 2minutes each in any one flight, andfollowed by mandatory inspection andprescribed maintenance action.* * * * *

PART 33—AIRWORTHINESSSTANDARDS: AIRCRAFT ENGINES


Authority: 49 U.S.C. 106(g), 40113, 44701,44702, 44704.

4. Section 33.7 is amended byredesignating paragraph (c)(1)(viii) as(c)(1)(x); by revising newly redesignated(c)(1)(x); and by adding new paragraphs(c)(1)(viii) and (c)(1)(ix) to read asfollows:

§ 33.7 Engine ratings and operatinglimitations.

* * * * *(c) * * *(1) * * *(viii) Rated 2-minute OEI power;(ix) Rated 30-second OEI power; and(x) Auxiliary power unit (APU) mode

of operation.* * * * *

5. Section 33.29 is amended byadding new paragraph (c) as follows:

§ 33.29 Instrument connection.

* * * * *(c) Each rotorcraft turbine engine

having a 30-second OEI rating and a 2-minute OEI rating must have a provisionfor a means to:

(1) Alert the pilot when the engine isat the 30-second OEI and the 2-minuteOEI power levels, when the eventbegins, and when the time intervalexpires;

(2) Determine, in a positive manner,that the engine has been operated ateach rating; and

(3) Automatically record each usageand duration of power at each rating.

6. Section 33.67 is amended byadding new paragraph (d) as follows:

§ 33.67 Fuel system.

* * * * *(d) Engines having a 30-second OEI

rating must incorporate means forautomatic availability and automaticcontrol of a 30-second OEI power.

7. Section 33.85 is amended byadding new paragraphs (c) and (d) asfollows:

§ 33.85 Calibration tests.

* * * * *(c) In showing compliance with this

section, each condition must stabilizebefore measurements are taken, exceptas permitted by paragraph (d) of thissection.

(d) In the case of engines having 30-second OEI, and 2-minute OEI ratings,measurements taken during theapplicable endurance test prescribed in§ 33.87(f) (1) through (8) may be used inshowing compliance with therequirements of this section for theseOEI ratings.

8. Section 33.87 is amended byrevising the introductory text ofparagraph (a) and paragraph (a)(8); byredesignating paragraph (f) as paragraph(g); by revising the reference ‘‘(e)(2) (ii)through (iv)’’ to read ‘‘(g)(2) (ii) through(iv)’’ in newly designated paragraph(g)(2)(i), by revising the reference‘‘(e)(2)(i)’’ to read ‘‘(g)(2)(i)’’ in newlydesignated paragraph ‘‘(g)(2)(ii)’’; byrevising the reference ‘‘(e)(2)(i)’’ to read‘‘(g)(2)(i)’’ in newly designatedparagraph ‘‘(g)(2)(iii)’’; by revising thereference ‘‘(e)(2) (i) and (ii)’’ to read‘‘(g)(2) (i) and (ii)’’ in newly designatedparagraph (g)(2)(iv); and by adding anew paragraph (f) to read as follows:

§ 33.87 Endurance test.

(a) General. Each engine must besubjected to an endurance test thatincludes a total of at least 150 hours ofoperation and, depending upon the typeand contemplated use of the engine,consists of one of the series of runsspecified in paragraphs (b) through (g)of this section, as applicable. Forengines tested under paragraphs (b), (c),(d), (e) or (g) of this section, theprescribed 6-hour test sequence must beconducted 25 times to complete therequired 150 hours of operation.Engines for which the 30-second OEIand 2-minute OEI ratings are desiredmust be further tested under paragraph


(f) of this section. The following testrequirements apply:* * * * *

(8) If the number of occurrences ofeither transient rotor shaft overspeed ortransient gas overtemperature is limited,that number of the accelerationsrequired by paragraphs (b) through (g) ofthis section must be made at thelimiting overspeed or overtemperature.If the number of occurrences is notlimited, half the required accelerationsmust be made at the limiting overspeedor overtemperature.* * * * *

(f) Rotorcraft engines for which 30-second OEI and 2-minute OEI ratingsare desired. For each rotorcraft enginefor which 30-second OEI and 2-minuteOEI power ratings are desired, andfollowing completion of the tests underparagraphs (b), (c), (d), or (e) of thissection, the applicant may disassemblethe tested engine to the extent necessaryto show compliance with therequirements of § 33.93(a). The testedengine must then be reassembled usingthe same parts used during the test runsof paragraphs (b), (c), (d), or (e) of thissection, except those parts described asconsumables in the Instructions forContinued Airworthiness. The applicantmust then conduct the following testsequence four times, for a total time ofnot less than 120 minutes:

(1) Takeoff power. Three minutes atrated takeoff power.

(2)30-second OEI power. Thirtyseconds at rated 30-second OEI power.

(3) 2-minute OEI power. Two minutesat rated 2-minute OEI power.

(4) 30-minute OEI power, continuousOEI power, or maximum continuouspower. Five minutes at rated 30-minuteOEI power, rated continuous OEI power,or rated maximum continuous power,whichever is greatest, except that,during the first test sequence, thisperiod shall be 65 minutes.

(5) 50 percent takeoff power. Oneminute at 50 percent takeoff power.

(6) 30-second OEI power. Thirtyseconds at rated 30-second OEI power.

(7) 2-minute OEI power. Two minutesat rated 2-minute OEI power.

(8) Idle. One minute at idle.* * * * *


§ 33.88 Engine overtemperature test.(a) Each engine must run for 5

minutes at maximum permissible rpmwith the gas temperature at least 75 °F(42 °C) higher than the maximumrating’s steady-state operating limit,excluding maximum values of rpm andgas temperature associated with the 30-second OEI and 2-minute OEI ratings.Following this run, the turbine assemblymust be within serviceable limits.

(b) Each engine for which 30-secondOEI and 2-minute OEI ratings aredesired, that does not incorporate ameans to limit temperature, must be runfor a period of 5 minutes at themaximum power-on rpm with the gastemperature at least 75 °F (42 °C) higherthan the 30-second OEI rating operatinglimit. Following this run, the turbineassembly may exhibit distress beyondthe limits for an overtemperaturecondition provided the engine is shownby analysis or test, as found necessaryby the Administrator, to maintain theintegrity of the turbine assembly.

(c) Each engine for which 30-secondOEI and 2-minute OEI ratings aredesired, that incorporates a means tolimit temperature, must be run for aperiod of 4 minutes at the maximumpower-on rpm with the gas temperatureat least 35 °F (20 °C) higher than themaximum operating limit. Followingthis run, the turbine assembly mayexhibit distress beyond the limits for anovertemperature condition provided theengine is shown by analysis or test, asfound necessary by the Administrator,to maintain the integrity of the turbineassembly.

(d) A separate test vehicle may beused for each test condition.


§ 33.93 Teardown inspection.(a) After completing the endurance

testing of § 33.87 (b), (c), (d), (e), or (g)of this part, each engine must becompletely disassembled, and

(1) Each component having anadjustment setting and a functioningcharacteristic that can be established

independent of installation on theengine must retain each setting andfunctioning characteristic within thelimits that were established andrecorded at the beginning of the test;and

(2) Each engine part must conform tothe type design and be eligible forincorporation into an engine forcontinued operation, in accordance withinformation submitted in compliancewith § 33.4.

(b) After completing the endurancetesting of § 33.87(f), each engine must becompletely disassembled, and

(1) Each component having anadjustment setting and a functioningcharacteristic that can be establishedindependent of installation on theengine must retain each setting andfunctioning characteristic within thelimits that were established andrecorded at the beginning of the test;and

(2) Each engine may exhibitdeterioration in excess of that permittedin paragraph (a)(2) of this sectionincluding some engine parts orcomponents that may be unsuitable forfurther use. The applicant must show byanalysis and/or test, as found necessaryby the Administrator, that structuralintegrity of the engine includingmounts, cases, bearing supports, shafts,and rotors, is maintained; or

(c) In lieu of compliance withparagraph (b) of this section, eachengine for which the 30-second OEI and2-minute OEI ratings are desired, maybe subjected to the endurance testing of§§ 33.87 (b), (c), (d), or (e) of this part,and followed by the testing of § 33.87(f)without intervening disassembly andinspection. However, the engine mustcomply with paragraph (a) of thissection after completing the endurancetesting of § 33.87(f).

Issued in Washington, DC, on May 30,1996.David R. Hinson,Administrator.[FR Doc. 96–14083 Filed 6–18–96; 8:45 am]BILLING CODE 4910–13–M

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Part V

Department ofTransportationCoast Guard

46 CFR Parts 10 and 15Licensing and Manning for Officers ofTowing Vessels; Proposed Rule



Coast Guard


[CGD 94–055]

RIN 2115–AF23

Licensing and Manning for Officers ofTowing Vessels

AGENCY: Coast Guard, DOT.ACTION: Notice of proposed rulemaking.

SUMMARY: The Coast Guard proposes torevise the requirements for licensingthose mariners that operate towingvessels, uninspected as well asinspected. This proposed rule wouldcreate new licenses with levels ofqualification and with enhancedtraining and operating experience,including practical demonstrations ofskill; further, it would ensure that alltowing vessels are manned by officersholding licenses specifically authorizingtheir service. It is based on theinvestigation of an allision of a towingvessel and its barges with a railroadbridge, near Mobile, Alabama, inSeptember 1993, which caused 47deaths.DATES: Comments must be received onor before October 17, 1996.ADDRESSES: Comments may be mailed tothe Executive Secretary, Marine SafetyCouncil (G–LRA/3406) [CGD 94–055],U.S. Coast Guard Headquarters, 2100Second Street SW., Washington, DC20593–0001, or may be delivered toroom 3406 at the same address between8 a.m. and 3 p.m., Monday throughFriday, except Federal holidays. Thetelephone number is (202) 267–1477.Comments on collection-of-informationrequirements must be mailed also to theOffice of Information and RegulatoryAffairs, Office of Management andBudget, 725 17th Street NW.,Washington, DC 20503, Attn: DeskOfficer, U.S. Coast Guard.

The Executive Secretary maintains thepublic docket for this rulemaking.Comments will become part of thisdocket and will be available forinspection or copying at room 3406,U.S. Coast Guard Headquarters, between8 a.m. and 3 p.m., Monday throughFriday, except Federal holidays.FOR FURTHER INFORMATION CONTACT:LCDR Don Darcy, Operating andEnvironmental Standards Division,(202) 267–0221.


Request for CommentsThe Coast Guard encourages

interested persons to participate in this

rulemaking by submitting written data,views, or arguments. Persons submittingcomments should include their namesand addresses, identify this rulemaking[CGD 94–055] and the specific section ofthis proposal to which each commentapplies, and give the reason for eachcomment. Please submit two copies ofall comments and attachments in anunbound format, no larger than 81⁄2 by11 inches, suitable for copying andelectronic filing. Persons wantingacknowledgment of receipt of commentsshould enclose stamped, self-addressedpostcards or envelopes.

The Coast Guard will consider allcomments received during the commentperiod. It may change this proposal inview of the comments.

A public meeting was held on April4, 1994, at Coast Guard Headquarters.Afterwards, the Coast Guard receivednumerous letters from active marinersrequesting a copy of this proposed ruleand seeking an opportunity to comment.The Coast Guard reached eachidentifiable group and provided it anopportunity to forward comments to thedocket. It will mail a copy of this ruleto every interested party. Persons mayrequest additional public meetings bywriting to the Marine Safety Council atthe address under ADDRESSES. Therequest should include the reasons whya public meeting would be beneficial. Ifit determines that the opportunity fororal presentations will aid thisrulemaking, the Coast Guard will holda public meeting at a time and placeannounced by a later notice in theFederal Register.

Background and PurposeThis proposed rule is necessary as

part of a comprehensive initiative by theCoast Guard to improve navigationalsafety for towing vessels. It follows areport directed by the Secretary ofTransportation, entitled Review ofMarine Safety Issues Related toUninspected Towing Vessels (hereafterReview), which identifiedimprovements in licensing, training,and qualifications of operators ofuninspected towing vessels (OUTVs)that may be necessary to achieve thisgoal.

The Secretary of Transportationinitiated the Review after the collision,in September 1993, of a towing vesseland its barges with a railroad bridgenear Mobile, Alabama (hereafter Amtrakcasualty). This casualty was closelyfollowed by several others involvingtowing vessels. Each emphasized theurgency of examining the rules for thelicensing of all operators of towingvessels. In general, the Review and aprevious study, also by the Coast Guard,

entitled Licensing 2000 and Beyond(hereafter Licensing 2000), concludedthat the requirements for licensing alloperators of towing vessels are outdatedand need improvement.

The Review examined marine-casualty statistics for towing vesselsover a 12-year period (1980–1991). Of12,971 marine casualties covered, atleast 7,664, or around 60 percent, weredirectly attributable to personnel error.Over the last several years, moreresearch has been conducted on theeffects of human factors on marinecasualties. Much of it concludes thatimprovements in the licensing, training,and qualifications of personnel might beaccomplished to reduce the number ofcasualties.

In all, the Review contained 19recommendations, on licensing OUTVsand other matters, including reportingmarine casualties and hazardousconditions; bridge-fendering systemsand navigational lighting; adequacy ofnavigational equipment for uninspectedtowing vessels; and adequacy of theAids to Navigation System for markingthe approaches to bridges over navigablewaterways.

In response to the Review, on March2, 1994, the Coast Guard published anotice of public meeting and availabilityof study (59 FR 10031) that announcedthe availability of the Review, andscheduled a meeting to seek publiccomment on the recommendationsmade in it.

The public meeting was held on April4, 1994. It was well attended by thepublic, representing a wide range oftowing interests. In response, the CoastGuard received a total of 23 writtencomments beyond free discussion at themeeting itself. These comments aresummarized in the section entitledDiscussion of Proposed Rule.

The National Transportation SafetyBoard (NTSB) also conducted aninvestigation following the Amtrakcasualty. The findings of the NTSBinvestigation identified one of theprobable causes of the casualty as theCoast Guard’s failure to establish higherstandards for the licensing of inlandoperators of towing vessels. Thisproposed rule aims to update thelicensing, training, and qualifications ofpersonnel on towing vessels in order toreduce similar vessel casualtiesattributable to human factors.Specifically, it addresses (1) Levels oflicenses; (2) restrictions of licenses byhorsepower; (3) practicaldemonstrations of skills; and (4)responsibility of industry.

In addition, this proposed rule hastaken into account nine of therecommendations from the Review that


affect licensing: (1) The creation oflevels of licenses; (2) a requirement ofpractical demonstration, by simulator orequivalent, for upgrade of license; (3) arequirement of practical demonstration,by simulator or equivalent, for increasein scope of license; (4) a requirement ofpractical demonstration, by simulator orequivalent, for renewal of license; (5) alimitation, to smaller vessels, of thelicense for second-class operator ofuninspected towing vessels; (6) arequirement of experience on theWestern rivers to receive anendorsement for them; (7) the assurancethat any new license meets internationalstandards; (8) provisions for crossoveror equivalence for masters and mates ofvessels of between 500 and 1,600 grosstons; and (9) emphasis on responsibilityof owners of towing vessels to employqualified, experienced personnel asoperators in charge (or masters) of theirvessels.

This rulemaking arises largely from acooperative effort between the CoastGuard and the towing industry. Itreflects oral comments made at thepublic meeting held on April 4, 1994;written comments in response to thismeeting; and written comments inresponse to the Review. Further, theMerchant Marine Personnel AdvisoryCommittee (MERPAC) created a workinggroup to generally address the towing-safety initiatives. The Coast Guardconsidered the Report of the MERPACWorking Group, dated June 10, 1994,even before the drafting of this proposedrule. Further still, the Towing SafetyAdvisory Committee (TSAC) created aworking group to specifically addresslicensing issues. The Coast Guard alsoconsidered the Report of the TSACWorking Group on Licensing, datedDecember 5, 1994 (hereafter TSACReport), during the drafting of this rule.The TSAC Report incorporates theresults of numerous working-groupmeetings, independent research, andanalysis of current industry practices.

International Convention on Standardsof Training, Certification andWatchkeeping for Seafarers, 1978(STCW)

STCW sets qualifications for masters,officers, and watchkeeping personnel onseagoing merchant ships. It was adoptedin 1978 and it entered into force in1984. The U.S. became a party in 1991.STCW applies to mariners serving onboard seagoing vessels (i.e., vessels,including towing vessels, that operatebeyond the boundary line as defined in46 CFR part 7). Therefore, in addition tothe requirements set forth in thisrulemaking, mariners serving onseagoing towing vessels must meet the

training, certification and watchkeepingrequirements in STCW.

On July 7, 1995, a Conference ofParties to STCW adopted acomprehensive package of Amendmentsto STCW. The amendments will enterinto force on February 1, 1997. Theywill affect virtually all phases of thesystem used in the U.S. to train, test,evaluate, license, certify, and documentmerchant mariners for service onseagoing vessels. On March 26, 1996,the Coast Guard published a notice ofproposed rulemaking in the FederalRegister [CGD 95–062] (61 FR 13284),concerning changes to the U.S. licensingand documentation system to conformto STCW as recently amended.

Discussion of Proposed Rule1. License for master, mate (pilot), or

apprentice mate (steersman) of towingvessels. Licenses for operators ofuninspected towing vessels and second-class operators of uninspected towingvessels would no longer be issued underthis proposed rule. These two licenseswould be replaced with a graduatedseries of masters’ and mates’ licenseslimited to towing vessels in general.Holders of current licenses would begrandfathered into licensescommensurate with their experience.These new licenses would be issued atthe time of routine renewal.

The TSAC Report recommends amove to a series of licenses because ofthe increased requirements for licensingof other kinds since the inception of theOUTV license, along with increasedrequirements for reporting casualtiesand for radar training. With all of theseincreased requirements, and with broadacceptance of practical demonstrationsthat are now embodied in this proposedrule, TSAC concluded that OUTVlicenses should be upgraded to licensesof officers: masters and mates bywhatever names.

Following the TSAC Report, concernwas voiced on the part of many inland-towing companies and inland marinersalike that, through the history of theinland-towing industry, the term ‘‘mate’’has never referred to a licensed officer.The term, in this industry, refers to thechief unlicensed deck person, while theterm ‘‘pilot’’ refers to the licensedperson that operates the vessel. Torecognize and preserve regional featuresof the current inland system and reduceany undue confusion, this proposed rulewould use a synonymous term, ‘‘pilot oftowing vessels’’. The documentidentified by this term would be issuedinstead of another, called ‘‘mate oftowing vessels,’’ for all inland routes.This term in no way implies either thetaking or passing of the first-class

pilotage examination or the associatedlevel of proficiency; it merely reflectsthe historical application of titles in theinland industry. Likewise, the term‘‘apprentice mate’’ would need to befurther clarified by attaching‘‘steersman’’ to it for the same reason.Therefore, this proposed rule would useanother, synonymous term, ‘‘steersmanof towing vessels,’’ for all inland routes.

Nine written comments concurredwith the scheme proposed here, asarticulated by Recommendation (1) ofthe Review. No comments disagreedwith a new licensing structure thatincluded additional levels. Manycomments indicated that the authorityto operate towing vessels should be arestricted authority rather than a lesser-included, low-level authority, coveredby a license for a master of between 200and 1,600 gross tons.

Three active mariners, currentlyworking on the inland routes as OUTVs,felt that the best way to achieve thedesired level of safety would be toeliminate the OUTV license and requirein its place a first-class pilot’s license;three towing-industry managers statedthat a requirement for this licensewould be too restrictive, and suggestedthat a master’s license with a routerestriction could provide the necessaryoperational flexibility for safenavigation. The Coast Guardacknowledges that many towingcompanies operate over large areas andmight be constrained by a requirementthat every master hold a first-classpilot’s license; however, the CoastGuard also recognizes that the highestlevel of a mariner’s geographicalknowledge would be achieved with arequirement for this license. The CoastGuard concludes that the addition of apractical demonstration of skill duringevaluation along with an upgrade tomaster or mate (pilot) of towing vesselswould effectively raise the safety levelof towing without overburdening theindustry or its mariners.

The Coast Guard considered justadding levels to the existing OUTVlicense, for master of OUTV and mate ofOUTV. The TSAC working groupconsidered it, too. But the Coast Guardand TSAC generally agreed that astructure comprising a sequence ofapprentice mate (or steersman), mate (orpilot), and master, and specificallylimited to towing vessels, was moreappropriate for consistency with theU.S. licensing program as a whole.

The Coast Guard supports twoparallel hierarchies of licenses,separated by horsepower, for thefollowing reasons: (1) The two wouldcreate levels of licenses that did notexist with the OUTV license, providing


the less-experienced mariner, whilequalified to stand the watch, thetutelage of a more experienced hand, amaster; (2) the two would serve tosignify the greater authority, andresponsibility, of mariners in charge oftowing vessels, deemed necessarybecause of the ever-increasing size offlotillas moved on the inland routesevery day and proved necessary by theAmtrak casualty; and (3) the two wouldprovide continuity with licenses issuedfor Oceans and Great Lakes.Furthermore, a variation of thehierarchy for 3,000 horsepower or less—limited master, limited mate (pilot), andlimited apprentice mate (steersman)licenses—would also be issued forroutes restricted by the local Officer inCharge, Marine Inspection, instead ofthe current limited OUTV license.

During the development of thispossible change, some questions havearisen regarding the applicability of thetwo-watch system. The authority forissuance of licenses for masters andmates (pilots) of towing vessels wouldcontinue to be 46 U.S.C. 7101 and 8904.The latter statute does not prescribe thetypes of licenses suitable foruninspected towing vessels; it onlystates that a towing vessel must beoperated by an individual licensed bythe Secretary to operate that type ofvessel in the particular geographic area,under prescribed rules. The ChiefCounsel of the Coast Guard has alreadydetermined that any towing vesselunder 200 gross tons, operating at seaunder a license structure createdpursuant to 46 U.S.C. 8904, is permittedto operate under a two-watch system.This issue receives some discussion in46 CFR 15.705(d).

In the past, every operator wasresponsible for the operation of thetowing vessel during his or her watch.However, business practices dictatedthat one operator—the senior one, theOUTV—be designated as the captain,who could be held responsible to thecompany as a traditional master.Nevertheless, the office of the ChiefAdministrative Law Judge reports that,until the Amtrak casualty, the CoastGuard had not processed a case ofsuspension or revocation against theOUTV unless, when a casualtyoccurred, he or she was on watch. TheCoast Guard concludes that the master’sduties, and the overall responsibilityassociated with overseeing the safety ofthe vessel, are indivisible. Because amariner in command of a towing vesselunder 46 U.S.C. 8904 may not work(even voluntarily) for more than 12hours in a consecutive 24-hour periodexcept in an emergency, the CoastGuard invites comments to the docket

on whether this work-hour limit wouldplace any practical difficulty on anindividual who serves as a master ormate (pilot) on a towing vessel.

The new licensing scheme would nolonger treat towing as a lesser-includedactivity allowed by a master’s license.Under the proposed rule, every towingvessel would have to be under thecommand of a mariner licensedspecifically for towing vessels. Anymariner with the proper training andskills, as verified through sea service,examination, and a practicaldemonstration of proficiency, could getappropriate endorsements added to hisor her license.

The proposed rule also introduces anew license: apprentice mate(steersman) of towing vessels. TSACexpressed concern that the currentprogram of licensing technically allowsa mariner who meets sea-timerequirements and passes a written testto take control of a vessel that he or shemay not possess the knowledge,expertise, or experience to operate.TSAC, therefore, strongly endorsed theconcept of an apprentice mate(steersman). The purpose was tovalidate a mariner’s competence beforegiving the mariner the authority tooperate a towing vessel. Otherconsiderations included the need toknow the rules of the road beforeactually steering a towing vessel; thenecessity under STCW to establish aprocedure to document a trainee’sprogress in watchkeeping; and the needto set a time limit for completion of atraining program. The Coast Guardagrees, and proposes a license for an‘‘apprentice mate (steersman) of towingvessels’’.

On inland routes, to reduce confusionand maintain continuity with currentlyused terms, the term ‘‘steersman’’ wouldapply instead of the term ‘‘apprenticemate’’. These two terms would besynonymous, each restricted by routeendorsement.

The prerequisites for the license asapprentice mate (steersman) wouldcomprise sea service; the successfulcompletion of a Coast Guardexamination; a physical exam; a drugtest; and a character evaluation. Evenwith the license, however, the marinerwould be authorized only to train in thewheelhouse under the continuous,direct supervision and observation of amariner licensed as master or mate(pilot) of towing vessels.

This rulemaking and several otherrecent ones have caused concern for theassistance-towing industry. Its vesselsassist disabled vessels for considerationand are licensed under 46 U.S.C.8904(b). Many of its vessels are greater

than 8 meters (about 26 feet) in lengthand are around 500 horsepower.Although this proposed rule would notapply to vessels that engage solely inassistance towing, it would affect thisindustry because many vessels thatengage in assistance towing also engagein commercial towing. The Coast Guardinvites comment on whether this ruleshould apply to assistance-towingvessels of limited size and horsepower.

2. Requirements for renewal oflicenses. One of the recommendationsfrom the Review suggested thatapplicants for renewals of OUTVlicenses be required to demonstratetheir skills on a simulator. The CoastGuard finds merit in requiring ademonstration of proficiency, but forreasons discussed later in this preambleit would not make the use of a simulatormandatory. Instead, this proposed rulewould permit the following: (1)Completion of an approved course usingeither a simulator or a towing vessel todemonstrate operational skillsassociated with towing vessels before adesignated examiner; and (2) check-ridewith a designated examiner.Additionally, this rule would permitmariners to complete a refresher-training course on rules of the road inlieu of an examination.

3. Horsepower as basis of authority.Current rules treat anyone licensed asan OUTV as qualified, with somerestrictions, to operate all uninspectedtowing vessels. When they weredeveloped, in 1969, several commentsrecommended limiting the license bygross tonnage or other suitable criterion.The Coast Guard did not adopt thisrecommendation then, because it wasalready limiting licenses for Oceans andcoastwise routes by a criterion of 200gross tons. It also determined then thatgross tonnage was not an accuratemeasure of the overall capability of atowing vessel to move a tow. Currentrules restrict OUTV licenses by route.Over 20 years later, the Coast Guardmaintains that gross tonnage is not anaccurate measure of the capability of atowing vessel.

The Review recommended limitingthe licenses of master and mate (pilot)of towing vessels by the mostappropriate method, whether towingconfiguration, route, gross tonnage, orhorsepower, Comments responding tothis recommendation chose horsepoweras the best single criterion fordetermining the capability of a towingvessel.

The TSAC Report also identifiedhorsepower as the best criterion forlimiting licenses. This Reportrecommends 3,000 horsepower as abreak point for issuing licenses: Master


or mate (pilot) of towing vessels 3,000horsepower or less, and master or mate(pilot) of towing vessels of unlimitedhorsepower. TSAC concluded that onlytows of a certain size can be put onvessels of lower horsepower. Differingopinions arose among the full advisorycommittee following its working group’srecommendation. Some held 3,000horsepower too high, some too low;while others felt that two break pointswere necessary. Nevertheless, the vastmajority agreed that it was appropriateto limit licenses by horsepower.However, vessels operating beyond theboundary line would still need anSTCW endorsement with tonnage ofvessel, even though the license wasbased on horsepower. One commentnoted that the average raft of bargesbound down the Lower MississippiRiver comprises 35 loaded barges andcontains over 50,000 tons of cargo, andthat the average of these tows is 245 feetwide and 1,200 feet long with a draft of9 to 11 feet. This is longer and widerthan any ship that sails the open sea—and a raft of barges bound up the rivercan be half again as long. While there isno precise correlation betweenhorsepower and the number of bargestowed, the Coast Guard recognizes thedifferent skills, knowledge, andresponsibility required to maneuver thelarger vessels and more numerousbarges when compared to the smallervessels and less numerous barges. It hasdetermined that a correspondingdistinction is necessary in the licensingstructure.

The Coast Guard agrees thathorsepower is the best single criterionfor limiting licenses. It further agreesthat a single break point, at 3,000horsepower, would effectivelydistinguish between the considerableskills, knowledge, and responsibilitynecessary to control typical tows andthe extraordinary ones necessary tocontrol gargantuan tows.

The Coast Guard also recognizes theimpact of choosing any particular levelof horsepower for the break point. Manycompanies operate numerous towingvessels, of varying levels. Therefore, thechoice of a level may divide marinerswithin a company. Within thedocumented towing fleet recorded inthe Coast Guard’s Marine SafetyInformation System (MSIS), about 20percent of towing vessels are of 3,000horsepower or greater. Therefore, thechoice of this level would require onlyabout 20 percent of affected mariners tohold the endorsement for unlimitedhorsepower on their licenses.

Following the TSAC Report,representatives of the harbor-towingindustry expressed concern. Because of

the specific nature of their operations,and relatively small range in thehorsepower of their vessels, theyworried that the disruption ofoperations due to a limitation oflicenses by horsepower would outweighthe gains in safety. The primaryreasoning was that most of their vesselsare plus or minus 1,500 horsepowerfrom the 3,000 horsepower; and that,therefore, no vastly different skills arenecessary. The Coast Guard invitescomment on whether a special harborendorsement, free of limitation byhorsepower, is appropriate.

4. Routes. Under this proposed rule,towing vessel licenses would be issuedon the following routes:

a. Oceans.b. Near-coastal routes.c. Great Lakes and inland routes.d. Rivers.e. Western rivers.f. Restricted local area designated by

the Officer in Charge, Marine Inspection(OCMI).

The license of a master or mate (pilot)of towing vessels endorsed for Oceanswould authorize service on Near-coastalroutes, Great Lakes and inland routes,and Rivers upon 30 days of observationand training on each subordinate route.That of a master or mate (pilot) oftowing vessels endorsed for Near-coastalroutes would authorize service on GreatLakes and inland routes and Riversupon 30 days of observation andtraining on each subordinate route.

On the Western rivers, the method oftowing, the aids to navigation, theoperating methods, and the operatingenvironment are unique. Qualificationas a master or mate (pilot) of towingvessels even endorsed for Oceans, Near-coastal routes, Great Lakes and inlandroutes, and Rivers would not authorizeoperation on Western rivers. For thisendorsement, 90 days of operation andtraining on a Western Rivers routewould be required.

For a route endorsement not includedin his or her current endorsements, anapplicant would have to pass an examfor the route and serve in the next lowergrade for 90 days. After the 90 days ofexperience on the applied-for route, thelower-trade restriction would beremoved. For example, an individualholding a license as master of towingvessels endorsed for rivers, applying forone as master of towing vesselsendorsed for a near-coastal route wouldhave to pass an exam for this route andsubmit evidence of 90 days ofexperience as a mate on this route.Upon completion of the required seaservice, the applicant would have his orher license endorsed for this route.

Specific comments regarding changes toroute endorsements are requested.

5. Demonstration of proficiency. Withthe exception of radar-observer trainingand flashing-light communications, theCoast Guard uses the traditionalknowledge-based examination. Whilethis examination is a reliable, effectivetool to evaluate a mariner’s skills innavigation techniques, vesselmanagement, safety precautions,stability calculations, hazardous-materials regulation, engineering theory,and similar subjects, it does not assessa mariner’s actual proficiency in vesselmaneuvering and safe navigation. Thisproposed rule would require a practicaldemonstration of proficiency for amariner to obtain an original license asmate (pilot) of towing vessels. The CoastGuard concludes that a performance-based assessment would provide a truermeasure of a mariner’s skills.

When establishing a performance-based assessment, one must keep twothings in mind: First, the diversity of thetowing industry; second, the methodsnecessary to evaluate a mariner’s skills.

The towing industry covers a lot ofground, in several senses. Fleeting tugs,ocean towers, harbor tugs, assistancetowers, and line haulers all differ fromone another in their displacements andpower. Likewise, they differ from oneanother in their grades—from oceanicand coastwise trade, where a tug towsa small number of barges astern on ahawser, to trade on the rivers includingthe Western rivers, where a tug pushesa large number of barges ahead.

The Coast Guard also recognizes thatvarious, specialized vessel-handlingskills are necessary to maneuver varioustows and that these are as important toevaluate as the traditional knowledge-based examination is to administer. It isfor these reasons the Coast Guard isproposing a practical demonstration ofproficiency.

To assess a mariner’s practical skills,the Coast Guard introduces the conceptof a designated examiner: A towing-vessel expert who will provideverification of an apprentice mate’s(steersman’s) proficiency in vessel-handling and related safety issues.

To help designated examiners in theirduty, all apprentice mates (steersmen)would have to keep training- andassessment-record books. These bookswould specify the training required toreach the necessary standard ofcompetence for a license as mate (pilot)of towing vessels. A training- andassessment-record book must providecertain basic information including anindication, by means of the initials orsignature of a clearly identified,designated examiner, that the candidate


has established, through practicaldemonstrations, that he or she iscompetent in each of the subjects ofknowledge, understanding, andproficiency. Mariners desiring towing-vessel endorsements on their masters’ ormates’ licenses would also have tocomplete these books.

Again, given the diversity in thetowing industry, the training- andassessment-record book would have tobe a flexible tool. While this preamblementions a model training- andassessment-record book, towingcompanies would be free to conformtheir books to the contours of theirvessels’ operations. In all cases, thecompanies’ variants would have tosatisfy, for the applicable routes, theminimum standards provided in themodel. The books would be freestandingdocuments and, ultimately, theresponsibility of the individual marinersto maintain. After review of them, thedesignated examiners would conductfinal assessments of specific skills.

Three of the recommendations in theReview suggested that simulatorsshould become a mandatory method ofassessing an individual’s competence,for an original license, a renewal oflicense, and a change in scope oflicense. Four comments, three of whosewriters hailed from the oceanic andcoastal towing industry, agreed thatsimulators should become a mandatorymethod. Fourteen comments, in dissentfrom these recommendations andcomments, opposed simulators’becoming a mandatory method fortowing vessels. Primary argumentsincluded the limited application ofsimulators for shallow-draft, close-quarters maneuvering; their lack ofavailability; and their costs as an unduehardship. (All of these comments,however, agreed that some form ofpractical demonstration of proficiencywould be beneficial in assessingmariners’ competence.) MERPACsimilarly concluded that simulatorswere not a feasible method ofassessment to require at this time.

The TSAC Report recommends thatthe Coast Guard continue to research theapplication of simulators. TSACrecognizes that simulators are excellenttools and offer the possibility ofpractical demonstrations of proficiencyonce the problems of performancestandards, availability, and cost areresolved.

While the Coast Guard sees greatmerit in the use of simulators, itacknowledges the same three problems.Accordingly, this proposed rule wouldmake the use of simulators, in theassessment of competence, optional.

This proposed rule would allow threealternative methods for assessment of amariner’s practical skill. The alternativemethods are (1) Completion of anapproved training course withassessment by simulator; (2) completionof an approved training course withassessment by check-ride on a towingvessel, which may be part of acompany’s training program; and (3)assessment by check-ride on a towingvessel, with a designated examiner. Anelement common to all would be themariner’s having to complete a training-and assessment-record book thatincludes a demonstration of proficiencybefore a designated examiner.

6. Training. Licensing 2000recommended increased emphasis onapproved courses, and other, moreformalized methods of training, ratherthan ‘‘seatime,’’ as the principalguarantor of competency. Both MERPACand TSAC have endorsed thisrecommendation. The TSAC Reportrecommends that every applicant for thelicense as mate (pilot) of towing vesselscomplete an approved training programthat covers (a) Classroom instruction inshipboard management, seamanship,navigation, radar, meteorology,maneuvering and handling vessels,engine basics, preventing and fightingfires, emergency procedures, andlifesaving and environmentalregulations; and (b) demonstration ofproficiency on board a towing vessel.

The Coast Guard concurs with therecommendation of the TSAC Reportand has included in this proposed rulea provision for a training course. Thiswould involve classroom instructionand practical demonstration ofproficiency either on board a towingvessel or at a shoreside training facility(i.e., on a simulator). Many towingcompanies currently have in placemodel training programs that employpractical, ‘‘hands-on’’ assessment ofcompetence and classroom training.These programs have proved highlyeffective and are in keeping with currentinternational and domestic initiativesthat encourage mariners to completeeither training programs or courses.Nevertheless, to be consistent withrequirements for other masters’ andmates’ licenses, this rule would notmake completion of an approved coursemandatory. Instead, under this rule amariner could complete an approvedtraining course or demonstrate his orher skills before a designated examinerto satisfy the requirement for practicaldemonstration of skills for the license asmate (pilot) of towing vessels. The CoastGuard invites comment on whether (a)this training should be made mandatoryfor all applicants; (b) the training should

be completed at the level of apprenticemate (steersman) since mariners mustpass the examination at that level andsince this training may also helpprepare them for the examination; and(c) applicants should receive creditequivalent to sea service for completingthe training and, if so, how much.

7. Examination. The writtenexamination previously required for thelicense as OUTV would continue to beavailable for that as apprentice mate(steersman): Its topics, outlined in Table10.910–2, appear sufficient for that asapprentice mate (steersman), withoutsubstantial changes.

However, an examination or somerefresher training on rules of the roadwould be necessary for every renewal ofa license. TSAC endorsed this concept,agreeing that refresher training on rulesof the road might prevent somecasualties and help improve the overallproficiency of mariners in charge of allvessels. Specific comment is requestedon how this proposed rule can betterdefine examination and refreshertraining on rules of the road.

8. Designated examiner. As defined inthis proposed rule, a designatedexaminer is an individual trained orinstructed in assessment techniques andotherwise qualified to evaluate whethera candidate for a license, document, orendorsement has achieved the level ofcompetency necessary to hold thelicense, document, or endorsement.This individual may be personallydesignated by the Coast Guard, or bedesignated within the context of anapproved program of training orassessment approved by the CoastGuard.

The Coast Guard is working withMERPAC and TSAC to identify criteriafor certifying designated examiners. TheMERPAC working groups engaged inthese efforts have settled on a conceptunder which the Coast Guard wouldindividually certify designatedexaminers who meet the followingcriteria: ‘‘(a) have attained a level ofqualification at least equivalent to thequalifications for which the assessmentis being conducted; (b) have at least 2years of operational experience in acapacity corresponding to the level ofqualification concerned; and (c)understand and implement assessmenttechniques and evaluation processesestablished by the U.S. Coast Guard.’’Meanwhile, TSAC proposed similarcriteria, but recommended specifictraining in assessment techniques andevaluation processes and either onewritten recommendation from a towingcompany attesting the applicant’squalification to serve as designatedexaminer or three letters of


recommendation from masters of towingvessels.

The Coast Guard invites commentconcerning (a) its involvement inindividually certifying designatedexaminers and (b) the specificassessment and instruction trainingtechniques necessary for those whoassess candidates for towing vessellicenses or endorsements.

9. Approved training other thanapproved courses. The Coast Guard isincluding in this proposed rule and inthat in CGD 95–062 (61 FR 13284;March 26, 1996), on STCW, analternative to its current course-approval system. Proposed new § 10.309rests on the principle of self-certification with minimal Coast Guardoversight based on acceptance by theCoast Guard of certain materials andprocedures to maintain standards. Inother words, completion certificatesissued by training programs that meetthe conditions stated in that sectioncould be accepted as proof of passage ofthe ‘‘approved training course.’’

This could be done by a process likethat used to credit ‘‘approved seagoingservice’’ after the fact, on sufficientdocumentary proof. If the Coast Guardlearned that the conditions set out innew § 10.309 were not being met by aparticular training program, it wouldnot accept certificates of completion ofthe program as proof of completion ofthe necessary training itself. Theconditions for conducting approvedtraining other than approved courses areset out in new § 10.309.

The Coast Guard welcomes commenton this alternative approach,particularly with respect to its owninvolvement in overseeing andmaintaining standards through a Coast-Guard-acceptance procedure.

10. Responsibility of towing vesselowners and operators. One of therecommendations in the Review statedthat the Coast Guard should emphasizethe responsibility of towing-vesselowners to employ only qualified,experienced personnel as operators incharge or masters of their vessels. Fivecomments agreed with this, and noneopposed it.

The Coast Guard concludes thattowing companies have taken on thisresponsibility in the past, given thefront-end qualifications for licensing.Many companies have alreadydemonstrated their commitment tosafety by training and evaluating theiremployees. Under this proposed rule,they would share greater responsibilityfor mariners’ training and qualificationsby establishing approved trainingcourses, by recommending designatedexaminers, and in overseeing the

completion of mariners’ training- andassessment-record books. This increasein responsibility also is consistent withLicensing 2000 and with the TSACReport, both of which urge increasedresponsibility, and accountability, bycompanies for the competence andquality of mariners.

Summary of Proposed Changes

45 CFR Part 10—Licensing of MaritimePersonnel

1. In general, throughout this part theterms ‘‘operator of uninspected towingvessels’’ and ‘‘second-class operators ofuninspected towing vessels’’ would bereplaced by ‘‘master of towing vessels’’and ‘‘mate (pilot) of towing vessels’’.Furthermore, a license and title of‘‘apprentice mate (steersman ’’ would beadded as the first step toward a licenseas master or mate (pilot) of towingvessels.

2. The authority citation for part 10would be revised by adding 14 U.S.C.633 and 46 U.S.C. 2110, 7109, 7302,7505, and 7701.

3. Section 10.103 would be revised byadding definitions of the following:apprentice mate (steerman) of towingvessels; approved training; Coast-Guard-accepted; designated examiner; pilot oftowing vessels; practical demonstration;qualified instructor; standard ofcompetence; and steersman of towingvessels.

4. Section 10.201(f)(2) would berevised by requiring that an apprenticemate (steersman) of towing vessels be atleast 18 years of old.

5. Section 10.209(c)(6) would beadded and would require each applicantfor renewal of a license as master ormate (pilot) of towing vessels to submitsatisfactory evidence both of practicaldemonstration of skills before adesignated examiner or completion ofan approved course and of rules-of-the-road examination or refresher training.

6. Section 10.304(e) would be addedto require the completion of a training-and assessment-record book, for alicense as mate (pilot) of towing vessels.

7. Section 10.309 would be added toprovide an alternative to the course-approval system in § 10.302. Thetraining would have to be set out in aCoast-Guard-accepted written syllabusshowing the subjects covered, theclassroom time required, and thequalifications of the instructors.Simulators could be used in thistraining if they met applicableperformance standards and were usedby an instructor with appropriateguidance in instructional techniquesinvolving their use.

8. In § 10.403, Figure 10.403 would berevised by adding the proposed

hierarchy of licenses for towing vesselsunder 200 gross tons.

9. Sections 10.412(a), 10.414(a), and10.420 would be revised by removingthe words ‘‘operator of uninspectedtowing vessels,’’.

10. Section 10.418(b) would berevised to require 1 year of service asmaster or mate (pilot) of towing vesselson Oceans or Near-coastal routes to beeligible for a license as master of Oceanor Near-coastal steam or motor vesselsof not more than 500 gross tons.

11. Section 10.446(b) would berevised by increasing the servicerequirement to be eligible for a licenseas master of Great Lakes and inlandsteam or motor vessels of not more than500 gross tons from 6 months to 1 yearof service as master of towing vessels.

12. Section 10.463 would be added toexplain (a) the hierarchy of licenses formasters and mates (pilots) of towingvessels and (b) route endorsements. TheCoast Guard proposes issuing licensesas master and mate (pilot) of towingvessels in two categories: unlimitedhorsepower and 3,000 horsepower orless. Towing vessel licenses are, andwill continue to be, endorsed for Oceansand Near-coastal routes by the grosstonnage of the towing vessels on whichthe experience was acquired. Otherroute endorsements without limits ofgross tonnage are, and will continue tobe, Great Lakes and inland routes,Rivers, Western rivers, and Restrictedlocal areas designated by Officers inCharge, Marine Inspection.

13. Section 10.464 would be revisedto explain the proposed requirementsfor masters of towing vessels, includingtraining and service. For a license asmaster of towing vessels, regardless ofhorsepower, the requirement wouldnormally be 4 years of total service.

Section 10.464 would also explainrequirements for a master of self-propelled vessels of greater than 200gross tons to get a towing-vesselendorsement: pass a writtenexamination on towing; obtain 30 daysof training and observation on towingvessels on the route for which theendorsement is requested (thisendorsement would be restricted to thehorsepower of the service presented);complete a Coast-Guard-acceptedtraining- and assessment-record book;and present satisfactory evidence ofsuccessful completion of a practicaldemonstration before a designatedexaminer.

14. Section 10.465 would be added toexplain the proposed requirements formates (pilots) of towing vessels,including required training and service.For a license as mate (pilot) of towingvessels, regardless of horsepower, the


requirement would normally be 30months of total service. This sectionwould also describe proposedrequirements for completion of atraining- and assessment-record bookand for a practical demonstration ofproficiency before a designatedexaminer.

Section 10.465 would also explainrequirements for a mate of self-propelled vessels of greater than 200gross tons to get a towing-vesselendorsement: pass a writtenexamination on towing; obtain 30 daysof training and observation on towingvessels on the route for which theendorsement is requested (thisendorsement would be restricted to thehorsepower of the service presented);complete a Coast-Guard-acceptedtraining- and assessment-record book;and present satisfactory evidence ofsuccessful completion of a practicaldemonstration before a designatedexaminer.

15. Section 10.466 would beredesignated as § 10.467, and a new§ 10.466 would be added to explain therequirements for apprentice mate(steersman) of towing vessels includingthe following: he or she would have toprove 18 months of service on deck, 12months of this on towing vessels; and heor she would have to pass anexamination.

16. For an added endorsement ofroute on any of these licenses, anapplicant holding any of these licenseswould have to prove 3 months ofexperience on towing vessels, in thenext lower grade, on the routerequested.

17. Section 10.482(a) would berevised to explain the requirements toqualify for an endorsement authorizingan applicant to engage in assistancetowing. The endorsement would applyto all licenses except those for masterand mate (pilot) of towing vessels andthose authorizing service on inspectedvessels over 200 gross tons. Holders ofany of these licenses could engage inassistance towing within the scope ofthe licenses and without theendorsement.

18. In § 10.903, paragraphs (a)(18) and(b)(4) would be revised to show that thelicenses for apprentice mate (steersman)of towing vessels would requireexaminations and that the licenses formaster or mate (pilot) of towing vessels(endorsed for the same route) wouldnot.

46 CFR Part 15—Manning Requirements19. The authority citation for part 15

would be revised to add 46 U.S.C. 2103,8101, 8502, 8901, 8902, 8903, 8904, and9102 and 50 U.S.C. 198.

20. Section 15.301(b)(6) would beremoved because the terms master andmate (pilot) appear in paragraphs (1)and (2).

21. Section 15.610 would be revisedby requiring every towing vessel at least8 meters (about 26 feet) in length to beunder the direction and control of aperson licensed as master or mate (pilot)of towing vessels or as master or mateof appropriate gross tonnage holding anendorsement of his or her license fortowing vessels.

22. Section 15.805(a)(5) would beadded to require that every towingvessel of 8 meters (about 26 feet) ormore in length must be under thecommand of an individual holding anappropriate license as master.

23. In § 15.810, a new paragraph (d)would require that the person in chargeof the navigation or maneuvering of atowing vessel of 8 meters (about 26 feet)or more in length shall hold either alicense authorizing service as mate(pilot) of towing vessels—or, on inlandroutes; as pilot of towing vessels—or alicense as master of appropriate grosstonnage endorsed for towing vessels.

24. Section 15.910(a) would berevised to require that ‘‘No person mayserve as master or mate (pilot) of anytowing vessel of 8 meters (about 26 feet)or more in length unless he or she holdsa license explicitly authorizing suchservice.’’

Regulatory EvaluationThis proposal is not a significant

regulatory action under section 3(f) ofExecutive Order 12866 and does notrequire an assessment of potential costsand benefits under section 6(a)(3) of thatOrder. It has not been reviewed by theOffice of Management and Budget underthat Order. It is not significant under theregulatory policies and procedures ofthe Department of Transportation (DOT)(44 FR 11040; February 26, 1979). TheCoast Guard expects the economicimpact of this proposal to be so minimalthat a full Regulatory Evaluation underparagraph 10e of the regulatory policiesand procedures of DOT is unnecessary.

Benefits: The report directed by theSecretary of Transportation, Review ofMarine Safety Issues Related toUninspected Towing Vessels, directlyattributed 7,664 vessel casualties,including that involving the MORRIS J.BERMAN, to personnel error. The CoastGuard affirms that, of that 60 percent oftowing-vessel casualties, the dominantcategories of human error weremanagement, operator status,knowledge, and decision-making, whichare all relevant to this proposal.

The training required by this proposalhas the potential to significantly

decrease the number of fatalities andinjuries in the towing industry. If thisproposal causes a reduction in thenumber of fatalities by 37 in 1997, 29 in1998, 23 in 1999, 13 in 2000, 10 in 2001,and 8 in 2002, the benefits will exceedthe costs. The complex cumulativeeffect of human error makes it difficultto quantify the exact benefits of theproposal. One way to reduce the risksassociated with human error inoperating towing vessels is to ensurethat mariners maintain the highestpracticable standards of training,certification, and competence. Theproposal is intended to accrue benefitsfrom a reduction of towing vesselaccidents and injuries through anincreased awareness of safe towingpractices.

Costs: There are about 5,400documented towing vessels in theUnited States. The impact on the peoplenow operating these vessels would below because holders of current licenseswould be grandfathered into licensescommensurate with their experience.Because these new licenses would beissued at the time of routine renewal,there would be no new users’ fees forthem. This proposed rule, however,would result in increased fees for newentrants into the industry. They wouldnow have to obtain several intermediatelicenses to reach the license with thebroadest operating authority, paying aseparate fee for each license. As ofDecember 1, 1993, there were 12,019licensed OUTVs. From 1989 to 1993, anaverage of 473 new licenses as OUTVswere issued annually, and an average1,931 licenses as OUTVs were renewedannually.

The probable costs in user’s fees foran entrant into the towing industry areas follows:

1. The license for an apprenticewould be issued at the current user’sfees for a license as an OUTV. Thesefees are as follows:Evaluation fee .............................. $65.00Examination fee ........................... 80.00Issuance fee .................................. 35.00

Total ................................... 180.00

Note: Because these fees are part of thecurrent user’s fees, none would represent‘‘new money’’.

2. Now, the holder of a license as anOUTV pays these fees once and pays noothers. If the hierarchy of licenses asmasters or mates (pilot) of towingvessels were adopted, the marinerwould pay evaluation and issuance feesfor each successive license. These feesare as follows:


License Fee (evaluation and issuance) .............................................................................................................................................. $100.00Multiplied by the additional levels of licensing .............................................................................................................................. ×2

Total added cost for each licensed master ................................................................................................................................. $200.00New licenses issued each year .......................................................................................................................................................... 473Towing-vessel endorsements on other licenses (estimated) ............................................................................................................ +47

Total mariners affected each year .............................................................................................................................................. 520Total added costs for each licensed master ............................................................................................................................... $200.00Multiplied by the total masters affected each year ................................................................................................................... ×520

Maximum additional cost for new applicants ........................................................................................................................... $104,000.00

Note: These costs would be incurred overa minimum of 31⁄2 years.

The actual figure should be far lessthan this maximum additional costbecause not all masters and mates(pilots) would rise through all levels.Further, the issuance of new licensesmay supersede renewal fees.

The Coast Guard would not increasethe user’s fee for its evaluation of amariner’s demonstrations of proficiency.

It would, however, incur and pass alongcosts for demonstrations of proficiency.It expects that these costs would beshared by the mariner and the employer.

There are three, alternative methodsof demonstrating proficiency; they andtheir costs appear as follows:

(1) Completion of an approvedtraining course using a simulator todemonstrate proficiency. Around 5percent of the towing industry currently

uses simulators to test proficiency. TheCoast Guard estimates that an additional5 percent might elect this method as aresult of this rulemaking. The latternumber might grow as simulatorsbecome more readily available. Thefollowing calculations represent theestimated prevalence of the use ofsimulators to demonstrate proficiencyand the estimated costs of that use:

PREVALENCE OF SIMULATORS TO DEMONSTRATE PROFICIENCY

New licenses issued each year .......................................................................................................................................................... 520Multiplied by the percentage of new applicants using simulators ................................................................................................. (5%)×.05

New licenses based on simulator proficiency ........................................................................................................................... 26COST OF USE OF SIMULATOR TO DEMONSTRATE PROFICIENCY

Estimated cost of one-week simulator course ................................................................................................................................... $5,000.00Multiplied by the number of students .............................................................................................................................................. ×26

Total costs each year ................................................................................................................................................................... $130,000.00

(2) Completion of an approvedtraining course using a towing vessel todemonstrate proficiency. The CoastGuard estimates that 65 percent, or 338of the 520 mariners who obtain towinglicenses annually, would use thisoption. An estimated 70 percent of

towing companies already have formaltraining courses available for their deckofficers. With this in mind, the CoastGuard estimates that 70 percent of the338 mariners, or 237 mariners, would betrained by company programs already inplace. Therefore, approximately 101

mariners would attend a course offeredby a maritime training facility notassociated with a company. The newcosts associated with this option wouldbe paid by the mariner if he or she didnot have access to a towing company’sin-house course.

ESTIMATED NUMBERS USING COMPLETION OF A TRAINING COURSE TO DEMONSTRATE PROFICIENCY

New licenses issued each year .............................................................................................................................................................. 520Minus those based on using simulators (and check-rides, below) ...................................................................................................... ¥182New licenses based on using training course ....................................................................................................................................... 338Multiplied by percentage of individuals not covered by company training programs ...................................................................... (30%)×.30New licenses based on training courses excluding existing company programs ............................................................................... 101

ESTIMATED TOTAL ANNUAL COST OF NEW TRAINING COURSES

Cost for each new applicant .................................................................................................................................................................. $5,000Multiplied by number of students ......................................................................................................................................................... ×101

Total costs each year ................................................................................................................................................................... $505,000

(3) Check-ride with a designatedexaminer. A survey by TSAC suggeststhat about 30 percent of towing

companies would use this method.These costs, including hiring adesignated examiner for a final check-

ride, would most likely be shared by themariner and the employer:

ESTIMATED NUMBERS USING CHECK-RIDES TO DEMONSTRATE PROFICIENCY

New licenses issued each year .......................................................................................................................................................... 520Multiplied by the percent of new applicants using check-rides ..................................................................................................... (30%)×.30New licenses based on using check-rides ......................................................................................................................................... 156

ESTIMATED COSTS OF USING CHECK-RIDES

Wage of towing operator (for 12-hour day) ....................................................................................................................................... $350.00Wage of same operator (for 1 hour) ................................................................................................................................................... $30.00Multiplied by duration of check-ride (in hours) .............................................................................................................................. ×5Cost for each check-ride ..................................................................................................................................................................... $150.00


ESTIMATED TOTAL ANNUAL COSTS OF USING CHECK-RIDES

Cost for each check-ride ..................................................................................................................................................................... $150.00Multipled by the number of new licenses based on using check-rides .......................................................................................... ×156

Total cost each year ................................................................................................................................................................. $23,400.00

Estimated numbers of operatorsapplying for endorsement as designatedexaminer.

A common cost included in all threemethods of demonstrating proficiency is

the cost of training the designatedexaminer in assessment technique.

The Coast Guard estimates that 5percent of the current operators oftowing vessels would apply for the

endorsement as designated examiner.The following calculations demonstrateestimated costs of training designatedexaminers in examination techniques:

COST OF OPERATORS APPLYING FOR ENDORSEMENT AS DESIGNATED EXAMINER

Total number of operators of towing vessels as of April 1996 ............................................................................................................ 12,895Multiplied by the percentage of operators applying for endorsement as designated examiner ........................................................ (5%)×.05Total number of designated examiners 645Cost of training in examination techniques .......................................................................................................................................... ×$250

Total cost of training designated examiners .............................................................................................................................. $161,250

Estimated cost of refresher training onrules of the road for renewal of license.

The costs assume that all licensedmasters and mates complete refreshertraining on rules of the road, instead of

Coast Guard examination, for renewal oftheir license.

Total number of operators of towing vessels as of April 1996 ............................................................................................................ 12,895Divided by number of years in cycle of renewal .................................................................................................................................. ÷5Number of renewals each year .............................................................................................................................................................. 2,579Multiplied by the estimated cost of refresher training ......................................................................................................................... ×$150

Total annual cost of refresher training ....................................................................................................................................... $386,850ESTIMATED ANNUAL COSTS OF THIS RULEMAKING ARE AS FOLLOWS:

Users’ fees ............................................................................................................................................................................................... $104,000Approved training course using a simulator ........................................................................................................................................ 130,000Approved training course using a towing vessel .................................................................................................................................. 505,00Check-rides with designated examiner ................................................................................................................................................. 23,400Designated examiners’ training .............................................................................................................................................................. 161,250Refresher training ................................................................................................................................................................................... 386,850

Annual new costs for rulemaking ............................................................................................................................................... 1,310,500

Small Entities

Under the Regulatory Flexibility Act(5 U.S.C. 601 et seq.), the Coast Guardmust consider whether this proposedrule, if adopted, would have asignificant economic impact on asubstantial number of small entities.‘‘Small entities’’ may include (1) smallbusinesses and not-for-profitorganizations that are independentlyowned and operated and are notdominant in their fields and (2)governmental jurisdictions withpopulations of less than 50,000.

This proposed rule would place itsprimary economic burden on themariners, not on their employers—whomay, though they need not, assumeresponsibility for this burden. The CoastGuard expects that, of the employerswho would assume this responsibility,few if any would be small entities.Therefore, the Coast Guard certifiesunder 5 U.S.C. 605(b) that this rule, ifadopted, would not have a significanteconomic impact on a substantialnumber of small entities. If, however,you think that your business or

organization qualifies as a small entityand that this rule would have asignificant economic impact on yourbusiness or organization, please submita comment (see ‘‘ADDRESSES’’)explaining why it qualifies and in whatway and to what degree this proposedrule would economically affect it.

Collection of Information

Under the Paperwork Reduction Act(44 U.S.C. 3501 et seq.), the Office ofManagement and Budget (OMB) reviewseach proposed rule that contains acollection-of-information requirement todetermine whether the practical value ofthe information is worth the burdenimposed by its collection. Collection-of-information requirements comprisereporting, recordkeeping, notification,and other, similar requirements.

This proposed rule containscollection-of-information requirementsin §§ 10.304, 10.309, 10.463, 10.464, and10.465. The following particulars apply:

DOT No.: 2115.OMB Control No.: 2115 AF23.Administration: U.S. Coast Guard.

Title: Licensing and Manning forOfficers of Towing Vessels.

Need For Information: This proposedrule would require every mariner whoseeks an original license as mate (pilot)of towing vessels or an endorsement fortowing vessels to have a training- andassessment-record book. It may alsorequire a report on a final check-ridebefore a designated examiner. Theserecordkeeping requirements are largelyconsistent with good commercialpractices to the end of good seamanshipfor safe navigation. The following is asection-by-section justification of them:

Proposed § 10.304(e) would requireeach applicant for a license as mate(pilot) of towing vessels, and eachmaster or mate of self-propelled vesselsof greater than 200 gross tons seeking anendorsement for towing vessels, tocomplete a training- and assessment-record book.

Proposed §§ 10.309 (a)(10) and (b)would, respectively, require thosemonitoring the training under thissection to communicate theirconclusions to the Coast Guard within1 month of the completion of the


monitoring and require those providingthe training to submit a certificate to theCoast Guard once a year.

Proposed § 10.463(h) would require acompany to maintain evidence thatevery vessel it operates is under thedirection and control of a licensedmariner with appropriate experience,including 30 days of observation andtraining on the intended route. Thiscould be accomplished with copies ofcurrent licenses and voyage records thatmost companies already keep.

Proposed § 10.464(d)(2) would requiremasters of vessels of greater than 200 GTto maintain training- and assessment-record books for license endorsementsas master of towing vessels. Collectionof this information is necessary toensure that the mariner has completedthe series of qualification for licensing.

Proposed § 10.465(d)(2) would requiremates of vessels of greater than 200 GTto maintain a training- and assessment-record books for license endorsementsas mate (pilot) of towing vessels.Collection of this information isnecessary to ensure that the mariner hascompleted the series of qualification forlicensing.

Proposed §§ 10.465(a)(2), (b)(2), (c)(2)and (d)(2) would require a final check-ride before a designated examiner. Theywould then require the applicant tosubmit his or her completed training-and assessment-record book to the CoastGuard Regional Examination Center.Collection of this information isnecessary because it would raise thesafety of towing by upgrading theevaluation process.

Proposed use of Information: Thisinformation would warrant the marinerqualified to hold a license for theservice in which he or she wouldengage.

Frequency of Response: Evidence ofqualification for an original license asmate (pilot) of towing vessels underproposed § 10.465 would accumulateperiodically during an 18-month period.Final check-ride before a designatedexaminer under proposed§§ 10.465(a)(2), (b)(2), (c)(2), and (d)(2)would entail a one-time record after themariner’s training- and assessment-record book had been completed.

Burden Estimate: 1,590 hours.Respondents: 1,060 mariners of

towing vessels.Average Burden Hours Per

Respondent: 1.5 hours.The Coast Guard has submitted the

requirements to OMB for review undersection 3507 of the PaperworkReduction Act. Persons submittingcomments on the requirements shouldsubmit their comments both to OMB

and to the Coast Guard where indicatedunder ADDRESSES.

FederalismThe Coast Guard has analyzed this

proposal under the principles andcriteria contained in Executive Order12612 and has determined that thisproposal does not have sufficientfederalism implications to warrant thepreparation of a Federalism Assessment.

EnvironmentThe Coast Guard considered the

environmental impact of this proposaland concluded that, under paragraph2.B.2 of Commandant InstructionM16475.1B, this proposal iscategorically excluded from furtherenvironmental documentation. The ruleis a matter of ‘‘training, qualifying,licensing, and disciplining of maritimepersonnel’’ within the meaning ofsubparagraph 2.B.2.e.(34)(c) ofCommandant Instruction M16475.1Bthat clearly has no environmentalimpact. A ‘‘Categorical ExclusionDetermination’’ is available in thedocket for inspection or copying whereindicated under ADDRESSES.

List of Subjects

46 CFR Part 10Reporting and recordkeeping

requirements, Schools, Seamen.

46 CFR Part 15Reporting and recordkeeping

requirements, Seamen, Vessels.For the reasons set out in the

preamble, the Coast Guard proposes toamend 46 CFR parts 10 and 15 asfollows:

PART 10—LICENSING OF MARITIMEPERSONNEL

1. Revise the authority citation forpart 10 to read as follows:

Authority: 14 U.S.C. 633; 31 U.S.C. 9701;46 U.S.C. 2101, 2103, 2110, 7101, 7106, 7107,7109, 7302, 7505, 7701; 49 CFR 1.45 and1.46. Section 10.107 is also issued under theauthority of 44 U.S.C. 3507.

2. To § 10.103, add definitions, inalphabetical order, to read as follows:

§ 10.103 Definitions of terms used in thispart.

Apprentice mate (steersman) oftowing vessels means a marinerqualified to perform watchkeeping onthe bridge while in training under thedirect supervision of a licensed master,mate, or pilot of towing vessels.

Approved training means training thatis approved by the Coast Guard or meetsthe requirements of § 10.309.* * * * *

Coast-Guard-accepted means that theCoast Guard has acknowledged inwriting that the material or process atissue meets the applicable requirements;that the Coast Guard has issued anofficial policy statement listing ordescribing the material or process asmeeting the applicable requirements; orthat an entity acting on behalf of theCoast Guard under a Memorandum ofAgreement has determined that thematerial or process meets the applicablerequirements.* * * * *

Designated Examiner means anindividual who has been trained orinstructed in techniques of training orassessment and is otherwise qualified toevaluate whether a candidate for alicense, document, or endorsement hasachieved the level of competencerequired to hold the license, document,or endorsement. This individual may bedesignated by the Coast Guard or by aCoast-Guard-approved program oftraining or assessment.* * * * *

Pilot of towing vessels means aqualified officer of towing vesselsoperating exclusively on inland routes.

Practical demonstration means theperformance of an activity under thedirect observation of a designatedexaminer for the purpose of establishingthat the performer is sufficientlyproficient in a practical skill to meet aspecified standard of competence orother objective criterion.

Qualified instructor means anindividual who has been trained orinstructed in instructional techniquesand is otherwise qualified to providerequired training to candidates forlicenses, documents, and endorsements.* * * * *

Standard of competence means thelevel of proficiency to be achieved forthe proper performance of duties aboarda vessel in accordance with anyapplicable national and internationalcriteria.

Steersman of towing vessels means amariner qualified to performwatchkeeping on the bridge, aboard atowing vessel operating exclusively oninland routes, while in training underthe direct supervision of a licensedmaster, mate, or pilot of towing vessels.* * * * *

§ 10.201 [Amended]3. In § 10.201, in paragraph (f)(1),

remove the words ‘‘second-classoperator of uninspected towing vessel’’and add, in their place, the words ‘‘mate(pilot) of towing vessels (19 years)’’;and, in paragraph (f)(2), remove thewords ‘‘designated duty engineer of


vessels of not more than 1,000horsepower, may be granted to anapplicant who has reached the age of 18years.’’ and add, in their place, thewords ‘‘designated duty engineer ofvessels of not more than 1,000horsepower, or apprentice mate(steersman) of towing vessels, may begranted to an applicant, otherwisequalified, who has reached the age of 18years.’’

§ 10.203 [Amended]

4. In § 10.203, in Table 10.203,remove the word ‘‘Uninspected’’ frombefore the words ‘‘towing vessels’’ andcapitalize the first letter in the word‘‘towing’’ in column one; and removethe words ‘‘Operator: 21; 2/c operator:19.’’ from the license category justamended to read ‘‘Towing vessels’’ incolumn two (minimum age) and add, intheir place, the words ‘‘Master of towingvessels: 21; mate (pilot) of towingvessels: 19; apprentice mate (steersman):18’’.

§ 10.205 [Amended]

5. In § 10.205, in paragraph (f)(1),remove the words ‘‘operator ofuninspected towing vessels’’ and add, intheir place, the words ‘‘master or mate(pilot) of towing vessels’’; and, inparagraph (g)(3), remove the words ‘‘Alloperators of uninspected towing vessels,oceans (domestic trade)’’ and add, intheir place, the words ‘‘All licenses formaster or mate (pilot), except apprenticemate (steersman), for towing vessels onOceans’’.

6. In § 10.209, revise paragraph (c)(1)introductory text and add paragraph(c)(6) to read as follows:

§ 10.209 Requirements for renewal oflicenses and certificates of registry.

* * * * *(c) * * *(1) Except as provided in paragraph

(c)(6) of this section, to renew a licenseas master, mate, engineer, pilot, oroperator, the applicant shall—* * * * *

(6) An applicant for renewal of alicense as master or mate (pilot) oftowing vessels shall submit satisfactoryevidence, predating the application bynot more than 1 year, of satisfying therequirements of paragraph (c)(1) (i) or(ii), or those of paragraph (c)(1)(iv)except the exercise; and

(i) Either completing a practicaldemonstration of maneuvering andhandling a towing vessel before adesignated examiner or completing anapproved course; and

(ii) Either passing a rules-of-the-roadexamination or completing a refresher-training course.* * * * *

7. In § 10.304, revise the heading andadd paragraph (e) to read as follows:

§ 10.304 Substitution of training forrequired service, and use of training- andassessment-record books.* * * * *

(e) Each applicant for a license asmate (pilot) of towing vessels, and eachmaster or mate of self-propelled vesselsof greater than 200 gross tons seeking anendorsement for towing vessels, shallcomplete a training- and assessment-record book that contains at least thefollowing:

(1) Identification of the candidate,including full name, home address,photograph or photo-image, andpersonal signature.

(2) Objectives of the training andassessment.

(3) Tasks to be performed or skills tobe demonstrated.

(4) Criteria to be used in determiningthat the tasks or skills have beenperformed properly.

(5) Places for a qualified instructor toindicate by his or her initials that thecandidate has received training in theproper performance of the tasks orskills.

(6) A place for a qualified examiner toindicate by his or her initials that thecandidate has successfully completed apractical demonstration and has provedcompetent in the task or skill under thecriteria.

(7) Identification of each qualifiedinstructor by full name, home address,employer, job title, ship name orbusiness address, number of any CoastGuard license or document held, andpersonal signature.

(8) Identification of each designatedexaminer by full name, home address,employer, job title, ship name orbusiness address, number of any CoastGuard license or document held, andpersonal signature confirming that hisor her initials certify that he or she haswitnessed the practical demonstrationof a particular task or skill by thecandidate.

8. Add section 10.309 to read asfollows:

§ 10.309 Approved training other thanapproved courses.

(a) When the training and assessmentof competence required by this part arenot subject to § 10.302 and are not beingused to substitute for seagoing service,they may meet the followingrequirements:

(1) The training and assessment musthave written, clearly defined objectives

that emphasize specific knowledge,skills, and abilities, and include criteriato use in establishing a candidate’ssuccessful achievement of theobjectives.

(2) The training must be set out in awritten syllabus that conforms to aCoast-Guard-accepted outline for suchtraining and includes—

(i) The sequence of subjects to becovered;

(ii) The number of classroom hours inthe presence of a qualified instructor tobe spent on each subject;

(iii) The identity and professionalqualifications of each instructorconducting the training;

(iv) The identification of other mediaor facilities to be used in conducting thetraining; and

(v) Measurements at appropriateintervals of each candidate’s progresstoward acquisition of the specificknowledge, skills, and abilities stated inthe objectives.

(3) Except as provided in paragraphs(a) (4) and (5) of this section,documentary evidence must be readilyavailable to establish that allinstructors—

(i) Have experience, training, orinstruction in effective instructionaltechniques;

(ii) Are qualified in the task for whichthe training is being conducted; and

(iii) Hold the level of license,endorsement, or other professionalcredential required of those who wouldapply, on board a vessel, the relevantlevel of knowledge, abilities, and skillsdescribed in the training objectives.

(4) Neither a specialist in a particularfield of non-maritime education, such asmathematics or first aid, nor anindividual with at least 3 years ofservice as a member of the ArmedForces of the United States specializingin the field in which he or she is toconduct training, need hold a maritimelicense or document to conduct trainingin that field.

(5) A simulator may be used intraining if—

(i) The simulator meets applicableperformance standards;

(ii) The instructor has gained practicaloperational experience on the particulartype of simulator being used; and

(iii) The instructor employing thesimulator has received appropriateguidance in instructional techniquesinvolving the use of simulators.

(6) Essential equipment andinstructional materials must afford allcandidates adequate opportunity toparticipate in exercises and acquirepractice in performing required skills.

(7) A process of routinely assessingthe effectiveness of the instructors,


including the use of confidentialevaluations by candidates, must be inplace.

(8) Records of candidates’performance must be maintained for atleast 1 year.

(9) To ensure that the training ismeeting its objectives, and therequirements of paragraph (a) of thissection, its offeror shall monitor it atsuitable intervals in accordance with aCoast-Guard-accepted quality-standardssystem, which must include thefollowing features:

(i) Those monitoring the training shallbe persons knowledgeable about thesubjects being monitored and about thenational and international requirementsthat apply to the training, and shall notthemselves be involved in the training.

(ii) Those monitoring the trainingshall enjoy convenient access to allappropriate documents and facilities,and opportunities both to observe allappropriate activities and to conductconfidential interviews when necessary.

(iii) Arrangements must be such as toensure that persons monitoring thetraining are not penalized or rewarded,directly or indirectly, by the sponsor ofthe training for making any particular

observations or for reaching anyparticular conclusions.

(10) Those monitoring the trainingshall communicate their conclusions tothe Coast Guard within 1 month of thecompletion of the monitoring.

(11) Those providing the trainingshall let the Coast Guard observe thetraining and review documents relativeto paragraphs (a) (1) through (10) of thissection.

(b) The Coast Guard will maintain alist of training each of whose providersannually submits a certificate, signed bythe provider or its authorizedrepresentative, stating that the trainingfully complies with requirements of thissection. Training on this list willpresumptively constitute the trainingnecessary for licenses and STCWendorsements under this part. The CoastGuard will update this list periodicallyand make it available to members of thepublic on request.

(c) If the Coast Guard determines, onthe basis of observations or conclusionseither of its own or by those monitoringthe training, that particular trainingdoes not satisfy one or more of theconditions described in paragraph (a) ofthis section—

(1) The Coast Guard will notify theprovider of the training by letterenclosing a report of the observationsand conclusions;

(2) The provider will have a specifiedperiod to appeal the conclusions to theappropriate official at Coast GuardHeadquarters, or to bring the traininginto compliance; and

(3) If the appeal is denied—or thedeficiency is not corrected in theallotted time, or within any additionalperiod held by the Coast Guard,considering progress towardcompliance, to be appropriate—theCoast Guard will remove the trainingfrom the list referred to in paragraph (b)of this section until it can verify fullcompliance; and it may denyapplications, based in whole or in part,on training not on the list untiladditional training or assessment isdocumented.

9. In § 10.403, revise Figure 10.403 toread as follows:

§ 10.403 Deck license structure.

* * * * *

BILLING CODE 4910–14–M


§ 10.412 [Amended]

10. In § 10.412(a), remove the words‘‘operator of uninspected towingvessels,’’.

§ 10.414 [Amended]11. In § 10.414(a), remove the words

‘‘operator of uninspected towingvessels,’’.

12. In § 10.418, revise the heading andparagraph (b) to read as follows:

§ 10.418 Service for master of Ocean orNear-coastal steam or motor vessels of notmore than 500 gross tons.

* * * * *(b) The holder of a license as master

or mate (pilot) of towing vesselsauthorizing service on Oceans or Near-coastal routes is eligible for a license asmaster of Ocean or Near-coastal steamor motor vessels of not more than 500gross tons after both 1 year of service asmaster or mate of towing vessels onOceans or Near-coastal routes andcompletion of a limited examination.

§ 10.420 [Amended]13. In § 10.410, remove the words

‘‘operator of uninspected towingvessels,’’.

§ 10.424 [Amended]14. In § 10.424(a)(2), remove the

words ‘‘operator or second-classoperator of ocean or near coastaluninspected towing vessels’’ and add, intheir place, the words ‘‘master or mateof Ocean or Near-coastal towingvessels’’.

15. in § 10.426, revise the heading andparagraph (a)(2) to read as follows:

§ 10.426 Service for master of Near-coastalsteam or motor vessel of not more than 200gross tons.

(a) * * *(2) One year of total service as master

of mate of towing vessels on Oceans orNear-coastal routes. Completion of alimited examination is also required.* * * * *

§ 10.442 [Amended]16. In § 10.442, paragraphs (a) and (b),

remove the words ‘‘operator ofuninspected towing vessels’’ and add, intheir place, the words ‘‘master or mate(pilot) of towing vessels’’.

17. In § 10.446, revise the heading andparagraph (b) to read as follows:

§ 10.446 Service for master of Great Lakesand inland steam or motor vessels of notmore than 500 gross tons.

* * * * *(b) the holder of a license as master

or mate (pilot) of towing vessels iseligible for this license after completionof both 1 year of service as master or

mate (pilot) of towing vessels and alimited examination.

§ 10.452 [Amended]

18. In § 10.452(a), remove the words‘‘operator or second-class operator ofuninspected towing vessels’’ and add, intheir place, the words ‘‘master or mate(pilot) of towing vessels’’.

§ 10.462 [Amended]

19. In § 10.462(c), remove the words‘‘operator of uninspected towingvessels’’ and add, in their place, thewords ‘‘master or mate (pilot) of towingvessels’’.


§ 10.463 General requirements for licensesfor master, mate (pilot), and apprenticemate (steersman) of towing vessels.

(a) The Coast Guard issues licenses asmaster and mate (pilot) of towingvessels in the following categories:

(1) Unlimited horsepower.(2) 3,000 horsepower or less.(b) The Coast Guard restricts licenses

as master and mate (pilot) of towingvessels for Oceans and Near-coastalroutes by the gross tonnage of thetowing vessels on which the experiencewas acquired—by 200, 500, and 1,600gross tons in accordance with §§ 10.414,10,418, and 10.412, respectively.

(c) The Coast Guard endorses licensesas master and mate (pilot) of towingvessels for one or more of the followingroutes:

(1) Oceans.(2) Near-coastal routes.(3) Great Lakes and inland routes.(4) Rivers.(5) Western rivers.(6) Restricted local areas designated

by Officers in Charge Marine Inspection.(d) A license as master or mate of

towing vessels endorsed for Oceansauthorizes service on Oceans, Near-coastal routes, Great Lakes and inlandroutes, and Rivers except Western riversupon completion of 30 days ofobservation and training on eachsubordinate route.

(e) A license as master or mate (pilot)of towing vessels endorsed for Near-coastal routes authorizes service onNear-coastal routes, Great Lakes andinland routes, and Rivers exceptWestern rivers upon completion of 30days of observation and training on eachsubordinate route.

(f) A license as master or mate (pilot)of towing vessels endorsed for GreatLakes and inland routes authorizesservice on Great Lakes and inland routesand Rivers except Western rivers uponcompletion of 30 days of observationand training on the subordinate route.

(g) Before serving as master or mate(pilot) of towing vessels on Westernrivers, the licensed mariner shallpossess 90 days of observation andtraining and have his or her licenseendorsed for Western rivers.

(h) Each company must maintainevidence that every vessel it operates isunder the direction and control of alicensed mariner with appropriateexperience, including 30 days ofobservation and training on theintended route.

(i) For all inland routes, the license aspilot of towing vessels replaces that asmate of towing vessels. Allqualifications and equivalencies are thesame.

(j) For all inland routes, the license assteersman replaces that as apprenticemate. All qualifications andequivalencies are the same.

21. Revise section 10.464 to read asfollows:

§ 10.464 Licenses for masters of towingvessels.

(a) For a license as master of towingvessels of unlimited horsepower, anapplicant shall—

(1) Have 48 months of total serviceincluding—

(i) Eighteen months of service on deckof a towing vessel of 8 meters (about 26feet) or over in length while holding alicense as mate (pilot) of towing vesselsunlimited;

(ii) Twelve months of the 18 months,as mate (pilot) of towing vessels ofgreater than 3,000 horsepower; and

(iii) Three months of the 18 monthson the particular route for whichapplication is made; or

(2) Have 12 months of service as mate(pilot) of towing vessels of unlimitedhorsepower while holding a license asmaster of towing vessels of 3,000horsepower or less including 3 monthsof service on the particular route forwhich application is made.

(b) For a license as master of towingvessels of 3,000 horsepower or less, anapplicant shall—


(i) Eighteen months of service on deckof a towing vessel of 8 meters (about 26feet) or over in length while holding alicense as mate (pilot) of towing vessels;

(ii) Twelve months of the 18 months,as mate (pilot) of towing vessels of 3,000horsepower or less; and

(iii) Three months of the 18 monthson the particular route for whichapplication is made; or

(2) Have 12 months of service as mate(pilot) of towing vessels of 3,000horsepower or less while holding alicense as limited master of towing


vessels including 3 months of service onthe particular route for whichapplication is made.

(c) For a license as master of towingvessels of 3,000 horsepower or lessendorsed for a restricted local area, anapplicant shall have 36 months of totalservice including—

(1) Twelve months of service on deckof a towing vessel of 8 meters (about 26feet) or over in length as limited mate(pilot) of towing vessels; and

(2) Three months of service on theparticular route for which application ismade.

(d) The holder of a license as masterof self-propelled vessels of greater than200 gross tons may obtain anendorsement for towing vessels(restricted to the horsepower of theservice presented) if he or she—

(1) Has 30 days of training andobservation on towing vessels on eachof the routes for which the endorsementis requested;

(2) Submits evidence of assessment ofpractical demonstration of skills, in theform of a training- and assessment-record book, described in § 10.304(e);and

(3) Passes an examination.(e) The holder of a license as master

of towing vessels may have that licenseendorsed as mate (pilot) for a route notincluded in the current endorsementson which he or she has no operatingexperience after passing an examinationfor that route. Upon completion of 90days of experience on that route, he orshe may have the mate (pilot) restrictionremoved.


§ 10.465 Licenses for mates (pilots) oftowing vessels.

(a) For a license as mate (pilot) oftowing vessels of unlimited horsepower,an applicant shall—


(i) Twelve months of service on deckof a towing vessel of 8 meters (about 26feet) or over in length while holding alicense as apprentice mate (steersman);

(ii) Twelve months of the 30 monthson towing vessels of greater than 3,000horsepower; and

(iii) Three months of the 12 monthson the particular route for whichapplication is made;

(2) Submit either—(i) A certificate of completion from a

Coast-Guard-approved course asspecified in paragraph (f) of this section;or

(ii) Evidence of assessment ofpractical demonstration of skills, in theform of a training- and assessment-

record book in accordance with§ 10.304(e); or

(3) Have 30 days of service observingand training on towing vessels of greaterthan 3,000 horsepower while holding alicense as master of towing vessels of3,000 horsepower or less and pass apartial examination.

(b) For a license as mate (pilot) oftowing vessels of 3,000 horsepower orless, an applicant shall—


(i) Twelve months of service on deckof a towing vessel of 8 meters (about 26feet) or over in length while holding alicense as apprentice mate (steersman)of towing vessels; and

(ii) Three months of the 12 months onthe particular route for whichapplication is made;



(ii) Evidence of assessment ofpractical demonstration of skills, in theform of a training- and assessment-record book in accordance with§ 10.304(e); or

(3) Have 30 days of service observingand training on towing vessels whileholding a license as limited master oftowing vessels of 3,000 horsepower orless and pass a partial examination.

(c) For a license as mate (pilot) oftowing vessels of 3,000 horsepower orless endorsed for a restricted local area,an applicant shall—

(1) Have 24 months of total serviceincluding 6 months of service on deckof a towing vessel of 8 meters (about 26feet) or over in length as limitedapprentice mate (steersman) of towingvessels; and



(ii) Evidence of assessment ofpractical demonstration of skills, in theform of a training- and assessment-record book in accordance with§ 10.304(e);

(d) The holder of a license as mate ofself-propelled vessels of greater than200 gross tons may obtain anendorsement for towing vessels(restricted to the horsepower of theservice presented) if he or she—

(1) Has 30 days of training andobservation on towing vessels on eachroute for which the endorsement isrequested;

(2) Submits evidence of assessment ofpractical demonstration of skills, in theform of a training- and assessment-

record book in accordance with§ 10.304(e); and

(3) Passes an examination.(e) The holder of a license as mate

(pilot) of towing vessels may have thatlicense endorsed as apprentice mate(steersman) for a route not included inthe current endorsements on which heor she has no operating experience afterpassing an examination for that route.Upon completion of 3 months ofexperience in that route, he or she mayhave the apprentice mate (steersman)restriction removed.

(f) An approved training course formate (pilot) of towing vessels mustinclude formal instruction and practicaldemonstration of proficiency either onboard a towing vessel or at a shoresidetraining facility before a designatedexaminer, and must cover—

(1) Shipboard management andtraining;

(2) Seamanship;(3) Navigation;(4) Watchkeeping;(5) Radar;(6) Meteorology;(7) Maneuvering and handling of

towing vessels;(8) Engine-room basics; and(9) Emergency procedures.23. Redesignate section 10.466 as

§ 10.467 and add a new § 10.466 to readas follows:

§ 10.466 Service for apprentice mate(steersman) of towing vessels.

(a) For a license as apprentice mate(steersman) of towing vessels, anapplicant shall—

(1) Have 18 months of service on deckincluding 12 months on towing vessels;

(2) Pass the examination specified insubpart I of this part; and

(3) Have 3 months of the 18 monthson the particular route for whichapplication is made.

(b) For a license as limited apprenticemate (steersman) of towing vessels, anapplicant shall—

(1) Have 18 months of service on deckincluding 12 months on towing vessels;

(2) Pass a limited examination; and(3) Have 3 months of the 18 months

on the particular route for whichapplication is made.

(c) The holder of a license asapprentice mate (steersman) of towingvessels may have that license endorsedas limited apprentice mate (steersman)for a route not included in the currentendorsements on which he or she hasno operating experience, upon passingan examination for that route. Uponcompletion of 3 months of experience inthat route, he or she may have thelimited apprentice mate (steersman)restriction removed.


24. In § 10.482, revise paragraph (a) toread as follows:

§ 10.482 Assistance towing.(a) This section contains the

requirements to qualify for anendorsement authorizing an applicant toengage in assistance towing. Theendorsement applies to all licensesexcept those for master and mate (pilot)of towing vessels and those authorizingservice on inspected vessels over 200gross tons. Holders of any of theselicenses may engage in assistancetowing within the scope of the licensesand without the endorsement.* * * * *

§ 10.701 [Amended]25. In § 10.701(a), remove the words

‘‘operator of uninspected towingvessels’’ and add, in their place, thewords ‘‘master or mate (pilot) of towingvessels’’.

§ 10.703 [Amended]26. In § 10.703(a) introductory text,

remove the words ‘‘operator ofuninspected towing vessels’’ and add, intheir place, the words ‘‘master or mate(pilot) of towing vessels’’.

§ 10.901 [Amended]27. In § 10.901(b)(1), remove the

words ‘‘uninspected towing vessels’’and add, in their place, the words‘‘master or mate (pilot) of towingvessels’’.

28. In § 10.903, revise paragraphs(a)(18) and (b)(4) to read as follows:

§ 10.903 Licenses requiring examinations.(a) * * *(18) Apprentice mate (steersman) of

towing vessels;* * * * *

(b) * * *(4) Master or mate (pilot) of towing

vessels (endorsed for the same route).29. In § 10.910, amend the

introductory language to Table 10.910–1 by revising paragraphs 10 through 12to read as follows:

§ 10.910 Subjects for deck incenses.* * * * *

10. Apprentice mate, towing vessels,Oceans (domestic trade) and Near-coastal routes.

11. Apprentice mate (steersman),towing vessels, Great Lakes and inlandroutes.

12. Steersman, towing vessels,Western rivers.* * * * *

PART 15—MANNING REQUIREMENTS

30. Revise the authority citation forpart 15 to read as follows:

Authority: 46 U.S.C. 2103, 3703, 8101,8502, 8901, 8902, 8903, 8904, 9102; 50 U.S.C.198; and 49 CFR 1.46.

§ 15.301 [Amended]31. In § 15.301(b), remove paragraph

(6); and redesignate paragraphs (7)through (10) as paragraphs (6) through(9).


§ 15.610 Masters and mates (pilots) oftowing vessels.

Every towing vessel at least 8 meters(about 26 feet) in length measured fromend to end over the deck (excludingsheer), except a vessel described by thenext sentence, must be under thedirection and control of a personlicensed as master or mate (pilot) oftowing vessels or as master or mate ofappropriate gross tonnage holding anendorsement of his or her license fortowing vessels. This does not apply toany vessel engaged in assistance towingor any vessel of less than 200 gross tonsengaged in the offshore mineral and oilindustry if the vessel has sites orequipment of that industry as its placeof departure or ultimate destination.

§ 15.705 [Amended]33. In § 15.705(d), remove the words

‘‘individual operating an uninspectedtowing vessel’’ and add, in their place,the words ‘‘master or mate (pilot)

operating a towing vessel’’; and removethe words ‘‘individuals serving asoperators of uninspected towingvessels’’ and add, in their place, thewords ‘‘masters or mates (pilots) servingas operators of towing vessels’’.

34. In § 15.805, add paragraph (a)(5) toread as follows:

§ 15.805 Master.

(a) * * *(5) Every towing vessel of 8 meters

(about 26 feet) or more in length.* * * * *

35. In § 15.810, redesignateparagraphs (d) and (e) as (e) and (f); andadd a new paragraph (d) to read asfollows:

§ 15.810 Mates.

* * * * *(d) A person in charge of the

navigation or maneuvering of a towingvessel of 8 meters (about 26 feet) ormore in length shall hold either alicense authorizing service as mate oftowing vessels—or, on inland routes, aspilot of towing vessels—or a license asmaster of appropriate gross tonnage orhorsepower, according to the routes,endorsed for towing vessels.* * * * *


§ 15.910 Towing vessels.

No person may serve as master ormate (pilot) of any towing vessel of 8meters (about 26 feet) or more in lengthunless he or she holds a licenseexplicitly authorizing such service.

Dated: June 11, 1996.J.C. Card,Rear Admiral, U.S. Coast Guard, Chief,Marine Safety and Environmental Protection.[FR Doc. 96–15346 Filed 6–18–96; 8:45 am]BILLING CODE 4910–14–M

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Part VI

Department ofEducation34 CFR Parts 535 and 562Bilingual Education: Graduate FellowshipProgram; Final Rule




RIN 1885–AA21

Bilingual Education: GraduateFellowship Program

AGENCY: Department of Education.ACTION: Final Regulations.

SUMMARY: The Secretary adopts theseregulations and adds a new Part 535 forthe Bilingual Education: GraduateFellowship Program, which isauthorized by section 7145 of theElementary and Secondary EducationAct of 1965 (the Act), as amended by theImproving America’s Schools Act of1994. The Bilingual Education:Graduate Fellowship Program replacesthe existing Bilingual EducationFellowship Program (34 CFR Part 562)and expands the program to includepost-doctoral fellowships.EFFECTIVE DATE: These regulations takeeffect July 19, 1996.FOR FURTHER INFORMATION CONTACT:Joyce Brown, U.S. Department ofEducation, 600 Independence Avenue,SW., Room 5086, Switzer Building,Washington, DC 20202–6510.Telephone: (202) 205–9727. Individualswho use a telecommunications devicefor the deaf (TDD) may call the FederalInformation Relay Service (FIRS) at 1–800–877–8339 between 8 a.m. and 8p.m., Eastern time, Monday throughFriday.SUPPLEMENTARY INFORMATION: Theseregulations implement statutory changesmade when the program wasreauthorized by the ImprovingAmerica’s Schools Act of 1994 (Pub. L.103–382, enacted October 20, 1994).These regulations have been reviewedand revised in accordance with theDepartment’s ‘‘Principles forRegulating,’’ which were developed toensure that the Department regulates inthe most flexible, most equitable, andleast burdensome way possible. Theseregulations are necessary to implementthe law and reflect the greatestflexibility and least burden possible.

On November 9, 1995, the Secretarypublished a notice of proposedrulemaking (NPRM) for this program inthe Federal Register (60 FR 56920). Thepreamble to the NPRM (60 FR 56920–56922) included a summary anddiscussion of the 1994 Amendmentsand other major issues that wereaddressed in the proposed regulations.

There are a few substantivedifferences between the NPRM andthese final regulations. The Secretaryhas expanded the types of travel

expenses Fellows are authorized tomake and has included in the selectioncriteria for evaluating applications forparticipation in the program for post-doctoral level fellowships considerationof whether research plans and designsare reasonable and sound. In addition,the Secretary inadvertently omitted 34CFR Part 79 from the list of regulationsthat apply to this program and hasincluded it in the final regulations.Although 34 CFR Part 79 exemptsprograms that make direct payments toindividuals, this program is notexempted because the Department givesfunds to institutions of highereducation, which distribute the funds toindividual Fellows. Any otherdifferences between the NPRM andthese final regulations are due toeditorial and technical revisions.

Analysis of Comments and ChangesIn response to the Secretary’s

invitation in the NPRM, one partysubmitted comments on the proposedregulations. An analysis of thecomments and of the changes in theregulations since publication of theNPRM follows.

Major issues are grouped according tosubject, with appropriate sections of theregulations referenced in parentheses.Technical and other minor changes—and suggested changes the Secretary isnot legally authorized to make under theapplicable statutory authority—are notaddressed.

Purpose of the Program (§ 535.1)Comments: One commenter suggested

that the Secretary exclude master’sdegree candidates from the program.

Discussion: One purpose of theprofessional development programsunder title VII is to assist in preparingeducators to improve educationalservices for limited English proficientchildren. To meet that purpose, section7145(a)(1) of the Act specificallyauthorizes the Secretary to awardfellowships for master, doctoral, andpost-doctoral study. The Secretarybelieves it is appropriate to assistindividuals pursuing master’s degrees ifthe individuals are pursuing studies thatfurther the purpose of the program. If,in the future, the Secretary does notbelieve it is useful to award fellowshipsto master’s degree candidates, theSecretary, through additionalregulations, could limit fellowships todoctoral and post-doctoral candidates.

Changes: None.

Financial Assistance (§ 535.3)Comments: One commenter suggested

that the Secretary authorize travelexpenses that are generally related to

the academic program. The commenterbelieved that the proposed requirementin the regulations that travel be relatedto practice teaching or clinicalexperience was too limited. Thecommenter noted that, in doctoralprograms, there may be many otherreasons for travel, such as helpingtraining or advancing progress in theacademic program.

The commenter also encouraged theSecretary to increase the monthlystipend from $500 to $1,000 on theground that the $500 limitationcombined with the provision restrictinga Fellow to 20 hours of work per weekwould create a financial hardship thatcould adversely affect the Fellow’sprogress in the academic program.

Finally, the commenter recommendedthat post-doctoral fellowship recipientswho may be appointed for less than acalendar year (e.g., school year) receivea full fellowship.

Discussion: The Secretary agrees thatthe limitation on the types of travel inthe NPRM was too restrictive and hasbroadened the provision in these finalregulations.

However, the Secretary believes the$500 per month stipend for masters anddoctoral degree candidates combinedwith allowances for travel and booksand whatever the Fellow may earn as apart-time employee is reasonable. TheSecretary has balanced the Fellows’need for support and the Department’sdesire to assist as many Fellows aspossible.

For post-doctoral Fellows, the fullamount of the fellowship is determinedon a case-by-case basis depending onthe application submitted and theperiod of work proposed. The $40,000amount is an upper limit, not theamount each post-doctoral Fellowreceives.

Changes: Section 535.3(a)(3) has beenchanged to allow travel expenses for‘‘travel directly related to program ofstudy.’’ No other changes have beenmade.

Selection Criteria for Post-DoctoralLevel Fellowships (§ 535.23)

Comments: A commenter suggestedthat the Secretary increase themaximum number of points that can beawarded for the ‘‘Quality of key facultymembers’’ selection criterion(§ 535.23(c)) from 20 to 25 points anddecrease the maximum number ofpoints that can be awarded for the‘‘Proposed areas of research’’ selectioncriterion (§ 535.23(b)) from 35 to 30points.

In § 535.23(b), ‘‘Proposed areas ofresearch,’’ the commenter suggestedcombining the factors in (b)(1) with


(b)(3) and (b)(2) with (b)(4). Thecommenter stated that these factorswere similar enough to be combinedand should be expanded to includemore types of research.

The commenter suggested that§ 535.23(b)(5) should be re-written toinclude whether the research plan anddesign are reasonable and sound. Thecommenter stated that the additionallanguage is necessary to ensure thatsecondary analysis of data collected byanother entity is considered valid andawarded points.

In addition, the commenter suggestedthat in § 535.23(b)(6) the Secretaryshould consider whether the applicationspecifies a project period for‘‘substantial progress’’ in the studyrather than limiting the criterion tocompletion of the study. Thecommenter stated that completion of aproject is difficult for post-doctoralstudents who are in a post-doctoralposition for one year and thatconsidering only whether the study is tobe completed within the specifiedproject period would be too narrow.

Discussion: The Secretary believesthat the point distribution among thecriteria is appropriate and that thedistinct factors give applicants moredirection in addressing each criterion.

The Secretary also believes thecriteria do not need to be expanded toinclude more types of research. Thefactors focus proposed research oneducation and the primary purposes ofthe program.

In § 535.23(b)(5) the Secretary agreesthat considering only data collectionand the data analysis plan could beinterpreted to exclude secondaryanalysis of already-collected data. TheSecretary did not intend thisinterpretation and has clarified theregulatory language.

The Secretary believes that§ 535.23(b)(6) is an appropriate factorthat is designed to evaluate the extent towhich the applicant has an intendedand realistic completion schedule. TheSecretary understands that a Fellow’sultimate study may not be completedwithin the period of the fellowship, butapplicants may propose at least aportion of a study that can be completedwithin the period of the fellowship.

Changes: The Secretary has revised§ 535.23(b)(5) to include considerationof whether the research plans anddesigns are reasonable and sound.

Fellowship Period (§ 535.42)Comments: A commenter suggested

that the Secretary extend the maximumnumber of years for which a doctoralfellowship is awarded to five to includesupport for the last two years when a

Fellow may be completing adissertation. The commenter stated thatmost doctoral programs allow for thecompletion of the course work withinthree years, but that the entire programmay take up to five years to complete.

Discussion: Because the Departmenthas limited resources, the Secretarymust balance the amount and length ofsupport that the Department provides toone individual against providingsupport to more individuals. TheSecretary believes that supporting adoctoral Fellow for three years issufficient. Further, § 535.42(b) providesthat the Secretary may extend afellowship beyond the maximum periodfor master’s or doctoral Fellows undercertain circumstances.

Changes: None.

Service Requirement, RepaymentSchedule, and Accounting for theObligation (§§ 535.50, 535.52, and535.57)

Comments: One commenter suggestedthat the Secretary set the servicerequirement start date, repaymentschedule, and the obligation accountactivation period at 12 months ratherthan the proposed 6 months. Thecommenter stated that more time isnecessary because the academicemployment cycle begins in the fall andextends for a year. The commenterstated that beginning the servicerequirement and repayment scheduleafter 12 months would be more realistic.

Discussion: The Secretary is awarethat some Fellows seeking academicpositions may not be able to secureemployment within six months.However, the Secretary believes that itwould be unwise to extend the period.The Department’s experience has shownthat if the repayment procedures are notactivated until 12 months, theDepartment has more difficultydetermining the status of Fellows. Theregulations in § 535.54 do allow theSecretary to defer payment for a numberof reasons, including if the fellowshiprecipient demonstrates to the Secretary’ssatisfaction that the fellowship recipientis conscientiously seeking but is unableto secure employment.

Changes: None.

Paperwork Reduction Act of 1995

Under the Paperwork Reduction Actof 1995, no persons are required torespond to a collection of informationunless it displays a valid OMB controlnumber. The valid OMB control numberassigned to the collections ofinformation in these final regulations isdisplayed at the end of the affectedsections of the regulations.

Intergovernmental Review

This program is subject to therequirements of Executive Order 12372and the regulations in 34 CFR Part 79.The objective of the Executive order isto foster an intergovernmentalpartnership and a strengthenedfederalism by relying on processesdeveloped by State and localgovernments for coordination andreview of proposed Federal financialassistance.

In accordance with the order, thisdocument is intended to provide earlynotification of the Department’s specificplans and actions for this program.

Assessment of Educational Impact

In the notice of proposed rulemaking,the Secretary requested comments onwhether the proposed regulations wouldrequire transmission of information thatis being gathered by or is available fromany other agency or authority of theUnited States.

Based on the response to the proposedregulations and on its own review, theDepartment has determined that theregulations in this document do notrequire transmission of information thatis being gathered by or is available fromany other agency or authority of theUnited States.

List of Subjects

34 CFR Part 535

Bilingual education, Education,Educational research, Reporting andrecordkeeping requirements,Scholarships and fellowships, Teachers.

34 CFR Part 562

Bilingual education, Education,Educational research, Reporting andrecordkeeping requirements,Scholarships and fellowships, Teachers.

(Catalog of Federal Domestic AssistanceNumber 84.195C Bilingual Education:Graduate Fellowship Program.)

Dated: June 13, 1996.Delia Pompa,Director, Office of Bilingual Education andMinority Languages Affairs.

The Secretary amends Title 34 of theCode of Federal Regulations as follows:

PART 562—[REMOVED]

1. 34 CFR Part 562 is removed.2. A new Part 535 is added to read as

follows:


PART 535—BILINGUAL EDUCATION:GRADUATE FELLOWSHIP PROGRAM

Subpart A—General

Sec.535.1 What is the Bilingual Education:

Graduate Fellowship Program?535.2 Who is eligible to participate in this

program?535.3 What financial assistance is available

for fellowship recipients?535.4 What regulations apply?535.5 What definitions apply?

Subpart B—How Does an IHE Apply ToParticipate in the Program?

535.10 How does an IHE apply toparticipate in the program?

535.11 What assurance must an applicationcontain?

535.12 In what circumstances may an IHEwaive the training practicumrequirement?

Subpart C—How Does the SecretaryApprove an IHE’s Participation?

535.20 How does the Secretary evaluate anapplication to participate in this programfor master’s and doctoral levelfellowships?

535.21 What selection criteria does theSecretary use?

535.22 How does the Secretary evaluate anapplication to participate in this programfor post-doctoral study fellowships?

535.23 What selection criteria does theSecretary use?

Subpart D—How Does an Individual Applyfor a Fellowship?

535.30 How does an individual apply for afellowship?

Subpart E—How Are Fellows Selected?

535.40 How does the Secretary selectFellows?

535.41 Who may an IHE nominate forfellowships?

535.42 What is the period of a fellowship?

Subpart F—What Conditions Must Be Metby Fellows?

535.50 What is the service requirement fora fellowship?

535.51 What are the requirements forrepayment of the fellowship?

535.52 What is the repayment schedule?535.53 What is the rule regarding interest?535.54 Under what circumstances is

repayment deferred?535.55 What is the length of the deferment

of repayment?535.56 Under what circumstances is

repayment waived?535.57 How shall the fellowship recipient

account for the obligation?Authority: 20 U.S.C. 7475, unless

otherwise noted.

Subpart A—General

§ 535.1 What is the Bilingual Education:Graduate Fellowship Program?

The Bilingual Education: GraduateFellowship Program provides financialassistance, through institutions of

higher education (IHEs), to individualswho are pursuing master’s, doctoral, orpost-doctoral study related toinstruction of limited English proficient(LEP) children and youth in areas suchas teacher training, programadministration, research and evaluation,and curriculum development and forthe support of dissertation researchrelated to this study.(Authority: 20 U.S.C. 7475(a)(1))

§ 535.2 Who is eligible to participate in thisprogram?

(a) An IHE is eligible to participate inthis program.

(b) An individual who meets theeligibility requirements under § 535.41may apply for a fellowship through anIHE participating in this program.(Authority: 20 U.S.C. 7475)

§ 535.3 What financial assistance isavailable for fellowship recipients?

(a) The Secretary may authorize thefollowing financial assistance on anannual basis to master’s and doctoralprogram fellowship recipients:

(1) Tuition and fees—the usual costsassociated with the course of study.

(2) Books—up to $300.(3) Travel—up to $250 for travel

directly related to the program of study.(4) A stipend of up to $500 per month,

including allowances for subsistenceand other expenses, for a participantand his or her dependents, if theparticipant is—

(i) A full-time student in a program ofstudy that was in the approvedapplication; and

(ii) Gainfully employed no more than20 hours a week or the annualequivalent of 1040 hours.

(b) The Secretary may authorize thefollowing financial assistance on anannual basis to post-doctoral fellowshiprecipients:

(1) A stipend of up to $40,000.(2) Publications, research and

scholarly materials, research-relatedtravel, and fees—up to $5,000.

(c) In authorizing assistance tofellowship recipients under paragraphs(a) and (b) of this section, the Secretaryconsiders the amount of other financialcompensation that the fellowshiprecipients receive during the trainingperiod.(Authority: 20 U.S.C. 7478)

§ 535.4 What regulations apply?The following regulations apply to

this program:(a) 34 CFR 75.51 and 75.60 through

62.(b) 34 CFR Part 77.(c) 34 CFR Part 79.(d) 34 CFR Part 85.

(e) The regulations in this Part 535.(Authority: 20 U.S.C. 7475)

§ 535.5 What definitions apply?

(a) Definitions in the Act. (1) Thefollowing terms used in this part aredefined in section 7501 of the Act:Bilingual education programChildren and youthLimited English proficiencyNative Hawaiian or Native American

Pacific Islander Native languageeducational organization

OfficeOther programs for persons of limited-

English proficiency(2) The following terms used in this

part are defined in section 7104 of theAct:Indian tribeTribally sanctioned educational

authority(3) The following terms used in this

part are defined in section 14101 of theAct:Institution of higher educationLocal educational agency (LEA)

(b) Definitions in EDGAR. Thefollowing terms used in this part aredefined in 34 CFR 77.1:ApplicantApplicationAwardDepartmentEDGARFiscal yearProjectRecipientSecretaryStateState educational agency (SEA)

(c) Other definition. The followingdefinition also applies to this part:

Act means the Elementary andSecondary Education Act of 1965, asamended.(Authority: 20 U.S.C. 7475–7480)

Subpart B—How Does an IHE Apply ToParticipate in the Program?

§ 535.10 How does an IHE apply toparticipate in the program?

To apply for participation under thispart, an IHE shall submit an applicationto the Secretary that—

(a) Responds to the appropriateselection criteria in §§ 535.21 and535.23; and

(b) Requests a specific number offellowships to be awarded in eachproposed language or other curriculumgroup for the fellowship periodspecified in § 535.42.(Authority: 20 U.S.C. 7475)


§ 535.11 What assurance must anapplication contain?

An application that proposes to trainmaster’s or doctoral level students withfunds received under this part mustprovide an assurance that the programwill include a training practicum in alocal school program serving LEPstudents.(Authority: 20 U.S.C. 7476(a)(3)(A))

§ 535.12 In what circumstances may anIHE waive the training practicumrequirement?

An IHE participating under thisprogram may waive the requirement in§ 535.11 for a training practicum for amaster’s or doctoral degree candidatewho has had at least one academic yearof experience in a local school programserving LEP students.(Authority: 20 U.S.C. 7476(a)(3)(B))

Subpart C—How Does the SecretaryApprove an IHE’s Participation?

§ 535.20 How does the Secretary evaluatean application to participate in this programfor master’s and doctoral level fellowships?

(a) The Secretary evaluates anapplication to participate in thisprogram for master’s and doctoral levelfellowships on the basis of the criteriain § 535.21.

(b) The Secretary awards up to 100points for these criteria.

(c) The maximum possible score foreach criterion is indicated inparentheses.

(d) After all the applications havebeen evaluated under § 535.21, theSecretary rank-orders the applications.

(e) The Secretary then determines themaximum number of fellowships bylanguage or other curriculum group thatmay be awarded at each IHE—

(1) Based on the IHE’s capacity toprovide graduate training in the areasproposed for fellowship recipients; and

(2) To the extent feasible, inproportion to the need for individualswith master’s and doctoral degrees inthe areas of training proposed by theIHE.(Authority: 20 U.S.C. 7475)

§ 535.21 What selection criteria does theSecretary use?

The Secretary uses the followingselection criteria to evaluate anapplication for participation in thisprogram for master’s and doctoral levelfellowships:

(a) Institutional commitment. (25points) The Secretary reviews eachapplication to determine the quality ofthe institution’s graduate program ofstudy, including consideration of—

(1) The extent to which the programhas been adopted as a permanentgraduate program of study;

(2) The organizational placement ofthe program of study;

(3) The staff and resources that theIHE has committed to the program;

(4) The IHE’s demonstratedcompetence and experience in programsand activities such as those authorizedunder the Act;

(5) The IHE’s demonstratedexperience in assisting fellowshiprecipients to find employment in thefield of bilingual education; and

(6) If the IHE has carried out aprevious project with funds under titleVII of the Act, the applicant’s record ofaccomplishments under that previousproject.

(b) Quality of the graduate academicprogram. (20 points) The Secretaryreviews each application to determinethe quality of the graduate program ofstudy for which approval is sought,including—

(1) The course offerings and academicrequirements for the graduate program;

(2) The availability of related courseofferings through other schools ordepartments within the IHE;

(3) The IHE’s focus and capacity forresearch;

(4) The quality of the standards usedto determine satisfactory progress in,and completion of, the program;

(5) The extent to which the programof study prepares Fellows to improvethe academic achievement of LEPchildren and youth; and

(6) In the case of a program designedto prepare trainers of educationalpersonnel for programs of bilingualinstruction, the extent to which theprogram incorporates the use of Englishand another language to develop theFellows’ competencies as trainers ofbilingual educational personnel.

(c) Quality of key faculty members.(20 points) The Secretary reviews eachapplication to determine thequalifications of the key faculty to beused in the program of study, includingthe extent to which their background,education, research interests, andrelevant experience qualify them to planand implement a successful program ofhigh academic quality related toinstruction of LEP children and youth.

(d) Field-based experience. (15 points)The Secretary reviews each applicationto determine the extent to which theprogram of study provides field-basedexperience through arrangements withLEAs, SEAs, or persons or organizationswith expertise in programs for LEPchildren and youth.

(e) Evidence of local or national need.(10 points) The Secretary reviews each

application to determine the need formore individuals trained, at thegraduate level, in the area of studyproposed by the applicant.

(f) Recruitment plan. (10 points) TheSecretary reviews each application todetermine the quality of the applicant’splan for recruitment and nomination ofstudents.(Approved by the Office of Management andBudget under control number 1885–0001.)(Authority: 20 U.S.C. 7475 and 7547)

§ 535.22 How does the Secretary evaluatean application to participate in this programfor post-doctoral study fellowships?

(a) The Secretary evaluates anapplication to participate in thisprogram for post-doctoral studyfellowships on the basis of the criteriain § 535.23.

(b) The Secretary awards up to 100points for these criteria.

(c) The maximum possible score foreach criterion is indicated inparentheses.

(d) After all the applications havebeen evaluated according to theselection criteria, the Secretary rank-orders the applications.

(e) The Secretary designates themaximum number of fellowships thatmay be awarded at each IHE based onthe factors in § 535.23 (a), (c), and (d).(Authority: 20 U.S.C. 7475)

§ 535.23 What selection criteria does theSecretary use?

The Secretary uses the followingselection criteria to evaluate anapplication for participation in thisprogram for post-doctoral levelfellowships:

(a) Institutional commitment. (35points) The Secretary reviews eachapplication to determine the overallstrength of the applicant’s commitmentto meeting the educational needs of LEPchildren and youth, includingconsideration of—

(1) The IHE’s demonstratedcompetence and experience in programsand research activities such as thoseauthorized under subpart 2 of part A oftitle VII of the Act;

(2) The extent to which the IHE’sresearch environment is supportive ofthe success of post-doctoral Fellows intheir research;

(3) The IHE’s demonstratedexperience in assisting fellowshiprecipients to find employment in thefield of bilingual education;

(4) The IHE’s procedures for thedissemination and use of researchfindings; and

(5) If the IHE has carried out aprevious project with funds under titleVII of the Act, the applicant’s record of


accomplishments under that previousproject.

(b) Proposed areas of research. (35points) The Secretary reviews eachapplication to determine to whatextent—

(1) There is a clear description of theareas of research proposed to beundertaken by the post-doctoralFellows;

(2) The research to be undertaken bythe post-doctoral Fellows is likely toproduce new and useful information;

(3) The areas of proposed researchrelate to the educational needs of LEPchildren and youth and of theeducational personnel that serve thatpopulation;

(4) The outcomes of the research andstudy are likely to benefit the definedtarget population by improving theacademic achievement of LEP childrenand youth;

(5) The data collection and dataanalysis plans or research plans anddesigns are reasonable and sound; and

(6) A project period for completion ofthe study, consistent with period ofavailability of post-doctoral fellowshipsin § 535.42, is specified.

(c) Quality of key faculty members.(20 points) The Secretary reviews eachapplication to determine thequalifications of the key faculty likely toassist, guide, or mentor post-doctoralFellows, including the extent to whichthe faculty’s background, education,research interests, and relevantexperiences qualify them to supporthigh-quality research and studyperformed by post-doctoral Fellows.

(d) Adequacy of resources. (10 points)The Secretary reviews each applicationto determine to what extent—

(1) The facilities planned for use areadequate;

(2) The equipment and suppliesplanned for use are adequate; and

(3) The commitment of the applicantto provide administrative and othernecessary support is evident.(Approved by the Office of Management andBudget under control number 1885–0001.)(Authority: 20 U.S.C. 7475)

Subpart D—How Does an IndividualApply for a Fellowship?

§ 535.30 How does an individual apply fora fellowship?

(a) An individual shall submit anapplication for a fellowship to an IHEthat has been approved for participationunder § 535.20 or § 535.22.

(b) Each participating IHE mayestablish procedures for receipt ofapplications from individuals.(Authority: 20 U.S.C. 7475)

Subpart E—How Are FellowsSelected?

§ 535.40 How does the Secretary selectFellows?

(a)(1) A participating IHE shall submitnames of nominees to the Secretary.

(2) If the IHE has more than onenominee, the IHE shall rank thenominees in order of preference toreceive a fellowship.

(b) The Secretary selects new Fellowsaccording to the rank order prepared bythe IHE, subject to the maximumnumber of fellowships designated forthat IHE under §§ 535.20 and 535.22.(Approved by the Office of Management andBudget under control number 1885–0001.)(Authority: 20 U.S.C. 7475)

§ 535.41 Who may an IHE nominate forfellowships?

(a) In nominating individuals toreceive master’s and doctoral levelfellowships, an IHE shall nominate onlyindividuals who—

(1) Have been accepted for enrollmentas full-time students in an approvedcourse of study offered by the IHE;

(2) Have an excellent academicrecord;

(3) Are proficient in English and, ifapplicable, another language;

(4) Have experience in providingservices to, teaching in, or administeringprograms for LEP children and youth;

(5) Are planning to enter or return toa career in service to LEP children andyouth after completion of their studies;

(6) Are eligible to receive assistanceunder 34 CFR 75.60 and 75.61; and

(7)(i) Are citizens, nationals, orpermanent residents of the UnitedStates;

(ii) Are in the United States for otherthan temporary purposes and canprovide evidence from the Immigrationand Naturalization Service of theirintent to become permanent residents;or

(iii) Are permanent residents of theCommonwealth of Puerto Rico, Guam,American Samoa, the Virgin Islands, theCommonwealth of the Northern MarianaIslands, the Republic of the MarshallIslands, the Federated States ofMicronesia, or the Republic of Palau.

(b) In nominating individuals toreceive post-doctoral fellowships, anIHE shall nominate only individualswho—

(1) Have doctoral degrees in relevantdisciplines that qualify thoseindividuals to conduct independentresearch on educational programs andpolicies for LEP children and youth; and

(2) Meet the criteria in paragraphs(a)(3) through (7) of this section.(Authority: 20 U.S.C. 7475)

§ 535.42 What is the period of afellowship?

(a) Except as provided in paragraph(b) of this section, the Secretary mayaward a fellowship—

(1) For a maximum of two one-yearperiods to an individual who maintainssatisfactory progress in a master’s orpost-doctoral program of study; and

(2) For a maximum of three one-yearperiods to an individual who maintainssatisfactory progress in a doctoralprogram of study.

(b) Subject to the availability of funds,and if an IHE provides adequatejustification, the Secretary may extend afellowship beyond the maximum periodto a master’s or doctoral Fellow who, forcircumstances beyond the Fellow’scontrol, is unable to complete theprogram of study in that period.

(c) A fellowship recipient who seeksassistance beyond the initial one-yearperiod must be renominated by theparticipating IHE.

(d) Prior to approving nominations ofnew Fellows, the Secretary may givepreference to fellowship recipients intheir second or third year who maintainsatisfactory progress in the program ofstudy.(Authority: 20 U.S.C. 7475)

Subpart F—What Conditions Must BeMet by Fellows?

§ 535.50 What is the service requirementfor a fellowship?

(a) Upon selection for a fellowship, aFellow shall sign an agreement,provided by the Secretary, to work fora period equivalent to the period of timethat the Fellow receives assistanceunder the fellowship in an activity—

(1) (i) Related to the program; or(ii) Authorized under part A of title

VII of the Act; and(2) Approved by the Secretary.(b) A fellowship recipient shall begin

working in an activity specified inparagraph (a) of this section within sixmonths of the date from which—

(1) The master’s or doctoral recipientceases to be enrolled at an IHE as a full-time student; or

(2) The post-doctoral recipientcompletes the project period in theapproved program of study.(Approved by the Office of Management andBudget under control number 1885–0001.)(Authority: 20 U.S.C. 7475(b))

§ 535.51 What are the requirements forrepayment of the fellowship?

(a) A fellowship recipient who doesnot work in an activity described in§ 535.50 shall repay the full amount ofthe fellowship.

(b) The Secretary prorates the amounta fellowship recipient is required to


repay based on the length of time thefellowship recipient worked in anauthorized activity compared with thelength of time the fellowship recipientreceived assistance.(Authority: 20 U.S.C. 7475(b))

§ 535.52 What is the repayment schedule?(a) A fellowship recipient required to

repay all or part of the amount of thefellowship shall begin repayments—

(1) Within six months of the date thefellowship recipient meets the criteriain § 535.50(b)(1) or (2); or

(2) On a date and in a mannerestablished by the Secretary, if thefellowship recipient ceases to work inan authorized activity.

(b) A fellowship recipient must repaythe required amount, including interest,in a lump sum or installment paymentsapproved by the Secretary.

(c) The repayment period may beextended if the Secretary grants adeferment under § 535.54.(Authority: 20 U.S.C. 7475(b))

§ 535.53 What is the rule regardinginterest?

(a) In accordance with 31 U.S.C. 3717,the Secretary charges a fellowshiprecipient interest on the unpaid balancethat the fellowship recipient owes.

(b) No interest is charged for theperiod of time—

(1) That precedes the date on whichthe fellowship recipient is required tobegin repayment; or

(2) During which repayment has beendeferred under § 535.54.(Authority: 20 U.S.C. 7475(b))

§ 535.54 Under what circumstances isrepayment deferred?

The Secretary may defer repayment ifthe fellowship recipient—

(a) Suffers from a serious physical ormental disability that prevents orsubstantially impairs the fellowshiprecipient’s employability in an activitydescribed in § 535.50;

(b) Demonstrates to the Secretary’ssatisfaction that the fellowship recipientis conscientiously seeking but is unableto secure employment in an activitydescribed in § 535.50;

(c) In the case of a master’s or doctoralfellowship recipient, re-enrolls as a full-time student at an IHE;

(d) Is a member of the Armed Forcesof the United States on active duty;

(e) Is in service as a volunteer underthe Peace Corps Act; or

(f) Demonstrates to the Secretary’ssatisfaction that the existence ofextraordinary circumstances preventsthe fellowship recipient from making ascheduled payment.(Authority: 20 U.S.C. 7475(b))

§ 535.55 What is the length of thedeferment of repayment?

(a) Unless the Secretary determinesotherwise, a fellowship recipient shallapply to renew a deferment on a yearlybasis.

(b) Deferments for military or PeaceCorps service may not exceed threeyears.(Authority: 20 U.S.C. 7475(b))

§ 535.56 Under what circumstances isrepayment waived?

The Secretary may waive repayment ifthe fellowship recipient demonstratesthe existence of extraordinarycircumstances that justify a waiver.(Authority: 20 U.S.C. 7475(b)(2))

§ 535.57 How shall the fellowship recipientaccount for the obligation?

(a) Within six months of the date afellowship recipient meets the criteria

in § 535.50(b)(1) or (2), the fellowshiprecipient shall submit to the Secretaryone of the following items:

(1) A description of the activity inwhich the fellowship recipient isemployed.

(2) Repayment required under§§ 535.51 and 535.52.

(3) A request to repay the obligationin installments.

(4) A request for a deferment orwaiver as described in §§ 535.54 and535.56 accompanied by a statement ofjustification.

(b) A fellowship recipient whosubmits a description of employmentunder paragraph (a)(1) of this sectionshall notify the Secretary on a yearlybasis of the period of time during thepreceding year that the fellowshiprecipient was employed in the activity.

(c) A fellowship recipient shall informthe Secretary of any change inemployment status.

(d) A fellowship recipient shallinform the Secretary of any change ofaddress.

(e)(1) A fellowship recipient’s failureto timely satisfy the requirements inparagraphs (b) through (d) of thissection results in the fellowshiprecipient being in non-compliance ordefault status subject to collectionaction.

(2) Interest and costs of collectionmay be collected in accordance with 31U.S.C. 3717 and 34 CFR Part 30.

(Approved by the Office of Management andBudget under control number 1885–0001.)(Authority: 20 U.S.C. 7475(b))


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Part VII

Department ofEducation34 CFR Part 685William D. Ford Federal Direct LoanProgram; Final Rule



34 CFR Part 685

RIN 1840–AC19

William D. Ford Federal Direct LoanProgram

AGENCY: Department of Education.ACTION: Final Regulations.

SUMMARY: This document containscorrections and other technical changesto the William D. Ford Federal DirectLoan (Direct Loan) Program finalregulations published in the FederalRegister on December 1, 1994 (59 FR61664) and on December 1, 1995 (60 FR61820 and 60 FR 61790). Most of thesechanges apply to regulations governingthe new income contingent repaymentplan, which becomes effective July 1,1996. However, several amendmentscorrect provisions currently in effect.EFFECTIVE DATE: These regulations takeeffect July 1, 1996.FOR FURTHER INFORMATION CONTACT:Ms. Rachel Edelstein, ProgramSpecialist, Direct Loan Policy, PolicyDevelopment Division, U.S. Departmentof Education, Room 3053, ROB–3, 600Independence Avenue, SW.,Washington, DC 20202–5400.Telephone: (202) 708–9406. Individualswho use a telecommunications devicefor the deaf (TDD) may call the FederalInformation Relay Service (FIRS) at 1–800–877–8339 between 8 a.m. and 8p.m., Eastern time, Monday throughFriday.SUPPLEMENTARY INFORMATION: Thefollowing regulations are amended toclarify the provisions and to correcterrors and omissions in the text of theDirect Loan Program final regulationspublished on December 1, 1994 (59 FR61664) and on December 1, 1995 (60 FR61820 and 60 FR 61790).

Repayment Plans—Section 685.208(f)

The Secretary has amended section685.208(f)(1) to clarify that, for marriedborrowers, the borrower’s repaymentamount is based on the Federal adjustedgross income (AGI) of the borrower andthe borrower’s spouse, regardless ofwhether the borrower files a jointFederal income tax return with his orher spouse or files a Federal income taxreturn separately from his or her spouse.In addition, to simplify the regulations,language alluding to joint repayment formarried borrowers has been removedbecause the subject is addressed ingreater detail in section 685.209(b).

The Secretary has also amendedsection 685.208(f)(2) to clarify that theincome contingent repayment plan in

effect at the time the borrower eitherenters repayment and selects the incomecontingent repayment plan or changesfrom another repayment plan into theincome contingent repayment plangoverns the method for determining theborrower’s monthly repayment amountunder the income contingent repaymentplan. The proposed rule published onSeptember 20, 1995, clearly states theSecretary’s intent to change the policyso that the new income contingentrepayment plan would apply toborrowers who select the incomecontingent repayment plan when theyenter repayment and to borrowers whoare in other repayment plans and switchinto the income contingent repaymentplan on or after July 1, 1996 (see 60 FR48849). While the preamble to theproposed rule clearly states theSecretary’s intended change in policy,this change was inadvertently omittedfrom the regulations. Please note that, asthe existing regulations indicate, if theSecretary amends the regulations and aborrower who is repaying under theexisting income contingent repaymentplan submits a written request that theamended regulations apply to themethod of calculation of the borrower’sloans, the Secretary would grant theborrower’s request.

Income Contingent Repayment Plan—Section 685.209

The preamble to the final regulationsstates, ‘‘The Secretary has decided torequire a $5.00 minimum monthlypayment of borrowers whose calculatedmonthly payment amount is greaterthan $0 but less than or equal to $5.00.’’Although the preamble to the finalregulations clearly states the Secretary’sintended policy, this policy wasinadvertently omitted from theregulations. In order to clarify theSecretary’s intent, section 685.209(a)(6)has been added to the regulations.

An incorrect cross reference has beencorrected in paragraph (c)(6)(ii) byremoving ‘‘§ 685.209(a)(3)’’, and adding,in its place, ‘‘§ 685.209(c)(3).’’

Origination of Loan by a Direct LoanProgram School—Section 685.301

The terminology of this section hasbeen changed to clarify that schoolscertify loan information in the DirectLoan Program by means of theorigination process. Throughout thissection, the word ‘‘certification’’ hasbeen changed to ‘‘origination.’’ Thischange in terminology does not reflecta change in policy or procedures. In theFederal Family Education Loan (FFEL)Program, a financial aid administratorsigns the application, thereby certifyingthat the borrower is eligible. In the

Direct Loan Program, the process oforiginating a loan is comparable to theFFEL certification process. When theschool originates the loan, the school iscertifying the borrower’s eligibility.Paragraph (a)(6) has been amended toreflect this concept. This technicalchange does not impose any newpolicies or procedural requirements.

In addition, paragraph (a)(7) has beenamended to specify that a school maynot assess a fee for the origination of aDirect Loan. According to section454(a)(6) of the Higher Education Act of1965, as amended, schools may not‘‘charge any fees of any kind, howeverdescribed, to student or parentborrowers for origination activities. . . .’’ This statutory requirement wasinadvertently omitted from theregulations.

Appendix A to Part 685—IncomeContingent Repayment

The Secretary has updated the incomepercentage factors in the appendix toreflect the Department of Health andHuman Services (HHS) Annual Updateof the HHS Poverty guidelines,published in the Federal Register onMarch 4, 1996. In addition, theexamples of the calculation of monthlyrepayment amounts and the chartsshowing sample repayment amountshave been amended to reflect theupdated income percentage factors.Under the updated income percentagefactors, at any given income, borrowers’payments will be slightly lower thanunder the income percentage factorspublished in the December 1, 1995regulations. The Secretary believes theupdated income percentage factors moreaccurately reflect a borrower’s ability torepay than those previously published.

Waiver of Proposed Rulemaking

In accordance with theAdministrative Procedure Act, 5 U.S.C.553, it is the practice of the Secretary tooffer interested parties the opportunityto comment on proposed regulations.However, the regulatory changes in thisdocument are necessary to correct minortechnical errors and omissions in theDirect Loan Program final regulationspublished on December 1, 1994, andDecember 1, 1995. The changes in thisdocument do not establish any newrules. Therefore, the Secretary hasdetermined that publication of aproposed rule is unnecessary andcontrary to the public interest under 5U.S.C. 553(b)(B). For the same reasons,the Secretary also waives the 30-daydelayed effective date under 5 U.S.C.553(d).



These final regulations have beenreviewed in accordance with ExecutiveOrder 12866. Under the terms of theorder, the Secretary has assessed thepotential costs and benefits of thisregulatory action.

The potential costs associated withthese final regulations are thoseresulting from statutory requirementsand those determined by the Secretaryas necessary for administering theprogram effectively and efficiently.Burdens specifically associated withinformation collection requirements, ifany, are identified and explainedelsewhere in this preamble under theheading Paperwork Reduction Act of1995.

In assessing the potential costs andbenefits—both quantitative andqualitative—of these final regulations,the Secretary has determined that thebenefits of the regulations justify thecosts.

The Secretary has also determinedthat this regulatory action does notunduly interfere with State, local, andtribal governments in the exercise oftheir governmental functions.

Paperwork Reduction Act of 1995

These regulations have beenexamined under the PaperworkReduction Act of 1995 and have beenfound to contain no informationcollection requirements.

Regulatory Flexibility Act Certification

The Secretary certifies that theseregulations will not have significanteconomic impact on a substantialnumber of small entities. Theregulations will affect borrowers whoare in repayment. These regulationscontain technical amendments designedto clarify and correct currentregulations. The changes will not havea significant economic impact on anysmall entities under the RegulatoryFlexibility Act.

Assessment of Educational Impact

The Secretary has determined that theregulations in this document would notrequire transmission of information thatis being gathered by or is available fromany other agency or authority of theUnited States.


Administrative practice andprocedure, Colleges and universities,Education, Loan programs-education,Reporting and recordkeeping

requirements, Student aid, Vocationaleducation.(Catalog of Domestic Assistance Number:84.268, William D. Ford, Federal Direct LoanProgram)

Dated: June 12, 1996.Richard W. Riley,Secretary of Education.

The Secretary amends Part 685 ofTitle 34 of the Code of FederalRegulations as follows:



Authority: 20 U.S.C. 1087a et seq., unlessotherwise noted.

2. Section 685.208 is amended byrevising paragraphs (f) (1) and (2) toread as follows:

§ 685.208 Repayment plans.

* * * * *(f) * * *(1) Under the income contingent

repayment plan, a borrower’s monthlyrepayment amount is generally based onthe total amount of the borrower’s DirectLoans, family size, and Adjusted GrossIncome (AGI) reported by the borrowerfor the most recent year for which theSecretary has obtained incomeinformation. The borrower’s AGIincludes the income of the borrower’sspouse. A borrower shall makepayments on a loan until the loan isrepaid in full or until the loan has beenin repayment through the end of theincome contingent repayment period.

(2) The regulations in effect at thetime a borrower enters repayment andselects the income contingentrepayment plan or changes into theincome contingent repayment plan fromanother plan govern the method fordetermining the borrowers’s monthlyrepayment amount for all of theborrower’s Direct Loans, unless—* * * * *

3. Section 685.209 is amended byredesignating paragraphs (a) (6) through(8) as (a) (7) through (9), respectively,and adding a new paragraph (a)(6); andby removing ‘‘§ 685.209(a)(3)’’ inparagraph (c)(6)(ii), and adding, in itsplace, ‘‘§ 685.209(c)(3)’’ to read asfollows:

§ 685.209 Income contingent repaymentplan.

(a) * * *(6) If a borrower’s monthly payment is

calculated to be greater than $0 but less

than or equal to $5.00, the amountpayable by the borrower shall be $5.00.* * * * *

§ 685.301 [Amended]

4. Section 685.301 is amended byremoving the word ‘‘certify’’ from theintroductory text in paragraph (a)(6) andadding, in its place, ‘‘originate’’; andparagraph (a)(7) is amended by adding,before the period at the end of thesentence, ‘‘or for the origination of aDirect Loan’’.

5. Appendix A is amended by revisingthe computations following Example 1,Steps 2, 3, and 4; revising thecomputations following Example 2,Steps 3, 4, and 5; revising thecomputations following theInterpolation; and by revising the chartsof Income Percentage Factors (Based onAnnual Income), Income ContingentRepayment Plan (Sample First-YearMonthly Repayment Amounts for aSingle Borrower at Various Income andDebt Levels), and Income ContingentRepayment Plan (Sample First-YearMonthly Repayment Amounts for aMarried or Head-of-Household Borrowerat Various Income and Debt Levels) toread as follows:

Appendix A to Part 685—IncomeContingent Repayment

* * * * * *Example 1. * * *Step 2: * * *

• 84.46% (0.8446)×1,644.315=1,388.7884Step 3: * * *

• $25,000¥$7,740=$17,260• $17,260×0.20=$3,452

Step 4: * * *• 1,388.7884÷12=$115.73

Example 2. * * *Step 3: * * *

• 91.27% (0.9127)×2,630.904=2,401.2261Step 4: * * *

• $30,000¥$10,360=$19,640• $19,640×0.020=$3,928

Step 5: * * *• 2,401.2261÷12=$200.10

Interpolation: * * *• $27,904¥$25,000=$2,904* * * * *• 88.77¥84.46=4.31* * * * *• $26,000¥$25,000=$1,000* * * * *• 1,000÷2,904=0.3444* * * * *• 0.3444×4.31=1.48* * * * *• 1.48+84.46=85.94%


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Part VIII

Department ofEducationIndian Vocational Education Program;Notice Inviting Applications for NewAwards for Fiscal Year (FY) 1996; Notice



[CFDA No: 84.101]

Indian Vocational Education Program;Notice Inviting Applications for NewAwards for Fiscal Year (FY) 1996

Notice to Applicants: This notice is acomplete application package. Togetherwith the statute authorizing the programand applicable regulations governingthe program, including the EducationDepartment General AdministrativeRegulations (EDGAR), the noticecontains all of the information,application forms, and instructionsneeded to apply for a grant under thiscompetition.

Purpose of Program: To providefinancial assistance to Indian tribes andcertain schools funded by theDepartment of the Interior to plan,conduct, and administer projects, orportions of projects, that are authorizedby and consistent with the Carl D.Perkins Vocational and AppliedTechnology Education Act of 1990(Act), as amended, 20 U.S.C. 2301 etseq.

Eligible Applicants: The followingentities are eligible for an award underthis program:

(a) A tribal organization of any Indiantribe that is eligible to contract with theSecretary of the Interior under theIndian Self-Determination andEducation Assistance Act or under theAct of April 16, 1934.

(b) A Bureau-funded school offering asecondary program.

(c) Any tribal organization or Bureau-funded school described in paragraphs(a) or (b) of this section may applyindividually or as part of a consortiumwith one or more eligible tribalorganizations or schools.

When seeking to apply for funds as aconsortium, individual eligibleapplicants must enter into an agreementsigned by all members of the consortiumand designating one member of theconsortium as the applicant and grantee.The consortium’s agreement must detailthe activities each member of theconsortium plans to perform, and mustbind each member to every statementand assurance made in the consortium’sapplication. The designated applicantmust submit the consortium’s agreementwith its application.

Submission of Applications: (a) Anapplication from a tribal organization,other than a Bureau-funded school,must be submitted to the Secretary bythe Indian tribe.

(b) An application for a project toserve more than one Indian tribe mustbe approved by each tribe to be served.

(c) An application from a Bureau-funded school may be submitteddirectly to the Secretary.

Deadline for Transmittal ofApplications: August 2, 1996.

Available Funds: $11,482,511 for thefirst 12 months of the 24-month projectperiod. Funding for the second 12-month period of the 24-month projectperiod is subject to the availability offunds and to a grantee meeting therequirements of 34 CFR 75.253.

Estimated Range of Awards: $250,000to $500,000 for the first 12 months.

Estimated Average Size of Awards:$375,000.

Estimated Number of Awards: 31.Note: The Department is not bound by any

estimates in this notice.

Project Period: Up to 24 months.Applicable Regulations: (a) The

Education Department GeneralAdministrative Regulations (EDGAR) asfollows:

(1) 34 CFR Part 74 (Administration ofGrants to Higher Education, Hospitalsand Nonprofit Organizations).

(2) 34 CFR Part 75 (Direct GrantPrograms).

(3) 34 CFR Part 77 (Definitions thatApply to Department Regulations).

(4) 34 CFR Part 80 (UniformAdministrative Requirements for Grantsand Cooperative Agreements to Stateand Local Governments).

(5) 34 CFR Part 81 (General EducationProvisions Act—Enforcement).

(6) 34 CFR Part 85 (Government-wideDebarment and Suspension(Nonprocurement) and Government-wide Requirements for Drug-FreeWorkplace (Grants)).

(7) 34 CFR Part 86 (Drug-Free Schoolsand Campuses).

(b) The regulations for this program in34 CFR parts 400 and 401.

Definitions

Applicants are encouraged to takeparticular note of the followingdefinitions that are contained in 34 CFR401.5:

‘‘Act of April 16, 1934’’ means theFederal law commonly known as the‘‘Johnson-O’Malley Act,’’ that authorizesthe Secretary of the Interior to makecontracts for the education of Indiansand other purposes (25 U.S.C. 455–457).

‘‘Bureau’’ means the Bureau of IndianAffairs, Department of the Interior.

‘‘Bureau-funded school’’ means—(1) A Bureau-operated elementary or

secondary day or boarding school or aBureau-operated dormitory for studentsattending a school other than a Bureauschool;

(2) An elementary or secondaryschool or a dormitory that receives

financial assistance for its operationunder a contract or agreement with theBureau under section 102, 104(1), or 208of the Indian Self-Determination andEducation Assistance Act (25 U.S.C.450f, 450h(1), and 458(d); or

(3) A school for which assistance isprovided under the Tribally ControlledSchools Act of 1988.

‘‘Indian tribe’’ means any Indian tribe,band, Nation, or other organized groupor community, including any AlaskaNative village or regional or villagecorporation as defined in or establishedpursuant to the Alaska Native ClaimsSettlement Act (85 Stat. 688) that isfederally recognized as eligible for thespecial programs and services providedby the United States to Indians becauseof their status as Indians.

‘‘Tribal organization’’ means therecognized governing body of anyIndian tribe or any legally establishedorganization of Indians that iscontrolled, sanctioned, or chartered bythat governing body or that isdemocratically elected by the adultmembers of the Indian community to beserved by the organization and thatincludes the maximum participation ofIndians in all phases of its activities.However, in any case where a contractis let or grant made to an organizationto perform services benefiting more thanone Indian tribe, the approval of each ofthose Indian tribes must be aprerequisite to the letting or making ofthat contract or grant.

Selection CriteriaThe Secretary uses the selection

criteria contained in 34 CFR 401.21 toevaluate applications for new grantsunder this competition. Section 401.21assigns a total of 85 points for thesecriteria. Under section 401.20(b), theSecretary is authorized to distribute anadditional 15 reserved points among thecriteria contained in section 401.21 fora maximum of 100 points for theselection criteria. The maximum scorefor each criterion is indicated inparentheses.

Criteria(a) Program factors. (25 points) The

Secretary reviews each application todetermine the extent to which it—

(1) Proposes measurable goals forstudent enrollment, completion, andplacement (including placement in jobsor military specialties and in continuingeducation or training opportunities) thatare realistic in terms of stated needs,resources, and job opportunities in eachoccupation for which training is to beprovided;

(2) Proposes goals that take intoconsideration any related goals or


standards developed for JobOpportunities and Basic Skills (JOBS)programs (42 U.S.C. 681 et seq.) and JobTraining Partnership Act (JTPA) (29U.S.C. 1501 et seq.) training programsoperating in the area, and, whereappropriate, any goals set by the StateBoard for vocational education for theoccupation and geographic area;

(3) Describes, for each occupation forwhich training is to be provided, howsuccessful program completion will bedetermined in terms of academic andvocational competencies demonstratedby enrollees prior to completion andany academic or work credentialsacquired by enrollees upon completion;

(4) Demonstrates the activecommitment in the project’s planningand operation by advisory committees,tribal planning offices, the JOBSprogram office, the JTPA programdirector, and potential employers suchas tribal enterprises, private enterprises(on or off reservation), and otherorganizations;

(5) Is targeted to individuals withinadequate skills to assist thoseindividuals in obtaining newemployment; and

(6) Includes a thorough description ofthe approach to be used, including someor all of the following components:

(i) Methods of participant selection.(ii) Assessment and feedback of

participant progress.(iii) Coordination of vocational

instruction, academic instruction, andsupport services such as counseling,transportation, and child care.

(iv) Curriculum and, if appropriate,approaches for providing on-the-jobtraining experience.

(b) Need. (15 points) The Secretaryreviews each application to determinethe extent to which the projectaddresses specific needs, including—

(1) The job market and related needs(such as educational level) of the targetpopulation;

(2) Characteristics of that population,including an estimate of those to beserved by the project;

(3) How the project will meet theneeds of the target population; and

(4) A description of any ongoing andplanned activities relative to thoseneeds, including, if appropriate, howthe State plan developed under 34 CFR403.30–403.34 is designed to meet thoseneeds.

(c) Plan of operation. (15 points) TheSecretary reviews each application todetermine the quality of the plan ofoperation for the project, including—

(1) The establishment of objectivesthat are clearly related to project goalsand activities and are measurable with

respect to anticipated enrollments,completions, and placements;

(2) A management plan that describesthe chain of command, how staff will bemanaged, how coordination among staffwill be accomplished, and timelines foreach activity; and

(3) The way the applicant intends touse its resources and personnel toachieve each objective.

(d) Key personnel. (10 points).(1) The Secretary reviews each

application to determine the quality ofkey personnel the applicant plans to useon the project, including—

(i) The qualifications of the projectdirector;

(ii) The qualifications of each of theother key personnel to be used on theproject;

(iii) The time, including justificationfor the time that each one of the keypersonnel, including the projectdirector, will commit to the project; and

(iv) Subject to the Indian preferenceprovisions of the Indian Self-Determination Act (25 U.S.C. 450 etseq.) that apply to grants and contractsto tribal organizations, how theapplicant, as part of itsnondiscriminatory employmentpractices, will ensure that its personnelare selected for employment withoutregard to race, color, national origin,gender, age, or disabling condition.

(2) To determine personnelqualifications, the Secretary considers—

(i) The experience and training of keypersonnel in project management and infields particularly related to theobjectives of the project; and

(ii) Any other qualifications of keypersonnel that pertain to the quality ofthe project.

(e) Budget and Cost Effectiveness. (5points) The Secretary reviews eachapplication to determine the extent towhich—

(1) The budget is adequate to supportthe project activities;

(2) Costs are reasonable in relation tothe objectives of the project and thenumber of participants to be served; and

(3) The budget narrative justifies theexpenditures.

(f) Evaluation Plan. (10 points) TheSecretary reviews each application todetermine the quality of the evaluationplan for the project, including the extentto which—

(1) The plan identifies, at a minimum,types of data to be collected andreported with respect to the academicand vocational competenciesdemonstrated by participants and thenumber and kind of academic and workcredentials acquired by participantswho complete the training;

(2) The plan identifies, at a minimum,types of data to be collected and

reported with respect to theachievement of project goals for theenrollment, completion, and placementof participants. The data must be brokendown by sex and by occupation forwhich training was provided;

(3) The methods of evaluation areappropriate for the project and, to theextent possible, are objective andproduce data that are quantifiable; and

(4) The methods of evaluation provideperiodic data that can be used by theproject for ongoing programimprovement.

(h) Employment opportunities. (20points) The Secretary reviews eachapplication to determine the quality ofthe plan for job placement ofparticipants who complete trainingunder this program, including—

(1) The expected employmentopportunities (including any militaryspecialties) and any additionaleducational or training opportunitiesthat are related to the participants’training;

(2) Information and documentationconcerning potential employers’commitment to hire participants whocomplete training; and

(3) An estimate of the percentage oftrainees expected to be employed(including self-employed individuals) inthe field for which they were trainedfollowing completion of training.

Special ConsiderationsUnder 34 CFR 401.20(e), in addition

to the 100 points to be awarded basedon the selection criteria in 34 CFR401.21, the Secretary awards:

(a) Up to 5 points to applicationsproposing exemplary approaches thatinvolve, coordinate with, or encouragetribal economic development plans; and

(b) Five points to applications fromtribally controlled community collegesthat—

(1) Are accredited or are candidatesfor accreditation by a nationallyrecognized accreditation organization asan institution of postsecondaryvocational education; or

(2) Operate vocational educationprograms that are accredited or arecandidates for accreditation by anationally recognized accreditationorganization and issue certificates forcompletion of vocational educationprograms.

Additional FactorsUnder 34 CFR 401.22, the Secretary

may decide not to award a grant orcooperative agreement if—

(a) The proposed project duplicates aneffort already being made; or

(b) Funding the project would createan inequitable distribution of fundsunder this part among Indian tribes.


Instructions for Transmittal ofApplications

Applicants are required to submit oneoriginal and two copies of the grantapplication. To aid with the review ofapplications, the Departmentencourages applicants to submit fouradditional copies of the grantapplication. The Department will notpenalize applicants who do not provideadditional copies.

(a) If an applicant wants to apply fora grant under this competition, theapplicant must—

(1) Mail the original and two copiesof the application on or before thedeadline date to: U.S. Department ofEducation, Application Control Center,Attention: (CFDA #84.101), Washington,D.C. 20202–4725.

(2) Hand deliver the original and twocopies of the application by 4:30 p.m.(Washington, D.C. time) on or before thedeadline date to: U.S. Department ofEducation, Application Control Center,Attention: (CFDA #84.101), Room#3633, Regional Office Building #3, 7thand D Streets, S.W., Washington, D.C.

(b) An applicant must show one of thefollowing as proof of mailing:

(1) A legibly dated U.S. Postal Servicepostmark.

(2) A legible mail receipt with thedate of mailing stamped by the U.S.Postal Service.

(3) A dated shipping label, invoice, orreceipt from a commercial carrier.

(4) Any other proof of mailingacceptable to the Secretary.

(c) If an application is mailed throughthe U.S. Postal Service, the Secretarydoes not accept either of the followingas proof of mailing:

(1) A private metered postmark.(2) A mail receipt that is not dated by

the U.S. Postal Service.Notes: (1) The U.S. Postal Service does not

uniformly provide a date postmark. Beforerelying on this method, an applicant shouldcheck with its local post office.

(2) The Application Control Center willmail a Grant Application Receipt

Acknowledgment to each applicant. If anapplicant fails to receive the notification ofapplication receipt within 15 days from thedate of mailing the application, the applicantshould call the U.S. Department of EducationApplication Control Center at (202) 708–9494.

(3) The applicant must indicate on theenvelope and—if not provided by theDepartment—in Item 10 of the Applicationfor Federal Assistance (Standard Form 424)the CFDA number—and suffix letter, if any—of the competition under which theapplication is being submitted.

Application Instructions and FormsAll forms and instructions are

included as Appendix A of this notice.Questions and answers pertaining tothis program are included, as AppendixB, to assist potential applicants.

To apply for an award under thisprogram competition, your applicationmust be organized in the followingorder and include the following fiveparts. The parts and additional materialsare as follows:

Part I: Application for Federal Assistance(Standard Form 424 (Rev. 4–88)) andinstructions.

Part II: Budget Information—Non-Construction Programs (ED Form No. 524)and instructions.

Part III: Budget Narrative.Part IV: Program Narrative. Estimated

Public Reporting Burden.Part V: Additional Assurances and

Certifications:a. Assurances—Non-Construction

Programs (Standard Form 424B).b. Certification regarding Debarment,

Suspension, and Other ResponsibilityMatters; and Drug-Free WorkplaceRequirements (ED 80–0013) and instructions.

c. Certification regarding Debarment,Suspension, Ineligibility and VoluntaryExclusion: Lower Tier Covered Transactions(ED Form 80–0014, 9/90) and instructions.

(Note: ED Form 80–0014 is intended for theuse of grantees and should not be transmittedto the Department.)

d. Disclosure of Lobbying Activities(Standard Form LLL)(if applicable) andinstructions. This document has been markedto reflect statutory changes. See the noticepublished by the Office of Management andBudget at 61 FR 1413 (January 19, 1996).

e. Notice to All Applicants.

All applicants must submit ONEoriginal signed application having anink signature on all forms andassurances and two copies of theapplication. Please mark eachapplication as original and copy. To aidwith the review of applications, theDepartment encourages applicants tosubmit four additional copies of thegrant application. The Department willnot penalize applicants who do notprovide additional copies.

No grant may be awarded unless acompleted application form has beenreceived.FOR FURTHER INFORMATION CONTACT:Gwen Washington or David Jones,Special Programs Branch, Division ofNational Programs, Office of Vocationaland Adult Education, U.S. Departmentof Education, 600 IndependenceAvenue, S.W. (Room 4512, Mary E.Switzer Building), Washington, D.C.20202–7242. Telephone (202) 205–9270.Individuals who use atelecommunications device for the deaf(TDD) may call the Federal InformationRelay Service (FIRS) at 1–800–877–8339between 8 a.m. and 8 p.m. Eastern timeMonday through Friday.

Information about the Department’sfunding opportunities, including copiesof application notices for discretionarygrant competitions, can be viewed onthe Department’s electronic bulletinboard (ED Board), telephone (202) 260–9950; or on the Internet Gopher Serverat GOPHER.ED.GOV (underAnnouncements, Bulletins and PressReleases). However, the officialapplication notice for a discretionarygrant competition is the noticepublished in the Federal Register.

Program Authority: 20 U.S.C. 2313(b).Dated: June 13, 1996.

Patricia W. McNeil,Assistant Secretary, Office of Vocational andAdult Education.



Appendix A


Part II—Budget Information

Instructions for Part II—Budget InformationSections A and B—Budget Summary byCategories

1. Personnel: Show salaries to be paid topersonnel for each budget year.

2. Fringe Benefits: Indicate the rate andamount of fringe benefits for each budgetyear.

3. Travel: Indicate the amount requestedfor both local and out of State travel ofProject Staff for each budget year. Includefunds for at least one trip for two people toattend the Project Director’s Workshop.

4. Equipment: Indicate the cost of non-expendable personal property that has a costof $5,000 or more per unit for each budgetyear.

5. Supplies: Include the cost of consumablesupplies and materials to be used during theproject period for each budget year.

6. Contractual: Show the amount to beused for: (1) procurement contracts (exceptthose which belong on other lines such assupplies and equipment); and (2) sub-contracts for each budget year.

7. Construction: Not Applicable.8. Other: Indicate all direct costs not

clearly covered by lines 1 through 6 above,including consultants and capitalexpenditures for each budget year.

9. Total Direct Cost: Show the total forLines 1 through 8 for each budget year.

10. Indirect Costs: Indicate the rate andamount of indirect costs for each budget year.

11. Training/stipend Cost: Indicate cost perstudent and number of hours of instruction(minimum wage is the basis for amount perhour—$4.25) for each budget year.

12. Total Costs: Show total for lines 9through 11 for each budget year.

Instructions for Part III—Budget NarrativeThe budget narrative should explain,

justify, and, if needed, clarify your budget

summary. For each line item (personnel,fringe benefits, travel, etc.) in your budget,explain why it is there and how youcomputed the costs.

Please limit this section to no more thanfive pages. Be sure that each page of yourapplication is numbered consecutively.

Instructions for Part IV—Program NarrativeThe program narrative will comprise the

largest portion of your application. This partis where you spell out the who, what, when,why, and how, of your proposed project.

Although you will not have a form to fillout for your narrative, there is a format. Thisformat is based on the selection criteria.Because your application will be reviewedand rated by a review panel on the basis ofthe selection criteria, your narrative shouldfollow the order and format of the criteria.

Before preparing your application, youshould carefully read the legislation andregulations of the program, eligibilityrequirements, special considerations, and theselection criteria for this competition.

Your program narrative should be clear,concise, and to the point. Begin the narrativewith a one page abstract or summary of yourproject. Then describe the project in detail,addressing each selection criterion in order.

The Secretary strongly suggests that youlimit the program narrative to no more than30 double-spaced, typed pages (on one sideonly), although the Secretary will consideryour application if it is longer. Be sure tonumber consecutively ALL pages in yourapplication.

You may include supportingdocumentation as appendices to the programnarrative. Be sure that this material is conciseand pertinent to this program completion.

You are advised that—(a) The Secretary considers only

information contained in the application inranking applications for fundingconsideration. Letters of support sent

separately from the formal applicationpackage are not considered in the review bythe technical review panels. (34 CFR 75.217)

(b) The technical review panel evaluateseach application solely on the basis of theselection criteria contained in this notice andin 34 CFR 401.21 and the specialconsiderations contained in this notice andin 34 CFR 401.20(e). Letters of supportincluded as appendices to the applicationthat are of direct relevance to or containcommitments that pertain to the establishedselection criteria, such as commitment ofresources, will be reviewed by the panel.

Paperwork Burden Statement

According to the Paperwork Reduction Actof 1995, no persons are required to respondto a collection of information unless itdisplays a valid OMB control number. Thevalid OMB control number for thisinformation collection is 1830–0013(Expiration date: 06/30/99). The timerequired to complete this informationcollection is estimated to average 90 hoursper response, including the time to reviewinstructions, search existing data resources,gather the data needed, and complete andreview the information collection. If youhave any comments concerning the accuracyof the time estimate(s) or suggestions forimproving this form, please write to: U.S.Department of Education, Washington, D.C.20202–4651. If you have comments orconcerns regarding the status of yourindividual submission of this form, writedirectly to: Gwen Washington or David Jones,Special Programs Branch, Division ofNational Programs, Office of Vocational andAdult Education, U.S. Department ofEducation, 600 Independence Avenue, S.W.(Room 4512 Mary E. Switzer Building),Washington, D.C. 20202–7242.



Notice to All ApplicantsThank you for your interest in this

program. The purpose of this enclosure is toinform you about a new provision in theDepartment of Education’s General EducationProvisions Act (GEPA) that applies toapplicants for new grant awards underDepartment programs. This provision issection 427 of GEPA, enacted as part of theImproving America’s Schools Act of 1994(Pub. L. 103–382).

To Whom Does This Provision Apply?Section 427 of GEPA affects applicants for

new discretionary grant awards under thisprogram. ALL APPLICANTS FOR NEWAWARDS MUST INCLUDE INFORMATIONIN THEIR APPLICATIONS TO ADDRESSTHIS NEW PROVISION IN ORDER TORECEIVE FUNDING UNDER THISPROGRAM.What Does This Provision Require?

Section 427 requires each applicant forfunds (other than an individual person) toinclude in its application a description of thesteps the applicant proposes to take to ensureequitable access to, and participation in, itsfederally-assisted program for students,teachers, and other program beneficiarieswith special needs.

This section allows applicants discretionin developing the required description. Thestatute highlights six types of barriers thatcan impede equitable access or participationthat you may address: gender, race, nationalorigin, color, disability, or age. Based on localcircumstances, you can determine whetherthese or other barriers may prevent yourstudents, teachers, etc. from equitable accessor participation. Your description need notbe lengthy; you may provide a clear andsuccinct description of how you plan toaddress those barriers that are applicable toyour circumstances. In addition, theinformation may be provided in a singlenarrative, or, if appropriate, may bediscussed in connection with related topicsin the application.

Section 427 is not intended to duplicatethe requirements of civil rights statutes, butrather to ensure that, in designing theirprojects, applicants for Federal funds addressequity concerns that may affect the ability ofcertain potential beneficiaries to fullyparticipate in the project and to achieve tohigh standards. Consistent with programrequirements and its approved application,an applicant may use the Federal fundsawarded to it to eliminate barriers itidentifies.

What Are Examples of How an ApplicantMight Satisfy the Requirement of ThisProvision?

The following examples may help illustratehow an applicant may comply with section427.

(1) An applicant that proposes to carry outan adult literacy project serving, amongothers, adults with limited Englishproficiency, might describe in its applicationhow it intends to distribute a brochure aboutthe proposed project to such potentialparticipants in their native language.

(2) An applicant that proposes to developinstructional materials for classroom use

might describe how it will make thematerials available on audio tape or in braillefor students who are blind.

(3) An applicant that proposes to carry outa model science program for secondarystudents and is concerned that girls may beless likely than boys to enroll in the course,might indicate how it tends to conduct‘‘outreach’’ efforts to girls, to encourage theirenrollment.

We recognize that many applicants mayalready be implementing effective steps toensure equity of access and participation intheir grant programs, and we appreciate yourcooperation in responding to therequirements of this provision.

Estimated Burden StatementAccording to the Paperwork Reduction Act

of 1995, no persons are required to respondto a collection of information unless itdisplays a valid OMB control number. Thevalid OMB control number for thisinformation collection is 1801–0004 (Exp. 8/31/98). The time required to complete thisinformation collection is estimated to varyfrom 1 to 3 hours per response, with anaverage of 1.5 hours, including the time toreview instructions, search existing dataresources, gather and maintain the dataneeded, and complete and review theinformation collection. If you have anycomments concerning the accuracy of thetime estimate(s) or suggestions for improvingthis form, please write to: U.S. Department ofEducation, Washington, DC 20202–4651.

Appendix BPotential applicants frequently direct

questions to officials of the Departmentregarding application notices andprogrammatic and administrative regulationsgoverning various direct grant programs. Toassist potential applicants, the Departmenthas assembled the following most commonlyasked questions followed by theDepartment’s answers.

Q. Can we get an extension of thedeadline?

A. No. A closing date may be changed onlyunder extraordinary circumstances. Anychange must be announced in the FederalRegister and must apply to all applications.Waivers for individual applications cannotbe granted regardless of the circumstances.

Q. How many copies of the applicationshould I submit and must they be bound?

A. Applicants are required to submit oneoriginal and two copies of the grantapplication. To aid with the review ofapplications, the Department encouragesapplicants to submit four additional copies ofthe grant application. The Department willnot penalize applicants who do not provideadditional copies. The binding ofapplications is optional.

Q. We just missed the deadline for the XXXcompetition. May we submit under anothercompetition?

A. Yes, however, the likelihood of successis not good. A properly prepared applicationmust meet the specifications of thecompetition to which it is submitted.

Q. I’m not sure which competition is mostappropriate for my project. What should I do?

A. We are happy to discuss any suchquestions with you and provide clarification

on the unique elements of the variouscompetitions.

Q. Will you help us prepare ourapplication?

A. We are happy to provide generalprogram information. Clearly, it would not beappropriate for staff to participate in theactual writing of an application, but we canrespond to specific questions aboutapplication requirements, evaluation criteria,and the priorities. Applicants shouldunderstand, however, that prior contact withthe Department is not required, nor will it inany way influence the success of anapplication.

Q. When will I find out if I’m going to befunded?

A. You can expect to receive notificationwithin 3 to 4 months of the applicationclosing date, depending on the number ofapplications received and the number ofDepartment competitions with similarclosing dates.

Q. Once my application has been reviewedby the review panel, can you tell me theoutcome?

A. No. Every year we are called by anumber of applicants who have a legitimatereason for needing to know the outcome ofthe panel review prior to official notification.Some applicants need to make job decisions,some need to notify a local school district,etc. Regardless of the reason, because finalfunding decisions have not been made at thatpoint, we cannot share information about theresults of panel review with anyone.

Q. Will my application be returned if I amnot funded?

A. No. We no longer return unsuccessfulapplications. Thus, applicants should retainat least one copy of the application.

Q. Can I obtain copies of reviewers’comments?

A. Upon written request, reviewers’comments will be mailed to unsuccessfulapplicants.

Q. Is travel allowed under these projects?A. Travel associated with carrying out the

project is allowed. Because we may requestthe project director of funded projects toattend an annual project directors’ meeting,you may also wish to include a trip or twoto Washington, DC in the travel budget.Travel to conferences is sometimes allowedwhen the purpose of the conference will beof benefit and relates to the project.

Q. If my application receives high scoresfrom the reviewers, does that mean that I willreceive funding?

A. Not necessarily. It is often the case thatthe number of applications scored highly bythe reviewers exceeds the dollars availablefor funding projects under a particularcompetition. The order of selection, which isbased on the scores of all the applicationsreviewed and other relevant factors,determines the applications that can befunded.

Q. What happens during negotiations?A. During negotiations technical and

budget issues may be raised. These are issuesthat have been identified during the paneland staff reviews that require clarification.Sometimes issues are stated as ‘‘conditions.’’These are issues that have been identified asso critical that the award cannot be made


unless those conditions are met. Questionsmay also be raised about the proposedbudget. Generally, these issues are raisedbecause an application contains inadequatejustification or explanation of a particularbudget item, or because the budget itemseems unimportant to the successfulcompletion of the project. If you are asked tomake changes that you feel could seriouslyaffect the project’s success, you may providereasons for not making the changes orprovide alternative suggestions. Similarly, ifproposed budget reductions will, in youropinion, seriously affect the project activities,you may explain why and provide additionaljustification for the proposed expenses. Anaward cannot be made until all issues undernegotiation have been resolved.

Q. How do I provide an assurance?A. Except for SF–424B, ‘‘Assurances—Non-

Construction Programs,’’ you may provide anassurance simply by stating in writing thatyou are meeting a prescribed requirement.

Q. Where can copies of the FederalRegister, program regulations, and Federalstatutes be obtained?

A. Copies of these materials can usually befound at your local library. If not, they canbe obtained from the Government PrintingOffice by writing to Superintendent ofDocuments, U.S. Government Printing Office,Washington, DC 20402. Telephone: (202)708–8228. When requesting copies ofregulations or statutes, it is helpful to use thespecific name or public law, number of astatute, or part number of a regulation. The

material referenced in this notice should bereferred to as follows:

(1) The Carl D. Perkins Vocational andApplied Technology Education Act (Pub. L.101–302).

(2) Education Department GeneralAdministrative Regulations, 34 CFR parts 74,75, 77, 79, 90, 81, and 85.

(3) 34 CFR parts 400 (Vocational andApplied Technology Education Programs—General Provisions) and 401 (IndianVocational Education Program) as publishedin the Federal Register on August 14, 1992(57 FR 36724).


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Part IX

Department ofCommerceInternational Trade Administration

International Buyer Program (FormerlyKnown as the Foreign Buyer Program);Support for Domestic Trade Shows;Notice


DEPARTMENT OF COMMERCE

International Trade Administration

[Docket Number 960611170–6170–01]

RIN 0625–XX07

International Buyer Program (FormerlyKnown as the Foreign Buyer Program);Support for Domestic Trade Shows

AGENCY: International TradeAdministration, Commerce.ACTION: Notice and Call for Applicationsfor the FY 1998 International BuyerProgram (October 1, 1997, throughSeptember 30, 1998).

SUMMARY: This notice sets forthobjectives, procedures and applicationreview criteria associated with the U.S.Department of Commerce’s InternationalBuyer Program (IBP) to supportdomestic trade shows: Selection in theInternational Buyer Program for FiscalYear (FY) 1998.

The International Buyer Program wasestablished to bring international buyerstogether with U.S. firms by promotingleading U.S. trade shows in industrieswith high export potential. TheInternational Buyer Program emphasizescooperation between the U.S.Department of Commerce (DOC) andtrade show organizers to benefit U.S.firms exhibiting at selected events andprovides practical, hands-on assistanceto U.S. companies interested inexporting such as export counseling andmarket analysis. The assistanceprovided to show organizers includesworldwide overseas promotion ofselected shows to potential internationalbuyers, end-users, representatives anddistributors. The worldwide promotionis executed through the offices of theCommerce Department’s CommercialService of the United States of America(formerly referred to as United Statesand Foreign Commercial Service) in 70countries representing America’s majortrading partners, and also in U.S.Embassies in countries where theCommercial Service of the United Statesof America does not maintain offices.

The Department expects to selectapproximately 22 shows for FY 1998from among applicants to the program.Shows selected for the InternationalBuyer Program will provide an avenuefor U.S. companies interested inexpanding their sales into internationalmarkets. Successful applicants will berequired to enter into a Memorandum ofUnderstanding (MOU) that sets forth thespecific actions to be performed by theshow organizer and the DOC. The MOUconstitutes a participation agreementbetween the DOC and the show

organizer specifying which services areto be rendered by DOC as part of the IBPand, in turn, what responsibilities areagreed to be performed by the showorganizer. Anyone wishing to apply willbe sent a copy of the MOU along withthe application package. The services tobe rendered by DOC will be carried outby the Commercial Service of the UnitedStates of America unless otherwiseindicated.DATES: Applications must be receivedby August 5, 1996. A contribution of$6,000 for shows of five days or less induration is required. For shows of morethan five days in duration or withmultiple International Business Centers(IBC’s) the contribution is $8,000.Contributions are for shows selected bythe IBP for inclusion in the FY 1998program.ADDRESSES: Export Promotion Services/International Buyer Program,Commercial Service of the United Statesof America, International TradeAdministration, U.S. Department ofCommerce, Room 2116, 14th andConstitution Avenue, N.W.,Washington, D.C. 20230. Telephone:(202) 482–0481 (Facsimile applicationswill not be accepted.)FOR FURTHER INFORMATION ON WHEN,WHERE, AND HOW TO APPLY: Contact JimBoney, Product Manager, InternationalBuyer Program, Room 2116, ExportPromotion Services, U.S. and ForeignCommercial Service, International TradeAdministration, U.S. Department ofCommerce, 14th and ConstitutionAvenue, N.W., Washington, D.C. 20230.Telephone: (202) 482–0148 or Fax: (202)482–0115.SUPPLEMENTARY INFORMATION: TheInternational Trade Administration(ITA) of the U.S. Department ofCommerce is accepting applications forthe International Buyer Program (IBP)for events taking place between October1, 1997, and September 30, 1998.

Under the IBP, the Department seeksto bring international buyers togetherwith U.S. firms by selecting domestictrade shows in industries with highexport potential and promoting them ininternational markets. Selection of atrade show is one-time, i.e., a tradeshow organizer seeking selection for arecurring event must submit a newapplication for selection for eachoccurrence of the event. If the eventoccurs more than once in the 12-monthperiod covering this announcement, thetrade show organizer must submit aseparate application for each event.

The Department will selectapproximately 22 events to supportduring this 12-month period. TheDepartment will select those events that,

in its judgment, most clearly meet theDepartment’s objectives and selectioncriteria mentioned below.

Selection indicates that theDepartment has found the event to be aleading domestic trade showappropriate for promotion in overseasmarkets by U.S. Embassies andConsulates. Selection does notconstitute a guarantee by the U.S.Government of the show’s success.Selection is not an endorsement of theshow organizer except as to itsInternational Buyer Program activities.Non-selection should not be viewed asan indication that the event will not besuccessful in the promotion of U.S.exports.

ExclusionsTrade shows will not be considered

that are either first-time or horizontal(non-industry specific) events. Annualtrade shows will not be selected for thisprogram more than twice in any three-year period (e.g., shows selected forfiscal years 1996 and 1997 are noteligible for inclusion in this program infiscal year 1998, but can be consideredin subsequent years). Notwithstandingany other provision of the law, noperson is required to respond to, norshall any person be subject to a penaltyfor failure to comply with a collectionof information, subject to therequirements of the PRA, unless thatcollection of information displays acurrently valid OMB Control Number.

The Office of Management and Budgethas approved the information collectionrequirements of the application to thisprogram under the provisions of thePaperwork Reduction Act of 1980 (44U.S.C. 3501 et seq.) (OMB control no.0625–0151).

Public reporting burden for thiscollection of information is estimated toaverage 3 hours per response, includingthe time for reviewing instructions,searching existing data sources,gathering and maintaining the dataneeded, and completing and reviewingthe collection of information. Sendcomments regarding this burdenestimate or any other aspect of thiscollection of information, includingsuggestions for reducing this burden, toReports Clearance Officer, InternationalTrade Administration, Room 4001, U.S.Department of Commerce, Washington,D.C. 20230 and to the Office ofInformation and Regulatory Affairs,Office of Management and Budget,Paperwork Reduction Project (0625–0151), Washington, D.C. 20503.

General Selection CriteriaSubject to Departmental budget and

resource constraints, those events will


be selected that, in the judgment of theDepartment, most clearly meet thefollowing criteria:

(a) Export Potential: The products andservices to be promoted at the tradeshow are from U.S. industries that havehigh export potential, as determined byU.S. Department of Commerce sources,i.e., best prospects lists and U.S. exportstatistics. (Certain industries are rated aspriorities by our domestic andinternational commercial officers intheir Country Commercial Guides.)

(b) International Interest: The tradeshow meets the needs of a significantnumber of overseas markets covered bythe Commercial Service of the UnitedStates of America and corresponds tomarketing opportunities as identified bythe posts in their Country CommercialGuides (e.g. best prospects lists).Previous international attendance at theshow may be used as an indicator.

(c) Scope of the Show: The trade showoffers a broad spectrum of U.S. madeproducts and/or services for the subjectindustry. Trade shows with a majorityof U.S. firms will be given preference.

(d) Stature of the Show: The tradeshow is clearly recognized by theindustry it covers as a leading event forthe promotion of that industry’sproducts and services both domesticallyand internationally and as a showplacefor the latest technology or services inthat industry.

(e) Exhibitor Interest: There is ademonstrated interest on the part of U.S.exhibitors in receiving internationalbusiness visitors during the trade show.A significant number of these exhibitorsshould be new-to-export or seeking toexpand sales into additionalinternational markets.

(f) Overseas Marketing: There hasbeen demonstrated effort made tomarket prior shows overseas. Inaddition, the applicant should describein detail the international marketingprogram to be conducted for the event,explaining how efforts should increaseindividual and group internationalattendance.

(g) Logistics: The trade show site,facilities, transportation services andavailability of accommodations conform

to the expected norms of aninternational-class trade show.

(h) Cooperation: The applicantdemonstrates a willingness to cooperatewith the Commercial Service of theUnited States of America to fulfill theprogram’s goals and to adhere to targetdates set out in the Memorandum ofUnderstanding and the event timetable,both of which are available from theprogram office (see FOR FURTHERINFORMATION ON WHEN, WHERE, AND HOWTO APPLY). Past experience in the IBPwill be taken into account in evaluatingcurrent applications to the program.

Authority: The statutory authority allowingthe Department to provide the type ofassistance contemplated under theInternational Buyer Program is 15 U.S.C.4724.John Klinglehut,Deputy Director, Office of Public/PrivateInitiatives, The Commercial Services of theUnited States, International TradeAdministration, U.S. Department ofCommerce.[FR Doc. 96–15587 Filed 6–18–96; 8:45 am]BILLING CODE 3510–FP–P

i

Reader Aids Federal Register

Vol. 61, No. 119


CUSTOMER SERVICE AND INFORMATION

Federal Register/Code of Federal RegulationsGeneral Information, indexes and other finding

aids202–523–5227

Public inspection announcement line 523–5215

LawsPublic Laws Update Services (numbers, dates, etc.) 523–6641For additional information 523–5227

Presidential DocumentsExecutive orders and proclamations 523–5227The United States Government Manual 523–5227

Other ServicesElectronic and on-line services (voice) 523–4534Privacy Act Compilation 523–3187TDD for the hearing impaired 523–5229

ELECTRONIC BULLETIN BOARD

Free Electronic Bulletin Board service for Public Law numbers,Federal Register finding aids, and list of documents on publicinspection. 202–275–0920

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You may access our Fax-On-Demand service. You only need a faxmachine and there is no charge for the service except for longdistance telephone charges the user may incur. The list ofdocuments on public inspection and the daily Federal Register’stable of contents are available using this service. The documentnumbers are 7050-Public Inspection list and 7051-Table ofContents list. The public inspection list will be updatedimmediately for documents filed on an emergency basis.

NOTE: YOU WILL ONLY GET A LISTING OF DOCUMENTS ONFILE AND NOT THE ACTUAL DOCUMENT. Documents onpublic inspection may be viewed and copied in our office locatedat 800 North Capitol Street, N.W., Suite 700. The Fax-On-Demandtelephone number is: 301–713–6905

FEDERAL REGISTER PAGES AND DATES, JUNE

27767–27994......................... 327995–28466......................... 428467–28722......................... 528723–29000......................... 629001–29266......................... 729267–29458.........................1029459–29632.........................1129633–29922.........................1229923–30126.........................1330127–30494.........................1430495–30796.........................1730797–31002.........................1831003–31386.........................19

CFR PARTS AFFECTED DURING JUNE

At the end of each month, the Office of the Federal Registerpublishes separately a List of CFR Sections Affected (LSA), whichlists parts and sections affected by documents published sincethe revision date of each title.

3 CFRProclamations:6902.................................284656903.................................296336904.................................30797Executive Orders:October 22, 1854

(Revoked in part byPLO 7022)....................29758

February 1, 1886 (SeePLO 7148)....................29129

April 13, 1912(Revoked by PLO7200) ............................29758

December 31, 1912(Revoked in part byPLO 7199)....................29128

12880...............................2872112963 (Amended by

EO 13009)....................3079913008...............................2872113009...............................30799Administrative Orders:Presidential Determinations:96–27 of May 28,

1996 .............................2900196–28 of May 29,

1996 .............................2945396–29 of May 31,

1996 .............................2945596–30 of June 3,

1996 .............................2945796–31 of June 6,

1996 .............................30127Memorandums:96–26 of May 22,

1996 .............................27767

5 CFR

532.......................27995, 27996Proposed Rules:2429.................................287972470.................................287972471.................................287982472.................................287982473.................................28798

7 CFR

6.......................................2872310.....................................3049529 ............27997, 29923, 29924301...................................31003610...................................27998911...................................31004915...................................31004916...................................31006917...................................31006922...................................30495928...................................28000929...................................30497946...................................31006948...................................29635

982...................................29924985.....................................2945997...................................29926998...................................29927999...................................313061208.................................304981230.................................280021240.................................29461Proposed Rules:457...................................27512

8 CFR

103...................................28003299...................................28003Proposed Rules:214...................................30188273...................................29323

9 CFR

Proposed Rules:1.......................................305453.......................................3054592.........................27797, 2807395.....................................30189101...................................29462112...................................29462

10 CFR

30.....................................2963640.....................................2963650.....................................3012951.....................................2846770.....................................2963671.....................................2872372.....................................296361703.................................28725Proposed Rules:34.....................................30837150...................................30839170...................................30839430...................................28517

12 CFR

219...................................29638336...................................28725747...................................28021Proposed Rules:204...................................30545229...................................27802545.......................29976, 30190556...................................30190559...................................29976560.......................29976, 30190563.......................29976, 30190567...................................29976571.......................29976, 30190703...................................29697704...................................28085709...................................28085741...................................280851270.................................29592

ii Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Reader Aids

14 CFR

1.......................................3132425.....................................2868427.........................29928, 2993129.....................................2993133.........................28430, 3132439 ...........28028, 28029, 28031,

28497, 28498, 28730, 28732,28734, 28736, 28738, 29003,29007, 29009, 29267, 29269,29271, 29274, 29276, 29278,29279, 29465, 29467, 29468,29641, 29642, 29931, 29932,29934, 30501, 30505, 30801,

31007, 3100971 ...........28033, 28034, 28035,

28036, 28037, 28038, 28039,28040, 28041, 28042, 28043,28044, 28045, 28740, 28741,28742, 28743, 29472, 29645,29336, 29937, 29938, 30507,30670, 30803, 31013, 31014,31015, 31016, 31017, 31018,

31019, 3102073 ............30508, 31021, 3102291.....................................2841695.....................................2776997.........................29015, 29016119...................................30432121 .........28416, 30432, 30726,

30734125...................................28416135 ..........28416, 30432, 30734302...................................29282373...................................29284399 ..........29018, 29645, 29646Proposed Rules:Ch. I .................................2880339 ...........28112, 28114, 28518,

28520, 29038, 29499, 29501,29697, 29992, 29994, 29996,

30548, 31059, 3106171 ...........28803, 29449, 29699,

29700, 30550, 30842, 30843,31063, 31064, 31065, 31066,

31067, 31068, 31069121.......................29000, 30551135...................................30551250...................................27818

15 CFR

902...................................31228Ch. XII..............................30509Proposed Rules:902...................................29628946...................................28804

16 CFR

305...................................299391010.................................296461019.................................29646Proposed Rules:419...................................29039

17 CFR

210...................................30397228.......................30376, 30397229.......................30376, 30397230...................................30397232...................................30397239...................................30397240 ..........30376, 30396, 30397249.......................30376, 30397Proposed Rules:1.......................................28806

230...................................30405239...................................30405240...................................30405249...................................30405274...................................30405

18 CFR

35.....................................3050937.....................................30804385...................................30509

19 CFR

10.....................................2893212.........................28500, 28932102...................................28932134...................................28932178...................................28500Proposed Rules:19.....................................28808101...................................30552113...................................28808122...................................30552132...................................28522144...................................28808151...................................28522351...................................28821353...................................28821355...................................28821

20 CFR

404.......................28046, 31022416...................................31022

21 CFR

14.........................28047, 2804870.....................................2852573.....................................2852574.....................................2852580.....................................2852581.....................................2852582.....................................28525100...................................27771101.......................27771, 28525103...................................27771104...................................27771105...................................27771109...................................27771137...................................27771161...................................27771163...................................27771172...................................27771175...................................29474177.......................28049, 29474178.......................28051, 28525182...................................27771186...................................27771189...................................29650197...................................27771200...................................29476201...................................28525250...................................29476310...................................29476520 ..........29477, 29650, 31027522 .........29478, 29479, 29480,

31027, 31028556.......................29477, 31028558 ..........29477, 29481, 30133700...................................27771701...................................28525Proposed Rules:1.......................................281162.......................................281163.......................................281165.......................................2811610.....................................2811612.....................................28116

20.....................................2811656.....................................2811658.....................................2811670.....................................2970171.....................................2970180.....................................29701101 ..........28525, 29701, 29708107...................................29701170.......................29701, 29711171.......................29701, 29711172.......................29701, 29711173.......................29701, 29711174...................................29701175.......................29701, 29711176...................................29711177.......................29701, 29711178.......................29701, 29711182...................................29711184.......................29701, 29711200...................................29502250...................................29502310...................................29502343...................................30002730...................................29708864...................................301971250.................................29701

22 CFR

50.....................................2965151.....................................2994081.....................................2994082.....................................2994083.....................................2994084.....................................2994085.....................................2994086.....................................2994087.....................................2994088.....................................2994089.....................................29941514...................................29285Proposed Rules:603...................................30009

23 CFR

1206.................................287451215.................................287471230.................................28750Proposed Rules:655.......................29234, 29624777...................................30553

24 CFR

3500 .......59238, 29255, 29258,29264

Proposed Rules:35.....................................2917036.....................................2917037.....................................29170

25 CFR

65.....................................2778066.....................................2778076.....................................27780Proposed Rules:1.......................................27821150...................................27822154...................................30559161...................................29285162...................................30560166...................................27824175...................................29040217...................................27831271...................................27833272...................................27833274...................................27833

277...................................27833278...................................27833290...................................29044

26 CFR

1.......................................3013326.....................................2965340.....................................2805348.....................................28053602...................................30133Proposed Rules:1 .............27833, 27834, 28118,

28821, 28823, 3084526.....................................2971431.....................................2882335a...................................28823301 ..........28823, 29653, 30012502...................................28823503...................................28823509...................................28823513...................................28823514...................................28823516...................................28823517...................................28823520...................................28823521...................................28823602...................................29653

27 CFR

9...........................29949, 2995224.....................................3102970.........................29954, 3102971.....................................29954170...................................31029200...................................29956Proposed Rules:0.......................................300135.......................................3001518.....................................3001720.....................................3001922.....................................3001970.....................................30013250...................................30021

28 CFR

Proposed Rules:74.........................29715, 29716

29 CFR

1915.................................299571952.................................280532619.................................301602676.................................30160Proposed Rules:102...................................305701904.................................278501915.................................288241952.................................278502509.................................29586

30 CFR

75.....................................29287943...................................30805Proposed Rules:218...................................28829250...................................28525256...................................28528935...................................29504946.......................29506, 31071

31 CFR

Proposed Rules:356...................................31072

33 CFR

3.......................................29958

iiiFederal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Reader Aids

62.........................27780, 29449100 .........27782, 28501, 28502,

28503, 29019117.......................29654, 29959165 .........28055, 29020, 29021,

29022, 29655, 29656

34 CFR

535...................................31350562...................................31350600...................................29898668 ..........29898, 29960, 31035685.......................29898, 31358Proposed Rules:701...................................27990

36 CFR

6.......................................285047...........................28505, 2875117.....................................28506Proposed Rules:7.......................................28530

37 CFR

201...................................30845Proposed Rules:202...................................28829

38 CFR

1 .............29023, 29024, 29481,29657

2.......................................277836.......................................290247.......................................290258.......................................292898a.....................................2902714.....................................2778317.....................................2929320.....................................2902721 ...........28753, 28755, 29028,

29294, 29297, 2944936.....................................28057

39 CFR

233...................................28059

40 CFR

15.....................................2875532.....................................2875551.....................................3016252 ...........28061, 29483, 29659,

29662 29961, 29963, 29965,29970, 31035

55.....................................2875760.........................29485, 2987662.....................................2966663 ...........27785, 29485, 29876,

30814, 3081673.....................................2876180 76381.........................29667, 2997082.....................................29485152...................................30163180 ..........29672 29674, 29676,

30163, 30165, 30167, 30170,30171, 31037

186...................................30171264...................................28508265...................................28508270...................................28508271...................................28508300 .........27788, 28511, 29678,

30510799...................................29486Proposed Rules:35.....................................3047250.....................................2971952 ...........28531, 28541, 29508,

29515, 29725, 30023, 30024,31073

62.....................................2972563.....................................3084670.....................................3057073.........................28830, 2899681 ...........28541, 29508, 29515,

29726180 .........28118, 28120, 30200,

30202, 30204, 31073, 31075,31077, 31079, 31081

185...................................31081186...................................30204270...................................30472271...................................30472300.......................30207, 30575

41 CFRProposed Rules:101–20.............................30028

42 CFRProposed Rules:72.....................................29327412...................................29449413...................................29449489...................................29449

43 CFR2120.................................290304100.................................290304600.................................29030Proposed Rules:6000.................................285466100.................................285466200.................................285466300.................................285466400.................................285466500.................................285466600.................................285467100.................................285467200.................................285467300–9000.......................285468000.................................296788300.................................29679

44 CFR64.....................................2806765.........................29488, 2948967.....................................29490Proposed Rules:67.....................................29518

46 CFR

108...................................28260

110...................................28260111...................................28260112...................................28260113...................................28260161...................................28260Proposed Rules:10.....................................3133215.....................................31332

47 CFR

Ch. I .................................305310...........................29311, 310442.......................................3104415 ............29679, 30532, 3104422.........................29679, 3105124.....................................2967973 ...........28766, 29311, 29491,

2949274.....................................2876676.........................28698, 2931290.....................................3105195.....................................28768101.......................29679, 31051Proposed Rules:Ch. I .................................305790.......................................2812236.........................30028, 3084764.....................................3058169.........................30028, 3084773 ...........30584, 30585, 31083,

31084, 3108576.........................29333, 2933680.....................................28122

48 CFR

911...................................30823952...................................30823970...................................308231452.................................310531453.................................31053Proposed Rules:45.....................................2785152.....................................278511501.................................293141509.................................293141510.................................293141515.................................293141528.................................294931532.................................293141552.....................29314, 294931553.................................29314

49 CFR

Ch. I .................................30444106...................................30175107...................................27948130...................................30533171...................................28666172...................................28666173...................................28666174...................................28666178...................................28666179...................................28666190...................................27789191...................................27789192 ..........27789, 28770, 30824

193...................................27789225...................................30940541...................................29031565...................................29031567...................................29031571 .........28423, 29031, 29493,

30824574...................................294931039.................................290361150.................................299731312.................................30181Proposed Rules:6.......................................2883110.....................................29522214...................................31085223...................................30672229...................................30672232...................................30672238...................................30672391...................................28547571 .........28123, 28124, 28550,

28560, 29337, 30209, 30586,30848, 31086

581...................................30848

50 CFR

Ch. VI...............................3054317.....................................3105436.....................................29495216...................................27793230...................................29628247...................................27793285.......................30182, 30183301.......................29695, 29975620...................................27795656...................................29321663.......................28786, 28796671...................................31228672 ..........28069, 28070, 31228673...................................31228675 .........27796, 28071, 28072,

29696, 30544, 31228676...................................31228677...................................31228679...................................31228697...................................29321Proposed Rules:17 ...........28834, 29047, 30209,

3058820.........................30114, 30490216...................................30212217...................................30588227...................................30588285...................................30214625...................................27851641...................................29339650...................................27862651 ..........27862, 27948, 30029669...................................30589675...................................29726676...................................29729

iv Federal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Reader Aids

REMINDERSThe rules and proposed rulesin this list were editoriallycompiled as an aid to FederalRegister users. Inclusion orexclusion from this list has nolegal significance.

RULES GOING INTOEFFECT TODAY

AGRICULTUREDEPARTMENTAnimal and Plant HealthInspection ServiceLivestock and poultry disease

control:Animals destroyed because

of tuberculosis--Federal indemnity

payments for cattle,bison, and cervids;published 5-20-96

ENVIRONMENTALPROTECTION AGENCYPesticides; tolerances in food,

animal feeds, and rawagricultural commodities:1,1,1,2-Tetrafluoroethane;

published 6-19-96Aluminum tris (O-

ethylphosphonate);published 6-19-96

Oxidized pine lignin, sodiumsalt; published 6-19-96

Quizalofop ethyl; published6-19-96

HEALTH AND HUMANSERVICES DEPARTMENTFood and DrugAdministrationAnimal drugs, feeds, and

related products:New drug applications--

Neomycin sulfate solublepowder; published 6-19-96

Oxytetracycline injecion;published 6-19-96

Spectinomycin injection;published 6-19-96

Human drugs:Cold, cough, allergy,

bronchodilator, andantiasthmatic products(OTC)--Bronchodilator products;

aerosol containers,pressurized metereddose; monographamendment; published5-20-96

INTERIOR DEPARTMENTMinerals ManagementServiceOuter Continental Shelf; oil,

gas, and sulphur operations:Liquid hydrocarbons; flaring

or venting gas andburning; published 5-20-96

SOCIAL SECURITYADMINISTRATIONSupplemental security income:

Aged, blind, and disabled--Vocational rehabilitation

services payments;published 6-19-96

COMMENTS DUE NEXTWEEK

AGRICULTUREDEPARTMENTAnimal and Plant HealthInspection ServicePlant-related quarantine,

domestic:Karnal bunt disease--

California; comments dueby 6-24-96; published4-25-96

Plant-related quarantine,foreign:Fruits and vegetables;

importation; commentsdue by 6-28-96; published4-29-96

ARMS CONTROL ANDDISARMAMENT AGENCYService of process, production

of official information, andagency employeestestimony; comments due by6-28-96; published 5-28-96

COMMERCE DEPARTMENTNational Oceanic andAtmospheric AdministrationFishery conservation and

management:Alaska scallop; comments

due by 6-28-96; published5-3-96

Summer flounder; commentsdue by 6-24-96; published5-7-96

DEFENSE DEPARTMENTFederal Acquisition Regulation

(FAR):Federal Acquisition

Streamlining Act of 1994;implementation--Commercially available

off-the-shelf itemacquisition; commentsdue by 6-28-96;published 5-13-96

Late offers consideration;comments due by 6-24-96; published 4-25-96

ENVIRONMENTALPROTECTION AGENCYAir quality implementation

plans; approval andpromulgation; variousStates:North Carolina; comments

due by 6-24-96; published5-23-96

Pennsylvania; commentsdue by 6-28-96; published6-11-96

Washington; comments dueby 6-24-96; published 5-23-96

Clean Air Act:State operating permits

programs--Vermont; comments due

by 6-27-96; published5-24-96

Hazardous waste programauthorizations:Kentucky; comments due by

6-24-96; published 5-23-96

Tennessee; comments dueby 6-24-96; published 5-23-96

Pesticides; tolerances in food,animal feeds, and rawagricultural commodities:Methyl esters of tall-oil fatty

acids; comments due by6-28-96; published 5-29-96

Metolachlor; comments dueby 6-24-96; published 5-24-96

FEDERALCOMMUNICATIONSCOMMISSIONRadio services, special:

Maritime services--Large cargo and small

passenger ships; radioinstallation inspection;comments due by 6-24-96; published 6-4-96

Radio stations; table ofassignments:Minnesota; comments due

by 6-28-96; published 5-14-96

Nevada; comments due by6-27-96; published 5-10-96

Virginia; comments due by6-24-96; published 5-7-96

FEDERAL DEPOSITINSURANCE CORPORATIONGovernment securities sales

practices:Banks’ conduct of business

as government securitiesbrokers or dealers;standards; comments dueby 6-24-96; published 4-25-96

Securities transactions;recordkeeping andconfirmation requirements;comments due by 6-24-96;published 5-24-96

FEDERAL RESERVESYSTEMMembership of State banking

institutions and internationalbanking operations(Regulations H and K):Banks conduct of business

as government securitiesbrokers or dealers;

standards; comments dueby 6-24-96; published 4-25-96

Truth in lending (RegulationZ):Creditor-liability rules for

closed-end loans securedby real property ordwellings (consummatedon or after September 30,1995); comments due by6-24-96; published 5-24-96

GENERAL SERVICESADMINISTRATIONFederal Acquisition Regulation





HEALTH AND HUMANSERVICES DEPARTMENTFood and DrugAdministrationFood for human consumption:

Food standards of identity,quality and container filland common or unusualname for nonstandardizedfoods; comments due by6-28-96; published 5-1-96

HOUSING AND URBANDEVELOPMENTDEPARTMENTFederal regulatory review:

Hearing procedures;streamlining; commentsdue by 6-24-96; published4-23-96

Manufactured homeconstruction and safetystandards:Transportation of

manufactured homes;overloading of tires by upto 18 percent; commentsdue by 6-24-96; published4-23-96

INTERIOR DEPARTMENTFish and Wildlife ServiceEndangered and threatened

species:Northern spotted owl;

comments due by 6-27-96; published 6-17-96

INTERIOR DEPARTMENTMinerals ManagementServiceOuter Continental Shelf; oil,

gas, and sulphur operations:Lessees; flexibility in

keeping leases in force

vFederal Register / Vol. 61, No. 119 / Wednesday, June 19, 1996 / Reader Aids

beyond primary term;comments due by 6-24-96; published 4-25-96

JUSTICE DEPARTMENTPrisons BureauInmate conrol, custody, care,

etc.:Intensive confinement center

program; comments dueby 6-25-96; published 4-26-96

LIBRARY OF CONGRESSProcedures and services:

Library materials acquisitionby non-purchase meansand surplus librarymaterials disposition;comments due by 6-24-96; published 5-23-96

NATIONAL AERONAUTICSAND SPACEADMINISTRATIONFederal Acquisition Regulation





NATIONAL ARCHIVES ANDRECORDS ADMINISTRATIONNixon administration

presidential historical

materials; preservation,protection, and accessprocedures; comments dueby 6-24-96; published 4-23-96

NATIONAL CREDIT UNIONADMINISTRATIONCredit unions:

Investment and depositactivities; comments dueby 6-26-96; published 3-5-96

NUCLEAR REGULATORYCOMMISSIONProduction and utilization

facilities; domestic licensing:Nuclear power plants--

Decommissioning;financial assurancerequirements; commentsdue by 6-24-96;published 4-8-96

SOCIAL SECURITYADMINISTRATIONSupplementary security

income:Aged, blind, and disabled--

Administration fees formaking Statesupplementarypayments and intereston such payment funds;comments due by 6-25-96; published 4-26-96

TRANSPORTATIONDEPARTMENTCoast GuardDrawbridge operations:

Louisiana; comments due by6-25-96; published 4-26-96

Regattas and marine parades:Connecticut River Raft

Race; comments due by6-27-96; published 5-13-96

TRANSPORTATIONDEPARTMENTFederal AviationAdministrationAirworthiness directives:

Aerospace Technologies ofAustralia; comments dueby 6-28-96; published 3-22-96

Boeing; comments due by6-24-96; published 4-25-96

Fairchild; comments due by6-24-96; published 4-26-96

Hamilton Standard;comments due by 6-24-96; published 4-24-96

Hartzell Propeller Inc.;comments due by 6-25-96; published 4-26-96

Learjet; comments due by6-24-96; published 5-13-96

New Piper Aircraft, Inc.;comments due by 6-25-96; published 4-25-96

SAAB; comments due by 6-24-96; published 4-25-96

Class B airspace; commentsdue by 6-24-96; published5-10-96

Class E airspace; commentsdue by 6-28-96; published5-29-96

TRANSPORTATIONDEPARTMENT

Federal HighwayAdministration

Motor carrier safetyregulations:

Parts and accessoriesnecessary for safeoperation--

Manufactured homestransportation;overloading of tires byup to 18 percent;comments due by 6-24-96; published 4-23-96

Right-of-way and environment:

Right-of-way programadministration; obsoleteand redundant regulationsremoved; comments dueby 6-24-96; published 4-25-96

TREASURY DEPARTMENT

Comptroller of the Currency

Government securities salespractices:

Banks’ conduct of businessas government securitiesbrokers or dealers;standards; comments dueby 6-24-96; published 4-25-96

FR-1996-06-19.pdf - US Government Publishing Office

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