Agricultural Marketing Service
Animal and Plant Health Inspection Service
Farm Service Agency
Food Safety and Inspection Service
Forest Service
Rural Utilities Service
National Foundation on the Arts and the Humanities
National Oceanic and Atmospheric Administration
Patent and Trademark Office
Federal Energy Regulatory Commission
Agency for Healthcare Research and Quality
Centers for Disease Control and Prevention
Food and Drug Administration
Health Resources and Services Administration
Fish and Wildlife Service
Land Management Bureau
National Park Service
Surface Mining Reclamation and Enforcement Office
Antitrust Division
Justice Programs Office
Parole Commission
Agency for Healthcare Research and Quality
Centers for Disease Control and Prevention
Food and Drug Administration
Health Resources and Services Administration
Federal Aviation Administration
Research and Special Programs Administration
Customs Service
Internal Revenue Service
Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws.
Rural Utilities Service, USDA.
Final rule.
The Rural Utilities Service (RUS) is amending its regulations to revise its requirements regarding RUS approval of plans and specifications for buildings. Specifically, the requirement for RUS approval of architectural plans and specifications for buildings is eliminated and instead the borrower's architect or engineer is required to state that the design complies with certain specific standards. This change is being made in order to provide better service to borrowers.
This rule will become effective on November 22, 2000.
Fred J. Gatchell, Deputy Director, Electric Staff Division, Rural Utilities Service, U.S. Department of Agriculture, Stop 1569, 1400 Independence Ave., SW., Washington, DC 20250-1569. Telephone: (202) 720-1398. FAX: (202) 720-7491. E-mail: fgatchel@rus.usda.gov.
This rule has been determined to be not significant for the purposes of Executive Order 12866 and, therefore, has not been reviewed by the Office of Management and Budget (OMB).
This rule is excluded from the scope of Executive Order 12372, Intergovernmental Consultation, which may require consultation with state and local officials. See the final rule related notice entitled “Department Programs and Activities Excluded from Executive Order 12372,” (50 FR 47034) advising that RUS loans and loan guarantees were not covered by Executive Order 12372.
This rule has been reviewed under Executive Order 12988, Civil Justice Reform. RUS has determined that this rule meets the applicable standards provided in section 3 of the Executive Order. In addition, (1) all state and local laws and regulations that are in conflict with this rule will be preempted; (2) no retroactive effect will be given to this rule; and (3), in accordance with section 212(e) of the Department of Agriculture Reorganization Act of 1994 (7 U.S.C. 6912(e)) administrative appeals procedures, if any are required, must be exhausted prior to initiating an action against the Department or its agencies.
The Administrator of RUS has determined that this rule relating to RUS electric loan program is not a rule as defined by the Regulatory Flexibility Act (5 U.S.C. 601
The Administrator of RUS has determined that this rule will not significantly affect the quality of the human environment as defined by the National Environmental Policy Act of 1969 (42 U.S.C. 4321
The program described by this rule is listed in the Catalog of Federal Domestic Assistance programs under No. 10.850, Rural Electrification Loans and Loan Guarantees. This catalog is available on a subscription basis from the Superintendent of Documents, the United States Government Printing Office, Washington, DC 20402-9325, telephone number (202) 512-1800.
The recording and recordkeeping requirements contained in this rule were approved by the Office of Management and Budget (OMB) pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35) under OMB control number 0572-0118.
Send questions or comments regarding this burden or any other aspect of these collections of information, including suggestions for reducing the burden, to F. Lamont Heppe, Jr., Director, Program Development and Regulatory Analysis, Rural Utilities Service, USDA, 1400 Independence Ave., SW., Room 4034 SBldg., Stop 1522, Washington, DC 20250-1522.
This rule contains no Federal mandates (under the regulatory provision of title II of the Unfunded Mandates Reform Act) for State, local, and tribal governments or the private sector. Thus, this rule is not subject to the requirements of sections 202 and 205 of the Unfunded Mandates Reform Act.
RUS has promulgated regulations pertaining to the design and construction of RUS electric borrower's systems. These regulations are contained in 7 CFR Part 1724, Electric Engineering, Architectural Services and Design Policies and Procedures, which describes policies and procedures pertaining to RUS electric borrower procurement of architectural and engineering services for planning, design, and construction management of buildings and electric utility plant such as distribution and transmission lines, substations, communications and control systems, and generating plants. RUS has determined that continued review and approval of plans and specifications for buildings by RUS is not necessary. This will eliminate the burden on the borrowers of having to send the plans and specifications to RUS before issuing them to bidders. However, RUS will require that the borrower's architect or engineer state that the design complies with certain specific standards. This change is being
We are also correcting a date in the list of contract forms.
RUS received no comments to the proposed regulation published in the
Electric power, Loan programs—energy, Reporting and recordkeeping requirements, Rural areas.
7 U.S.C. 901
(f) * * *
(2) Unless RUS approval is required by paragraph (a) of this section, plans and specifications for headquarters buildings do not require RUS approval. The borrower shall submit two copies of RUS Form 740g, Application for Headquarters Facilities. This form is available from Program Development and Regulatory Analysis, Rural Utilities Service, United States Department of Agriculture, Stop 1522, 1400 Independence Ave., SW., Washington, DC 20250-1522. The application must show floor area and estimated cost breakdown between office building space and space for equipment warehousing and service facilities, and include a one line drawing (floor plan and elevation view), to scale, of the proposed building with overall dimensions shown. The information concerning the planned building may be included in the borrower's construction work plan in lieu of submitting it with the application. (See 7 CFR part 1710, subpart F.) Prior to issuing the plans and specifications for bid, the borrower shall also submit to RUS a statement, signed by the architect or engineer, that the building design meets the Uniform Federal Accessibility Standards (See § 1724.51(e)(1)(i)).
(d) * * *
(7) RUS Form 284, Rev. 4-72, Final Statement of Cost for Architectural Service. This form is used for the closeout of architectural services contracts.
Federal Aviation Administration (FAA), DOT.
Final special conditions; request for comments.
These special conditions are issued for Canadair Model CL-600-2B19 series airplanes modified by Rockwell Collins Flight Dynamics. These modified airplanes will have a novel or unusual design feature when compared to the state of technology envisioned in the airworthiness standards for transport category airplanes. The modification incorporates the installation of a new Head-Up Guidance System (HGS). The HGS will utilize electrical and electronic systems that perform critical functions. The applicable airworthiness regulations do not contain adequate or appropriate safety standards for the protection of this system from the effects of high-intensity-radiated fields (HIRF). These special conditions contain the additional safety standards that the Administrator considers necessary to establish a level of safety equivalent to that established by the existing airworthiness standards.
The effective date of these special conditions is October 17, 2000. Comments must be received on or before November 22, 2000.
Comments on these special conditions may be mailed in duplicate to: Federal Aviation Administration, Transport Airplane Directorate, Attention: Rules Docket (ANM-114), Docket No. NM177, 1601 Lind Avenue SW., Renton, Washington 98055-4056; or delivered in duplicate to the Transport Airplane Directorate at the above address. All comments must be marked:
Gerald Lakin, FAA, Standardization Branch, ANM-113, Transport Airplane Directorate, Aircraft Certification Service, 1601 Lind Avenue SW., Renton, Washington 98055-4056; telephone (425) 227-1187; facsimile (425) 227-1149.
The FAA has determined that good cause exists for making these special conditions effective upon issuance; however, interested persons are invited to submit such written data, views, or arguments, as they may desire. Communications should identify the regulatory docket number and be submitted in duplicate to the address specified above. All communications received on or before the closing date for comments will be considered by the Administrator. These special conditions may be changed in light of the comments received. All comments received will be available in the Rules Docket for examination by interested persons, both before and after the closing date for comments. A report summarizing each substantive public contact with FAA personnel concerning this rulemaking will be filed in the docket. Commenters wishing the FAA to acknowledge receipt of their comments submitted in response to these special conditions must include a self-addressed, stamped postcard on which the following statement is made: “Comments to Docket No. NM177.” The postcard will be date stamped and returned to the commenter.
On June 26, 2000, Rockwell Collins Flight Dynamics, 16600 S.W. 72nd Avenue, Portland, OR 97224, applied for a Supplemental Type Certificate (STC) for Canadair Model CL-600-2B19 series airplanes. The Model CL-600-2B19 is a Model Regional Jet Series 100 passsenger airplane with two AVCO Lycoming ALF-502L or ALF-502L-2 engines. These airplanes will incorporate a Head-Up Guidance System (HGS), manufactured by Rockwell Collins Flight Dynamics, which displays attitude and heading information.
The HGS performs critical functions associated with the display of attitude and heading information to the pilot. These functions can be susceptible to disruption of both command and response signals as a result of electrical and magnetic interference caused by high-intensity radiated fields (HIRF) external to the airplane. This disruption of signals could result in loss of critical flight displays and annunciations, or could present misleading information to the pilot.
Under the provisions of 14 CFR 21.101, Rockwell Collins Flight Dynamics must show that the Model CL-600-2B19 series airplanes, as changed, continue to meet the applicable provisions of the regulations incorporated by reference in Type Certificate No. A21EA, or the applicable regulations in effect on the date of application for the change. The regulations incorporated by reference in the type certificate are commonly referred to as the “original type certification basis.” The regulations included in the certification basis for the Model CL-600-2B19 series airplanes include Title 14, Code of Federal Regulations (14 CFR) part 25, as amended by Amendments 25-1 through 25-62, plus additional requirements listed in the type certificate data sheet that are not relevant to these special conditions.
If the Administrator finds that the applicable airworthiness regulations (
In addition to the applicable airworthiness regulations and special conditions, the Model CL-600-2B19 series airplanes must comply with the fuel vent and exhaust emission requirements of part 34 and the noise certification requirements of part 36.
Special conditions, as appropriate, are issued in accordance with § 11.49, as required by §§ 11.28 and 11.29, and become part of the airplane's type certification basis in accordance with § 21.101(b)(2).
Special conditions are initially applicable to the model for which they are issued. Should the applicant apply for a supplemental type certificate to modify any other model included on the same type certificate to incorporate the same novel or unusual design features, these special conditions would also apply to the other model under the provisions of § 21.101(a)(1).
As stated earlier, the Model CL-600-2B19 series airplanes modified by Rockwell Collins Flight Dynamics will incorporate a HGS system, which performs critical functions. The HGS system contains electronic equipment for which the current airworthiness standards of part 25 do not contain adequate or appropriate safety standards for the protection of this equipment from the adverse effects of HIRF. This system may be vulnerable to HIRF external to the airplane. Accordingly, this system is considered to be a novel or unusual design feature.
There is no specific regulation that addresses the requirements for protection of electrical and electronic systems from HIRF. Increased power levels from ground-based radio transmitters and the growing use of sensitive electrical and electronic systems to command and control airplanes have made it necessary to provide adequate protection.
To ensure that a level of safety is achieved that is equivalent to that intended by the regulations incorporated by reference, special conditions are needed for the Model CL-600-2B19 airplanes modified to include the Rockwell Collins Flight Dynamics HGS system. These special conditions will require that this system, which performs critical functions, be designed and installed to preclude component damage and interruption of function due to both the direct and indirect effects of HIRF.
With the trend toward increased power levels from ground-based transmitters, plus the advent of space and satellite communications coupled with electronic command and control of the airplane, the immunity of critical digital avionics systems to HIRF must be established.
It is not possible to precisely define the HIRF to which the airplane will be exposed in service. There is also uncertainty concerning the effectiveness of airframe shielding for HIRF. Furthermore, coupling of electromagnetic energy to cockpit-installed equipment through the cockpit window apertures is undefined. Based on surveys and analysis of existing HIRF emitters, an adequate level of protection exists when compliance with the HIRF protection special condition is shown with either paragraph 1 or 2 below:
1. A minimum threat of 100 volts rms per meter electric field strength from 10 KHz to 18 GHz.
a. The threat must be applied to the system elements and their associated wiring harnesses without the benefit of airframe shielding.
b. Demonstration of this level of protection is established through system tests and analysis.
2. A threat external to the airframe of the following field strengths for the frequency ranges indicated. Both peak and average field strength components from the Table are to be demonstrated.
The threat levels identified above are the result of an FAA review of existing studies on the subject of HIRF, in light of the ongoing work of the Electromagnetic Effects Harmonization Working Group of the Aviation Rulemaking Advisory Committee.
As discussed above, these special conditions are applicable to Canadair Model CL-600-2B19 series airplanes modified by Rockwell Collins Flight Dynamics to include the Rockwell Collins Flight Dynamics HGS system. Should Rockwell Collins Flight Dynamics apply at a later date for a supplemental type certificate to modify any other model included on Type Certificate A21EA to incorporate the same novel or unusual design features, these special conditions would apply to that model as well under the provisions of § 21.101(a)(1).
This action affects only certain novel or unusual design features on Canadair Model CL-600-2B19 series airplanes modified by Rockwell Collins Flight Dynamics. It is not a rule of general applicability and affects only the applicant who applied to the FAA for approval of these features on the airplanes.
The substance of the special conditions has been subjected to the notice and comment period in several prior instances and has been derived without substantive change from those previously issued. It is unlikely that prior public comment would result in a significant change from the substance contained herein. For this reason, and because a delay would significantly affect the certification of the airplane, which is imminent, the FAA has determined that prior public notice and comment are unnecessary and impracticable, and good cause exists for adopting these special conditions upon issuance. The FAA is requesting comments to allow interested persons to submit views that may not have been submitted in response to the prior opportunities for comment described above.
Aircraft, Aviation safety, Reporting and recordkeeping requirements.
The authority citation for these special conditions is as follows:
49 U.S.C. 106(g), 40113, 44701, 44702, 44704.
Accordingly, pursuant to the authority delegated to me by the Administrator, the following special conditions are issued as part of the supplemental type certification basis for Canadair Model CL-600-2B19 series airplanes modified by Rockwell Collins Flight Dynamics.
1.
2. For the purpose of these special conditions, the following definition applies:
Federal Aviation Administration (FAA), DOT.
Final rule.
This amendment adopts miscellaneous amendments to the required IFR (instrument flight rules) altitudes and changeover points for certain Federal airways, jet routes, or direct routes for which a minimum or maximum en route authorized IFR altitude is prescribed. This regulatory action is needed because of changes occurring in the National Airspace System. These changes are designed to provide for the safe and efficient use of the navigable airspace under instrument conditions in the affected areas.
0901 UTC, November 30, 2000.
Donald P. Pate, Flight Procedure Standards Branch (AMCAFS-420), Flight Technologies and Programs Division, Flight Standards Service, Federal Aviation Administration, Mike Monroney Aeronautical Center, 6500 South MacArthur Blvd., Oklahoma City, OK, 73169 (Mail Address: P.O. Box 25082 Oklahoma City, OK 73125) telephone: (405) 954-4164.
This amendment to part 95 of the Federal Aviation Regulations (14 CFR part 95) amends, suspends, or revokes IFR altitudes governing the operation of all aircraft in flight over a specified route or any portion of that route, as well as the changeover points (COPs) for Federal airways, jet routes, or direct routes as prescribed in part 95.
The specified IFR altitudes, when used in conjunction with the prescribed changeover points for those routes, ensure navigation aid coverage that is adequate for safe flight operations and free of frequency interference. The reasons and circumstances that create the need for this amendment involve matters of flight safety and operational efficiency in the National Airspace System, are related to published aeronautical charts that are essential to the user, and provide for the safe and efficient use of the navigable airspace. In addition, those various reasons or circumstances required making this amendment effective before the next scheduled charting and publication date of the flight information to assure its timely availability to the user. The effective date of this amendment reflects those considerations. In view of the
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. It, therefore—(1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule“ under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. For the same reason, the FAA certifies that this amendment will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
Airspace, Navigation (air).
49 U.S.C. 106(g), 40103, 40106, 40113, 40114, 40120, 44502, 44514, 44719, 44721.
Federal Trade Commission.
Final rule.
The Federal Trade Commission (“the Commission”) amends its Appliance Labeling Rule (“the Rule”) by publishing new ranges of comparability to be used on required labels for refrigerator-freezers with automatic defrost with top-mounted freezers with through-the-door ice service (Appendix A7). The Commission also announces that the current (1998) ranges of comparability for all other categories of refrigerators, refrigerator-freezers, and freezers (Appendices A1 through A6, Appendix A8, and Appendices B1 through B3 to the Rule), which were published on December 2, 1998 (63 FR 66428), will remain in effect until further notice.
January 22, 2001.
James Mills, Attorney, Division of Enforcement, Federal Trade Commission, Washington, DC 20580 (202-326-3035); <<jmills@ftc.gov>>.
The Appliance Labeling Rule (“Rule”) was issued by the Commission in 1979 (44 FR 66466 (Nov. 19, 1979)) in response to a directive in the Energy Policy and Conservation Act of 1975.
The Rule requires manufacturers of all covered appliances and pool heaters to disclose specific energy consumption or efficiency information (derived from the DOE test procedures) at the point of sale in the form of an “EnergyGuide” label and in catalogs. It also requires manufacturers of furnaces, central air conditioners, and heat pumps either to provide fact sheets showing additional cost information, or to be listed in an industry directory showing the cost information for their products. The Rule requires that manufacturers include, on labels and fact sheets, an energy consumption or efficiency figure and a “range of comparability.” This range shows the highest and lowest energy consumption or efficiencies for all comparable appliance models so consumers can compare the energy consumption or efficiency of other models (perhaps competing brands) similar to the labeled model. The Rule requires that manufacturers also include, on labels for some products, a secondary energy usage disclosure in the form of an estimated annual operating cost based on a specified DOE national average cost for the fuel the appliance uses.
Section 305.8(b) of the Rule requires manufacturers, after filing an initial report, to report annually (by specified dates for each product type
The Commission has analyzed the 2000 submissions of data for refrigerators, refrigerator-freezers, and freezers, and has determined that the upper and lower limits of the ranges for refrigerator-freezers with automatic defrost with top-mounted freezers with through-the-door ice service (Appendix A7) have changed significantly. Therefore, the Commission is publishing new ranges of comparability for those products.
The Commission also has determined that the ranges of comparability for all other categories of refrigerators, refrigerator-freezers, and freezers (Appendices A1 through A6, Appendix A8, and Appendices B1 through B3 to the Rule) have not changed significantly. Therefore, the Commission is announcing that the current (1998) ranges for those products, which were published on December 2, 1998 (63 FR 66428), will remain in effect until further notice.
Today's publication of the new ranges for refrigerator-freezers with automatic defrost with top-mounted freezers with through-the-door ice service also means that, after January 22, 2001, manufacturers of these products must calculate the operating cost figures at the bottom of labels for the products using the 2000 cost for electricity (8.03 cents per kiloWatt-hour). Manufacturers must continue to calculate the operating costs at the bottom of labels for all other refrigerators, refrigerator-freezers, and freezers using the 1998 cost for electricity (8.42 cents per kiloWatt-hour), which was the cost for electricity that was in effect at the time the current (1998) ranges were published.
The provisions of the Regulatory Flexibility Act relating to a Regulatory Flexibility Act analysis (5 U.S.C. 603-604) are not applicable to this proceeding because the amendments do not impose any new obligations on entities regulated by the Appliance Labeling Rule. Thus, the amendments will not have a “significant economic impact on a substantial number of small entities.” 5 U.S.C. 605. The Commission has concluded, therefore, that a regulatory flexibility analysis is not necessary, and certifies, under Section 605 of the Regulatory Flexibility Act (5 U.S.C. 605(b)), that the amendments announced today will not have a significant economic impact on a substantial number of small entities.
Advertising, Energy conservation, Household appliances, Labeling, Reporting and recordkeeping requirements.
42 U.S.C. 6294.
By direction of the Commission.
Office of the Secretary, DoD.
Final rule.
This final rule revises the comprehensive CHAMPUS regulation pertaining to the Expanded Active Duty Dependents Benefit Plan, or more commonly referred to as the TRICARE Family Member Dental Plan (TFMDP). The TFMDP limited eligibility to eligible dependents of active duty members (under a call or order that does not specify a period of thirty (30) day or less). Concurrent with the timeframe of the publication of the proposed rule, the Defense Authorization Act for Fiscal Year 2000 (Public Law 106-65, sec. 711) was signed into law and its provisions have been incorporated into this final rule. The Act authorized a new plan, titled the TRICARE dental program (TDP), which allows the Secretary of Defense to offer a comprehensive premium based indemnity dental insurance coverage plan to eligible dependents of active duty members (under a call or order that does not specify a period of thirty (30) days or less), eligible dependents of members of the Selected Reserve and Individual Ready Reserve, and eligible members of the Selected Reserve and Individual Ready Reserve. The Act also struck section 1076b (Selected Reserve dental insurance), or Chapter 55 of title 10, United States Code, since the affected population and the authority for that particular dental insurance plan has been incorporated in 10 U.S.C. 1076a. Consistent with the proposed rule and the provisions of the Defense Authorization Act for Fiscal Year 2000, the final rule places the responsibility for TDP enrollment and a large portion of the appeals program on the dental plan contractor; allows the dental plan contractor to bill beneficiaries for plan premiums in certain circumstances; reduces the former TFMDP enrollment period from twenty-four (24) to twelve (12) months; excludes Reserve component members ordered to active duty in support of a contingency operation from the mandatory twelve (12) month enrollment; clarifies dental plan requirements for different beneficiary populations; simplifies enrollment types and exceptions; reduces cost-shares for certain enlisted grades; adds anesthesia as a covered benefit; provides clarification on the Department's use of the Congressional waiver for surviving dependents; incorporates legislative authority for calculating the method by which premiums may be raised and allowing premium reductions for certain enlisted grades; and reduces administrative burden by reducing redundant language, referencing language appearing in other CFR sections and removing language more appropriate to the actual contract. These improvements will provide Uniformed Service members and families with numerous quality of life benefits that will improve participation in the plan, significantly reduce enrollment errors and positively effect utilization of this important dental plan. The proposed rule was titled the “TRICARE Family Member Dental Plan”.
Effective February 1, 2001.
Major Brian K. Witt, TRICARE Management Activity, 303-676-3496.
The Basic Active Duty Dependents Dental Benefits Plan was implemented on August 1, 1987, allowing Uniformed Service personnel, on active duty for periods of greater than thirty (30) days, to voluntarily enroll their dependents in a basic dental health care plan. Under this plan, DoD shared the cost of the premium with the active duty service member. Although the plan was viewed as a major step in benefit enhancement for Uniformed Service families, there were still complaints that the enabling legislation was too restrictive in scope and that there should be expansion of services to better meet the dental needs of the Uniformed Service family.
Congress responded to these concerns by authorizing the Secretary of Defense to develop and implement an Expanded Active Duty Dependents Dental Benefit Plan [The Defense Authorization Act For Fiscal Year 1993, Public Law 102-484, sec. 701]. The provisions of this Act specified the expanded benefit structure, as well as maximum monthly premiums for enrollees. Cost-sharing levels for the expanded benefits were left up to the discretion of the Secretary of Defense after consultation with the other Administering Secretaries. The provisions of this Act were implemented on April 1, 1993.
Thereafter, Congress granted legislative authority to allow the Secretary of Defense to expand the dental plan outside the United States and to provide one (1) year of continued dental coverage for enrolled dependents of service members who die while on active duty [The Defense Authorization Act For Fiscal Year 1995, Public Law 103-337, sec. 703]. In addition, the Congress granted subsequent legislative authority to allow the Secretary of Defense to waive or reduce the cost-shares in overseas locations [The Defense Authorization Act For Fiscal Year 1998, Public Law 105-85 sec. 732].
In Fiscal Year 1999, the Congress authorized a methodology by which the enrollee's share of the premium could be increased. This methodology is tied to the lesser of the percent increase in the basic pay of active duty service
In Fiscal Year 2000, the Congress authorized the establishment of the TRICARE dental program (TDP), by striking 10 U.S.C. 1076a (Dependents' dental program) and 10 U.S.C. 1076b (Selected Reserve dental insurance) and inserting a revised section 1076a, TRICARE dental program [The Defense Authorization Act For Fiscal Year 2000, Public Law 106-65, sec. 711]. Language in this revision directed the Secretary of Defense to establish a voluntary enrollment dental insurance plan for members of the Selected Reserve of the Ready Reserve (the former Selected Reserve dental insurance plan or more commonly referred to as the TRICARE Selected Reserve Dental Program or TSRDP) and for members of the Individual Ready Reserve described in 10 U.S.C. 10144(b). It also provided authorizing language to allow the Secretary of Defense to establish a dental insurance plan for eligible dependents of Uniformed Service members who are on active duty for periods of greater than thirty (30) days (the former Dependents' dental plan or more commonly referred to as the TRICARE Family Member Dental Plan or TFMDP), members of the Individual Ready Reserve as described in 10 U.S.C. 10144(a), and eligible dependents of members of the Ready Reserve of the Reserve components who are not on active duty for more than thirty (30) days. Essentially, the authorizing language combined the eligible populations of the TFMDP and TSRDP and added, as eligibles, members of the Individual Ready Reserve and dependents of members of the Selected Reserve and Individual Ready Reserve. Additionally, the Congress directed that the insurance plans for the dependents of active duty members and for the members of the Selected Reserve and Individual Ready Reserve (as described in 10 U.S.C. 10144(b)) would be premium sharing plans between the enrollee and the Government. Beneficiaries eligible to enroll in the remaining insurance plans would be required to pay the full premium as a condition of enrollment. To allow for greater participation in the TDP, the Congress allowed the member's share of the premium to be paid from their basic or reserve pay accounts or, for those who do not receive such pay, through payment procedures as specified by the Department. The Congress also authorized waiver of dental plan requirements for surviving dependents of members of the Ready Reserve if the dependent was enrolled in the dental plan on the date of death of the member. This revised the previous waiver authority that applied only to enrolled surviving dependents of active duty members.
These legislative provisions have been codified in 10 U.S.C. 1076a, TRICARE dental program, and are reflected in the regulatory provisions of this final rule. By striking 10 U.S.C. 1076b, its implementing regulation, 32 CFR 199.21, TRICARE Selected Reserve Dental Program (TSRDP), is also removed and reserved.
The below programmatic improvements will be effective once the follow-on TDP contract has been awarded and the performance period has begun. At the present time, the performance period is expected to begin on February 1, 2001.
With the authorizing legislation (The National Defense Authorization Act for Fiscal Year 2000), the final rule extends TDP coverage to newly eligible populations. This is an important step towards improving Reserve member's dental readiness and in promoting proper oral health across the beneficiary population. Designed to be a uniform benefit across all enrollees, the TDP offers a comprehensive benefit package with a strong focus on preventive and diagnostic services as well as pediatric and adolescent oral health. By extending coverage to the members of the Individual Ready Reserve and the dependents of the Selected Reserve and the Individual Ready Reserve and by offering a comprehensive dental benefit to the members of the Selected Reserve (versus the limited benefit previously available under the TSRDP), the Department and the Reserve components continue on the path towards parity with dental insurance plans historically extended only to dependents of the Active component. This final rule also addresses several administrative clarifications that distinguish dental plan requirements for the different beneficiary populations.
Since the TFMDP (and its earlier versions) began, the Uniformed Services have administered the TFMDP dental plan enrollment, disenrollment and eligibility determination functions. The complexities of the dental plan, combined with a high turnover rate of relatively inexperienced Service personnel and other competing responsibilities, separate Service procedures, databases and data transfer processes, high cost and lengthy delays in software modifications, and Uniformed Service personnel downsizing, created the need for a centralized and uniform enrollment process. This can be best achieved by an experienced dental plan contractor and will allow service members to contact one (1) organization to enroll, disenroll, reenroll and discuss other TDP benefit and claims adjudication issues. By allowing the contractor to administer the enrollment function across all of the Uniformed Services, enrollment becomes portable whereas the current system supporting the TFMDP does not allow an active duty member from one (1) Service to enroll his or her family members through a separate Service. Contractor enrollment will also simplify the payroll deduction and eligibility determination process and reduce the possibility of waste and abuse at the local level. In addition, it maintains a stable, trained work force at the front end of the TDP and greatly improves customer service.
An added benefit to contractor enrollment will be the elimination of the current required TFMDP Uniformed Service enrollment forms. The complex DD Form 2494, Active Duty Dependent Dental Plan Enrollment Form, and the DD Form 2494-1, Supplemental Active Duty Dependent Dental Plan Enrollment Form, will no longer be needed and will be replaced by a standard, simplified contractor enrollment form as well as telephonic and fax enrollment options.
Contractor enrollment has proven to be a success with the TRICARE Managed Care Support contractors as well as with contracted enrollment via the TSRDP and the TRICARE Retiree Dental Program (TRDP). The Uniformed Services will continue, as with the former dental plans and current TRICARE/CHAMPUS programs, to determine eligibility for the dental plan and process any changes regarding eligibility through the Defense Enrollment Eligibility Reporting System (DEERS).
The current TFMDP is financed through premiums jointly paid by the Government and the active duty service member. The active duty service member's share of the premiums is deduced from their payroll accounts. In certain situations, otherwise eligible dependents are precluded from enrolling in the dental plan if their sponsor does not have an active payroll account or has insufficient funds in that account. These eligible dependents include dependents of incarcerated sponsors and survivors. By allowing the contractor to directly bill these dependents for their premium share, dependents previously excluded from enrollment can now receive coverage. With the authorizing legislation (The National Defense Authorization Act for Fiscal Year 2000), this improvement eliminates a previous enrollment termination provision in the regulation where eligibility for basic pay was a deciding criterion for continued enrollment in the dental plan. The provision of contractor direct billing is also extended to those Reserve component members and family members who are in similar situations.
A mandatory enrollment period is an essential factor behind Government and contractor actuarial estimates in developing the TDP premium and provides a guarantee to the contracting community that they will collect a certain amount of premiums for the potential benefit payout. The final rule reduces the previous longstanding TFMDP twenty-four (24) month mandatory enrollment period to twelve (12) months under the TDP since this twenty-four (24) month period precluded numerous, otherwise eligible, active duty dependents from enrolling in the dental plan. These eligible dependents include newly eligible dependents of active duty members who are near the end of their active service, dependents of enlisted service members who are outside of their re-enlistment window of opportunity, and dependents of Reserve/Guard personnel called to active duty for less than twenty-four (24) months (such as Reserve/Guard personnel on active duty for training and special assignments). Reduction to a twelve (12) month enrollment period for the TDP has a precedent with other TRICARE plans, to include the TRICARE Managed Care Prime option and the TSRDP. By introducing this more liberal enrollment period, the regulation also calls for a twelve (12) month “lock-out” if the beneficiary disenrolls before completing the twelve (12) month enrollment period for any unauthorized reason or if the beneficiary fails to pay their premiums. A twelve (12) month lock-out period also applies to a Reserve component member who disenrolls before completing the special mandatory enrollment period for Reserve component members ordered to active duty in support of a contingency operation as provided in paragraph (c)(3)(ii)(C)(
Beneficiaries enrolled in the TFMDP and TSRDP at the time when TDP coverage begins must complete their respective two (2) and one (1) year enrollment periods established under those superseded plans except if one of the conditions for valid disenrollment applies. Once these original enrollment periods are met, the beneficiary may continue TDP enrollment on month-to-month basis. A new one (1) year enrollment period will only be incurred if the beneficiary disenrolls and attempts to reenroll in the TDP at a later date.
The regulations provides that the twelve (12) month enrollment period shall not apply to eligible dependents of Reserve component sponsors ordered to active duty for more than thirty (30) days but less than twelve (12) months (other than for training) in support of a contingency operation as defined in 10 U.S.C. 101(a)(13). Orders may be issued under statutory authorities for recalling Reserve component members to active duty, but must specify that the member is serving in support of a specific contingency operation under the statutory definition. This desperate treatment for certain Reserve component members is necessary because of the involuntary nature of their call to active duty and statutory limitations on their period of active duty.
By contrast, active duty members are enlisted, reenlisted or commissioned for periods of active duty longer than one (1) year. The active duty member has the option to enroll eligible dependents at any time during that period of active duty prior to the last twelve (12) months of service, and at a relatively constant premium cost. Similarly, other Reserve component members generally volunteer for call to active duty and serve for at least one (1) year; therefore they will have the option to enroll family members at any time other than in the last twelve (12) months of that service.
However Reserve component members ordered to active duty in support of a contingency operation are normally limited by statute to a period of active duty of nine (9) months or less. While 38 U.S.C. Chapter 43 provides that a Reserve component member who has coverage under a civilian employer sponsored dental program may elect to continue that coverage during a period of active duty, for up to eighteen (18) months; if serving for more than thirty (30) days, the member may be required to pay the full premium cost with employer cost-sharing no longer required. Upon release from active duty, 38 U.S.C. Chapter 43, provides that the Reserve component member may be reinstated in his or her civilian employer sponsored program without a waiting period. Without an exception to the mandatory twelve (12) month enrollment period for TDP, members who cannot afford to pay the full premium for continuing their civilian plan would be unable to provide dental insurance coverage for their family members while on active duty. This exclusion to the twelve (12) month enrollment period is therefore necessary to preclude such prejudicial treatment of Reserve component members ordered to active duty for less than twelve (12) months to support a contingency operation. In its place, a separate enrollment period is created for the Reserve component member as provided in paragraph (c)(3)(ii)(C)(
Although certain cost-shares are mandated by law, the Secretary of Defense has the prerogative to adjust cost-shares for certain types of dental procedures. Available data shows that our lower-paid enlisted families are reluctant to pursue specialized dental care because of the amount of their cost-share. To allow greater participation and dental benefit utilization among our younger enlisted families, this regulation would have a two-tiered maximum cost-share dependent on the service member's pay grade. With the rates below, this reduction for enlisted service members does not have a measurable effect on the overall premium.
A reduction in cost-shares has been chosen over a reduction in premium rates for enlisted service members in these pay grades because the premium rates have traditionally been affordable as compared to similar dental benefits programs administered by commercial dental insurance plans and given the fact that the Government pays sixty (60) percent of the total premium for dependents of active duty members and members of the Selected Reserve and the Individual Ready Reserve (as described in 10 U.S.C. 10144(b)). As such, the greatest effect on participation and utilization can best be achieved through a reduction in cost-shares.
Under the final rule, previous TFMDP enrollment options have been simplified to assist the beneficiary, Government, provider of care and the dental plan contractor. Under the TFMDP (and previous plans), dependents were asked to choose from several different enrollment options depending on whether they had children under the age of four (4). With the advance in pediatric dentistry (pedodontics), dental care for children between the ages of one (1) and four (4) is highly recommended. As such, the dental plan contractor will offer sponsors the opportunity to enroll these particular dependents when eligibility information indicates a dependent is one (1) year of age or older. Although there will continue to be two (2) separate premiums, a “single” premium for one (1) covered life, and a “family” premium for more than one (1) covered life, providing additional exceptions to this rule based on age will advance pediatric care among our beneficiary population, simplify enrollment processing by the dental plan contractor and promote greater understanding of enrollment options by all parties. A discussion of these enrollment policies and options will be found in the TDP contractor's benefit booklet.
Local anesthesia, in conjunction with other covered dental procedures, is considered integral to the procedure itself and has been covered for several years. Other anesthesia services were historically excluded due to their high cost. The regulation allows the Department to add other types of anesthesia services to the TDP benefit package.
This final rule provides clarification on the Department's use of the Congressional waiver for surviving dependents. Since 1993, the Department has used the waiver authority to provide one (1) year of continued TFMDP enrollment at Government expense to eligible dependents of active duty members who die while on active duty for a period of thirty-one (31) days or more. To receive the continued enrollment at Government expense, the eligible dependents must have been enrolled in the TFMDP at the time of the active duty member's death. With the authority in the National Defense Authorization Act for Fiscal Year 2000, the final rule clarifies how the waiver will be used and extends use of the waiver to enrolled dependents of deceased members of the Selected Reserve and the Individual Ready Reserve (as described in 10 U.S.C. 10144(b)).
Under the TDP, the Department wishes to procure a responsive, simple, and two (or greater) tiered appeals program within the dental plan contractor's operation. We have had similar success with this approach under the TSRDP and the TRDP, where the contractors administer the first two (2) levels of the appeals program, which are termed the initial determination and the reconsideration. Under the TDP, the appealing parties would appeal adverse decisions through the contractor's established appeal process where separate parties would perform the initial determination and reconsideration reviews (whether internal or external to the organization). The final levels of review would be, as before, to the Department, subscribing to guidelines under the Formal Review and Hearing procedures listed in 32 CFR 199.10.
The programmatic improvements are scheduled to take effect when the follow-on TDP contract to the current TFMDP contact is awarded and the performance period begins. Operations under the current TSRDP contract will also cease at that time. Considering the
The final rule incorporates several administrative changes. There is revised language on Federal preemption of State and local laws that conforms the dental regulation language to reflect the Department's previous exercise of statutory authority in this area. Other changes include: widespread publication of premium rates; allowing the Department to modify the benefit package based on developments in common dental care practices and standard dental insurance plans; permitting the dental plan contractor to pay “by report” procedures by providing an additional allowance to the primary covered procedure; removing detailed descriptions of types of authorized providers in favor of more general language; updating dental terminology to be consistent with the American Dental Association's Council on Dental Care Program's Code on Dental Procedures and Nomenclature; and, reorganizing and adding language on the maximum amount payable by the TDP.
The final rule incorporates plan name and other changes to reflect current terminology, such as outdated references to the former TRICARE Management Activity address, “Active Duty Dependent Dental Plan”, “TRICARE Family Member Dental Plan”, “TRICARE Selected Reserve Dental Plan” and superceded regulations. It also reduces redundant language and reduces the overall size of the regulation through cross-references to applicable language appearing in other CFR sections. This includes references to appeals, fraud and abuse, eligibility, and adjunctive dental care as well as information on the former dental plans. Items that are more appropriate for inclusion in the actual contract statement of work have also been removed and transferred to that document. This includes equality of benefit processing, coordination of benefits, participating provider lists, Government review of billing practices, and how a Dental Explanation of Benefits should be structured. Finally, the regulation has been reorganized for better flow, ease of reading and understanding.
The proposed rule was published in the
The commenter recognized that there were numerous problems in the current enrollment and eligibility system that supports the TFMDP. They believe though that the Department should totally absorb any increased costs related to the contractor's enrollment function under the TDP.
The commenter suggested that, if problems persist with enrollment and eligibility processing under the TDP and which cannot be swiftly handled by the dental contractor, consideration should be given to establishing some form of beneficiary counselor that would act on behalf of the beneficiary.
The commenter asked if there are any provisions in the TDP to assist deployed service members with enrollment issues.
The commenter requested that enrollees be offered the option to enroll their children who reach the age of four (4) stating that the increase in premium by moving to a family premium will result in more junior service members opting out of the plan.
The commenter requested that the final rule contain specific language that the Government will pay premiums for enrolled survivors for the one (1) year period following the sponsor's death.
The commenter questioned eligibility language regarding a child who becomes a re-eligible for TDP benefits because the child's marriage ends before the child is twenty-one (21) years of age and who loses eligibility at twenty-one (21) years of age. The commenter stated that this language was inconsistent with eligibility up to age twenty-three (23) if the child is a full-time student.
The commenter was opposed to language regarding the provision of alternative delivery systems and potential implementation of these systems under the TDP. Their concern was that alternative delivery systems would limit beneficiaries to a dental health maintenance organization, preclude beneficiary choice of dental providers, allow such entities as Morale, Welfare and Recreation and Exchange organizations the opportunity for increased profits if they were designated as alternative delivery systems, and that both quality and cost could be compromised by the implementation of a closed system.
Executive Order 12866 requires certain regulatory assessments for any “significant regulatory action” defined as one that would result in an annual effect on the economy of $100 million or more, or have other substantial impacts. The Regulatory Flexibility Act (RFA) requires that each federal agency prepare, and make available for public comment, a regulatory flexibility analysis when the agency issues a regulation which would have a significant impact on a substantial number of small entities.
This final rule is not a significant regulatory action under Executive Order 12866. The changes set forth in this final rule are minor revisions to the existing regulation. Since this final rule does not impose information collection requirements, it does not need to be reviewed by the Executive Office of Management and Budget under authority of the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35).
Administrative practice and procedure, Claims, Dental health, Fraud, Health care, Health insurance, Individuals with disabilities, Military personnel.
5 U.S.C. 301; 10 U.S.C. chapter 55.)
(a)
(2)
(B)
(ii)
(iii)
(3)
(B)
(ii)
(B)
(4)
(ii) Based on the determination set forth in paragraph (a)(4)(i) of this section, any State or local law relating to health or dental insurance, prepaid health or dental plans, or other health or dental care delivery or financing methods is preempted and does not apply in connection with the TDP contract. Any such law, or regulation pursuant to such law, is without any force or effect, and State or local governments have no legal authority to enforce them in relation to the TDP contract. (However, DoD may, by contract, establish legal obligations on the part of the dental plan contractor to conform with requirements similar or identical to requirements of State or local laws or regulations.)
(iii) The preemption of State and local laws set forth in paragraph (a)(4)(ii) of this section includes State and local laws imposing premium taxes on health or dental insurance carriers or underwriters or other plan managers, or similar taxes on such entities. Such laws are laws relating to health insurance, prepaid health plans, or other health care delivery or financing methods, within the meaning of the statutes identified in paragraph (a)(4)(i) of this section. Preemption, however, does not apply to taxes, fees, or other payments on net income or profit realized by such entities in the conduct of business relating to DoD health services contracts, if those taxes, fees, or other payments are applicable to a broad range of business activity. For purposes of assessing the effect of Federal preemption of State and local taxes and fees in connection with DoD health and dental services contracts, interpretations shall be consistent with those applicable to the Federal Employees Health Benefits Program under 5 U.S.C. 8909(f).
(5)
(ii)
(iii)
(iv)
(A) Development, publication, and enforcement of benefit policy, exclusions, and limitations in compliance with the law, regulation, and the contract provisions;
(B) Adjudicating and processing claims; and conducting related supporting activities, such as enrollment, disenrollment, collection of premiums, eligibility verification, provider relations, and beneficiary communications.
(6)
(7)
(i) Disclosure of such information is necessary to the determination by a provider or the dental plan contractor of beneficiary enrollment or eligibility for coverage of specific services;
(ii) Disclosure of such information is authorized specifically by the beneficiary;
(iii) Disclosure is necessary to permit authorized Government officials to investigate and prosecute criminal actions;
(iv) Disclosure constitutes a routine use of a routine use of a record which is compatible with the purpose for which it was collected. This includes a standard and acceptable business practice commonly used among dental insurers which is consistent with the principle of preserving confidentiality of personal information and detailed clinical data. For example, the release of utilization information for the purpose of determining eligibility for certain services, such as the number of dental prophylaxis procedures performed for a beneficiary, is authorized;
(v) Disclosure is pursuant to an order from a court of competent jurisdiction; or
(vi) Disclosure by the Director, OCHAMPUS, or designee, is for the purpose of determining the applicability of, and implementing the provisions of, other dental benefits coverage or entitlement.
(8)
(b)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(i) Enrolling all active duty, Reserve and retired service members, their dependents, and the dependents of deceased service members; and
(ii) Verifying their eligibility for health care benefits in the direct care facilities and through the TDP.
(9)
(10)
(11)
(i) Clinical oral examinations;
(ii) Radiographic examinations; and
(iii) Diagnostic laboratory tests and examinations provided in connection with other dental procedures authorized as benefits of the TDP and further defined in paragraph (e) of the section.
(12)
(13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
(21)
(22)
(23)
(24)
(c)
(2)
(A) A person who bears one of the following relationships to an active duty member (under a call or order that does not specify a period of thirty (30) days or less) or a member of the Selected Reserve (as specified in 10 U.S.C. 10143) or Individual Ready Reserve (as specified in 10 U.S.C. 10144):
(
(
(B) A member of the Selected Reserve of the Ready Reserve (as specified in 10 U.S.C. 10143).
(C) A member of the Individual Ready Reserve of the Ready Reserve (as specified in 10 U.S.C. 10144(b)) who is subject to being ordered to active duty involuntarily in accordance with 10 U.S.C. 12304.
(D) All other members of the Individual Ready Reserve of the Ready Reserve (as specified in 10 U.S.C. 10144(a)).
(ii)
(B)
(C)
(3)
(B)
(ii)
(
(B)
(
(
(
(
(
(C)
(
(
(
(D)
(E)
(
(
(
(
(
(
(
(
(
(
(d)
(i)
(ii)
(2)
(3)
(A) The percent by which the rates of basic pay of members of the Uniformed Services are increased on such date; or
(B) The sum of one-half percent and the percent computed under 5 U.S.C. 5303(a) for the increase in rates of basic pay for statutory pay systems for pay periods beginning on or after such date.
(ii) Under the legislation authorizing an increase in the monthly premium cap, the methodology for determining the active duty, Selected Reserve and Individual Ready Reserve member's TDP premium pursuant to paragraph (d)(1)(i) of this section will be applied as if the methodology had been in continuous use since December 31, 1993.
(4)
(5)
(6)
(7)
(e)
(ii)
(iii)
(B)
(iv)
(A) The service, procedure, or course of treatment must be consistent with sound professional standards of dental practice for the dental condition concerned.
(B) The service, procedure, or course of treatment must be a generally accepted alternative for a service or procedure covered by the TDP for the dental condition.
(C) Payment for the alternative service or procedure may not exceed the lower of the prevailing limits for the alternative procedure, the prevailing limits or dental plan contractor's scheduled allowance for the otherwise authorized benefit procedure for which the alternative is substituted, or the actual charge for the alternative procedure.
(2)
(i)
(A)
(
(
(B)
(
(
(
(ii)
(A) Unclassified treatment.
(B) Anesthesia.
(C) Professional consultation.
(D) Professional visits.
(E) Drugs.
(F) Miscellaneous services.
(iii)
(A) Amalgam restorations.
(B) Resin restorations.
(C) Inlay and onlay restorations.
(D) Crowns.
(E) Other restorative services.
(iv)
(A) Pulp capping.
(B) Pulpotomy and pulpectomy.
(C) Endodontic therapy.
(D) Apexification and recalcification procedures.
(E) Apicoectomy and periradicular services.
(F) Other endodontic procedures.
(v)
(A) Surgical services.
(B) Periodontal services.
(C) Other periodontal services.
(vi)
(A)
(
(
(
(
(
(
(B)
(
(
(
(vii)
(A) Limited orthodontic treatment.
(B) Minor treatment to control harmful habits.
(C) Interceptive orthodontic treatment.
(D) Comprehensive orthodontic treatment.
(E) Other orthodontic services.
(viii)
(A) Extractions.
(B) Surgical extractions.
(C) Other surgical procedures.
(D) Alveoloplasty—surgical preparation of ridge for denture.
(E) Surgical incision.
(F) Repair of traumatic wounds.
(G) Complicated suturing.
(H) Other repair procedures.
(ix)
(x)
(xi)
(3)
(ii)
(iii)
(f)
(2)
(3)
(4)
(5)
(6)
(i)
(ii)
(7)
(ii)
(iii)
(iv)
(v)
(vi)
(g)
(2)
(i) Nonparticipating providers (or the Beneficiaries or active duty, Selected Reserve or Individual Ready Reserve members for unassigned claims) shall be reimbursed at the equivalent of not less than the 50th percentile of prevailing charges made for similar services in the same locality (region) or state, or the provider's actual charge, whichever is lower, subject to the exception listed in paragraph (e)(3)(ii) of this section, less any cost-share amount due for authorized services.
(ii) Participating providers shall be reimbursed at the equivalent of a percentile of prevailing charges sufficiently above the 50th percentile of prevailing charges made for similar services in the same locality (region) or state as to constitute a significant financial incentive for participation, or the provider's actual charge, whichever is lower, less any cost-share amount due for authorized services.
(3)
(h)
(1)
(i)
(B)
(ii)
(A)
(B)
(iii)
(iv)
(v)
(vi)
(A) The amount of the dental plan contractor-determined allowable charge since the methodology constitutes a limitation on benefits under the provisions of this section.
(B) Certain other issues on the basis that the authority for the initial determination is not vested in OCHAMPUS. Such issues include but are not limited to the following examples:
(
(
(
(vii)
(B)
(
(
(
(
(viii)
(ix)
(2)
(3)
(4)
(ii)
(5)
Environmental Protection Agency (EPA).
Withdrawal of immediate final rule.
We are withdrawing the immediate final rule for Indiana: Final Authorization of State Hazardous Waste Management Program Revision published on July 26, 2000, which approved changes to its hazardous waste program under the Resource Conservation and Recovery Act (RCRA). We stated in the immediate final rule that if we received written comments that oppose this authorization during the comment period, we would publish a timely notice of withdrawal in the
As of October 23, 2000, we withdraw the immediate final rule published on July 26, 2000 at 65 FR 45925.
Gary Westefer, Indiana Regulatory Specialist, U.S. EPA Region 5, DM-7J, 77 West Jackson Boulevard, Chicago, Illinois 60604, (312) 886-7450.
Because we received written comments that oppose this authorization, we are withdrawing the immediate final rule for Indiana: Final Authorization of State Hazardous Waste Management Program Revision published on July 26, 2000, at 65 FR 45925, which intended to grant authorization for revision to Indiana's hazardous waste program under the Resource Conservation and Recovery Act (RCRA). We stated in the immediate final rule that if we received written comments that oppose this authorization during the comment period, we would publish a timely notice of withdrawal in the
Agricultural Marketing Service, USDA.
Proposed rule.
This rule would increase the assessment rate established for the Walnut Marketing Board (Board) for the 2000-01 and subsequent marketing years from $0.0118 to $0.0134 per kernelweight pound of assessable walnuts. The $0.0016 increase is necessary because this year's estimate of assessable walnuts is about 13 percent less than last year's estimate. The Board locally administers the Federal marketing order which regulates the handling of walnuts grown in California (order). Authorization to assess walnut handlers enables the Board to incur expenses that are reasonable and necessary to administer the program. The marketing year runs from August 1 through July 31. The assessment rate would remain in effect indefinitely unless modified, suspended, or terminated.
Comments must be received by November 22, 2000.
Interested persons are invited to submit written comments concerning this rule. Comments must be sent to the Docket Clerk, Marketing Order Administration Branch, Fruit and Vegetable Programs, AMS, USDA, room 2525-S, P.O. Box 96456, Washington, DC 20090-6456; Fax: (202) 720-5698, or E-mail:
Toni Sasselli, Marketing Assistant, or Richard P. Van Diest, Marketing Specialist, California Marketing Field Office, Marketing Order Administration Branch, Fruit and Vegetable Programs, AMS, USDA, 2202 Monterey Street, suite 102B, Fresno, California 93721; telephone: (559) 487-5901, Fax: (559) 487-5906; or George Kelhart, Technical Advisor, Marketing Order Administration Branch, Fruit and Vegetable Programs, AMS, USDA, room 2525-S, P.O. Box 96456, Washington, DC 20090-6456; telephone: (202) 720-2491, Fax: (202) 720-5698.
Small businesses may request information on complying with this regulation by contacting Jay Guerber, Marketing Order Administration Branch, Fruit and Vegetable Programs, AMS, USDA, P.O. Box 96456, room 2525-S, Washington DC 20090-6456; telephone: (202) 720-2491, Fax: (202) 720-5698, or E-mail:
This rule is issued under Marketing Agreement and Order No. 984 (7 CFR part 984), both as amended, regulating the handling of walnuts grown in California, hereinafter referred to as the “order.” The marketing agreement and order are effective under the Agricultural Marketing Agreement Act of 1937, as amended (7 U.S.C. 601-674), hereinafter referred to as the “Act.”
The Department of Agriculture (Department) is issuing this rule in conformance with Executive Order 12866.
This rule has been reviewed under Executive Order 12988, Civil Justice Reform. Under the marketing order now in effect, California walnut handlers are subject to assessments. Funds to administer the order are derived from such assessments. It is intended that the assessment rate as proposed herein would be applicable to all assessable walnuts beginning on August 1, 2000, and continue until amended, suspended, or terminated. This rule will not preempt any State or local laws, or policies, unless they present an irreconcilable conflict with this rule.
The Act provides that administrative proceedings must be exhausted before parties may file suit in court. Under section 608c(15)(A) of the Act, any handler subject to an order may file with the Secretary a petition stating that the order, any provision of the order, or any obligation imposed in connection with the order is not in accordance with law and request a modification of the order or to be exempted therefrom. Such handler is afforded the opportunity for a hearing on the petition. After the hearing the Secretary would rule on the petition. The Act provides that the district court of the United States in any district in which the handler is an inhabitant, or has his or her principal place of business, has jurisdiction to review the Secretary's ruling on the petition, provided an action is filed not later than 20 days after the date of the entry of the ruling.
This rule would increase the assessment rate established for the Board for the 2000-01 and subsequent marketing years from $0.0118 to $0.0134 per kernelweight pound of assessable walnuts. The $0.0016 increase is necessary because this year's estimate of assessable walnuts is about 13 percent less than last year's estimate. Thus, sufficient income would not be generated at the current assessment rate for the Board to meet its anticipated expenses.
The order provides authority for the Board, with the approval of the Department, to formulate an annual budget of expenses and collect assessments from handlers to administer the program. The members of the Board are producers and handlers of California walnuts. They are familiar with the Board's needs and with the costs of goods and services in their local area and are thus in a position to formulate an appropriate budget and assessment rate. The assessment rate is formulated and discussed in a public meeting. Thus, all directly affected persons have an opportunity to participate and provide input.
For the 1999-2000 and subsequent marketing years, the Board recommended, and the Department approved, an assessment rate of $0.0118 per kernelweight pound of assessable walnuts that would continue in effect from year to year unless modified, suspended, or terminated by the Secretary upon recommendation and information submitted by the Board or other information available to the Secretary.
The Board met on September 8, 2000, and unanimously recommended 2000-01 expenditures of $2,937,885 and an assessment rate of $0.0134 per kernelweight pound of assessable walnuts. In comparison, last year's budgeted expenditures were $2,967,356. The recommended assessment rate is $0.0016 higher than the $0.0118 rate currently in effect. The higher assessment rate is necessary because this year's crop is estimated by the California Agricultural Statistics Service (CASS) to be 245,000 tons (220,500,000 kernelweight pounds merchantable), which is about 13 percent less than last year's estimate. Thus, sufficient income would not be generated at the current rate for the Board to meet its anticipated expenses.
Major expenditures recommended by the Board for the 2000-01 year include $2,382,455 for marketing and production research projects, $305,250 for general expenses such as administrative salaries and insurance, $165,380 for office expenses, $59,800 for a production research director, and $25,000 as a contingency. Budgeted expenses for these items last year were $2,413,038 for marketing and production research projects, $289,709 for general expenses, $179,809 for office expenses, $59,800 for a production research director, and $25,000 as a contingency, respectively.
The assessment rate recommended by the Board was derived by dividing anticipated expenses by expected shipments of California walnuts certified as merchantable. Merchantable shipments for the year are estimated at 220,500,000 kernelweight pounds which should provide $2,954,700 in assessment income and allow the Board to cover its expenses. Unexpended funds may be used temporarily to defray expenses of the subsequent marketing year, but must be made available to the handlers from whom collected within 5 months after the end of the year (§ 984.69). The proposed assessment rate would continue in effect indefinitely unless modified, suspended, or terminated by the Secretary upon recommendation and other information submitted by the Board or other available information.
Although this assessment rate would be in effect for an indefinite period, the Board would continue to meet prior to or during each marketing year to recommend a budget of expenses and consider recommendations for modification of the assessment rate. The dates and times of Board meetings are available from the Board or the Department. Board meetings are open to the public and interested persons may express their views at these meetings. The Department would evaluate Board recommendations and other available information to determine whether modification of the assessment rate is needed. Further rulemaking would be undertaken as necessary. The Board's 2000-01 budget and those for subsequent marketing years will be reviewed and, as appropriate, approved by the Department.
Pursuant to requirements set forth in the Regulatory Flexibility Act (RFA), the Agricultural Marketing Service (AMS) has considered the economic impact of this action on small entities. Accordingly, AMS has prepared this initial regulatory flexibility analysis.
The purpose of the RFA is to fit regulatory actions to the scale of business subject to such actions in order that small businesses will not be unduly or disproportionately burdened. Marketing orders issued pursuant to the Act, and rules issued thereunder, are unique in that they are brought about through group action of essentially small entities acting on their own behalf. Thus, both statutes have small entity orientation and compatibility.
There are approximately 5,000 producers of walnuts in the production area and about 48 handlers subject to regulation under the order. Small agricultural producers are defined by the Small Business Administration (13 CFR 121.201) as those having annual receipts of less than $500,000, and small agricultural service firms are defined as those having annual receipts of less than $5,000,000.
Using an average f.o.b. price of $2.10 per kernelweight pound of walnuts for the 1999-2000 marketing year, handlers would have had to ship more 2,380,953 pounds of walnuts to exceed sales of $5,000,000.
Approximately 33 percent of the handlers shipped over 2,380,953 kernelweight pounds of walnuts and 67 percent shipped less than that amount during the 1999-2000 marketing year. Based on the foregoing, it can be concluded that the majority of California walnut handlers may be classified as small entities, excluding receipts from other sources. A majority of the California walnut growers also may be classified as small entities.
This rule would increase the assessment rate established for the Board and collected from handlers for the 2000-01 and subsequent marketing years from $0.0118 to $0.0134 per kernelweight pound of assessable walnuts. The Board unanimously recommended 2000-01 expenses of $2,937,885. The recommended $0.0016 increase in the assessment rate is necessary because this year's estimate of assessable walnuts is about 13 percent less than last year's estimate. Thus, sufficient income would not be generated at the current rate for the Board to meet its anticipated expenses.
Major expenditures recommended by the Board for the 2000-01 year include $2,382,455 for marketing and production research projects, $305,250 for general expenses such as administrative salaries and insurance, $165,380 for office expenses, $59,800 for a production research director, and $25,000 as a contingency. Budgeted expenses for these items last year were $2,413,038 for marketing and production research projects, $289,709 for general expenses, $179,809 for office expenses, $59,800 for a production research director, and $25,000 as a contingency, respectively.
Prior to arriving at this budget, the Board considered information from various sources, such as the Board's Budget and Personnel Committee, Research Committee, and Marketing Development Committee. Alternative expenditure levels were discussed by these groups, based upon the relative value of various research projects to the walnut industry. The recommended $0.0134 per kernelweight pound assessment rate was then determined by dividing the total recommended budget by the 220,500,000 kernelweight pound estimate of assessable walnuts for the year. This is approximately $16,815 above the anticipated expenses, which the Board determined to be acceptable. Unexpended funds may be used temporarily to defray expenses of the subsequent marketing year, but must be made available to the handlers from whom collected within 5 months after the end of the year (§ 984.69).
A review of historical information and preliminary information pertaining to the current marketing year indicates that the grower price for 2000-01 could range between $0.50 and $0.70 per kernelweight pound of assessable walnuts. Therefore, the estimated assessment revenue for the 2000-01 year as a percentage of total grower revenue could range between 2.0 and 2.7 percent.
Regarding the impact of this action on affected entities, this action would increase the assessment rate currently imposed on walnut handlers. While assessments impose some additional costs on handlers, the costs are minimal and uniform on all handlers. Some of the additional costs may be passed on to producers. However, these costs would be offset by the benefits derived by the operation of the order.
In addition, the Board's meeting was widely publicized throughout the walnut industry and all interested persons were invited to attend and participate in Board deliberations on all issues. Like all Board meetings, the September 8, 2000, meeting was a public meeting and all entities, both large and small, were able to express views on this issue. Finally, all interested persons are invited to submit information on the regulatory and information impact of this action on small businesses.
This rule would impose no additional reporting or recordkeeping requirements on either small or large California walnut handlers. As with all Federal marketing order programs, reports and forms are periodically reviewed to reduce information requirements and duplication by industry and public sectors agencies. Finally, the Department has not identified any relevant Federal rules that duplicate, overlap, or conflict with this rule.
A small business guide on complying with fruit, vegetable, and specialty crop marketing agreements and orders may be viewed at:
A 30-day comment period is provided to allow interested persons to respond to this proposed rule. Thirty days is deemed appropriate because: (1) The 2000-01 marketing year began on August 1, 2000, and the order requires that the rate of assessment for each marketing year apply to all merchantable walnuts handled during the year; (2) the Board needs to have sufficient funds to pay its expenses which are incurred on a continuous basis; and (3) handlers are aware of this action which was unanimously recommended at a public meeting and is similar to other assessment rate actions issued in past years.
Marketing agreements, Nuts, Reporting and recordkeeping requirements, Walnuts.
For the reasons set forth in the preamble, 7 CFR part 984 is proposed to be amended as followed:
1. The authority citation for 7 CFR part 984 continues to read as follows:
7 U.S.C. 601-674.
1. Section 984.347 is revised to read as follows:
On and after August 1, 2000, an assessment rate of $0.0134 per kernelweight pound is established for California merchantable walnuts.
Nuclear Regulatory Commission.
Withdrawal of a proposed rule and denial of petition for rulemaking; correction.
This document corrects a notice of withdrawal of a proposed rule and denial of a petition for rulemaking, relating to criteria for an extraordinary nuclear occurrence, appearing in the
David L. Meyer, Chief Rules and Directives Branch Division of Administrative Services, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, telephone 301-415-7162 (e-mail:
Accordingly, in FR Doc. 00-26642, published at 65 FR 61283 on October 17, 2000, make the following correction:
1. On page 61283, column one, the last sentence in the
For the Nuclear Regulatory Commission.
Social Security Administration.
Proposed rules.
We propose to modify the regulations dealing with the recovery of supplemental security income (SSI) overpayments made under title XVI of the Social Security Act (the Act). The modifications reflect statutory authority for the Social Security Administration (SSA) to selectively refer information about SSI overpayments to consumer reporting agencies and to recover SSI overpayments through administrative offset by the Department of the Treasury against other Federal payments to which the overpaid individual may be entitled. These collection practices would be limited to overpayments made to a person after he or she attained age 18 that are determined to be otherwise unrecoverable under section 1631(b) of the Act after the individual ceases to be a beneficiary under title XVI of the Act.
To be sure your comments are considered, we must receive them no later than December 22, 2000.
Comments should be submitted in writing to the Commissioner of Social Security, P.O. Box 1585, Baltimore, Maryland 21235-1585, sent by telefax to (410) 966-2830, sent by e-mail to “regulations@ssa.gov,” or delivered to the Office of Process and Innovation Management, Social Security Administration, 2109 West Low Rise Building, 6401 Security Boulevard, Baltimore, MD 21235-6401, between 8 a.m. and 4:30 p.m. on regular business days. Comments may be inspected during these same hours by making arrangements with the contact person shown below.
Robert J. Augustine, Social Insurance Specialist, Office of Process and Innovation Management, Social Security Administration, 2109 West Low Rise
Section 1631(b) of the Act prescribes the methods SSA may use to recover SSI overpayments. Until enactment of Pub. L. 106-169 on December 14, 1999, SSA was not authorized to use certain tools found in 31 U.S.C. Chapter 37 to recover title XVI program overpayments. Section 203 of Pub. L. 106-169 amended section 1631(b) of the Act to permit SSA to use for SSI overpayments several of the debt collection practices that have been available for use regarding social security benefit overpayments under title II of the Act. Among other things, these practices include reporting delinquent debts to consumer reporting agencies and recovering debts by administrative offset against other Federal payments to which the overpaid person is entitled. Under section 1631(b) of the Act, these additional practices may be used only if the SSI overpayment was made to a person after he or she attained age 18 and the overpayment has been determined to be otherwise unrecoverable under section 1631(b) of the Act after the overpaid person is no longer entitled to benefits under title XVI of the Act.
Before we would refer information to consumer reporting agencies or refer an SSI overpayment to the Department of the Treasury for administrative offset, we would:
• Send the overpaid person written notice (or, in the case of an individual for whom we do not have a current address, take reasonable action to locate and send written notice) describing, among other things, the amount and nature of the overpayment, the action that we propose to take, and the overpaid person's rights to request us to review the debt and to inspect or copy our records about the overpayment; and
• Give the overpaid person at least 60 calendar days to present evidence that all or part of the overpayment is not past-due or not legally enforceable, or enter into a written agreement to pay the overpayment.
In these proposed rules, we set forth our proposed policies on referral of information on title XVI overpayment debts to consumer reporting agencies and referral of such debts to the Department of the Treasury for administrative offset. In the future, as we make the necessary systems changes and develop policies and procedures to enable us to use additional debt collection tools for recovery of SSI overpayments, we will make further modifications to our overpayment recovery rules.
We propose to add a new § 416.590 to our regulations to explain that we will use the additional tools authorized by section 1631(b) of the Act when the title XVI program overpayments occurred after the individual attained age 18, and the overpayment has been determined to be otherwise unrecoverable under section 1631(b) of the Act after the individual is no longer entitled to benefits under title XVI of the Act. Proposed § 416.590 also contains the criteria under which we determine that an overpayment is otherwise unrecoverable under section 1631(b) of the Act. An overpayment will be determined to be unrecoverable when all of the following conditions are met:
• We completed our billing sequence (
• There is no installment payment agreement, or the overpaid person has failed to pay in accordance with such an agreement for two consecutive months;
• We cannot collect the overpayment by adjusting benefits payable to individuals other than the overpaid person.
For purposes of proposed § 416.590, if the overpaid person is a member of an eligible couple that is legally separated and/or living apart, we will deem unrecoverable from the other spouse that part of the overpayment which the other spouse did not receive. Adjustment of benefits will be waived for the overpaid person's spouse when that spouse is without fault (as defined in § 416.552) and waiver is requested under these circumstances. See § 416.554.
We propose to add to § 416.1403(a) (the list of administrative actions that are not initial determinations) new paragraphs (18) and (19) to include our determinations whether we will refer information about an overpayment to consumer reporting agencies and whether we will refer the overpayment to the Department of the Treasury for offset against other Federal payments due the overpaid person. Administrative actions that are not initial determinations may be reviewed by us, but they are not subject to the administrative review process provided by subpart N of our regulations at 20 CFR Part 416, and they are not subject to judicial review.
We also propose to expand our existing regulations in subpart D of part 422 to cover SSI overpayments. Specifically, we would revise § 422.301 to add language to specify that the debt collection tools in subpart D may be used to recover title XVI program overpayments the Commissioner has determined, through proposed § 416.590, to be unrecoverable under section 1631(b) of the Act. In § 422.305, we would revise both the section title and paragraph (a). The effect of the changes we propose to make to §§ 422.301 and 422.305 would allow us to apply to overpayments under both title II and title XVI of the Act the rules in subpart D of the referral of information to consumer reporting agencies and the use of administrative offset.
Executive Order (E.O.) 12866 and the President's memorandum of June 1, 1998, require each agency to write all rules in plain language. In addition to your substantive comments on these proposed rules, we invite your comments on how to make these proposed rules easier to understand.
For example:
• Have we organized the material to suit your needs?
• Are the requirements in the rules clearly stated?
• Do the rules contain technical language or jargon that is unclear?
• Would a different format (grouping and order of sections, use of headings, paragraphing) make the rules easier to understand?
• Would more (but shorter) sections be better?
• Could we improve clarity by adding tables, lists, or diagrams?
• What else could we do to make the rules easier to understand?
The electronic file of this document is available on the date of publication in the
We have consulted with the Office of Management and Budget (OMB) and determined that these proposed rules do not meet the criteria for a significant regulatory action under Executive Order 12866. Thus, they are not subject to OMB review.
We certify that these proposed regulations will not have a significant impact on a substantial number of small entities. Therefore, a regulatory flexibility analysis, as provided in the Regulatory Flexibility Act, as amended, is not required.
These proposed regulations will impose no new reporting on recordkeeping requirements requiring OMB clearance.
Administrative practice and procedure, Aged, Blind, Disability benefits, Public assistance programs, Reporting and recordkeeping requirements, Supplemental Security Income (SSI).
Administrative practice and procedure, Organization and functions (Government agencies), Social Security.
For the reasons set out in the preamble, we propose to amend subparts E and N of Part 416 and subpart D of Part 422 of Chapter III of Title 20 of the Code of Federal Regulations as follows:
1. The authority citation for subpart E of Part 416 continues to read as follows:
Secs. 702(a)(5), 1601, 1602, 1611(c) and (e), and 1631(a)-(d) and (g) of the Social Security Act (42 U.S.C. 902(a)(5), 1381, 1381a, 1382(c) and (e), and 1383(a)-(d) and (g)); 31 U.S.C. 3720A.
2. Section 416.590 is added to read as follows:
(a)
(1) The overpayment occurred after you attained age 18;
(2) You are no longer entitled to benefits under title XVI of the Act; and
(3) Pursuant to paragraph (b) of this section, we have determined that the overpayment is otherwise unrecoverable under section 1631(b) of the Act.
(b)
(1) We have completed our billing system sequence (
(2) We have not entered into an installment payment arrangement with you or, if we have entered into such an arrangement, you have failed to make any payment for two consecutive months.
(3) You have not requested waiver pursuant to § 416.550 or § 416.582 or, after a review conducted pursuant to those sections, we have determined that we will not waive collection of the overpayment.
(4) You have requested reconsideration of the initial overpayment determination pursuant to §§ 416.1407 and 416.1409 or, after a review conducted pursuant to § 416.1413, we have affirmed all or part of the initial overpayment determination.
(5) We cannot recover your overpayment pursuant to § 416.570 by adjustment of benefits payable to any individual other than you. For purposes of this paragraph, if you are a member of an eligible couple that is legally separated and/or living apart, we will deem unrecoverable from the other person that part of your overpayment which he or she did not receive.
3. The authority citation for subpart N of Part 416 is revised to read as follows:
Secs. 702(a)(5), 1631, and 1633 of the Social Security Act (42 U.S.C. 902(a)(5), 1383, and 1383b).
4. In § 416.1403, paragraph (a) is amended by removing the word “and” at the end of paragraph (a)(16), removing the first period in paragraph (a)(17), replacing “See” with “see” in the parenthetical in paragraph (a)(17), replacing the second period at the end of paragraph (a)(17) with a semicolon, and adding new paragraphs (a)(18) and (a)(19) to read as follows:
(a) * * *
(18) Determining whether we will refer information about your overpayment to a consumer reporting agency (see § 416.590 and § 422.305 of this chapter); and
(19) Determining whether we will refer your overpayment to the Department of the Treasury for collection by offset against Federal payment due you (see § 416.590 and § 422.310 of this chapter).
5. The authority citation for subpart D of Part 422 is revised to read as follows:
Secs. 204(f), 205(a), 702(a)(5), and 1631(b) of the Social Security Act (42 U.S.C. 404(f), 405(a), 902(a)(5), and 1383(b)); 31 U.S.C. 3711(e); 31 U.S.C. 3716.
6. Section 422.301(b) is amended by removing the words “title II” and by replacing “§ 404.527” with “§§ 404.527 and 416.590.”
7. Section 422.305 is amended by removing the reference to “title II” in the heading and in paragraph (a).
Office of Surface Mining Reclamation and Enforcement, Interior.
Proposed rule; public comment period and opportunity for public hearing on proposed amendment.
Office of Surface Mining Reclamation and Enforcement (OSM) is announcing receipt of a proposed amendment to the New Mexico
Written comments must be received by 4 p.m., m.d.t., November 22, 2000. If requested, a public hearing on the proposed amendment will be held on November 17, 2000. Requests to present oral testimony at the hearing must be received by 4 p.m., m.d.t., on November 7, 2000.
You should mail or hand deliver written comments and requests to speak at the hearing to Willis L. Gainer at the address listed below.
You may review copies of the New Mexico program, the amendment, a listing of any scheduled public hearings, and all written comments received in response to this document at the addresses listed below during normal business hours, Monday through Friday, excluding holidays. You may receive one free copy of the amendment by contacting OSM's Albuquerque Field Office.
Willis L. Gainer, Telephone: (505) 248-5096, Internet address: WGAINER@OSMRE.GOV.
On December 31, 1980, the Secretary of the Interior conditionally approved the New Mexico program. General background information on the New Mexico program, including the Secretary's findings, the disposition of comments, and the conditions of approval of the New Mexico program can be found in the December 31, 1980,
By letter dated September 22, 2000 (administrative record No. NM-840), New Mexico submitted a proposed amendment to its program pursuant to SMCRA (30 U.S.C. 1201
Specifically, New Mexico proposes to recodify its regulations from Title 19 (Natural Resources and Wildlife), Chapter 8 (Coal Mining), Part 2 (Coal Surface Mining) of the New Mexico Administrative Code (NMAC), Subparts 1 through 34, to Title 19, Chapter 8 of NMAC, Parts 1 through 34, or 19.8 NMAC Parts 1-34. No substantive changes to the text of the New Mexico regulations that are counterpart to SMCRA are proposed.
The only significant text revisions New Mexico proposes are at 19.8.1.5. and 19.8.1.108. New Mexico proposes to revise Section 5 to clarify the effective date of the regulations as follows:
19.8.1.5 Effective Date: November 29, 1997, unless a later date is cited at the end of a section.
19.8.1.108 Suspension of Rules or Regulations (None) Section 1-11 CSMC Rule 80-1, as adopted May 15, 1980, is hereby repealed, provided, however, that such repeal shall not be deemed to affect the authority of persons to engage in or carry out any surface coal mining operations if he has a permit under Laws 1972, Chapter 68, and such permit has not expired pursuant to the Act or 19.8 NMAC Parts 1-34, so long as he complies with the provisions of the Act, the permit and 19.8 NMAC Parts 1-34.
We will make comments, including names and addresses of respondents, available for public review during normal business hours. We will not consider anonymous comments. If individual respondents request confidentiality, we will honor their request to the extent allowable by law. Individual respondents who wish to withhold their name or address from public review, except for the city or town, must state this prominently at the beginning of their comments. We will make all submissions from organizations or businesses, and from individuals identifying themselves as representatives or officials of organizations or businesses, available for public review in their entirety.
Please submit Internet comments as an ASCII file avoiding the use of special characters and nay form of encryption. Please also include “Attn: SPATS No. NM-041-FOR” and your name and return address in your Internet message. If you do not receive a confirmation that we have received your Internet message, contact the Albuquerque Field Office at (505) 248-5096.
Your written comments should be specific and pertain only to the issues proposed in this rulemaking, and include explanations in support of the commenter's recommendations. In the final rulemaking, we will not necessarily consider or include in the Administrative Record any comments received after the time indicated under
In accordance with the provisions of 30 CFR 732.17(h), we are requesting comments on whether the proposed amendment satisfies the applicable program approval criteria of 30 CFR 732.15. If we approve the amendment, it will become part of the New Mexico program.
Comments received after the time indicated under
Persons wishing to testify at the public hearing should contact the person listed under
To assist the transcriber and ensure an accurate record, we request, if possible, that each person who testifies at a public hearing provide us with a written copy of his or her testimony. The public hearing will continue on the specified date until all persons scheduled to speak have been heard. If you are in the audience and have not been scheduled to speak and wish to do so, you will be allowed to speak after those who have been scheduled. We will end the hearing after all persons scheduled to
If only one person requests an opportunity to testify at a hearing, a public meeting, rather than a public hearing, may be held. Persons wishing to meet the OSM representatives to discuss the proposed amendment may request a meeting by contacting the person listed under
This rule is exempted from review by the Office of Management and Budget (OMB) under Executive Order 12866 (Regulatory Planning and Review).
The Department of the Interior has conducted the reviews required by section 3 of the Executive Order 12988 (Civil Justice Reform) and has determined that this rule meets the applicable standards of subsections (a) and (b) of that section. However, these standards are not applicable to the actual language of State regulatory programs and program amendments since each such program is drafted and promulgated by a specific State, not by OSM. Under sections 503 and 505 of SMCRA (30 U.S.C. 1253 and 1255) and the Federal regulations at 30 CFR 730.11, 732.15, and 732.17(h)(10), decisions on proposed State regulatory programs and program amendments submitted by the States must be based solely on a determination of whether the submittal is consistent with SMCRA and its implementing Federal regulations and whether the other requirements of 30 CFR Parts 730, 731, and 732 have been met.
No environmental impact statement is required for this rule since section 702(d) of SMCRA (30 U.S.C. 1292(d)) provides that agency decisions on proposed State regulatory program provisions do not constitute major Federal actions within the meaning of section 102(2)(C) of the National Environmental Policy Act (42 U.S.C. 4332 (2)(C)).
This rule does not contain information collection requirements that require approval by OMB under the Paperwork Reduction Act (44 U.S.C. 3507
The Department of the Interior has determined that this rule will not have a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
This rule will not impose a cost of $100 million or more in any given year on any governmental entity or the private sector.
This rule does not have takings implications. This determination is based on the analysis performed for the counterpart federal regulation.
This rule does not have federalism implications. SMCRA delineates the roles of the federal and state governments with regard to the regulation of surface coal mining and reclamation operations. One of the purposes of SMCRA is to “establish a nationwide program to protect society and the environment from the adverse effects of surface coal mining operations.” Section 503(a)(1) of SMCRA requires that state laws regulating surface coal mining and reclamation operations be “in accordance with” the requirements of SMCRA, and section 503(a)(7) requires that state programs contain rules and regulations “consistent with” regulations issued by the Secretary pursuant to SMCRA.
This rule is not a major rule under 5 U.S.C. 804(2), the Small Business Regulatory Enforcement Fairness Act. This rule:
a. Does not have an annual effect on the economy of $100 million.
b. Will not cause a major increase in costs or prices for consumers, individual industries, federal, state, or local government agencies, or geographic regions.
c. Does not have significant adverse effects on competition, employment, investment, productivity, innovation, or the ability of U.S. based enterprises to compete with foreign-based enterprises.
This determination is based upon the fact that the state submittal which is the subject of this rule is based upon counterpart federal regulations for which an analysis was prepared and a determination made that the federal regulation was not considered a major rule.
Intergovernmental relations, Surface mining, Underground mining.
Fish and Wildlife Service, Interior.
Proposed rule; correction.
The U.S. Fish and Wildlife Service (Service or we) published in the September 25, 2000,
Comments on the proposed rule published September 25, 2000 (65 FR 57586) must be received no later than October 24, 2000.
You should submit comments on the proposed rule to the Chief, Office of Migratory Bird
Jon Andrew, Chief, Office of Migratory Bird Management, (703) 358-1714.
We published in the September 25, 2000, Federal Register (65 FR 57586), a proposal under the authority of the Migratory Bird Treaty Act (16 U.S.C. 703-712 and 16 U.S.C. 742a-j) to grant temporary approval of tin shot as nontoxic for hunting waterfowl and coots during the 2000-01 hunting season. Inadvertently, the deadline for public comment was stated as November 24, 2000, which provides for a 60-day comment period. The correct deadline for public comment is October 24, 2000. In the proposed rule, we stated that the comment period for the proposed rule had been shortened to 30 days. This timeframe will make it possible for tin shot, if temporarily approved, to be available for use by hunters during the 2000-01 hunting season, and will increase the number of nontoxic shot options available to hunters.
Bovine tuberculosis (tuberculosis) is a chronic debilitating disease caused by
Scientific analysis has recently identified significant tuberculosis threats that could lead to the spread of the disease in the United States and compromise international and domestic trade in U.S. animals and animal products. These outcomes would threaten producers with losses and consumers with price increases.
The emerging tuberculosis threats include the transmission of tuberculosis to livestock from infected wildlife, especially free-ranging deer. Scientific evidence suggests that infected free-ranging deer are transmitting the disease to nearby cattle. Such transmission was recently identified in Michigan, with eight herds of cattle becoming infected with tuberculosis by free-ranging deer. Despite efforts by the State of Michigan to contain tuberculosis-infected wildlife to limited areas, program officials in Michigan subsequently discovered infected deer 75 miles outside the containment zone. This situation is threatening all interstate movement of cattle from Michigan due to concerns that cattle in that State might be exposed to infected deer.
Transmission of tuberculosis from wildlife also threatens cervids held in captivity for production. Infected captive cervids, in turn, pose a threat to cattle and other livestock. It is not currently known how prevalent tuberculosis is in captive cervids, because APHIS does not have the resources to conduct area testing of captive cervids.
Additionally, the U.S. cattle population is being threatened by recurring tuberculosis infection of dairy herds in the El Paso, TX, area. Recent studies have indicated that the greatest risk of reinfection in the El Paso area comes from the U.S. dairy herds' proximity to tuberculosis-infected dairy herds in Juarez, Mexico. Despite ongoing testing of large dairy herds in the El Paso area and removal of tuberculosis-infected animals from those herds, reinfection of U.S. dairy herds in that area continues to occur. Although depopulation of dairy herds in the El Paso area along the U.S./Mexican border is the most dependable method of protecting U.S. livestock from recurring tuberculosis infection in that area of Texas, depopulation of large U.S. dairy herds has not been a viable option because APHIS has lacked the resources to pay indemnity for depopulated herds.
A decline in testing for tuberculosis in recent years also threatens to allow the spread of the disease in the United States. As the number of tuberculosis-free States has increased, limitations on Federal resources have in many cases led Department inspectors to take samples only from those animals exhibiting obvious signs of tuberculosis. The number of samples taken from cattle at slaughter for testing for tuberculosis has decreased from approximately 4,000 in 1995 to 900 in 1999. However, APHIS estimates that 10,000 sample submissions are needed each year to adequately survey the U.S. cattle population for tuberculosis. APHIS needs additional funds both to provide assistance in taking the number of samples at slaughter necessary for adequate surveillance and to increase testing capacity at the Department's National Veterinary Services Laboratories.
Therefore, in order to address the tuberculosis threat to U.S. livestock, APHIS has determined that it is necessary to expand the tuberculosis eradication program in the United States by implementing the following: Improvement of Federal diagnostic capabilities and national surveillance for tuberculosis; payment of indemnity for the depopulation of herds affected with tuberculosis or at high risk for recurrence of the disease; establishment of identification requirements for animals imported into the United States for feeding and slaughter; assistance in eradicating tuberculosis from foreign areas adjacent to the United States that are at high risk for the disease; and research, control, and surveillance of tuberculosis in wildlife, captive cervids, and zoos in the United States. However, APHIS resources are insufficient to carry out these measures, and additional funds are needed.
Therefore, in accordance with the provisions of the Act of September 25, 1981, as amended (7 U.S.C. 147b), I declare that there is an emergency that threatens the livestock industry of this country and hereby authorize the transfer and use of such funds as may be necessary from appropriations or other funds available to the agencies or corporations of the United States Department of Agriculture to expand the tuberculosis eradication program in the United States.
Farm Service Agency, USDA.
Notice of Commission Forums.
Executive Order 13168, published September 22, 2000, established the President's Commission on Improving Economic Opportunity in Communities Dependent on Tobacco Production While Protecting Public Health (Commission). The Commission is to advise the President on changes occurring in the tobacco farming economy and recommend such
This notice also announces that the Commission will make its Preliminary Report to the President available on the Commission's web site,
The Commission will conduct forums on November 9, 2000, from 9 a.m. until 3 p.m. at the Kerr Scott Building—NC State Fairgrounds (exit 289 off I-40), Raleigh, NC, and on November 10, 2000, from 9 a.m. until 3 p.m. at the Executive West Hotel, Queen Scott Room, 830 Phillips Lane, Louisville, KY (across from KY Fair and Exposition Center). All times are Eastern Standard Time.
Persons with disabilities who require accommodations to attend or participate in this meeting should contact Doug Richardson, on 866-804-6698 (toll free) or 202-418-4266, Federal Relay Service at 1-800-877-8339, or Internet:
Written comments and statements not submitted to the Commission at the forums may be sent to Doug Richardson, Executive Director, The Tobacco Commission, U.S. Department of Agriculture, 1400 Independence Avenue, SW., STOP 0574, Washington, DC 20250-0574 by no later than January 22, 2001.
Doug Richardson (202) 418-4266 or toll free (886) 804-6694; FAX (202) 418-4270; Internet:
The purpose of the Commission is to advise the President on changes occurring in the tobacco farming economy and recommend such measures as may be necessary to improve economic opportunity and development in communities that are dependent on tobacco production, while protecting consumers, particularly children, from hazards associated with smoking. The Commission shall collect and review information about changes in the tobacco farming economy and Federal, State, and local initiatives intended to help tobacco growers, tobacco quota holders; and communities dependent on tobacco production pursue new economic opportunities. The Commission may make recommendations concerning these and any other changes and initiatives that may be necessary to improve economic opportunity in communities dependent on tobacco production. The Commission shall also consider the public health implications of such changes and initiatives, including the efforts to reduce the number of people who incur tobacco-caused diseases and tobacco-related health consequences in the United States and abroad.
In January 1998, the public health community and the tobacco producing community came together and agreed on a “Core Principles Statement”. These communities agreed to work together in a spirit of cooperation and with a commitment towards (1) reducing disease caused by tobacco products, and (2) ensuring the future prosperity and stability of the American tobacco farmer, the tobacco farm family, and tobacco farming communities. The full text of this Statement may be found on the Commission's web site
In addition to your views and thoughts regarding the issues for which the Commission was established, as set forth above, the Commission is interested in your input and suggestions on the following questions and issues:
1. Over the past 3-years, burley and flue-cured tobacco quotas have been reduced by 65 percent and 45 percent, respectively. Recently, quotas for other kinds of tobacco subject to a production control program have either not been reduced or not reduced as drastically. What do you believe is the main reason or reasons for this downward trend in quotas? Do your believe the downward trend is due to short-term factors or is it likely to continue? What are the implications for tobacco producers if the only way to curtail the downward trend is to match world tobacco prices?
2. In addition to quota reductions, tobacco producers have experienced significant production and marketing changes including contracting and concentration of production into fewer hands. What are the economic consequences of these actions for tobacco producers and their communities in your area? What Federal, State, or local initiatives regarding diversification of agricultural production have worked well in your community? What changes to existing initiatives or new initiatives do you recommend? How is your State using funds from the National Tobacco Settlement (Phase I) to assist tobacco producers and their communities and to deter tobacco use? What role, if any, should the Federal or State government play in contracting of tobacco production?
3. What Federal, State, or local initiatives have worked well in your community in efforts to prevent tobacco use, including youth tobacco use? What initiatives have been a detriment to preventing tobacco use, including youth tobacco use?
4. The Core Principles Statement provides, in part, that a tobacco production control program which limits the supply and which sets a minimum purchase price is in the best interest of the public health community and the tobacco producer community. Should there be a program that controls tobacco production and/or provides price supports? If so, should the government be involved? If yes, what program changes, if any, are needed to improve economic conditions for tobacco producers and their communities? Are current USDA programs, other than tobacco, helping or hurting tobacco producers and their
5. If the tobacco production control program is terminated by either producers voting in a triennial referendum or by legislative repeal, what do you see as the consequences to tobacco producers and tobacco dependent communities? If the tobacco production control program is eliminated, what health related consequences, if any, do you see occurring? In the absence of a tobacco control program, what initiatives should be taken to help maintain a level playing field for independent tobacco producers?
6. Based on the many internal and external factors affecting the tobacco program, do you feel that a buyout of production quotas and elimination of the tobacco production control program is a viable solution? If a buyout is a solution, should it be mandatory for all quota holders, tenants and producers or voluntary, with some form of tobacco production and price support program remaining in place? If a buyout is a solution, at what rate per pound should the compensation be set?
7. Small farms in the South have declined drastically over the past 10 years, with tobacco now being produced on approximately 85,000 farms, most being small farms. The reduction in tobacco quotas has added to the decline in small farms. Since many small farms are owned by African-American farmers and thus tobacco producers, to what extent do civil rights concerns, economic and rural conditions combine to further increase economic problems in tobacco dependent communities? What impact have recent changes in the economies of tobacco had on farm workers in tobacco dependent communities? What initiatives currently address farm workers economic and social needs created by this situation? What new initiatives are needed in this area?
8. What additional measures should be taken to prevent tobacco use, particularly by young people, and to help reduce disease caused by tobacco products?
Food Safety and Inspection Service, USDA.
Notice, re-opening of comment period.
The Food Safety and Inspection Service (FSIS) is, for the second time, reopening the comment period on a notice published in the
Comments must be received on or before December 22, 2000.
Submit one original and two copies of written comments to: FSIS Docket Room, Docket #00-014R2, Room 102 Cotton Annex Building, 300 12th Street, SW., Washington, DC 20250-3700. All comments received in response to this notice will be considered part of the public record and will be available for viewing in the FSIS Docket Room between 8:30 a.m. and 4:30 p.m., Monday through Friday.
Daniel L. Engeljohn, Director, Regulations Development and Analysis Division, Food Safety and Inspection Service, Washington, DC 20250-3700, Telephone (202) 720-5627, FAX (202) 690-0486.
On May 15, 2000, FSIS published a notice in the
FSIS has received a request from the National Advisory Committee on Meat and Poultry Inspection (NACMPI) to extend the comment period to allow the petitioners more time to provide specific examples and data to support the recommendations they posed in their petition. The NACMPI also requested that FSIS make available a set of side-by-side documents discussing definitions, principles, procedures, and prerequisites of FSIS, the Food and Drug Administration, the NACMCF, and the Codex Alimentarius Commission's HACCP procedures.
In response to the requests, FSIS reopened the comment period for 60 days (65 FR 45749), making comments due September 12, 2000. Also, FSIS prepared a set of side-by-side documents which are available on the FSIS homepage at
FSIS has received another request from a group of trade associations to reopen the comment period once again to allow more time for analysis and comment development. The group believes the additional time will improve their comments which will help to aid in the refinement of the HACCP regulations.
In response to this request, FSIS is reopening the comment period for an additional 60 days, making comments due December 22, 2000. Comments received from September 13, 2000, until the date of this publication will also be included in the official record.
Public awareness of all segments of rulemaking and policy development is important. Consequently, in an effort to better ensure that minorities, women, and persons with disabilities are aware of this notice, FSIS will announce it and provide copies of this
Food Safety and Inspection Service, USDA.
Notice of public meeting.
The National Advisory Committee on Meat and Poultry Inspection (NACMPI) will hold an open meeting on October 31-November 1, 2000, to review and discuss three issues: (1) Residue Control in a HACCP Environment, (2) Sharing Recall Information with State and Other Federal Authorities, and (3) HACCP—Phase II. The three subcommittees of the full Committee will also meet on October 31, 2000, to continue working on issues discussed during the full Committee session. All interested parties are welcome to attend the meeting and to submit written comments and suggestions concerning issues the Committee will review and discuss.
The full Committee will hold an open meeting on Tuesday October 31, and Wednesday, November 1, 2000, from 8:30 a.m. to 5:30 p.m. Sub-committees will hold open meetings on Tuesday, October 31, 2000, from 7 p.m. to 9 p.m.
All Committee meetings will take place at Loews L'Enfant Plaza Hotel, 480 L'Enfant Plaza, SW., Washington, DC 20024; telephone (202) 484-1000. The full committee will meet in Ballroom B & C on October 31 and Ballroom C on November 1. The Subcommittees will meet in the Montcalm, Marquette, and Lafayette Rooms. A meeting agenda is available on the FSIS Web Site at
Ms. Cheryl Green at (202) 720-6290, FAX (202) 690-1030, or E-mail cheryl.green@usda.gov. Persons requiring a sign language interpreter or other special accommodations should notify Ms. Green by October 24, 2000, at the above numbers or by e-mail. Information is also available on FSIS Web Site at
On March 22, 1999, the Secretary of Agriculture renewed the charter for the NACMPI. The Committee provides advice and recommendations to the Secretary of Agriculture pertaining to Federal and State meat and poultry inspection programs pursuant to sections 7(c), 24, 205, 301(a)(3), and 301(c) of the Federal Meat Inspection Act and sections 5(a)(3), 5(c), 8(b), and 11(e) of the Poultry Products Inspection Act. The FSIS Administrator is the chairperson of the Committee. Membership of the Committee is drawn from representatives of consumer groups; producers, processors, and marketers from the meat and poultry industry; and State government officials. The current members of the NACMPI are: Magdi Abadir, Cuisine Solutions; Terry Burkhardt, Wisconsin Bureau of Meat Safety and Inspection; Dr. James Denton, University of Arkansas; Caroline Smith-DeWaal, Center for Science in the Public Interest; Nancy Donley, Safe Tables Our Priority; Carol Tucker Foreman, Food Policy Institute, Consumer Federation of America; Dr. Cheryl Hall, Zacky Farms, Inc.; Kathleen Hanigan, Farmland Foods; Dr. Lee C. Jan, Texas Department of Health; Alice Johnson, National Turkey Federation; Dr. Collette Schultz Kaster, Premium Standard Farms; Dr. Daniel E. LaFontaine, South Carolina Meat-Poultry Inspection Department; Michael Mamminga, Iowa Department of Agriculture; Dr. Dale Morse, New York Office of Public Health; Rosemary Mucklow, National Meat Association; Donna Richardson, Howard University Cancer Center; and Gary Weber, National Cattlemen's Beef Association.
The Committee has three subcommittees that deliberate on specific issues and make recommendations to the whole Committee. The Committee makes recommendations to the Secretary of Agriculture.
Members of the public will be required to register before entering the meeting.
Public awareness of all segments of rulemaking and policy development is important. Consequently, in an effort to better ensure that minorities, women, and persons with disabilities are aware of this notice, FSIS will announce it and provide copies of this
Forest Service, USDA.
Notice of Meeting.
The Intergovernmental Advisory Committee (IAC) will meet on November 2, 2000, at the Hilton Hotel, 921 SW 6th Avenue, Portland, Oregon 97204-1296. The purpose of the meeting is to continue discussions on the implementation of the Northwest Forest Plan (NFP). The meeting will begin at 9:30 a.m. and continue until 3:30 p.m. Agenda items to be discussed include, but are not limited to: orientation for new IAC members, the status of the Survey and Manage Final Supplemental Environmental Impact Statement, and progress reports on ongoing NFP-related implementation issues.
The IAC meeting will be open to the public and is fully accessible for people with disabilities, Interpreters are available upon request in advance. Written comments may be submitted for the record at the meeting. Time will also be scheduled for oral public comments. Interested persons are encourage to attend.
Questions regarding this meeting may be directed to Steve Odell, Executive Director, Regional Ecosystem Office, 333 SW 1st Avenue, P.O. Box 3623, Portland, OR 97208 (Phone: 503-808-2166).
Forest Service, USDA.
Notice of Meeting.
The Northwest Sacramento Provincial Advisory Committee (PAC) will meet Thursday, November 2, 2000, at the BLM Conference Room 355 Hemsted Road, Redding, California. The meeting will be held from 9 am to 5 pm. Agenda items to be covered include: (1) Report out from the PIEC meeting; (2) Technical Committee from Clear Creek; (3) August IAC meeting; (4) Assessment of affect of Survey and Manage on Province (all agencies) in regards to timber, fuels reduction, and recreation programs; (5) Update on the Fire Management Strategy; (6) Open public comment. All Northwest Sacramento Provincial Advisory Committee meetings are open to the public. Interest citizens are encouraged to attend.
Direct questions regarding this meeting to Sharon Heywood, Forest Supervisor, or Duane Lyon, Public Affairs Officer, USDA, Shasta-Trinity National Forest, 2400 Washington Avenue, Redding, CA 96001, (530) 244-2978.
Department of Commerce.
Notice.
The Department of Commerce (DoC) established a postsecondary internship program to aid and promote experiential training activities which foster future employment in DoC or the Federal Government in general. U.S. citizens enrolled as students in two-and four-year accredited educational institutions, and accredited graduate and law schools will participate in on-site work experiences in DoC bureaus and offices in order to integrate academic theory and workplace requirements; gain relevant skills and knowledge; explore Federal career options; develop professional networks; and develop a greater awareness of the role of Federal agencies. The program will be administered through a partnership between the DoC and non-profit and/or educational institution(s) and funded by cooperative agreement(s). This notice solicits proposals from eligible institutions that desire to collaborate with the DoC on this initiative.
Student opportunities will be primarily in the Washington, DC metropolitan area, but will include field locations outside the area. Summer internship sessions will be for a ten-week period. Academic semester or quarter internship sessions will be structured to coincide with the academic calendar of the students' institutions. Institutions that are selected as training partners will develop and administer a comprehensive internship program. The DoC will serve as hosts for the student interns and provide program support through the financial assistance award; however, students may be assigned to work in Federal agencies other than DoC. When interns are assigned to other Federal agencies, those agencies will reimburse DoC for costs associated with the interns. There will be no employer-employee relationship between the DoC and its hosted interns. Interns will receive stipends. Round-trip air or ground transportation between the metropolitan DC area (or field job location) and the students' residence or school site will also be provided to interns, as needed. The number of available internships will vary depending upon the financial position of the potential host offices and bureaus, but for the purposes of this notice, the following will be used for projections: thirty student interns for the summer session, and five interns for each academic year session.
Selected institution(s) will perform the following functions: Outreach and recruitment; application processing and referral; selection notification and follow up; logistics, including temporary housing and accommodations; orientation and communication; enrichment activities program; intern personnel and pay administration; intern monitoring; intern evaluation; program evaluation; and evaluation reporting.
Applications must be received no later than 5 p.m., Eastern Standard Time, December 22, 2000. Applications or portions of applications will not be accepted via facsimile or electronic mail.
Applicants must submit one signed original plus two (2) copies of the application, including all information required by the application kit. Applications should be mailed to: U.S. Department of Commerce, Office of Executive Assistance Management, Attn.: Carin M. Otero, Room H6022, 1401 Constitution Avenue, NW., Washington, DC 20230.
If the application is hand-delivered by the applicant or its representative to the U.S. Department of Commerce, Herbert C. Hoover Building, the application must be delivered to Room 1874, which is located at Entrance #10, 15th Street, NW., between Pennsylvania and Constitution Avenues. Applications delivered on the date of the application deadline must be delivered by 5 p.m. Eastern Standard Time.
Mrs. Carin M. Otero, (202) 482-3275.
In order to ensure that the Federal Government can maintain visibility and attractiveness to the “best and brightest” college students, this program supports partnerships between Federal departments and nonprofit or educational institutions. This program continues to improve opportunities for college students to prepare for their transition to the workplace and foster human resource diversity in DoC. Depending upon the responsiveness of the institutions which submit applications, more than one institution may be selected to participate in this program.
There will be two components to the program: A ten-week summer session and an academic year program that consists of two sessions. The length of each academic year session will be structured to coincide with the academic calendar of the students' institutions,
In addition to including the mandatory activities described below, an organization should propose an intern program design that represents a comprehensive approach to a work-study experience and its own philosophy about workforce preparedness. For the purposes of the proposal, plans and budgets should be presented separately for the summer and academic year sessions. An organization may wish to collaborate with DoC on a summer program only, on an academic year program only, or on both a summer program and an academic year program. It is not required that both components be included in an application in order to be selected as a recipient.
The recipient(s) selected to administer the intern program must conduct the following activities:
Third party in-kind contributions may be in the form of, but are not limited to, personal services rendered in carrying out functions related to the project and use of real or personal property owned by others (for which consideration is not required) in carrying out the projects. The total cost of a project begins on the effective award date of an authorized cooperative agreement between the applicant and the DoC Grants Officer and ends on the date specified in the award. Accordingly, time expended and costs incurred in either the development of a project or the financial assistance application, or in any subsequent discussions or negotiations prior to the award, are neither reimbursable nor recognizable as part of the recipient's cost share.
Each application will receive an independent, objective review by a panel qualified to evaluate the applications submitted. The Independent Review Panel, consisting of at least three individuals, will review all applications based on the criteria stated above. The Independent Review Panel will evaluate and rank the proposals. The final decision on awards will be based upon the numerical review panel ranking, availability of funding, and the Selecting Official's (DoC Federal Program Officer) determination of which proposals best meet the objectives of the program. The amount of funds awarded to each recipient will be determined in pre-award negotiations between the applicant, the Grants Officer, and the DoC Program Officer.
This document involves collections of information subject to the Paperwork Reduction Act, which have been approved by OMB under OMB control numbers 0348-0043, 0348-0044, 0348-0040, and 0348-0046. Notwithstanding any other provision of law, no person is required to respond to nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a current valid OMB control number.
This document has been determined to be “not significant” for purposes of Executive Order 12866.
National Oceanic and Atmospheric Administration (NOAA).
Proposed collection; Comment request.
The Department of Commerce, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)).
Written comments must be submitted on or before December 22, 2000.
Direct all written comments to Madeleine Clayton, Departmental Forms Clearance Officer, Department of Commerce, Room 6086, 14th and Constitution Avenue NW., Washington DC 20230 (or via Internet at MClayton@doc.gov).
Requests for additional information or copies of the information collection instrument(s) and instructions should be directed to Doris Grimm, N/ORM5, Room 11616, 1305 East West Highway, Silver Spring MD 20910-3282 (phone 301-713-3132 x107).
The National Estuarine Research Reserve System consists of carefully selected estuarine areas of the U.S. that are designated, preserved, and managed for research and educational purposes. Information is needed from states on proposals for designations. For selected sites the state must submit a management plan and an annual report/work plan. NOAA needs the information to ensure that the sites selected meet national standards.
Much information can be submitted electronically via a Web site. Other information is submitted in paper form.
Comments are invited on: (a) whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency’s estimate of the burden (including hours and cost) of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology.
Comments submitted in response to this notice will be summarized and /or included in the request for OMB approval of this information collection; they also will become a matter of public record.
National Oceanic and Atmospheric Administration (NOAA).
Proposed collection; comment request.
The Department of Commerce, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Pub. L. 104-13 (44 U.S.C. 3506(c)(2)(A)).
Written comments must be submitted on or before December 22, 2000.
Direct all written comments to Madeleine Clayton, Departmental Forms Clearance Officer, Department of Commerce, Room 6086, 14th and Constitution Avenue, NW., Washington, DC 20230 (or via Internet at MClayton@doc.gov).
Requests for additional information or copies of the information collection instrument(s) and instructions should be directed to the Direct Services Divisions (E/SP3), Room 3320, FB-4, NOAA, 5200 Auth Road, Suitland, MD 20746-4304.
NOAA operates two space-based data collection systems: the Geostationary Operational Environmental Satellite (GOES) Data Collection System and the Argos Data Collection System. Both systems are operated to support environmental applications. Since the entire capacity of the systems is not used by NOAA, this extra capacity is made available to other users who meet
Applications are submitted on forms that respond to requirements detailed in 15 CFR part 911.
Comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency’s estimate of the burden (including hours and cost) of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology.
Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval of this information collection; they also will become a matter of public record.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice of public meetings.
The New England Fishery Management Council (Council) is scheduling a public meeting of its Groundfish and Monkfish Oversight Committees in November, 2000 to consider actions affecting New England fisheries in the exclusive economic zone (EEZ). Recommendations from these groups will be brought to the full Council for formal consideration and action, if appropriate.
The meetings will be held between Monday, November 6, 2000 and Wednesday, November 8, 2000. See
The meetings will be held in Peabody, MA and Baltimore, MD. See
Paul J. Howard, Executive Director, New England Fishery Management Council; (978) 465-0492.
Monday, November 6, 2000 at 9:30 a.m.—Groundfish Oversight Committee Meeting
Location: Peabody Marriott Hotel, 8A Centennial Drive, Peabody, MA 01960; telephone: 978-977-6478.
The Groundfish Oversight Committee will finalize its recommendations for management alternatives to be included in Amendment 13 to the Northeast Multispecies Fishery Management Plan (FMP). This will include recommendations on rebuilding programs, measures to address capacity issues, and the four broad approaches to management that are under consideration (status quo, adjustments to the status quo, area management, and sector allocation). The committees' recommendations will be reviewed by the Council at its November 14-16 meeting. After approval by the Council, the proposed alternatives will be analyzed and a draft Supplemental Environmental Impact Statement and public hearing document prepared. The committee will meet in a closed session to review advisory panel applications.
Wednesday, November 8, 2000 at 10:00 a.m.—Monkfish Oversight Committee Meeting
Location: Sheraton International Hotel at BWI Airport, 7032 Elm Road, Baltimore, MD 21240; telephone: (410) 691-9827.
The committee will review the Stock Assessment and Fishery Evaluation (SAFE) Report for 1999, including the Monkfish Monitoring Committee Report. Based on this review, the committee will develop recommendations to the Council for adjustments to the Monkfish Fishery Management Plan for the 2001 fishing year, in accordance with the framework adjustment procedures in the FMP. The committee will review the Monkfish Advisory Panel recommendations on trip limit options to address perceived inequities across fleet sectors, a range of alternatives for monkfish spawning area/time management, and on possible options for bycatch control and minimizing discards of monkfish in small mesh fisheries. The committee will also develop recommendations to the Council for research priorities under cooperative programs with the industry.
Although non-emergency issues not contained in this agenda may come before these groups for discussion, those issues may not be the subject of formal action during this meeting. Action will be restricted to those issues specifically listed in this notice and any issues arising after publication of this notice that require emergency action under section 305(c) of the Magnuson-Stevens Act, provided the public has been notified of the Council's intent to take final action to address the emergency.
These meetings are physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Paul J. Howard (see
The United States Patent and Trademark Office (USPTO) has submitted to the Office of Management and Budget (OMB) for clearance the following proposal for collection of information under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35).
Copies of the above information collection proposal can be obtained by calling or writing Susan K. Brown, Records Officer, Office of Data Management, Data Administration Division, (703) 308-7400, USPTO, Suite 310, 2231 Crystal Drive, Washington, DC 20231, or by e-mail at susan.brown@uspto.gov.
Written comments and recommendations for the proposed information collection should be sent on or before November 22, 2000 to David Rostker, OMB Desk Officer, Room 10202, New Executive Office Building, Washington, DC 20503.
Department of Education.
The Leader, Regulatory Information Management Group, Office of the Chief Information Officer invites comments on the submission for OMB review as required by the Paperwork Reduction Act of 1995.
Interested persons are invited to submit comments on or before November 22, 2000.
Written comments should be addressed to the Office of Information and Regulatory Affairs, Attention: Lauren Wittenberg, Acting Desk Officer, Department of Education, Office of Management and Budget, 725 17th Street, NW., Room 10235, New Executive Office Building, Washington, DC 20503 or should be electronically mailed to the internet address Lauren_Wittenberg@omb.eop.gov.
Section 3506 of the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35) requires that the Office of Management and Budget (OMB) provide interested Federal agencies and the public an early opportunity to comment on information collection requests. OMB may amend or waive the requirement for public consultation to the extent that public participation in the approval process would defeat the purpose of the information collection, violate State or Federal law, or substantially interfere with any agency's ability to perform its statutory obligations. The Leader, Regulatory Information Management Group, Office of the Chief Information Officer, publishes that notice containing proposed information collection requests prior to submission of these requests to OMB. Each proposed information collection, grouped by office, contains the following: (1) Type of review requested,
Requests for copies of the proposed information collection request may be accessed from
Comments regarding burden and/or the collection activity requirements should be directed to Sheila Carey at (202) 708-6287 or via her internet address Sheila_Carey@ed.gov.
Take notice that on October 12, 2000, Colorado Interstate Gas Company (CIG), Public Service Company of Colorado (PSCo), Cheyenne Light, Fuel and Power Company (Cheyenne), Colorado Springs Utilities (CSU), Union Pacific Resources Company (UPR), Helmerich & Payne Inc. (Helmerich), Pioneer Natural Resources USA, Inc. (PNR), OXY USA Inc. (OXY), Eastman Dillon Oil & Gas Associates (Eastman), Amoco Production Company (Amoco), Coastal Oil and Gas Corporation (Coastal), Chevron U.S.A. Inc. (Chevron), Atlantic Richfield Company (ARCO), Mobil Oil Corporation (Mobil), Anadarko Petroleum Corporation (Anadarko), Broadhurst Operating LP (Broadhurst), Ivy League, Inc. (IVY), Ralph H. Howard, Inc. (RHH), and Texaco Exploration and Production Inc. (Texaco) (collectively referred to as the “Signatory Parties”) filed for the approval of the Commission a Settlement Agreement (Settlement) under Rule 602 of the Commission's Rules of Practice and Procedure in the captioned docket. Signatory Parties state that the Settlement has the support of the Public Utilities Commission of the State of Colorado, the Wyoming Public Service Commission, the Colorado Office of Consumer Counsel, the Colorado Energy Assistance Foundation, Citizens Utilities Company, and Greeley Gas Company, a division of Atmos Energy Corporation. The purpose of the Settlement is to extinguish the refund liability of 351 working interest owners currently subject to refund claims by CIG of less than $25,000 (with interest calculated through August 31, 2000) associated with the collection of Kansas
Other than the Signatory Parties, the remaining 64 working interest owners, who are subject to claims by CIG of $25,000 or more, may voluntarily participate in the Settlement by agreeing to pay specified refunds. Acquiescence in the terms of the Settlement by these working interest owners and payments under the terms of the Settlement would relieve those working interest owners of all further liability associated with the collection of Kansas
In accordance with Section 385.602(f), comments on the Settlement Agreement are due October 31, 2000, and any reply comments are due November 10, 2000.
Take notice that on October 11, 2000, Cove Point LNG Limited Partnership (Cove Point) filed in compliance with Order No. 587-L.
Cove Point states that it is a natural gas storage facility and has no imbalance provisions. Cove Point states that pursuant to Order Granting Clarification, issued September 28, 2000, in Docket No. RM96-1-016, Cove Point is not required to implement imbalance trading on its system.
Any person desiring to be heard or to protest said filing should file a motion to intervene or a protest with the Federal Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Sections 385.214 or 385.211 of the Commission's Rules and Regulations. All such motions or protests must be filed in accordance with Section 154.210 of the Commission's Regulations. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceedings. Any person wishing to become a party must file a motion to intervene. Copies of this filing are on file with the Commission and may be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
Take notice that on October 12, 2000, Eastern Shore Natural Gas Company (Eastern Shore) tendered for filing as part of its FERC Gas Tariff, Second Revised Volume No. 1, certain revised tariff sheets, proposed to be effective on November 1, 2000.
Eastern Shore states that the purpose of this filing is to make the necessary modifications to its tariff to permit imbalance trading in order to comply with the requirements of FERC Order No. 587-L.
Eastern Shore states that copies of its filing has been mailed to its customers and interested state commissions.
Any person desiring to be heard or to protest said filing should file a motion to intervene or a protest with the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Sections 385.214 or 385.211 of the Commission's Rules and Regulations. All such motions or protests must be filed in accordance with Section 154.210 of the
Georgia Pacific Corporation, licensee for the West Branch Storage Project No. 2618, did not file an application for a new or subsequent license pursuant to the Federal Power Act (FPA) and the Commissions' regulations thereunder. Project No. 2618 is located on the West Branch St. Croix River in Washington County, Maine.
The license for Project No. 2618 was issued for a period ending September 30, 2000. Section 15(a)(1) of the FPA, 16 U.S.C. 808(a)(1), requires the Commission, at the expiration of a license term, to issue from year to year an annual license to the then licensee under the terms and conditions of the prior license until a new license is issued, or the project is otherwise disposed of as provided in Section 15 or any other applicable section of the FPA. If the project's prior license waived the applicability of Section 15 of the FPA, then, based on Section 9(b) of the Administrative Procedure Act, 5 U.S.C. 558(c), and as set forth at 18 CFR 16.21(a), if the licensee of such project has filed an application for a subsequent license, the licensee may continue to operate the project in accordance with the terms and conditions of the license after the minor or minor part license expires, until the Commission acts on its application. If the licensee of such a project has not filed an application for a subsequent license, then it may be required, pursuant to 18 CFR 16.21(b), to continue project operations until the Commission issues someone else a license for the project or otherwise orders disposition of the project.
If the project is subject to Section 15 of the FPA, notice is hereby given that an annual license for Project No. 2618 is issued to Georgia Pacific Corporation for a period effective October 1, 2000, through September 30, 2001, or until the issuance of a new license for the project or other disposition under the FPA, whichever comes first. If issuance of a new license (or other disposition) does not take place on or before September 30, 2001, notice is hereby given that, pursuant to 18 CFR 16.18(c), an annual license under Section 15(a)(1) of the FPA is renewed automatically without further order or notice by the Commission, unless the Commission orders otherwise.
If the project is not subject to Section 15 of the FPA, notice is hereby given that Georgia Pacific Corporation is authorized to continue operation of the West Branch Storage Project No. 2618 until such time as the Commission acts on its application for subsequent license.
Take notice that on October 10, 2000, Granite State Gas Transmission, Inc. (Granite State), 300 Friberg Parkway, Westborough, Massachusetts 01581, filed in Docket No. CP01-9-000 a request pursuant to Sections 157.205 and 157.216 of the Commission's Regulations under the Natural Gas Act (18 CFR 157.205, 157.216) for authorization to abandon certain facilities, located in York County, Maine, under Granite State's blanket certificate issued in Docket No. CP82-515-000, pursuant to Section 7(c) of the Natural Gas Act, all as more fully set forth in the request that is on file with the Commission and open to public inspection. This filing may be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
Granite State proposes to abandon three facilities in Biddeford, Maine. First, Granite State requests authority to abandon a farm tap, the Southern Maine Medical Station (Southern Maine Station), located in York County, Maine. Granite State states that a local distribution company affiliate, Northern Utilities, Inc. (Northern Utilities), has already constructed facilities to serve those customers located behind the Southern Maine Station. Granite State, therefore, proposes to abandon and remove the Southern Maine Station, because it is no longer necessary to provide service and is duplicative of facilities owned and operated by Northern Utilities. Granite State declares that it will continue to provide natural gas service to Northern Utilities via other existing facilities in order to enable Northern Utilities to continue serving the load behind the Southern Maine Station. Granite State asserts that customers behind the Southern Maine Station will see no diminution in service.
Second, Granite State proposes to abandon and remove facilities known as the Biddeford Industrial Station (Biddeford Station), located York County, Maine. Granite State declares that it has previously constructed a new station at this location under Docket No. CP98-96. Therefore, Granite State asserts that the Biddeford Station facilities are not longer needed to provide service and are duplicative of the newly constructed facilities. Granite State states that service to customers behind the Biddeford Station will continue to be provided by Northern Utilities and will be unaffected by the proposed abandonment.
Third, Granite State proposes to abandon a third station, Five Points Station, also located in York County, Maine. Granite State declares that the Five Points Station, which is connected to Northern Utilities, is currently located within the path of a road construction project. Granite State proposes to remove, but not replace the Five Points Station. Granite State asserts that customers currently served, via Northern Utilities, will continue to be served by Northern Utilities by providing service to these customers with natural gas from other points of interconnect with Granite State, including the Biddeford Station. Granite State states that these customers will be wholly unaffected by grant of this application.
Granite State asserts that the proposed abandonments of the Southern Maine, Biddeford, and Five Points Stations will not affect Granite State's revenues. Granite State states that the combined
Any questions regarding the application should be directed to George Simmons, Director, Regulatory Affairs, Granite State Gas Transmission, Inc., 300 Friberg Parkway, Westborough, Massachusetts 01581, phone: (508) 836-7265.
Any person or the Commission's staff may, within 45 days after issuance of the instance notice by the Commission, file pursuant to Rule 214 of the Commission's Procedural Rules (18 CFR 385.214) a motion to intervene or notice of intervention and, pursuant to Section 157.205 of the Regulations under the Natural Gas Act (18 CFR 157.205), a protest to the request. If no protest is filed within the time allowed therefor, the proposed activity shall be deemed to be authorized effective the day after the time allowed for filing a protest. If a protest is filed and not withdrawn within 30 days after the time allowed for filing a protest, the instant request shall be treated as an application for authorization pursuant to Section 7 of the Natural Gas Act. Beginning November 1, 2000, comments and protests may be filed electronically via the internet in lieu of paper. See, 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's web site at http://www.ferc.fed.us/efi/doorbell.htm.
Take notice that on October 11, 2000, Great Lakes Gas Transmission Limited Partnership (Great Lakes) filed for disclosure, a transportation service agreement pursuant to Great Lakes' Rate Schedule FT entered into by Great Lakes and Midland Cogeneration Venture Limited Partnership (MCV) (FT Service Agreement). The FT Service Agreement being filed reflects a negotiated rate arrangement between Great Lakes and MCV commencing November 1, 2000.
Great Lakes states that the FT Service Agreement is being filed to implement a negotiated rate contract as required by both Great Lakes' negotiated rate tariff provisions and the Commission's Statement of Policy on Alternatives to Traditional Cost-of-Service Ratemaking for Natural Gas Pipelines and Regulation of Negotiated Transportation Services of Natural Gas Pipelines, issued January 31, 1996, at Docket Nos. RM95-6-000 and RM96-7-000.
Any person desiring to be heard or to protest said filing should file a motion to intervene or a protest with the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Sections 385.214 and 385.211 of the Commission's Rules and Regulations. All such motions or protests must be filed in accordance with Section 154.210 of the Commission's Regulations. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceedings. Any person wishing to become a party must file a motion to intervene. Copies of this filing are on file with the Commission and are available for public inspection in the Public Reference Room. This filing may be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
Take notice that on October 6, 2000, Gulf South Pipeline Company, LP (Gulf South) and Koch Gateway Pipeline Company (Koch) (Applicants), both located at 20 East Greenway Plaza, Houston, Texas, 77046, filed in the above docket, an application pursuant to Section 7(b) and 7(c) of the Natural Gas Act to permit Koch, as a result of its change in corporate form from a corporation to a limited partnership, to abandon its jurisdictional assets and services and Gulf South to acquire these same jurisdictional assets and services, all as more fully set forth in the application on file with the Commission and open to public inspection. The application may be viewed on the web at
Koch states that as a result of this conversion, its corporate name will change to Gulf South, but the same corporate legal entity will continue to own and operate Koch's facilities pursuant to the same rates, terms and conditions previously approved by the Commission. The Applicants state that the authorizations requested in the application are required by the present and future public convenience and necessity and will not adversely affect Koch's customers or the services they receive on the pipeline as all rates and services will remain unchanged. The Applicants state that they request the Commission to grant the requested amendment to Koch's existing certificate of public convenience and necessity on an expedited basis, no later than November 15, 2000 which will be the first day of operation after the jurisdictional assets are conveyed to Gulf South. It is stated that any questions regarding the application should be directed to Michael E. McMahon, Senior Vice President and General Counsel, Koch Gateway Pipeline Company, 20 East Greenway Plaza, Houston, Texas, 77046 at (713) 544-4796.
Any person desiring to be heard or to make any protest with reference to said Application should on or before October 27, 2000, file with the Federal Energy Regulatory Commission, Washington, DC 20426, a motion to intervene or a protest in accordance with the requirements of the Commission's Rules of Practice and Procedure (18 CFR 385.214 or 385.211) and the Regulations under the Natural Gas Act (18 CFR 157.10) All protests filed with the Commission will be considered by it in determining the appropriate action to be taken but will not serve to make the protestants parties to the proceeding. Any person wishing to become a party to a proceeding or to participate as a party in any hearing therein must file a motion to intervene in accordance with the Commission's Rules.
Take further notice that, pursuant to the authority contained in and subject to the jurisdiction conferred upon the Federal Energy Regulatory Commission by Sections 7 and 15 of the Natural Gas Act and the Commission's Rules of Practice and Procedure, a hearing will be held without further notice before the
Under the procedure herein provided for, unless otherwise advised, it will be unnecessary for Applicants to appear or be represented at the hearing.
Take notice that on October 11, 2000, Mississippi River Transmission Corporation (MRT) tendered for filing as part of its FERC Gas Tariff, Third Revised Volume No. 1, the following tariff sheets to be effective November 10, 2000:
MRT states that the purpose of this filing is to reflect the implementation of non-discriminatory waiver of fuel charges for a transaction on an MRT non-contiguous lateral that does not use fuel.
Any person desiring to be heard or to protest said filing should file a motion to intervene or a protest with the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Sections 385.214 or 385.211 of the Commission's Rules and Regulations. All such motions or protests must be filed in accordance with Section 154.210 of the Commission's Regulations. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceedings. Any person wishing to become a party must file a motion to intervene. Copies of this filing are on file with the Commission and are available for public inspection in the Public Reference Room. This filing may be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
Take notice that on October 11, 2000, Northern Natural Gas Company (Northern) tendered for filing to become part of Northern's FERC Gas Tariff, Fifth Revised Volume No. 1 the following tariff sheets to be effective October 11, 2000:
Northern states that the purpose of this filing is to remove Sections 17(a) and 17(b) of Northern's General Terms and Conditions of its Tariff in accordance with Order No. 637 which required that shared personnel and shared facilities be posted on a pipeline's internet website, update the reporting structure for its Pipeline Sales Division, and update the reference to electronic bulletin board personnel.
Northern states that copies of the filing were served upon Northern's customers and interested State Commissions.
Any person desiring to be heard or to protest said filing should file a motion to intervene or a protest with the Federal Energy Regulatory Commission, 888 First Street, N.E., Washington, DC 20426, in accordance with Sections 385.214 or 385.211 of the Commission's Rules and Regulations. All such motions or protests must be filed in accordance with Section 154.210 of the Commission's Regulations. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceedings. Any person wishing to become a party must file a motion to intervene. Copies of this filing are on file with the Commission and are available for public inspection in the Public Reference room. This filing may be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
On August 21, 1998, Northern States Power Company and the City of Eau Claire, licensees for the Dells Project No. 2670, filed an application for a new or subsequent license pursuant to the Federal Power Act (FPA) and the Commission's regulations thereunder. Project No. 2670 is located on the Chippewa River in Chippewa and Eau Claire Counties, Wisconsin.
The license for Project No. 2670 was issued for a period ending September 29, 2000. Section 15(a)(1) of the FPA, 16 U.S.C. 808(a)(1), requires the Commission, at the expiration of a license term, to issue from year to year an annual license to the then licensee under the terms and conditions of the prior license until a new license is issued, or the project is otherwise disposed of as provided in Section 15 or any other applicable section of the FPA. If the project's prior license waived the applicability of Section 15 of the FPA, then, based on Section 9(b) of the Administrative Procedure Act, 5 U.S.C. 558(c), and as set forth at 18 CFR 16.21(a), if the licensee of such project has filed an application for a subsequent license, the licensee may continue to operate the project in accordance with the terms and conditions of the license after the minor or minor part license expires, until the Commission acts on its application. If the licensee of such a project has not filed an application for a subsequent license, then it may be required, pursuant to 18 CFR 16.21(b), to continue project operations until the Commission issues someone else a license for the project or otherwise orders disposition of the project.
If the project is subject to Section1 5 of the FPA, notice is hereby given that an annual license for Project No. 2670 is issued to Northern States Power Company and the City of Eau Claire for
If the project is not subject to Section 15 of the FPA, notice is hereby given that Northern States Power Company and the City of Eau Claire are authorized to continue operation of the Dells Project No. 2670 until such time as the Commission acts on its application for subsequent license.
On September 24, 1998, Pacific Gas and Electric Company, licensee for the Hat Creek Project No. 2661, filed an application for a new or subsequent license pursuant to the Federal Power Act (FPA) and the Commission's regulations thereunder. Project No. 2661 is located on Hat Creek in Shasta County, California.
The license for Project No. 2661 was issued for a period ending September 30, 2000. Section 15(a)(1) of the FPA, 16 U.S.C. 808(a)(1), requires the Commission, at the expiration of a license term, to issue from year to year an annual license to the then licensee under the terms and conditions of the prior license until a new license is issued, or the project is otherwise disposed of as provided in Section 15 or any other applicable section of the FPA. If the project's prior license waived the applicability of Section 15 of the FPA, then, based on Section 9(b) of the Administrative Procedure Act, 5 U.S.C. 558(c), and as set forth at 18 CFR 16.21(a), if the licensee of such project has filed an application for a subsequent license, the licensee may continue to operate the project in accordance with the terms and conditions of the license after the minor or minor part license expires, until the Commission acts on its application. If the licensee of such a project has not filed an application for a subsequent license, then it may be required, pursuant to 18 CFR 16.21(b), to continue project operations until the Commission issues someone else a license for the project or otherwise orders disposition of the project.
If the project is subject to Section 15 of the FPA, notice is hereby given that an annual license for Project No. 2661 is issued to Pacific Gas and Electric Company for a period effective October 1, 2000, through September 30, 2001, or until the issuance of a new license for the project or other disposition under the FPA, whichever comes first. If issuance of a new license (or other disposition) does not take place on or before September 30, 2001, notice is hereby given that, pursuant to 18 CFR 16.18(c), an annual license under Section 15(a)(1) of the FPA is renewed automatically without further order or notice by the Commission, unless the Commission orders otherwise.
If the project is not subject to Section 15 of the FPA, notice is hereby given that Pacific Gas and Electric Company is authorized to continue operation of the Hat Creek Project No. 2661 until such time as the Commission acts on its application for subsequent license.
Take notice that on October 11, 2000, Transwestern Pipeline Company (Transwestern) tendered for filing to become part of Transwestern's FERC Gas Tariff, Second Revised Volume No. 1, the following tariff sheet to be effective October 11, 2000:
Transwestern states that the purpose of this filing is to remove Section 19.1 of Transwestern's General Terms and Conditions of its Tariff in accordance with Order No. 637 which required that shared personnel and shared facilities be posted on a pipeline's internet website.
Transwestern states that copies of the filing were served upon Transwestern's customers and interested State Commissions.
Any person desiring to be heard or to protest said filing should file a motion to intervene or a protest with the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Sections 385.214 or 385.211 of the Commission's Rules and Regulations. All such motions or protests must be filed in accordance with Section 154.210 of the Commission's Regulations. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceedings. Any person wishing to become a party must file a motion to intervene. Copies of this filing are on file with the Commission and are available for public inspection in the Public Reference Room. This filing may be viewed on the web at http://www.ferc.us/online/rims.htm (call 202-208-2222 for assistance).
Take notice that on October 11, 2000, Young Gas Storage Company, Ltd., (Young) filed in compliance with Order No. 587-L.
Young states that it is a natural gas storage facility and has no imbalance provisions. Young states that pursuant to Order Granting Clarification, issued September 28, 2000 in Docket No. RM96-1-016, Young is not required to implement imbalance trading on its system.
Any person desiring to be heard or to protest said filing should file a motion to intervene or a protest with the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Sections 385.214 or 385.211 of the Commission's Rules and Regulations. All such motions or protests must be filed in accordance
Take notice that on October 6, 2000, Dominion Transmission, Inc. (DTI) (formerly CNG Transmission Corporation) tendered for filing revised sheets to resubmit certain tariff sheets and to correct errors appearing on certain tariff sheets filed on September 22, 2000, in this proceeding. The purpose of the original filing was to reflect DTI's corporate name change which became effective April 11, 2000.
DTI states that copies of the filing have been served on DTI's customers and interested state commissions.
Any person desiring to protest said filing should file a protest with the Federal Energy Regulatory Commission, 888 First Street, N.E., Washington, DC 20426, in accordance with Section 385.211 of the Commission's Rules and Regulations. All such protests must be filed in accordance with Section 154.210 of the Commission's Regulations. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceedings. Copies of this filing are on file with the Commission and are available for public inspection in the Public Reference Room. This filing must be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
Take notice that the following filings have been made with the Commission:
Take notice that on October 10, 2000, Principal Generation Plant, LLC, having its principal place of business at 711 High Street, Des Moines, Iowa 50312 Attn: Corporate Secretary (the applicant) filed with the Federal Energy Regulatory Commission an application for determination of exempt wholesale generator (“EWG”) status pursuant to part 365 of the Commission's regulations.
The applicant is a Delaware limited liability company. The applicant is engaged directly and exclusively in the ownership and/or operation of an electrical generating facility located in close proximity to its principal place of business. No state EWG findings are required.
Take notice that on October 12, 2000, Two Elk Generation Partners, Limited Partnership (Applicant), c/o Michael J. Ruffatto, North American Power Group, Ltd., 8480 East Orchard Road, Suite 4000, Greenwood Village, CO 80111, filed with the Federal Energy Regulatory Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's regulations.
Applicant will own an approximately 320-MW gross electric generating facility located in the vicinity of Campbell County, Wyoming and an interconnection line necessary to effect sales at wholesale. The Facility's electricity will be sold exclusively at wholesale.
Take notice that on October 11, 2000, Dominion Fairless Hills, Inc. (DFH) filed with the Federal Energy Regulatory Commission an application for determination of exempt wholesale generator status pursuant to Part 365 of the Commission's regulations. DFH is owned by Dominion Energy, Inc., which in turn is a wholly-owned subsidiary of Dominion Resources, Inc. DFH, directly or through an affiliate, proposes to construct, own and operate a gas-fired generating facility with a nominal capacity of 1,200 MW located in Bucks County, Pennsylvania. The facility will be interconnected with transmission facilities under the operational control of PJM Interconnection, L.L.C.
Take notice that on October 10, 2000, The Dayton Power and Light Company (Dayton), tendered for filing a Short-Term Firm Transmission Service Agreement establishing Niagara Mohawk Energy Marketing, Inc., as a customer under the terms of Dayton's Open Access Transmission Tariff.
Dayton requests an effective date of one day subsequent to this filing for the service agreement. Accordingly, Dayton requests waiver of the Commission's notice requirements.
Copies of this filing were served upon establishing Niagara Mohawk Energy Marketing, Inc., and the Public Utilities Commission of Ohio.
Take notice that on October 10, 2000, The Dayton Power and Light Company (Dayton), tendered for filing a Non-Firm
Dayton requests an effective date of one day subsequent to this filing for the service agreement. Accordingly, Dayton requests waiver of the Commission's notice requirements.
Copies of this filing were served upon establishing Niagara Mohawk Energy Marketing, Inc., and the Public Utilities Commission of Ohio.
Take notice that on October 11, 2000, Alcoa Power Generating Inc. (APGI), tendered for a filing service agreement between Public Utility District No. 1 of Chelan County, Washington (Chelan PUD #1) and APGI under APGI's Market Rate Tariff No. 1 (MR-1). This Tariff was accepted for filing by the Commission on July 13, 1999, in Docket No. ER99-2932-000.
The service agreement with Chelan PUD #1 is proposed to be effective October 1, 2000.
Take notice that on October 11, 2000, Puget Sound Energy, Inc., tendered for filing a Netting Agreement with Aquila Energy Marketing Corporation (Aquila).
A copy of the filing was served upon Aquila.
Take notice that on October 11, 2000, Duke Energy Corporation (Duke), tendered for filing a Service Agreement with CMS Marketing, Services and Trading Company, for Non-Transmission Service under Duke's Open Access Transmission Tariff.
Duke requests that the proposed Service Agreement be permitted to become effective on September 22, 2000.
Duke states that this filing is in accordance with Part 35 of the Commission's Regulations and a copy has been served on the North Carolina Utilities Commission.
Take notice that on October 11, 2000, Virginia Electric and Power Company (Dominion Virginia Power or the Company), tendered for filing the following:
Retail Network Integration Transmission Service and Network Operating Agreement (Service Agreement) by Virginia Electric and Power Company to Washington Gas Energy Services, Inc. designated as Service Agreement No. 304 under the Company's Retail Access Pilot Program, pursuant to Attachment L of the Company's Open Access Transmission Tariff, FERC Electric Tariff, Second Revised Volume No. 5, to Eligible Purchasers effective June 7, 2000.
Dominion Virginia Power requests an effective date of October 11, 2000, the date of filing of the Service Agreement.
Copies of the filing were served upon Washington Gas Energy Services, Inc., the Virginia State Corporation Commission, and the North Carolina Utilities Commission.
Take notice that on October 11, 2000, Miami Valley Lighting, Inc., (MVLT), a wholly owned subsidiary of DPL Inc., tendered for filing a rate schedule to engage in sales at market-based rates. MVLT included in its filing a proposed code of conduct.
Take notice that on October 11, 2000, Duke Energy Corporation (Duke), tendered for filing a Service Agreement with CMS Marketing, Services and Trading Company, for Transmission Service under Duke's Open Access Transmission Tariff.
Duke requests that the proposed Service Agreement be permitted to become effective on September 22, 2000.
Duke states that this filing is in accordance with Part 35 of the Commission's Regulations and a copy has been served on the North Carolina Utilities Commission.
Take notice that on October 11, 2000, Miami Valley Resources, Inc., (MVR), a wholly owned subsidiary of DPL Inc., tendered for filing a rate schedule to engage in sales at market-based rates. MVR included in its filing a proposed code of conduct.
Take notice that on October 10, 2000, Commonwealth Edison Company and Commonwealth Edison Company of Indiana (collectively ComEd), tendered for filing an amendment to its generator interconnection procedures set forth in Attachment K of ComEd's Open Access Transmission Tariff (OATT).
ComEd requests an effective date of December 10, 2000.
Copies of the filing were served upon ComEd's jurisdictional customers and interested state commissions.
Take notice that on October 11, 2000, Deseret Generation & Transmission Co-operative, Inc. (Deseret), tendered for filing First Revised Service Agreement Nos. 1 through 6 to its FERC Electric Tariff, Volume No. 1. The proposed service agreements include an amendment to provide a rate rebate to each of Deseret's six Member Cooperatives and modifications so as to comply with the Commission's rate schedule designation requirements as set forth in Order No. 614.
Deseret requests an effective date of December 11, 2000.
Copies of this filing were served upon Deseret's six Member Cooperatives.
Take notice that on October 11, 2000, Cinergy Services, Inc., on behalf of The
Cinergy requests that its filing be made effective as of January 1, 2001.
Copies of this filing have been served upon all current and recent firm point-to-point and network transmission customers under Cinergy's OATT, upon the regulatory commissions of Indiana, Ohio and Kentucky, and all participants in the Ohio restructuring proceedings.
E. Any person desiring to be heard or to protest such filing should file a motion to intervene or protest with the Federal Energy Regulatory Commission, 888 First Street, N.E., Washington, DC 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). All such motions or protests should be filed on or before the comment date. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceeding. Any person wishing to become a party must file a motion to intervene. Copies of these filings are on file with the Commission and are available for public inspection. This filing may also be viewed on the Internet at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
Take notice that on October 11, 2000, Wyoming Interstate Gas Company, Ltd. (WIC) tendered for filing a letter stating that WIC believes it is currently in full compliance with Section 284.12(c)(2)(ii) of the Commission's Regulations. Order No. 587-L requires pipelines to be in compliance with this regulation by November 1, 2000, to permit shippers to offset imbalances on different contracts held by the shipper and to trade imbalance.
WIC further states that copies of its filing have been served on WIC's jurisdictional customers and public bodies.
Any person desiring to be heard or to protest said filing should file a motion to intervene or a protest with the Federal Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Sections 385.214 or 385.211 of the Commissions' Rules and Regulations. All such motions or protests must be filed in accordance with Section 154.210 of the Commission's Regulations. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceedings. Any person wishing to become a party must file a motion to intervene. Copies of this filing are on file with the Commission and are available for public inspection in the Public Reference Room. This filing may be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
In accordance with the National Environmental Policy Act of 1969 and the Federal Energy Regulatory Commission's (Commission) regulations, 18 CFR Part 380, the Office of Energy Projects has reviewed the application for license for the Black River Falls Hydroelectric Project, located on the Black River in Jackson County, Wisconsin, and has prepared a Scoping Document 1 (SD1) for the project. The project does not occupy federal lands.
Copies of the SD1 are available for review at the Commission's Public Reference Room, located at 888 First Street, NE, Washington, DC 20426, or by calling (202) 208-1371. The SD1 may be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call (202) 208-2222 for assistance).
Any comments (an original and eight copies) should be filed by November 16, 2000 and should be addressed to David P. Boergers, Secretary, Federal Energy Regulatory Commission, 888 First Street, NE, Washington, DC 20426. For further information, contact Susan O'Brien at (202) 219-2840. Beginning November 1, 2000, comments and protests may be filed electronically via the internet in lieu of paper. See, 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's web site at http://www.ferc.fed.us/efi/doorbell.htm.
The following notice of meeting is published pursuant to section 3(A) of the Government in the Sunshine Act (Pub. L. No. 94-409), 5 U.S.C 552B:
Federal Energy Regulatory Commission.
October 25, 2000, 10:00 a.m.
Room 2C, 888 First Street, NE., Washington, DC 20426.
Open.
Agenda.
Items listed on the agenda may be deleted without further notice.
David P. Boergers, Secretary, Telephone (202) 208-0400. For a recording listing items stricken from or added to the meeting, call (202) 208-1627.
This is a list of matters to be considered by the Commission. It does not include a listing of all papers relevant to the items on the agenda; however, all public documents may be examined in the reference and information center.
The following notice of meeting is published pursuant to Section 3(a) of the Government in the Sunshine Act (Pub. L. No. 94-409), 5 U.S.C. 552b:
Federal Energy Regulatory Commission.
October 25, 2000 (Following Regular Commission Meeting).
Room 2C 888 First Street, N.E. Washington, DC 20426.
Closed.
Docket No. IN01-1-000, Columbia Gas Transmission Corporation, Columbia Gulf Transmission Company, Columbia Energy Services Corporation.
David P. Boergers, Secretary, Telephone (202) 208-0400.
Environmental Protection Agency ( EPA).
Notice; Request for public comment.
In accordance with section 122(i) of the Comprehensive Environmental Response, Compensation and Liability Act of 1984, as amended (CERCLA), 42 U.S.C. 9622(i), notice is hereby given of a proposed administrative settlement concerning the Silvertone Plating Company hazardous waste site located at 7 Emerick Street, just south of the Conrail Railroad tracks, in Ypsilanti Township, Washtenaw County, Michigan. The EPA Superfund Division Director, Region 5, signed the agreement on August 17, 2000. The settlement resolves an EPA claim under section 107(a) of CERCLA against Mr. Fred Wilcox, a past owner and operator of the Site, for the costs EPA incurred in conducting a removal action at the Site. The settlement requires Mr. Wilcox to pay $18,500 to the Hazardous Substance Superfund, as partial reimbursement of EPA's costs of $222,025.90. In exchange, EPA would provide a covenant not to sue Mr. Wilcox, and the contribution protection provided by Sections 113(f)(2) and 122(h)(4) of CERCLA, 42 U.S.C. 9613(f)(2) and 9622(h)(4). The settlement amount is based primarily upon Mr. Wilcox's ability to pay. The Site is not on the NPL and no further response action is anticipated at this time.
For thirty (30) days following the date of publication of this notice, the Agency will receive written comments relating to the settlement. The Agency will consider all comments received and may modify or withdraw its consent to the settlement if comments received disclose facts or considerations which indicate that the settlement is inappropriate, improper, or inadequate.
Comments must be provided on or before November 22, 2000.
The proposed settlement agreement and the Agency's response to any comments received will be available for public inspection at the Superfund Records Center, 7th floor, U.S. EPA, Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604. A copy of the proposed settlement agreement may be obtained from Michael J. McClary, Office of Regional Counsel, (C-14J), U.S. EPA, Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604-3590; telephone (312) 886-7163. Comments should reference the Silvertone Plating Company Superfund Site and should be addressed to Michael J. McClary, Office of Regional Counsel, (C-14J), U.S. EPA, Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604-3590.
Michael J. McClary at the address specified immediately above; telephone (312) 886-7163.
Environmental Protection Agency (EPA).
Notice.
EPA is providing notice of two proposed administrative penalty assessments for alleged violations of the Clean Water Act (the “Act”). EPA is also providing notice of opportunity to comment on the proposed assessments.
EPA is authorized under section 309(g) of the Act, 33 U.S.C. 1319(g), to assess a civil penalty after providing the person subject to the penalty notice of the proposed penalty and the opportunity for a hearing, and after providing interested persons notice of the proposed penalty and a reasonable opportunity to comment on its issuance. Under section 309(g), any person who without authorization discharges a pollutant to a navigable water, as those terms are defined in section 502 of the Act, 33 U.S.C. 1362, may be assessed a penalty in a “Class II” administrative penalty proceeding.
Class II proceedings under section 309(g) are conducted in accordance with the “Consolidated Rules of Practice Governing the Administrative Assessment of Civil Penalties, Issuance of Compliance or Corrective Action Orders, and the Revocation, Termination or Suspension of Permits” (part 22), 40 CFR part 22. The procedures through which the public may submit written comment on a proposed Class II order or participate in a Class II proceeding, and the procedures by which a respondent may request a hearing, are set forth in part 22. The deadline for submitting public comment on a proposed Class II order is forty (40) days after publication of this notice.
On September 29, 2000, EPA filed with Danielle Carr, Regional Hearing Clerk, U.S. EPA, Region IX, 75 Hawthorne Street, San Francisco, California 94105, (415) 744-1391, the following two Consent Agreements:
In the Matter of Hawaiian Electric Company, Inc., Honolulu Generating Station, Docket No. CWA-9-2000-0009; and
In the Matter of Hawaiian Electric Company, Inc., Waiau Generating Station, Docket No. CWA-9-2000-0010.
For the alleged violations set forth in the first Consent Agreement, the Hawaiian Electric Company, Inc. (“Respondent”) agrees to pay to the United States a civil penalty of One Hundred Thousand Dollars ($100,000) for violations of NPDES Permit No. HI0000027 and section 301(a) of the Act, 33 U.S.C. 1311(a), at the Honolulu Generating Station in Honolulu, Hawaii.
For the alleged violations set forth in the second Consent Agreement, Respondent agrees to pay to the United States a civil penalty of One Hundred Thousand Dollars ($100,000) for violations of NPDES Permit No. HI0000604 and section 301(a) of the
Procedures by which the public may comment on a proposed Class II penalty or participate in a Class II penalty proceeding are set forth in the Consolidated Rules. The deadline for submitting public comment on a proposed Class II penalty is forty days after issuance of public notice.
Persons wishing to receive a copy of EPA's Consolidated Rules, review the Complaints or other documents filed in these proceedings, comment upon the proposed assessments, or otherwise participate in the proceedings should contact Danielle Carr, Regional Hearing Clerk, U.S. EPA, Region IX, 75 Hawthorne Street, San Francisco, California 94105, (415) 744-1391. The administrative records for both of these proceedings are located in the EPA Regional Office identified above, and the files will be open for public inspection during normal business hours. All information submitted by the Respondent is available as part of the administrative records, subject to provisions of law restricting public disclosure of confidential information. In order to provide opportunity for public comment, EPA will issue no final orders assessing a penalty in these proceedings prior to forty (40) days after the date of publication of this notice.
Environmental Protection Agency (EPA).
Notice of Availability of Final Project Agreements and related documents for twenty-two XL Projects: United States Postal Service (USPS)—Denver; Mayport Naval Station—Environmental Reinvestment (ENVVEST); Steele County, MN XL Communities (XLC); Georgia-Pacific Black Liquor Gasification System; International Paper (IP) Androscoggin Mill—Effluent Improvements; Progressive Insurance Company—Pay As You Drive Auto Insurance; International Business Machines (IBM)—Essex Junction, Vermont; Labs 21—Environmental Performance at Laboratories; Project XLC Phase I (Planning): Clermont County, OH; Kodak Company Pollution Prevention; PPG Industries, Inc.; Yolo County Accelerated Anaerobic & Aerobic Composting (Bioreactor); Buncombe County Leachate Recirculation/Gas Recovery (Bioreactor) Landfill; Autoliv Automobile Safety Products, U.S.A.; Ortho-McNeil Pharmaceutical—Laboratory-Scale High-Temperature Catalytic Oxidation Process to Treat Low-Level Mixed Wastes; State of Pennsylvania Department of Environmental Protection (PADEP) Coal Remining and Reclamation; National Aeronautics and Space Administration (NASA) White Sands Test Facility (WSTF); Narragansett Bay Commission (NBC) Pretreatment; Puget Sound Naval Shipyard (PSNS) Phase I—ENVVEST; USA Waste of Virginia, Inc., and King George Landfills, Inc., wholly-owned subsidiaries of Waste Management, Inc., Bioreactor Systems; International Business Machines (IBM) East Fishkill Facility—F006 Sludge Recycling; and Lead-Safe Boston.
EPA is announcing the signing of the Project XL Final Project Agreements (FPAs) for the following XL, XLC, and ENVVEST Projects: United States Postal Service (USPS)—Denver (hereafter “USPS”); Mayport Naval Station—ENVVEST (hereafter “Mayport”); Steele County, MN XL Communities (XLC) (hereafter “Steele County”); Georgia-Pacific Black Liquor Gasification System (hereafter “Georgia-Pacific”); International Paper (IP) Androscoggin Mill—Effluent Improvements (hereafter “IP—Effluent Improvements”); Progressive Insurance Company—Pay As You Drive Auto Insurance (hereafter “Progressive Insurance”); International Business Machines (IBM)—Essex Junction, Vermont (hereafter “IBM—Vermont”); Labs 21—Environmental Performance at Laboratories (hereafter “Labs 21”); Project XLC Phase I (Planning): Clermont County, OH (hereafter “Clermont”); Kodak Company Pollution Prevention (hereafter “Kodak”); PPG Industries, Inc. (hereafter “PPG”); Yolo County Accelerated Anaerobic & Aerobic Composting (Bioreactor) (hereafter “Yolo County”); Buncombe County Leachate Recirculation/Gas Recovery (Bioreactor) (hereafter “Buncombe County”); Autoliv Automobile Safety Products, U.S.A. (hereafter “Autoliv”); Ortho-McNeil Pharmaceutical—Laboratory-Scale High-Temperature Catalytic Oxidation Process to Treat Low-Level Mixed Wastes (hereafter “Ortho-McNeil”); State of Pennsylvania Department of Environmental Protection (PADEP) Coal Remining and Reclamation (hereafter “Pennsylvania Coal”); National Aeronautics and Space Administration (NASA) White Sands Test Facility (WSTF) (hereafter “NASA WSTF”); Narragansett Bay Commission (NBC) Pretreatment (hereafter “NBC”); Puget Sound Naval Shipyard (PSNS) Phase I—ENVVEST (hereafter “PSNS”); USA Waste of Virginia, Inc., and King George Landfills, Inc., wholly-owned subsidiaries of Waste Management, Inc., Bioreactor Systems (hereafter “Virginia Landfills”); International Business Machines (IBM) East Fishkill Facility—F006 Sludge Recycling (hereafter “IBM Fishkill”); and Lead-Safe Boston.
The FPAs were signed on the following dates: USPS on May 22, 2000; Mayport on May 30, 2000; Steele County on May 31, 2000; Georgia-Pacific on May 31, 2000; IP—Effluent Improvements on June 29, 2000; Progressive Insurance on July 27, 2000; IBM—Vermont on July 31, 2000; Labs 21 on September 7, 2000; Clermont on September 6, 2000; Kodak on September 14, 2000; PPG on September 14, 2000; Yolo County on September 14, 2000; Buncombe County on September 18, 2000; Autoliv on September 20, 2000; Ortho-McNeil on September 22, 2000; Pennsylvania Coal on September 22, 2000; NASA WSTF on September 22, 2000; NBC on September 25, 2000; PSNS on September 25, 2000; Virginia Landfills on September 29, 2000; IBM Fishkill on September 29, 2000; and Lead-Safe Boston on October 2, 2000.
To obtain copies or to make inquiries about the Final Project Agreements, Fact Sheets, or public comments received contact the following individuals: Mary Byrne, 303-312-6491, U.S. EPA Region VIII, 8P-R, 999 18th Street, Suite 500, Denver, Colorado 80202-2466 (byrne.mary@epa.gov) for the USPS XL Project; Michelle Cook, 404-562-8674, U.S. EPA Region IV, 61 Forsyth Street, SW., Atlanta, Georgia 30303-3104 (cook.michelle@epa.gov) for the Mayport ENVVEST Project; Abeer Hashem, 312-886-1331, U.S. EPA Region V, WC-15J, 77 West Jackson Blvd, Chicago, Illinois 60604-3507 (hashem.abeer@epa.gov) for the Steele County XLC Project; Steven J. Donohue, 215-814-3215, U.S. EPA Region III, 3OR00, 1650 Arch Street, Philadelphia, Pennsylvania 19103-2029 (donohue.steven@epa.gov) for the Georgia-Pacific XL Project; Chris Rascher, 617-918-1834, U.S. EPA Region I, SPP, 1 Congress Street, Suite 1100, Boston, Massachusetts 02114-2023 (rascher.chris@epa.gov) for the
Final Project Agreements are voluntary agreements developed by project sponsors, stakeholders, the State in which the project is located and EPA. Project XL including XL projects for government agencies regulated by EPA—ENVVEST and XL for Communities, announced in the
EPA announced the availability and requested comments on FPA's in the
Federal Trade Commission.
Notice.
The Federal Trade Commission (FTC) has submitted to the Office of Management and Budget (OMB) for review under the Paperwork Reduction Act (PRA) information collection requirements contained in its Alternative Fuel Rule. The FTC is soliciting public comments on the proposal to extend through November 30, 2003 the current PRA clearance for information collection requirements contained in the Rule. That clearance expires on November 30, 2000.
Comments must be filed by November 22, 2000.
Send written comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Room 10202, Washington, DC 20503, ATTN.: Desk Officer for the Federal Trade Commission, and to Secretary, Federal Trade Commission, Room H-159, 600 Pennsylvania Ave., NW., Washington, DC 20580. All comments should be captioned “Alternative Fuel Rule: Paperwork comment.”
Requests for copies of the collection of information and supporting documentation should be addressed to Neil Blickman, Division of Enforcement, Bureau of Consumer Protection, Federal Trade Commission, Room S-4302, 601 Pennsylvania Ave., NW., Washington, DC 20580.
On August 16, 2000, the FTC sought comment on the information collection requirements associated with the Alternative Fuel
The Rule, which implements the Energy Policy Act of 1992, Pub. L. 102-486, requires disclosure of specific information on labels posted on fuel dispensers for non-liquid alternative fuels and on labels on Alternative Fueled Vehicles (AFVs). To ensure the accuracy of these disclosures, the Rule also requires that sellers maintain records substantiating product-specific disclosures they include on these labels.
“Burden” for PRA purpose is defined to exclude effort that would be expended regardless of any regulatory requirement. 5 CFR 1320.2(b)(2). It is common practice for alternative fuel industry members to determine and monitor fuel ratings in the normal course of their business activities. This is because industry members must know and determine the fuel ratings of their products in order to monitor quality and to decide how to market them. Moreover, as originally anticipated when the Rule was promulgated in 1995, many of the information collection requirements and the originally-estimated hours were associated with one-time start up tasks of implementing standard systems and processes.
Other factors also limit the burden associated with the Rule. Certification may be a one-time event to require only infrequent revision. Disclosure labels on fuel dispensing systems for electric vehicles may be usable for several years. (Label specifications were designed to produce labels to withstand the elements for several years.) Nonetheless, there is still some burden associated with posting labels. There also will be some minimal burden associated with new or revised certification of fuel ratings and recordkeeping. The burden on vehicle manufacturers to develop or revise labels is limited because manufacturers produce very few new models each year. Finally, there will be come burden, also minor, associated with recordkeeping requirements.
Thus, total burden for these industries combined is approximately 1,500 hours (790+708).
Labor costs are derived by applying appropriate hourly cost figures to the burden hours described above. According to Bureau of Labor Statistics staff, the average compensation for producers and distributors in the fuel industry is $19.42 per hour and $8.42 per hour for service station employees; the average compensation for workers in the vehicle industry is $19.14 per hour.
The maximum labor cost to the entire industry is approximately $13,551.12 per year for recordkeeping and producing and posting labels (708 total hours × $19.14/hour).
Thus, estimated total labor cost for both industries for all paperwork requirements is $27,000 ($13,878.80 + $13,551.12) per year, rounded to the nearest thousand.
Staff believes that there are no current start-up costs associated with the Rule, inasmuch as the Rule has been effective since 1995. Industry members, therefore, have in place the capital equipment and means necessary, especially to determine automotive fuel ratings and comply with the Rule. Industry members, however, incur the cost of procuring fuel dispenser and AFV labels to comply with the Rule. The estimated annual fuel labeling cost, based on estimates of 360 fuel dispensers (assumptions: an estimated 20% of 900 total retailers need to replace labels in any given year given an approximate five-year life for labels—
Here, too, staff believes that there are no current start-up costs associated with the Rule, for the same reasons as stated immediately above regarding the non-liquid alternative fuel industry. However, based on the labeling of an estimated 20,000 new and used AFVs each year at thirty-eight cents for each label (per industry sources), the annual AFV labeling cost is estimated to be $7,600. Estimated total annual non-labor cost burden associated with the Rule, therefore, would be $8,000 ($136.80 + $7,600.00), rounded to the nearest thousand.
Federal Trade Commission.
Proposed Consent Agreement.
The consent agreement in this matter settles alleged violations of federal law prohibiting unfair or deceptive acts or practices or unfair methods of competition. The attached Analysis to Aid Public Comment describes both the allegations in the draft complaint that accompanies the consent agreement and the terms of the consent order—embodied in the consent agreement—that would settle these allegations.
Comments must be received on or before November 16, 2000.
Comments should be directed to: FTC/Office of the Secretary, Room 159, 600 Pennsylvania Ave., NW., Washington, DC 20580.
Richard Parker or Ann Malester, FTC/H-374, 600 Pennsylvania Ave., NW., Washington, DC 20580. (202) 326-2574 or 326-2820.
Pursuant to section 6(f) of the Federal Trade Commission Act, 38 Stat. 721, 15 U.S.C. 46 and section 2.34 of the Commission's Rules of Practice (16 CFR 2.34), notice is hereby given that the above-captioned consent agreement containing a consent order to cease and desist, having been filed with and accepted, subject to final approval, by the Commission, has been placed on the public record for a period of thirty (30) days. The following Analysis to Aid Public Comment describes the terms of the consent agreement, and the allegations in the complaint. An electronic copy of the full text of the consent agreement package can be obtained from the FTC Home Page (for October 17, 2000), on the World Wide Web, at “http://www.ftc.gov/os/2000/09/index.htm” A paper copy can be obtained from the FTC Public Reference Room, Room H-130, 600 Pennsylvania Avenue, NW., Washington, DC 20580, either in person or by calling (202) 326-3627.
Public comment is invited. Comments should be directed to: FTC/Office of the Secretary, Room 159, 600 Pennsylvania Ave., NW., Washington, DC 20580. Two paper copies of each comment should be filed, and should be accompanied, if possible, by a 3
The Federal Trade Commission (“Commission”) has accepted, subject to final approval, an Agreement Containing Consent Order (“Consent Agreement”) from Tyco International, Ltd. (“Tyco”), which is designed to remedy the anticompetitive effects resulting from Tyco's acquisition of Mallinckrodt, Inc. Under the terms of the agreement, Tyco will be required to divest its endotracheal tube business within ten days of the date the Consent Agreement is placed on the public record to Hudson RCI, or to another Commission-approved buyer no later than six (6) months from the date Tyco signed the Consent Agreement. If the sale of Tyco's endotracheal tube business is not made within six (6) months, the Commission may appoint a trustee to divest it.
The proposed Consent Agreement has been placed on the public record for thirty (30) days for reception of comments by interested persons. Comments received during this period will become part of the public record. After thirty (30) days, the Commission will again review the proposed Consent Agreement and the comments received, and will decide whether it should withdraw from the proposed Consent Agreement or make final the Decision & Order.
Pursuant to a July 28, 2000 Agreement and Plan of Merger, Tyco agreed to acquire Mallinckrodt in a stock-for-stock transaction valued at approximately $4.2 billion. The Commission's Complaint alleges that the acquisition, if consummated, would violate Section 7 of the Clayton Act, as amended, 15 U.S.C. 18, and Section 5 of the Federal Trade Commission Act, as amended, 15 U.S.C. 45, in the market for endotracheal tubes.
Tyco, through its Kendall Division, and Mallinckrodt are the largest providers of endotracheal tubes in the United States. Endotracheal tubes are devices that are inserted through the nose or mouth into the trachea to provide oxygen or anesthesia. Hospitals and emergency personnel use endotracheal tubes to maintain a secure airway during surgical procedures and emergency situations.
The United States endotracheal tube market is highly concentrated, and the proposed acquisition would produce a firm controlling proximately 86% of the market. Mallinckrodt is the largest supplier of endotracheal tubes, claiming that its products are used in 70% of the surgical procedures performed in the United States each year. Tyco is the next largest supplier. Both companies have product lines consisting of over one hundred different types of endotracheal tubes and related accessories, and have long track records of customer acceptance. As the two largest suppliers in the market, Tyco and Mallinckrodt frequently bid against each other for important hospital group purchasing organization contracts. Tyco and Mallinckrodt are the only two firms that have won contracts to supply members of the largest and most important group purchasing organizations. By eliminating competition between the two most significant competitors in this highly concentrated market, the proposed acquisition would allow the combined Tyco/Mallinckrodt to exercise market power unilaterally, thereby increasing the likelihood that purchasers of endotracheal tubes would be forced to pay higher prices and that innovation and service levels in the market would decrease.
Substantial barriers to new entry exist in the endotracheal tube market. Effective new entry would require the development of a full line of endotracheal tube products, obtaining approvals from the Food and Drug Administration, procurement of several million dollars' worth of specialized manufacturing equipment, and the establishment of a sales and marketing force. Entry is further hampered by the fact that endotracheal tubes are critically important to customers, though relatively inexpensive, so customers would be reluctant to consider new, unproven products even in the face of higher prices. In light of the fact that the endotracheal tube market is relatively small compared to the costs that a new entrant would have to incur, new entry is not likely to occur. Additionally, new entry into the endotracheal tube market is made more unlikely because of long-term hospital group purchasing organization contracts that may reduce the amount of sales opportunities available to new entrants. Because of the difficulty of accomplishing these tasks, new entry into the United States endotracheal tube market is unlikely to deter or counteract the anticompetitive effects resulting from the transaction.
The Consent Agreement effectively remedies the acquisition's anticompetitive effects in the United States endotracheal tube market by requiring Tyco to divest its Sheridan line of endotracheal tube products.
The Consent Agreement includes a number of provisions that are designed to ensure that the transition of Tyco's endotracheal tube business to the acquirer is successful. The Consent Agreement requires Tyco to provide incentives to certain key employees to accept employment, and remain employed, by the acquirer. Tyco employees who had been involved with selling the Sheridan endtracheal tube line are prohibited from selling the Mallinckrodt endotracheal tube products for a period of one year. Tyco is also prohibited from inducing key hospital group purchasing organizations from terminating their contracts with the acquirer for a period of two years. Finally, Tyco employees involved with the endotracheal tube business are prohibited from disclosing any confidential information to employees involved with the Mallinckrodt line.
In order to ensure that the Commission remains informed about the status of the Tyco endotracheal tube business pending divestiture, and about efforts being made to accomplish the divestiture, the Consent Agreement requires Tyco to report to the Commission within 30 days, and every thirty days thereafter until the divestiture is accomplished. In addition, Tyco is required to report to the Commission every 60 days regarding its obligations to provide transitional services and facilities management.
The purpose of this analysis is to facilitate public comment on the Consent Agreement, and it is not intended to constitute an official interpretation of the Consent Agreement or to modify in any way its terms.
General Services Administration.
Meeting notice.
Notice is hereby given that the President's Commission on the Celebration of Women in American History will hold an open meeting from 1:00 p.m. to 4:30 p.m. on Wednesday, November 15, 2000, at the George Washington University, Marvin Center Room 403.
To discuss the Commission's final report and how to elaborate its message to the President.
Martha Davis (202) 501-0705, Assistant to the Associate Administrator for Communications, General Services Administration. Also, inquiries may be sent to
The Department of Health and Human Services, Office of the Secretary publishes a list of information collections it has submitted to the Office of Management and Budget (OMB) for clearance in compliance with the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35) and 5 CFR 1320.5. The following are those information collections recently submitted to OMB. 1. Voluntary Industry Partner Surveys to Implement Executive Order 12862—Extension—0990-0220—The Department of Health and Human Services plans to conduct surveys of its contractors in each agency to obtain feedback for improving the Department's procurement process.
Copies of the information collection packages listed above can be obtained by calling the OS Reports Clearance Officer on (202) 690-6207. Written comments and recommendations for the proposed information collection should be sent directly to the OMB desk officer designated above at the following address: Human Resources and Housing Branch, Office of Management and Budget, New Executive Office Building, Room 10235, 725 17th Street NW., Washington, DC 20503.
Comments may also be sent to Cynthia Agens Bauer, OS Reports Clearance Officer, Room 503H, Humphrey Building, 200 Independence Avenue SW., Washington, DC, 20201. Written comments should be received within 30 days of this notice.
Agency for Healthcare Research and Quality.
Notice of public meeting.
In accordance with section 10(a) of the Federal Advisory Committee Act, this notice announces a meeting of the National Advisory Council for Healthcare Research and Quality
The meeting will be held on Friday, November 3, 2000, from 8:30 a.m. to 4:00 p.m. and is open to the public.
The meeting will be held at 6010 Executive Boulevard, Fourth Floor, Rockville, Maryland 20852.
Anne Lebbon, Coordinator of the Advisory Council, at the Agency for Healthcare Research and Quality, 2101 East Jefferson Street, Suite 600, Rockville, Maryland 20852, (301) 594-7216. For press-related information, please contact Karen Migdail at 301/594-6120.
If sign language interpretation or other reasonable accommodation for a disability is needed, please contact Linda Reeves, Assistance Administrator for Equal Opportunity, AHRQ, on (301) 594-6662 no later than November 1, 2000.
Section 921 of the Public Health Service Act (42 U.S.C. 299c) established the National Advisory Council for Healthcare Research and Quality. In accordance with its statutory mandate, the Council is to advise the Secretary and the Director, Agency for Healthcare Research and Quality (AHRQ), on matters related to actions of the Agency to enhance the quality, improve outcomes, reduce costs of health care services, improve access to such services through scientific research, the promotion of improvements in clinical practice and in the organization, financing, and delivery of health care services.
The Council is composed of members of the public appointed by the Secretary and Federal ex-officio members. Donald M. Berwick. M.D., the Council chairman, will preside.
On Friday, November 3, 2000, the meeting will begin at 8:30 a.m., with the call to order by the Council Chairman. The Director, AHRQ, will present the status of the Agency's current research, programs and initiative. Tentative agenda items include evidence-based practice centers, patient safety, translating research into practice (T.R.I.P.), and Office of Priority Populations Research. The official agenda will be available on AHRQ's website at
In compliance with the requirement of section 3506 (c)(2)(A) of the Paperwork Reduction Act of 1995, the Center for Disease Control and Prevention is providing opportunity for public comment on proposed data collection projects. To request more information on the proposed projects or to obtain a copy of the data collection plans and instruments, call the CDC Reports Clearance Officer on (404) 639-7090.
Telephone Survey Measuring HIV/STD Risk Behavior Using Standard Methodology—New—National Center for HIV, STD, Tuberculosis Prevention (NCHSTP), CDC. The goal of the overall project is to conduct testing of a set of survey questions intended to obtain measures of risk behaviors for Human Immunodeficiency Virus (HIV) and Sexually Transmitted Diseases (STDs). This proposed data collection is for the second phase of this 2-year project. During the first phase questions were developed and tested, and a pretest of 203 interviews was conducted. During this second phase a pilot survey with a larger number of respondents will be conducted, and a small number of additional questions will be included measuring HIV-related stigma.
Knowledge about the level of HIV risk behaviors in populations is essential for effective HIV prevention programs. Currently, survey-based assessment of these behaviors depends on a range of survey questions that differ across surveys, and that are difficult to compare and to reconcile. Therefore, the Behavioral Surveillance Working Group, coordinated by the National Center for HIV, STD and Tuberculosis Prevention, Centers for Disease Control and Prevention, has developed a draft set of items to be proposed as standard survey questions on the topics of sexual behavior, HIV testing, drug use, and other behaviors related to risk of contracting HIV and/or STDs. As part of this effort, CDC will sponsor a telephone-based pilot of 400 persons aged 18-59, selected randomly from within an urban area, in order to test these questions.
Further, because some of the survey questions are private and potentially sensitive, the project will entail the testing of a survey administration mode: Telephone-based audio computer-assisted self-interview (T-ACASI), in which a computer will be used to administer the most sensitive questions, and in which the surveyed individual enters responses directly onto the telephone keypad. This procedure eliminates the need for communication of sensitive questions from the interviewer to the respondent, as well as the need for respondents to answer the questions verbally. In order to test the effectiveness of this procedure, half of the interviews will be conducted using the T-ACASI procedure for the most sensitive questions, and half using standard, interviewer-based administration of all questions. Data analysis will rely on an assessment of the response rate under each mode, and on the nature of the data obtained to the sensitive questions. The larger sample size of the year 2 pilot survey will enable us to test statistical significance of the effectiveness of the T-ACASI procedure.
Information and data obtained from this evaluation will help direct future surveys, by determining whether it is feasible to attempt to administer these standard risk questions using a telephone survey, and whether a T-ACASI-based procedure represents a technological innovation that will positively contribute to such an effort, through improvements in data quality. The total cost to respondents is $1355.52.
Food and Drug Administration, HHS.
Notice.
The Food and Drug Administration (FDA) is announcing the availability for comment of three petitions submitted by Hyman Phelps & McNamara (HP&M), the American Herbal Products Association (AHPA), and jointly by the Council for Responsible Nutrition (CRN) and the Consumer Healthcare Products Association (CHPA). The petitions requested, among other things, that dietary supplements be permitted to make claims about effects on the structure or function of the body that are derived from nutritive value without being subject to the disclaimer and notification requirements of the Federal Food, Drug, and Cosmetic Act (the act).
Submit written comments on the petitions by December 22, 2000.
Submit written comments to the Dockets Management Branch (HFA 305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. Electronic comments may be submitted via the Internet at www.accessdata.fda.gov/scripts/oc/dockets/comments/commentdocket.cfm or via e-mail: fdadockets@oc.fda.gov. All comments should be identified with the docket number found in brackets in the heading of this document. The petitions are available for review at the Dockets Management Branch (address above) or electronically on the agency's website at http//www.fda.gov/ohrms/dockets/dockets.htm. You may also request copies of the petitions from the Dockets Management Branch.
Rhonda Rhoda Kane, Office of Nutritional Products, Labeling, and Dietary Supplements, Center for Food Safety and Applied Nutrition (HFS 821), Food and Drug Administration, 200 C St. SW., Washington, DC 20204, 202-205-4168.
In the
Section 403(r)(6) of the act, by its terms, applies to dietary supplements. The other possible source of authority to make structure/function claims on dietary supplements is section 201(g)(1)(C) of the act, which provides that “articles (other than food) intended to affect the structure or any function of the body of man or other animals” are drugs. Under this provision, foods may make claims to affect the structure or function of the body without being regulated as drugs. By its terms, however, section 201(g)(1)(C) of the act exempts a dietary supplement that bears a structure/function claim from drug regulation only if it is also a food. The last sentence of section 201(ff) of the act provides, “Except for purposes of section 201(g), a dietary supplement shall be deemed to be a food within the meaning of this Act.” The clear import of this language is that dietary supplements are not foods under section 201(g) of the act and therefore cannot qualify for the “(other than food)” exception to the drug definition in section 201(g)(1)(C). As a result, dietary supplements that use structure/function claims may do so only under section 403(r)(6) of the act and are therefore subject to the disclaimer, notification, and other requirements in that section and in FDA's implementing regulation.
The preamble acknowledged that this conclusion reverses a position stated in the
On February 4, 2000, HP&M filed a petition requesting, among other things, that the agency reconsider and revoke its “pronouncement” in the January 6, 2000, final rule that all structure/function claims in the labeling of dietary supplements must use the section 403(r)(6) of the act disclaimer and notification procedures. The petition further requests that FDA reinstate its previous position that a structure/function claim in the labeling of a dietary supplement product need not comply with the disclaimer and notification requirements if the claim is truthful, nonmisleading, and derived from nutritive value.
Citing
HP&M articulates several other grounds for the action requested in the petition. HP&M also argues that the requirements of section 403(r)(6) of the act apply only to structure/function claims that fall within the health claims definition 21 CFR 101.14(a)(1). Moreover, HP&M argues that FDA's change in interpretation is not entitled to deference because it was issued more than 5 years after the Dietary Supplement Health and Education Act (DSHEA) was passed and, therefore, is not a “contemporaneous construction” of the statute. The petition also asserts that Congress intended DSHEA to reduce FDA requirements for dietary supplements. HP&M believes that FDA's new position is inconsistent with congressional intent since it imposes regulatory burdens that did not exist before DSHEA. Finally, the petition also raises an administrative law argument that FDA's reversal is effectively a substantive rule that must comply with the notice and comment rulemaking procedures of the Administrative Procedure Act in 5 U.S.C. 553.
Petitions filed by AHPA and jointly by CRN and CHPA on February 7, 2000, also requested a reversal of FDA's position on this issue. These petitions made arguments similar to those made by the HP&M petition.
The agency is interested in receiving comments on all three petitions. Moreover, there are several specific questions on which FDA would like comment.
1. The outcome of a reversal of FDA's position would be that dietary supplements that qualify for the “(other than food)” exception would not have to accompany the structure/function claim with a disclaimer while dietary supplements that do not qualify would. Would consumer confusion result from this outcome?
2. The outcome of maintaining the current position would be that dietary supplements making a structure/function claim would have to bear a disclaimer while conventional foods making the same claim would not. Is it better to have an inconsistency between dietary supplements and conventional foods or between dietary supplements that qualify for the “(other than food)” exception and dietary supplements that do not?
3. If FDA were to reverse its position as requested by the petitions, the agency would be notified of some structure/function claims for dietary supplements, but not others. Therefore, the agency would not be aware of all the structure/function claims in the marketplace, including some that might be in fact disease claims rather than legitimate structure/function claims. To determine whether a dietary supplement could legitimately bear a structure/function claim without a disclaimer, FDA would have to investigate whether the claim was based on the nutritive value of the supplement. What would be the impact of this situation on enforcement?
You may submit to the Dockets Management Branch (address above) written or electronic comments by December 22, 2000. Electronic comments may be submitted via the Internet to: www.accessdata.fda.gov/scripts/oc/dockets/comments/commentdocket.cfm or via e-mail: fdadockets@oc.fda.gov. Groups or organizations must submit two copies of any comments. Individuals may submit one copy of their comments. Identify your written comments by placing the docket number at the top of your comment(s). If you base your comments on scientific evidence or data, please submit copies of the specific information along with your comments. Any comments submitted will be filed under the docket number identified in brackets in the heading of this document. The petition and received comments may be seen in the Dockets Management Branch between 9 a.m. and 4 p.m., Monday through Friday.
Food and Drug Administration, HHS.
Notice.
This notice announces a forthcoming meeting of a public advisory committee of the Food and Drug Administration (FDA). The meeting will be open to the public.
FDA regrets that it was unable to publish this notice 15 days prior to the October 31, 2000, Medical Devices Dispute Resolution Panel of the Medical Devices Advisory Committee meeting. Because the agency believes there is some urgency to bring this issue to public discussion and qualified members of the Medical Devices Dispute Resolution Panel of the Medical Devices Advisory Committee were available at this time, the Commissioner of Food and Drugs concluded that it was in the public interest to hold this meeting even if there was not sufficient time for the customary 15-day public notice.
Notice of this meeting is given under the Federal Advisory Committee Act (5 U.S.C. app. 2).
In accordance with section 10(a)(2) of the Federal Advisory Committee Act (Public Law 92-463), announcement is made of the following National Advisory body scheduled to meet during the month of November 2000.
The meeting is open to the public on Wednesday, November 15, 2000, from 9 a.m.-10:00 a.m., and closed for the remainder of the meeting.
Anyone wishing to obtain a roster of members, minutes of meetings, or other relevant information should write or contact Gontran Lamberty, Dr. P.H., Executive Secretary, Maternal and Child Health Research Grants Review Committee, Room 18A-55, Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857, Telephone (301) 443-2190.
Notice is hereby given that pursuant to section 13 of Public Law 92-463, the annual report for the following Health Resources and Services Administration's Federal advisory committee has been filed with the Library of Congress: Maternal and Child Health Research Grants Review Committee.
Copies are available to the public for inspection at the Library of Congress Newspaper and Current Periodical Reading Room, James Madison Memorial Building, Room LM-133, First Street and Independence Avenue, SE., Washington, DC. Copies may be obtained from: Gontran Lamberty, Dr. P.H., Executive Secretary, Maternal and Child Health Research Grants Review Committee, Room 18A-55, Parklawn Building, 5600 Fishers Lane, Rockville, Maryland 20857, Telephone (301) 443-2190.
Bureau of Land Management, California Desert District.
Notice of availability (NOA) of supplement to the draft environmental impact statement for proposed Cadiz Groundwater Storage and Dry-Year Supply Program Pipeline Right-of-Way and plan amendment.
In compliance with the National Environmental Policy Act of 1969, notice is hereby given that the Bureau of Land Management has prepared a joint Supplement to the Draft Environmental Impact Statement (Supplement) and Draft Environmental Impact Report in conjunction with the Metropolitan Water District of Southern California (MWD). The Draft EIR/EIS, published in November 1999, evaluates a range of alternatives for conveying water between the Colorado River Aqueduct and the aquifer underlying the Cadiz and Fenner Valleys across a proposed right-of-way for a pipeline. A plan amendment to the California Desert Conservation Area Plan (1980) is also proposed to allow for the proposed right-of-way for the pipeline outside of an existing utility corridor. This Supplement provides additional information regarding management of groundwater resources and related air quality issues in response to comments on the Draft EIR/EIS.
The aim of the Cadiz Project is to ensure the reliability of Metropolitan's existing water supply in the Colorado River Aqueduct. The project would achieve this goal by storing Colorado River water in the Cadiz/Fenner aquifer and withdrawing the stored water along with indigenous groundwater during dry years. The project area is located in the eastern Mojave Desert region of San Bernardino County in the Cadiz and Fenner valleys and crosses federal land administered by the BLM.
Copies of the Supplement will be available for 45-day public review from October 20, 2000, through December 4, 2000, at the following locations:
Comments must be received in writing by the Metropolitan Water District or by the Bureau of Land Management no later than December 4, 2000.
Written comments on the Supplement should be mailed to: Metropolitan Water District of Southern California, Post Office Box 54153, Los Angeles, California 90054-0153, Attention: Mr. Jack Safely, or U.S. Bureau of Land Management, 6221 Box Springs Boulevard, Riverside, California 92507, Attention: Mr. James Williams.
Further information regarding the project may be obtained from Mr. Jack Safely at (213) 217-6981 or Mr. James Williams at (909) 697-5390.
Bureau of Land Management, Interior.
Notice of Public Meeting.
This notice sets forth the schedule and agenda for a forthcoming meeting on the Fish and Wildlife Service proposal for expansion of the Browns Park National Wildlife Refuge. This meeting will provide the opportunity for public involvement concerning this proposed action as required by regulation. All comments will be considered when a final determination is made on whether this land should be withdrawn.
Meeting will be held on Tuesday, November 28, 2000, from 12:00 a.m. until 4:00 p.m. This will be an open house type of meeting with representatives of Fish and Wildlife Service and of the Bureau of Land Management to answer questions and accept written or oral comments or objections.
The meeting will be held at the Craig City Hall, 300 W. 4th Street, Craig, Colorado 81625.
Doris E. Chelius, BLM Colorado State Office, (303) 239-3706.
The Notice of Proposed Withdrawal for the Browns Park National Wildlife Expansion which was published in the
This meeting will be open to all interested persons, those who desire to be heard in person and those who desire to submit written comments on this subject. Comments can also be submitted to the Colorado State Director, Bureau of Land Management, 2850 Youngfield Street, Lakewood, Colorado 80215-7093.
Bureau of Land Management, Interior.
Notice of Realty Action.
The following described public lands in Nye County, Nevada, have been examined and found suitable for conveyance to Nye County for recreational or public purposes under the provisions of the Recreation and Public Purposes Act, as amended (43 U.S.C. 869
Consisting of 243.9 acres.
The lands are not required for any Federal purpose. The conveyance is consistent with current Bureau planning for this area and would be in the public interest. Conveyance of these lands will be contingent upon Nye County obtaining an approved solid waste disposal permit from the Nevada Division of Environmental Protection. Should Nye County be denied a permit, the Bureau of Land Management (BLM) would not proceed with the conveyance of these lands. The patent or patents, when issued, will be subject to the following terms, conditions, and reservations:
1. Provisions of the Recreation and Public Purposes Act and to all applicable regulations of the Secretary of the Interior. The patentee shall comply with all Federal and State laws applicable to the disposal, placement or release of hazardous substances as defined in 40 CFR part 302, and indemnify the United States against any legal liability or future cost that may arise out of any violation of such laws.
2. A right-of-way thereon for ditches or canals constructed by the authority of the United States under the Act of August 30, 1890 (43 U.S.C. 945).
3. All minerals shall be reserved to the United States, together with the right to prospect for, mine, and remove the minerals.
4. All valid and existing rights documented on the official public land records at the time of patent issuance.
5. Any other reservations that the authorized officer determines appropriate to ensure public access and proper management of Federal lands and interest therein.
6. Provisions of the Resource Conservation and Recovery Act of 1976 (RCRA), as amended, 42 U.S.C. 6901-6987 and the Comprehensive Environmental Response, Compensation and Liability Act of 1980 (CERCLA), as amended, 42 U.S.C. 9601, and all applicable regulations.
Detailed information concerning this action is available for review at the office of the Bureau of Land Management, Las Vegas Field Office, 4765 W. Vegas Drive, Las Vegas, Nevada, 89108.
Upon publication of this notice in the
Any adverse comments will be evaluated by the State Director who may
Department of the Interior, National Park Service, Glacier National Park.
Notice and request for comment.
The National Park Service (NPS) is proposing to conduct research regarding the potential socio-economic impacts associated with reconstruction of Going-to-the-Sun Road in Glacier National Park. One component of this work is a proposal to conduct two surveys.
The Potential Visitor Survey will be conducted among potential visitors to Glacier National park. Potential visitors are those that have expressed interest in visiting Glacier National Park by making contact with a tourism development office managed or funded by the State of Montana. Survey respondents will be asked contingent behavior questions regarding travel to Glacier National Park if travel were hampered on Going-to-the-Sun Road. The survey will be conducted by telephone, mail or email, depending on data availability from the tourism development offices.
The Local Business Survey will be conducted among businesses in a local area (three counties in Montana plus a portion of Alberta, Canada) that are directly or indirectly impacted by tourism. Survey respondents will be asked questions regarding the seasonality of their business activity and employment, the impact of tourism and Glacier National Park on their business activity, potential socio-economic impacts, and mitigation strategies. The survey will be conducted by mail.
Under the provisions of the Paperwork Reduction Act of 1995 and 5 CFR part 1320, Reporting and Record Keeping Requirements, the National Park Service (NPS) is soliciting comments on the need for gathering the information in the proposed surveys. The NPS is also asking for comments on the practical utility of the information being gathered; the accuracy of the burden hour estimate; ways to enhance the quality, utility and clarity of the information to be collected; and ways to minimize the burden to respondents, including use of automated information collection techniques or other forms of information technology.
The NPS goal in conducting these surveys is to help describe and quantify potential socio-economic impacts of reconstruction alternatives for Going-to-the-Sun Road in Glacier National Park.
Public comments will be accepted on or before December 22, 2000.
Jean Townsend, Coley/Forrest, Inc., 1635 Blake Street, Suite 200; Denver, CO 80202. jtownsend@coleyforrest.com
In accord with 102(2)(C) of the National Environmental Policy Act (42 U.S.C. 4321
All comments received to date have been documented; this information already has informed the conservation planning and environmental impact analysis efforts. A summary of all issues and concerns generated to date is available on request, or may be obtained via the Internet at <http://www.nps.gov/pwro/gaviota>.
Interested individuals, organizations and agencies wishing to provide additional new comments or suggestions, or wishing to be added to the project mailing list, should respond to Gaviota Coast Feasibility Study Team, Attn: Ray Murray, National Park Service, 600 Harrison Street, Suite 600, San Francisco, CA 94107. To be fully considered, all comments must be postmarked no later than November 30, 2000 (or if via e-mail, transmitted no later than this date to PGSO_Gaviota@nps.gov).
If individuals submitting comments request that their name and/or address be withheld from public disclosure, it will be honored to the extent allowable by law. Such requests must be stated prominently in the beginning of the comments. There also may be circumstances wherein the NPS will withhold a respondent's identity as allowable by law. As always: NPS will make available to public inspection all submissions from organizations or businesses and from persons identifying themselves as representatives or officials of organizations and businesses; and, anonymous comments may not be considered.
Nominations for the following properties being considered for listing in the National Register were received by the National Park Service before October 14, 2000. Pursuant to section 60.13 of 36 CFR part 60, written comments concerning the significance of these properties under the National Register criteria for evaluation may be forwarded to the National Register, National Park Service, 1849 C St. NW., NC400, Washington, DC 20240. Written comments should be submitted by November 7, 2000.
Sarasota, 00001328
Notice is hereby given that a proposed Consent Decree (“Decree”) in
The Complaint filed in the above-referenced matter alleges that ASARCO Incorporated, Blue Tee Corp., and Gold Fields Mining Corporation (“Defendants”) are liable under Section 107(a) of the Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended, (“CERCLA”), 42 U.S.C. 9607(a), for costs incurred and to be incurred by the Environmental Protection Agency as a result of the release or threatened release of hazardous substances at or in connection with Operable Unit 4 (“OU-4”) of the Jasper County Superfund Site (“Site”) in Jasper County, Missouri. The Complaint, which was filed simultaneously on September 26, 2000, with the Decree, sought response costs incurred and to be incurred by the United States in connection with OU-4.
Under the proposed Decree, the Defendants shall pay $1,816,710 in reimbursement of response costs. In exchange, the United States is granting Defendants a covenant not to sue or take administrative action against Defendants pursuant to section 107(a) of CERCLA, 42 U.S.C. 9607(a) for recovery of response costs. This covenant not to sue extends only to Defendants and does not extend to any other persons. This covenant not to sue is also conditioned upon the satisfactory performance by Defendants of their obligations under the Decree.
The Department of Justice will receive, for a period of thirty (30) days from the date of this publication, comments relating to the proposed Decree. Comments should be addressed to the Assistant Attorney General for the Environment and Natural Resources Division, Department of Justice, P.O. Box 7611, Washington, DC 20044-7611, and should refer to
The proposed Decree may be examined at the office of the United States Environmental Protection Agency, Region VII, 901 North 5th Street, Kansas City, Kansas 66101. A copy of the proposed Decree may also be obtained by mail from the Consent Decree Library, P.O. Box 7611, Washington, DC 20044. In requesting a copy of the Consent Decree, please refer to the referenced case number and enclose a check in the amount of $23.50, payable to the Consent Decree Library.
In accordance with Departmental policy, 28 CFR 50.7, notice is hereby given that a consent decree in
The Department of Justice will receive, for a period of thirty (30) days from the date of this publication, comments relating to the proposed consent decree. Comments should be addressed to the Assistant Attorney General for the Environment and Natural Resources Division, U.S. Department of Justice, Washington, DC, 20530, and should refer to
The proposed consent decree may be examined at the offices of the United States Attorney, 615 Chestnut Street, Suite 1250, Philadelphia, PA 19106-4476. A copy of the consent decree may also be obtained by mail from the U.S. Department of Justice Consent Decree Library, P.O. Box 7611, Washington, DC 20044. In requesting a copy, please refer to the referenced case and enclose a check in the amount of $6.00 (25 cents per page reproduction cost), payable to the Consent Decree Library.
Notice is hereby given that on October 4, 2000, two proposed consent decrees in (1)
These consent decrees settle claims against management agents and owners of several residential apartment buildings in the District of Columbia which were brought on behalf of the Department of Housing and Urban Development under the Residential Lead-Based Paint Hazard Reduction Act 42 U.S.C. 4851
Under the consent decrees, defendants have agreed to perform lead-based paint abatement and to pay HUD administrative penalties. The defendant in the
There are three defendants in the
The Department of Justice will receive for a period of thirty (30) days from the date of this publication comments relating to the consent decrees. Comments should be addressed to the Assistant Attorney General of the Environment and Natural Resources Division, Department of Justice, Washington, DC 20530, and should refer to (1)
The two consent decrees may be obtained by mail from the Department of Justice Consent Decree Library, P.O. Box 7611, Washington, DC 20044-7611. In requesting copies from the Consent Decree Library, please enclose a check in the amount of $10.75 for the two consent decrees only (25 cents per page) or $12.75 when requesting attachments payable to the Consent Decree Library.
Notice is hereby given that, on September 11, 2000, pursuant to section 6(a) of the National Cooperative Research and Production Act of 1993, 15 U.S.C. 4301
No other changes have been made in either the membership or planned activity of the group research project. Membership in this group research project remains open, and Advanced Micro Devices, Inc./ObjectSpace, Inc. intends to file additional written notification disclosing all changes in membership.
On December 19, 1997, Advanced Micro Devices, Inc./ObjectSpace, Inc. filed its original notification pursuant to section 6(a) of the Act. The Department of Justice published a notice in the
Notice of Information Collection for Review: Extension of a Currently Approved Collection; Correction; Grants Management System Online Application.
The Department of Justice, Office of Justice Programs, has submitted the following information collection request for review and clearance in accordance with the Paperwork Reduction Act of 1995. Office of Management and Budget approval is being sought for the information collection listed below. This proposed information collection was previously published in the
The purpose of this notice is to correct the public comment date from March 30, 2000 to November 6, 2000. The second paragraph of the
Written comments and/or suggestions regarding the item(s) contained in this notice, especially regarding the estimated public burden and associated response time, should be directed to the Office of Management and Budget, Office of Information and Regulatory Affairs, Attention: Department of Justice Desk Officer, Washington, DC 20530. Additionally, comments may be submitted to OMB via facsimile to (202) 395-7285. Comments may also be submitted to the Department of Justice (DOJ), Justice Management Division, Information Management and Security Staff, Attention: Department Deputy Clearance Officer, Suite 1220, 1331 Pennsylvania Avenue, NW., Washington, DC 20530.
Written comments and/or suggestions from the public and affected agencies concerning the proposed collection of information should address one or more of the following four points.
(1) Evaluate whether the proposed collection of information is necessary for the proper performance of the function of the agency, including whether the information will have practical utility;
(2) Evaluate the accuracy of the agency's estimate of the burden of the
(3) Enhance the quality, utility, and clarity of the information to be collected; and
(4) Minimize the burden of the collection of information on those who are to respond, including through the use appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology,
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If additional information is required contact: Mrs. Brenda E. Dyer, Deputy Clearance Officer, United States Department of Justice, Information Management and Security Staff, Justice Management Division, Suite 1220, National Place, 1331 Pennsylvania Avenue, NW., Washington, DC 20530.
I, Michael J. Gaines, Chairman of the United States Parole Commission, was present at a meeting of said Commission which started at approximately 11:15 a.m. on Tuesday, October 17, 2000, at the U.S. Parole Commission, 5550 Friendship Boulevard, 4th Floor, Chevy Chase, Maryland 20815. The purpose of the meeting was to decide four appeals from the National Commissioners' decisions pursuant to 28 CFR section 2.27. Five Commissioners were present, constituting a quorum when the vote to close the meeting was submitted.
Public announcement further describing the subject matter of the meeting and certifications of General Counsel that this meeting may be closed by vote of the Commissioners present were submitted to the Commissioners prior to the conduct of any other business. Upon motion duly made, seconded, and carried, the following Commissioners voted that the meeting be closed: Michael J. Gaines, Marie F. Ragghianti, Edward F. Reilly, Jr., John R. Simpson, and Janie L. Jeffers.
The National Endowment for the Humanities.
Notice of meetings.
Pursuant to the provisions of the Federal Advisory Committee Act (Public Law 92-463, as amended), notice is hereby given that the following meetings of the Humanities Panel will be held at the Old Post Office, 1100 Pennsylvania Avenue, NW., Washington, DC 20506.
Laura S. Nelson, Advisory Committee Management Officer, National Endowment for the Humanities, Washington, DC 20506; telephone (202) 606-8322. Hearing-impaired individuals are advised that information on this matter may be obtained by contacting the Endowment's TDD terminal on (202) 606-8282.
The proposed meetings are for the purpose of panel review, discussion, evaluation and recommendation on applications for financial assistance under the National Foundation on the Arts and the Humanities Act of 1965, as amended, including discussion of information given in confidence to the agency by the grant applicants. Because the proposed meetings will consider information that is likely to disclose trade secrets and commercial or financial information obtained from a person and privileged or confidential and/or information of a personal nature the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, pursuant to authority granted me by the Chairman's Delegation of Authority to Close Advisory Committee meetings, dated July 19, 1993, I have determined that these meetings will be closed to the public pursuant to subsections (c) (4), and (6) of section 552b of Title 5, United States Code.
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National Science Foundation.
Notice of permits issued under the Antarctic Conservation of 1978, Public Law 95-541.
The National Science Foundation (NSF) is required to publish notice of permits issued under the Antarctic Conservation Act of 1978. This is the required notice.
Nadene G. Kennedy, Permit Office, Office of Polar Programs, Rm. 755, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230.
On September 14, 2000, the National Science Foundation published a notice in the
The U.S. Nuclear Regulatory Commission (the Commission) has granted the request of Nebraska Public Power District (the licensee) to withdraw its June 15, 1999, application for proposed amendment to Facility Operating License No. DPR-46 for the Cooper Nuclear Station located in Nemaha County, Nebraska.
The proposed amendment would have revised the facility updated safety analysis report on the containment overpressure contribution to emergency core cooling system pump net positive suction head requirement post-loss-of-coolant accident.
The Commission had previously issued a Notice of Consideration of Issuance of Amendment published in the
For further details with respect to this action, see the application for amendment dated June 15, 1999, and the licensee's letter dated June 14, 2000 (Accession No. ML003724841), which withdrew the application for license amendment. The above documents are available for public inspection at the Commission's Public Document Room, the Gelman Building, 2120 L Street, NW., Washington, DC, and accessible electronically through the Adams Public Electronic Reading Room link at the NRC Web site (http://www.nrc.gov).
For the Nuclear Regulatory Commission.
The U.S. Nuclear Regulatory Commission (NRC) is considering issuance of an exemption from Title 10 of the Code of Federal Regulations (10 CFR) Part 50, Appendix G, for Facility Operating License Nos. DPR-31 and DPR-41, issued to Florida Power and Light Company (FPL, the licensee), for operation of the Turkey Point Plant, Units 3 and 4, located in Dade County, Florida.
The proposed exemption would allow FPL to apply the methodologies of the American Society of Mechanical Engineers (ASME) Code Cases N-588 and N-641 for the Turkey Point Plant reactor vessel circumferential welds.
The proposed action is in accordance with the licensee's application for exemption dated July 7, 2000, as supplemented October 4, 2000.
10 CFR part 50, Appendix G, requires that pressure-temperature (P/T) limits be established for reactor pressure vessels (RPVs) during normal operating and hydrostatic pressure or leak-testing conditions. Specifically, 10 CFR part 50, Appendix G states that “The appropriate requirements on both the pressure-temperature limits and the minimum permissible temperature must be met for all conditions.” Appendix G further specifies that the requirements for these limits are the ASME Code, Section XI, Appendix G Limits.
To address provisions of amendments to the technical specification (TS) P/T limits, low temperature overpressure protection (LTOP) system setpoints and LTOP system effective temperature (T
The NRC has completed its evaluation of the proposed action and concludes that exemption from the requirements of 10 CFR part 50, Appendix G, to allow
The proposed action will not significantly increase the probability or consequences of accidents, no changes are being made in the types of any effluents that may be released off site, and there is no significant increase in occupational or public radiation exposure. Therefore, there are no significant radiological environmental impacts associated with the proposed action.
With regard to potential nonradiological impacts, the proposed action does not involve any historic sites. It does not affect nonradiological plant effluents and has no other environmental impact. Therefore, there are no significant nonradiological environmental impacts associated with the proposed action.
Accordingly, the NRC concludes that there are no significant environmental impacts associated with the proposed action.
As an alternative to the proposed action, the staff considered denial of the proposed action (that is, the “no-action” alternative). Denial of the application would result in no change in current environmental impacts. The environmental impacts of the proposed action and the alternative action are similar.
This action does not involve the use of any resources not previously considered in the Final Environmental Statement for the Turkey Point Plant, Units 3 and 4.
In accordance with its stated policy, on October 10, 2000, the staff consulted with the Florida State official, William A. Passetti of the Bureau of Radiation Control, regarding the environmental impact of the proposed action. The State official had no comments.
On the basis of the environmental assessment, the NRC concludes that the proposed action will not have a significant effect on the quality of the human environment. Accordingly, the NRC has determined not to prepare an environmental impact statement for the proposed action.
For further details with respect to the proposed action, see the licensee's letter dated July 7, 2000, as supplemented October 4, 2000. Documents may be examined, and/or copied for a fee, at the NRC's Public Document Room, located at One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland. Publicly available records will be accessible electronically from the Adams Public Library component on the NRC Web site, http://www.nrc.gov (the Electronic Reading Room).
For the Nuclear Regulatory Commission.
Pension Benefit Guaranty Corporation.
Notice of request for extension of OMB approval.
The Pension Benefit Guaranty Corporation (“PBGC”) is requesting that the Office of Management and Budget (“OMB”) extend approval, under the Paperwork Reduction Act, of the collection of information under its regulation on Payment of Premiums (29 CFR Part 4007), including Form 1-ES, Form 1, and Schedule A to Form 1, and related instructions (OMB control number 1212-0009; expires December 31, 2000). The collection of information also includes a certification (on Schedule A) of compliance with requirements to provide certain notices to participants under the PBGC's regulation on Disclosure to Participants (29 CFR Part 4011).
Comments should be submitted by November 22, 2000.
Comments should be mailed to the Office of Information and Regulatory Affairs of the Office of Management and Budget, Attention: Desk Officer for Pension Benefit Guaranty Corporation, Washington, DC 20503. The request for extension will be available for public inspection at the Communications and Public Affairs Department of the Pension Benefit Guaranty Corporation, suite 240, 1200 K Street, NW., Washington, DC 20005-4026, between 9 a.m. and 4 p.m. on business days.
Copies of the collection of information may be obtained without charge by writing to the PBGC's Communications and Public Affairs Department at the address given above or calling 202-326-4040. (For TTY and TDD, call 800-877-8339 and request connection to 202-326-4040.) The premium payment regulation can be accessed on the PBGC's home page at www.pbgc.gov.
Deborah C. Murphy, Attorney, or Harold J. Ashner, Assistant General Counsel, Office of the General Counsel, Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026, 202-326-4024. (For TTY and TDD, call 800-877-8339 and request connection to 202-326-4024.)
Section 4007 of Title IV of the Employee Retirement Income Security Act of 1974 (“ERISA”) requires the Pension Benefit Guaranty Corporation (“PBGC”) to collect premiums from pension plans covered under Title IV pension insurance programs. Pursuant to ERISA section 4007, the PBGC has issued its regulation on Payment of Premiums (29 CFR Part 4007). Section 4007.3 of the premium payment regulation requires plans, in connection with the payment of premiums, to file certain forms prescribed by the PBGC, and § 4007.10 requires plans to retain and make available to the PBGC records supporting or validating the computation of premiums paid.
The forms prescribed are PBGC Form 1-ES and Form 1 and (for single-employer plans only) Schedule A to Form 1. Form 1-ES is issued, with instructions, in the PBGC's Estimated Premium Payment Package. Form 1 and Schedule A are issued, with instructions, in the PBGC's Annual Premium Payment Package.
The premium forms are needed to determine the amount and record the payment of PBGC premiums, and the submission of forms and retention and submission of records are needed to enable the PBGC to perform premium audits. The plan administrator of each pension plan covered by Title IV of ERISA is required to file one or more of the premium payment forms each year. The PBGC uses the information on the premium payment forms to identify the plans paying premiums and to verify whether plans are paying the correct amounts. That information and the retained records are used for audit purposes.
In addition, section 4011 of ERISA and the PBGC's regulation on Disclosure to Participants (29 CFR Part 4011) require plan administrators of certain underfunded single-employer pension
The collection of information under the regulation on Payment of Premiums, including Form 1-ES, Form 1, and Schedule A to Form 1, and related instructions has been approved by OMB under control number 1212-0009 through December 31, 2000. This collection of information also includes the certification of compliance with the participant notice requirements (but not the participant notices themselves). The PBGC is requesting that OMB extend its approval of this collection of information for another three years. (The participant notices constitute a different collection of information that has been separately approved by OMB.)
The PBGC estimates that it receives responses annually from about 39,400 plan administrators and that the total annual burden of the collection of information is about 2,482 hours and $9,431,600.
Notice is hereby given that the following filing(s) has/have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act. All interested persons are referred to the application(s) and/or declaration(s) for complete statements of the proposed transaction(s) summarized below. The application(s) and/or declaration(s) for complete statements of the proposed transaction(s) summarized below. The application(s) and/or declaration(s) and any amendment(s) is/are available for public inspection through the Commission's Branch of Public Reference.
Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by November 7, 2000, to Secretary, Securities and Exchange Commission, Washington, DC 20549-0609, and serve a copy on the relevant applicant(s) and/or declarant(s) at the address(es) specified below. Proof of service (by affidavit or, in the case of an attorney at law, by certificate) should be filed with the request. Any request for hearing should identify specifically the issues of facts or law that are disputed. A person who so requests will be notified of any hearing, if ordered, and will receive a copy of any notice or order issued in the matter. After November 7, 2000, the application(s) and/or declaration(s), as filed or as amended, may be granted and/or permitted to become effective.
Alabama Power Company (“Alabama”), 600 North 18th Street, Birmingham, Alabama 3591, Georgia Power Company (“Georgia”), 241 Ralph McGill Boulevard N.E., Atlanta, Georgia 30308, Gulf Power Company (“Gulf”), 500 Bayfront Parkway, Pensacola, Florida 32501 and Mississippi Power Company (“Mississippi”, and collectively, “Subsidiaries”), 2992 West Beach, Gulfport, Mississippi 39501, each a public utility subsidiary company of the Southern Company (“Southern”), a registered holding company, have filed a declaration under section 6(a)(2), 7(e) and 12(e) of the Act and rules 53, 62(d) and 65 under the Act.
The Subsidiaries state that Southern intends to distribute the common stock of its nonutility subsidiary, Southern Energy, Inc. (“Energy”), to Southern shareholders in a tax-free reorganization (“Reorganization”), which requires Southern to control 80% of the voting securities of both Energy and the Subsidiaries. Under the Reorganization, if the preferred shareholders of each of the Subsidiaries receives the right to vote for the election of directors, Southern will own at least 80% of the total combined voting power of all classes of stock entitled to vote, when considering the voting preferred securities together with the common stock of these companies.
To facilitate the Reorganization, each Subsidiary proposes to amend its Articles of Incorporation (“Charter”) to confer fractional voting rights for the election of directors on the holders of its preferred stock (“Amendment”).
With respect to each of Alabama and Mississippi, adoption of the Amendment requires the affirmative vote of a majority of the votes cast of all series of its outstanding preferred stock, voting together as one class,
Mississippi's outstanding preferred stock includes: (1) two series of its cumulative preferred stock, par value $100 per share, consisting of a 6.32% series, of which 150,000 shares are outstanding and a 6.65% series, of which 84,040 shares are outstanding; and (2) four series of its cumulative preferred stock, par value $100 per share, consisting of a 4.40% series, of which 8,867 shares are outstanding, a 4.60% series, of which, 8,643 shares are outstanding, a 4.72% series, of which 16,700 shares are outstanding and a 7.00% series, of which 49,840 shares are outstanding.
If the proposed Amendments are adopted, the Subsidiaries propose that each of Alabama, Gulf and Mississippi make special cash payments (“Payments”) to each preferred stockholder whose shares of preferred stock were properly voted in favor of the proposed Amendment. The proposed Payments will not exceed 0.50% of the stated capital or par value, as appropriate, per share of each company's outstanding preferred stock, except that Payments made by Alabama respecting the 1988 Auction Preferred and the 1993 Auction Preferred will not exceed 0.125% of the stated capital per share. The Subsidiaries state that each of Alabama, Gulf and Mississippi will disburse Payments out of its general funds, promptly after adoption of the proposed Amendment.
The Subsidiaries request that an order authorizing the solicitation of proxies by Alabama, Gulf and Mississippi be issued as soon as practicable under rule 62(d). It appears to the Commission that the Subsidiaries' declaration relating to the proposed solicitation of proxies should be permitted to become effective immediately under rule 62(d).
Additional fees and expenses not exceeding $100,000 are anticipated in connection with these transactions. It is that no state or federal commission, other than this Commission, has jurisdiction over the proposed transaction.
For the Commission, by the Division of Investment Management, under delegated authority.
Notice is hereby given that the following filing(s) has/have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act. All interested persons are referred to the application(s) and/or declaration(s) for complete statements of the proposed transaction(s) summarized below. The application(s) and/or declaration(s) and any amendment(s) is/are available for public inspection through the Commission's Branch of Public Reference.
Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by November 7, 2000, to the Secretary, Securities and Exchange Commission, Washington, DC 20549-0609, and serve a copy on the relevant applicant(s) and/or declarant(s) at the address(es) specified below. Proof of service (by affidavit or, in the case of an attorney at law, by certificate) should be filed with the request. Any request for hearing should identify specifically the issues of facts or law that are disputed. A person who so requests will be notified of any hearing, if ordered, and will receive a copy of any notice or order issued in the matter. After November 7, 2000, the application(s) and/or declaration(s), as filed or as amended, may be granted and/or permitted to become effective.
IES Utilities (“IES”), Alliant Energy Tower, Cedar Rapids, Iowa 52401, a wholly owned gas and electric utility subsidiary company of Alliant Energy Corporation, a registered holding company, has filed a post-effective amendment under sections 6(a) and 7 of the Act and rule 54 under the Act to a declaration previously filed under the Act.
By order dated November 25, 1998 (HCAR No. 26945) (“Current Financing Order”), the Commission authorized IES to issue and sell from time to time, through December 31, 2000, in one or more series, any combination of collateral trust bonds (“Trust Bonds”), senior unsecured debentures (“Senior Debentures”) and unsecured subordinated debentures (“Subordinated Debentures”). The current Financing Order also authorized IES to enter into an agreement or agreements for the issuance and sale of one or more series of tax-exempt bonds (“Tax-Exempt Bonds”), maturing not later than 30 years from the first day of the month in which they are initially issued, for the financing or refinancing and air and water pollution control facilities and sewage and solid water disposal facilities (“Facilities”). As security for IES's obligations under any agreement relating to the Tax-Exempt Bonds, IES was also authorized to: (1) Issue its non-negotiable promissory note or notes to evidence loans to IES of the proceeds of the Tax-Exempt Bonds by the issuer;
Under the Current Financing Order, the aggregate principal amount of the Trust Bonds, Senior Debentures, Subordinated Debentures, and Tax-Exempt Bonds shall not exceed $200 million, excluding the principal amount of any Trust Bonds issued as collateral security for Tax-Exempt Bond obligations and any other forms of collateral related to the Tax-Exempt Bonds. Each series of Trust Bonds, Senior Debentures and Subordinated Debentures will mature not later than 30 years from the day of issuance. The Current Financing Order provides that no series of Trust Bonds will be issued at rates in excess of the lower of 15%
IES now proposes to extend the authorization period under the Current Financing Order from December 31,
Interstate Power Company (“IPC”), 1000 Main Street, P.O. Box 769, Dubuque, Iowa 52004-07691, a wholly owned gas and electric utility subsidiary company of Alliant Energy Corporation, a registered holding company, has filed a post-effective amendment under sections 6(a) and 7 of the Act and rule 54 under the Act to its declaration previously filed under the Act.
By order dated November 25, 1998 (HCAR No. 26946) (“Current Financing Order”), the Commission authorized IPC to issue and sell from time to time, through December 31, 2000, in one or more series, any combination of first mortgage bonds (“First Mortgage Bonds”), senior unsecured debentures (“Senior Debentures”) and unsecured subordinated debentures (“Subordinated Debentures”). The Current Financing Order also authorized IPC to enter into an agreement or agreements for the issuance and sale of one or more series of tax-exempt bonds (“Tax-Exempt Bonds”), maturing no later than 30 years from the first day of the month in which they are issued initially, for the financing or refinancing of air and water pollution control facilities and sewage and solid waste disposal facilities (“Facilities”). As security for IPC's obligations under any agreement relating to the Tax-Exempt Bonds, IPC was also authorized to: (1) Issue its non-negotiable promissory note or notes to evidence loans to IPC by the issuer of the proceeds of the Tax-Exempt Bonds;
Under the Current Financing Order, the aggregate principal amount of the First Mortgage Bonds, Senior Debentures, Subordinated Debentures, and Tax-Exempt Bonds will not exceed $80 million, excluding the principal amount of any First Mortgage Bonds issued as collateral security for Tax-Exempt Bond obligations and any other forms of collateral related to the Tax-Exempt Bonds. Each series of First Mortgage Bonds, Senior Debentures and Subordinated Debentures will mature not later than 30 years from the day of issuance. The Current Financing Order provides that no series of First Mortgage Bonds will be issued at rates in excess of the lower of 15%
IPC now proposes to extend the authorization period under the Current financing Order from December 31, 2000 to June 30, 2004 (“Extended Authorization Period”). During the Extended Authorization Period, IPC proposes to issue from time to time in one or more transactions First Mortgage Bonds, Senior Debentures and Subordinated Debentures and to enter into agreements regarding Tax-Exempt Bonds in an aggregate principal amount not to exceed $80 million, excluding First Mortgage Bonds issued as collateral for IPC's Tax-Exempt Bond obligations and any other related form of collateral. IPC states that all other terms, conditions and limitations contained in the Current Financing Order will continue to apply.
For the Commission, by the Division of Investment Management, under delegated authority.
Notice is hereby given that the following filing(s) has/have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act. All interested persons are referred to the application(s) and/or declaration(s) for complete statements of the proposed transaction(s) summarized below. The applicant(s) and/or declaration(s) and any amendment(s) is/are available for public inspection through the Commission's Branch of Public Reference.
Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by November 10, 2000, to the Secretary, Securities and Exchange Commission, Washington, DC 20549-0609, and serve a copy on the relevant application(s) and/or declarant(s) at the address(es) specified below. Proof of service (by affidavit or, in the case of an attorney at law, by certificate) should be filed with the request. Any request for hearing should identify specifically the issues of facts or law that are disputed. A person who so requests will be notified of any hearing, if ordered, and will receive a copy of any notice or order issued in the matter. After November 10, 2000, the application(s) and/or declaration(s), as filed or as amended, may be granted and/or permitted to become effective.
The Southern Company (“Southern”), 270 Peachtree Street, NW., Atlanta, Georgia 30303, a registered holding company, and its wholly owned subsidiaries, Mobile Energy Services Holdings, Inc. (“Holdings”) and Mobile Energy Services Company, L.L.C. (“Mobile Energy”)
Applicants propose that the Commission issue (1) an order under section 11(f) of the Act approving the amended Joint Plan or Reorganization (“Plan”) and certain related transactions under the Plan
The Application includes the Plan and disclosure statement for Mobile Energy and Holdings. On January 14, 1999, Mobile Energy and Holdings (collectively, “Debtors”) filed voluntary petitions in the Bankruptcy Court for the Southern District of Alabama (“Bankruptcy Court”) for protection under Chapter 11 of the Bankruptcy Code. Both entities filed as debtors in possession continuing their operations; as a result, no trustee or receiver has been appointed by the Bankruptcy Court. The original Plan was filed with the Bankruptcy Court on August 4, 2000. The disclosure statement and the amended Plan were filed with the Bankruptcy Court on September 15, 2000. Under section 1125 of the Bankruptcy Code, the Debtors may not solicit votes for acceptances of the Plan until the Bankruptcy Court approves a disclosure statement that contains information of a kind, and in sufficient detail, adequate to enable creditors to make an informed judgment whether to vote for acceptance or rejection of the Plan. A hearing is scheduled with the Bankruptcy Court for October 19, 2000, to determine whether the disclosure statement filed on September 15, 2000, meets the requirements of section 1125 of the Bankruptcy Code. Applicants state notice of the October 19, 2000 hearing has been provided in accordance with the Bankruptcy Code and the applicable Federal Rules of Bankruptcy Procedure.
Applicants state the purposes of the transactions described in the Plan are to: (1) Permit Mobile Energy and Holdings to reorganize and emerge from bankruptcy; (2) maximize the recovery of Mobile Energy's bondholders on their capital investment; (3) eliminate the direct and indirect equity ownership of Southern in Mobile Energy and Holdings; and (4) allow Mobile Energy to operate as a qualifying facility under the Public utility Regulatory Policies Act of 1978 after the effective date of the Plan, which will cause Mobile Energy and Holdings to no longer be subject to the Act. Certain transactions contemplated by the Plan require Commission authorization. The jurisdictional aspects of the Plan are summarized below.
Applicants request authorization for the solicitation regarding the Plan under sections 11(g) and 11(f) of the Act, and authorization under section 12(e) to solicit consents and approvals from the holders of the securities of Mobile Energy and Holdings, along with other ancillary and related authorizations to implement the Plan. The pre-petition shares of common stock issued by Holdings and held by Southern will not receive any distributions under the Plan, and the shares will be cancelled and extinguished on the effective date of the Plan. The entire equity interest in the reorganized Holdings will then be held by the existing bondholders.
Upon implementation of the Plan, the ownership interests of Southern and its affiliates in the Debtors will terminate. Applicants state Southern and its affiliates will have substantially reduced obligations going forward with respect to Mobile Energy and Holdings. Southern Energy Resources, Inc. (“SERI”) will continue to operate Mobile Energy's facilities through March 31, 2001 at the latest. Southern guaranteed certain of Mobile Energy's obligations to its existing customers in 1995, and these guarantees will remain in place but Mobile Energy will indemnify Southern against any liability under those guarantees. Southern Energy, Inc. (“Southern Energy”) will assign certain contract rights and obligations to Mobile Energy related to a combustion turbine being manufactured for it by general Electric Company (“GE”) and under a long term services agreement related to that turbine by General Electric International Inc. (“GEII”). Southern Energy will remain liable if Mobile Energy does not meet those obligations and Mobile Energy will indemnify Southern Energy against any of these costs.
The proponents of the Plan include a Bondholder Steering Committee which represents more than 70% of the current outstanding bondholders of the Debtors.
The facilities at issue are located inside a large pulp, paper and tissue manufacturing complex in Mobile, Alabama. Some of the facilities now owned by Mobile Energy were originally constructed by the Scott Paper Company (“Scott”) in the early 1960s. Scott sold the energy facilities, black liquor recovery equipment, and related assets, permits and agreements (“Energy Complex”) to Holdings.
The settlement agreement between the Debtors and KCTC (“KCTC Settlement Agreement”) encompasses certain transactions, some of which occurred soon after the Bankruptcy Court approved the settlement, and other transactions that will occur later if certain conditions are met. Particularly, on February 8, 2000, Mobile Energy and KCTC executed: (1) The New Tissue Mill ESA,
The Plan contemplates resumption, on a reduced scale, of pulp mill operations under different ownership, a more efficient use of resources (
Applicants state the Doctors will use the $30.12 million to be received from KCTC in part for the development of the Cogen Project. The balance of the cost of the Cogen Project will be funded through debt and/or equity financing in addition to the funds otherwise available to the Debtors.
The Plan contemplates that a new 800 short ton per day pulp mill will be developed at the Mobile facility under a term sheet agreed to by Jubilee Pulp, Inc. and Mobile Energy (“New Pulp Mill”). The transactions necessary to develop the New Pulp Mill include: (1) Consummation of the KCTC Settlement Agreement; (2) consummation of certain agreements with the Debtors to effect the distribution of the No. 8 Recovery Boiler by Mobile Energy to Holdings and its contribution by Holdings to a new limited liability company;
Under the Plan, the claims of the general unsecured creditors and the claims of all other creditors, except Southern and its affiliates will be paid in full.
The first mortgage bonds were issued by Mobile Energy on August 1, 1995, in the principal amount of $255,210,000 due January 1, 2017 and bearing annual interest at 8.665%. Under the Plan, the first mortgage bonds will be exchanged for new taxable bonds in an aggregate principal amount of $51,535,000 and bearing annual interest at 10%. In addition, the Plan contemplates 7,259,400 shares of new common stock of Holdings will be distributed to the holders of the first mortgage bonds. Each share of new common stock will be entitled to one vote per share. Certain holders of the first mortgage bonds will be entitled to registration rights.
In December 1983, the Industrial Development Board of Mobile, Alabama (“IDB”) issued tax-exempt bonds (“1983 Tax Exempt Bonds”) to finance the construction of the No. 7 Power Boiler and certain auxiliary systems. In December 1994 (“1984 Tax Exempt Bonds”), the IDB issued tax-exempt bonds to refund the 1983 Tax Exempt Bonds.
Refunding of the 1984 Tax Exempt Bonds occurred in 1995 by means of tax-exempt bonds in the original principal amount of $85,000,000 scheduled to mature January 1, 2000. Under the Plan, the tax-exempt bonds will be exchanged for new tax-exempt bonds in an aggregate principal amount of $20,035,000 (subject to increase of up to an additional $2,003,500 aggregate principal amount of new tax-exempt bonds if each holder of allowed tax-exempt bondholder receives additional new tax-exempt bonds rather than common stock of Holdings as described below) and bear interest at the rate of 8% per annum.
In addition, the Plan contemplates up to an aggregate of 2,740,600 shares of new common stock will be issued to the tax-exempt bondholders (based on the number of tax-exempt bondholders that elect to receive new common stock). Each share of new common stock will be entitled to one vote per share. Certain holders will be entitled to registration rights. Each of the tax-exempt bondholders may elect, in lieu of receiving any common stock in Holdings, to receive additional new tax-exempt bonds equal to 10% of the new bonds to be received by the holder from $20,035,000 principal amount of new tax-exempt bonds to be distributed to all these holders.
Under the Plan, Southern and its affiliates will receive the treatment provided in the Development Agreement, described above, in full satisfaction of their claims.
For the Commission, by the Division of Investment Management, under delegated authority.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)
The CBOE proposes to amend Exchange Rule 6.8(c) in order to extend, for an additional six-month period, the pilot program that currently provides for certain orders to be rejected from RAES for manual handling under certain limited conditions (“Pilot”). The text of the proposed rule change is available at the CBOE and the Commission.
In its filing with the Commission, the CBOE included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The CBOE has prepared summaries, set forth in sections A, B, and C below of the most significant aspects of such statements.
The purpose of the proposed rule change is to extend the Pilot for an additional six-month period. The Pilot provides that orders be rejected from RAES in the limited situation when an Autoquote-generated bid or offer for a particular series of options has become locked or crossed with the Exchange's best bid or offer as established by a booked order.
In the first extension of the Pilot,
The first systems change is an enhancement to the Automated Book Priority System (“ABP”), called ABP Split Price, that would allow incoming RAES orders utilizing ABP to be executed against the book price up to the applicable book volume, or a larger amount as predetermined by the appropriate Floor Procedure Committee, for the subject option class.
The second systems change for which the CBOE has sought approval is called Autoquote Triggered EBook Execution (“Trigger”).
The proposed rule change is consistent with and furthers the objectives of Section 6(b)(5) of the Act
The CBOE does not believe that the proposed rule change will impose a burden on competition that is not necessary or appropriate in furtherance of purposes of the Act.
No written comments were solicited or received with respect to the proposed rule change.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule
After careful review, the Commission finds that the proposal is consistent with Section 6 of the Act.
The Commission finds that it is in the public interest to encourage the Exchange to expand its implementation of ABP. The broader the implementation of ABP, the more likely customer limit orders will, where appropriate, be given priority over other interest on the Exchange. On the other hand, implementation of ABP may also expose market makers to an unfair risk of financial loss where the market in an underlying stock moves significantly and quickly in a direction that makes a price established by a booked order substantially better than the price calculated by CBOE's Autoquote formula.
Finally, the Commission plans to evaluate the continued impact of the Pilot on ABP executions, as well as the impact of any related rule proposals approved and implemented during the Pilot, based on statistical data provided by the Exchange. Accordingly, the Commission finds good cause for approving the proposed rule change prior to the thirtieth day after the date of publication of notice thereof in the
It is therefore ordered, pursuant to section 19(b)(2) of the Act,
For the Commission, by the Division of Market Regulation, pursuant to delegated authority.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),
The Exchange proposes to amend the CHX rule governing automatic execution of orders for NASDAQ/NM issues. Specifically, the Exchange proposes to amend CHX Article XX, Rule 37(b)(7)(ii), to provide order-sending firms with the option to select partial automatic execution of orders that are larger than the specialist's auto-execution threshold in instances where a specialist's quote is away from the national best bid or offer (“NBBO”). The text of the proposed rule change is available at the Commission or the CHX.
In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received regarding the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange prepared summaries, set forth in Section A, B and C below, of the most significant aspects of such statements.
The Exchange proposes to amend the CHX rules governing the execution of NASDAQ/NM Securities. Specifically, the Exchange proposes to amend CHX Article XX, Rule 37(b)(7)(ii) to give order-sending firms the option to receive partial automatic executions if their orders are larger than the specialist's auto-execution threshold when the specialist's quote is away from the NBBO, or have these orders manually executed in their entirety as they are handled under the current rule. The proposed amendments are intended to bring the Exchange's rules in line with the practices that currently exist in other markets with respect to the trading of NASDAQ/NM Securities.
CHX Article XX, Rule 37, commonly referred to as the “BEST Rule,” among other things, guarantees automatic executions if an order falls within certain size parameters,
CHX Article XX, Rule 37(b)(7)(ii) currently provides that in instances where a NASDAQ/NM specialist's quote is not at the NBBO, an order that is of a size greater than the auto-execution threshold for the security will not be automatically executed, but will be filled manually in accordance with the specialist's obligations under the BEST Rule, and the manual handling requirements of CHX Rule 43(d) of Article XX.
Some of the Exchange's order-sending firms believe that prompt execution of “partial fills” may be advantageous for their customers in many instances. Therefore, the Exchange proposes this rule change to provide an alternative to these firms that would permit partial automatic executions of orders larger than the specialist's auto-execution threshold, upon the election of an order-sending firm. Amended CHX Rule 37(b)(7) would provide that in instances where a NASDAQ/NM specialist's quote is not at the NBBO, an order that is of a size greater than the auto-execution threshold for the security will be designated as an open order and filled manually in accordance with he specialist's obligations under the BEST Rule and the manual handling requirements of Rule 43(d) of Article XX, unless the customer sending the order previously has indicated its election to have such orders filled on a partial basis,
The Exchange believes that the proposed rule change is to the advantage of those order-sending firms and their customers that have a strong preference for quick executions even in circumstances where less than the entire order is confirmed as filled. As set forth above, the foregoing rule change is intended to place the Exchange's rules in line with existing market practice relating to the trading of NASDAQ/NM Securities. The proposed rule change thus necessarily contemplates certain distinctions between transactions in Dual Trading System issues and NASDAQ/NM issues. The Exchange's Rules Committee and its Committee on Floor Procedure, both of which are populated by specialists in both issues, approve all such distinctions. Both committees concur that the proposed rule change does not place specialists on unequal footing based on the type of issue traded, but merely reflects the distinctions between the markets for Dual Trading System issues and NASDAQ/NM issues.
The proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder that are applicable to a national securities exchange, and, in particular, with the requirements of section 6(b).
The Exchange does not believe that the proposed rule change will impose any inappropriate burden on competition.
Written comments were neither solicited nor received.
The proposed rule change has been filed by the Exchange as a “non-controversial” rule change pursuant to section 19(b)(3)(A) of the Act
The Exchange has requested that the Commission accelerate the operative date of the proposal. In addition, the Exchange provided the Commission with written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, more than five business days prior to the date of the filing the proposed rule change.
The Commission finds that it is appropriate to accelerate the operative date of the proposal and designate the proposal to become operative today.
At any time within 60 days of the filing of the proposed rule change, the Commission may summarily abrogate such rule change if it appears to the Commission that such action is necessary or appropriate, in the public interest, for the protection of investors, or otherwise in furtherance of the Act.
Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Persons making written submissions should file six copies thereof with the Secretary, Securities and Exchange
For the Commission, by the Division of Market Regulation, pursuant to delegated authority.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)
NASD Regulation is proposing to add a new NASD Rule 2341 to require its members to deliver to their non-institutional customers, prior to or at the opening of a margin account, a specified disclosure statement that discusses the operation of margin accounts and the risk associated with trading on margin. NASD Regulation also proposes to require NASD members to deliver the specified disclosure statement to their non-institutional customers with margin accounts on an annual basis. Below is the test of the proposed rule change. Proposed new language is in
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In its filing with the Commission, NASD Regulation included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. NASD Regulation has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements.
a.
In this regard, a recent report issued by the General Accounting Office (“GAO”) noted that the SEC has determined from the customer complaints it has received that many investors who traded on-line did not understand margin requirements.
The GAO Report also collected and summarized information from 12 on-line broker-dealers.
The GAO Report concluded that better investor protection information, including information relating to margin requirements, was needed on web sites of some on-line broker-dealers. In this regard, the GAO Report recommended that the SEC ensure that broker-dealers with on-line trading systems include accurate and complete information on their web sites regarding, among other things, margin requirements.
b.
i.
ii.
In addition, some investors believe that when a maintenance margin call
iii.
iv.
Some investors believe that an NASD member must provide thirty days written notice before implementing this type of change. While SEC Rule 10b-16 requires members to disclose to customers the credit terms (interest rates and methods of calculating interest) for margin transactions and requires advance written notice of such changes, it does not require advance notice of the amount of margin required.
C.
The mandated margin disclosure statement would: (1) Describe the operation of a margin account; (2) emphasize that customers should carefully review their margin agreements; and (3) clarify some of the risks associated with margin trading, including among others, that the customer can lose more funds than initially deposited, the firm can force the sale of the securities in the customer's account(s) held by the firm without notice to the customer, the firm can dictate which security is selected for liquidation, and the customer is not entitled to an extension of time on a margin call.
NASD members would be permitted to develop an alternative margin disclosure statement, provided that the alternative disclosure statement is substantially similar to the mandated disclosure statement and incorporates all of the relevant concepts. Under the proposed rule change, disclosure at or prior to the opening of the account would be made in a separate document, even if an NASD member firm chooses to deliver the margin disclosure statement as part of or within the margin agreement or other opening account documentation.
NASD Regulation intends to announce the effective date of the proposed rule change in a Notice to Members to be published no later than 60 days following Commission approval of the proposed rule change. The effective date will be 30 days following publication of the Notice to Members announcing Commission approval of the proposed rule change. With respect to the annual delivery requirement, members would be required to provide the margin disclosure statement to each existing margin customer at the time the member is required to send the next annual statement to the NASD customer (following the effective date of the rule change), but not to exceed 180 days following the effective date of the rule change.
NASD Regulation beleives that the proposed rule change is consistent with Section 15A(b)(6)
NASD Regulation does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act.
No written comments were solicited or received with respect to the proposed rule change.
Within 35 days of the date of publication of this notice in the
A. By order approve such proposed rule change, or
B. Institute proceedings to determine whether the proposed rule change should be disapproved.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. The Commission is specifically soliciting comments on whether the proposed disclosure is sufficient and non-misleading, or whether changes to the disclosure statement should be made. For example, the Commission is concerned that the proposed rule language would not require NASD member firms to disclose to customers that any and all assets, including securities or any other property the customer has on account at the member firm and any of its affiliates, whether carried individually or jointly with others, may, depending on the margin agreement, be used by the broker-dealer to satisfy a maintenance margin call. Should broker-dealer disclose this fact? Are other changes to the proposed disclosure merited? Persons making written submissions should file six copies thereof with the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-0609. Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying the Commission's Public Reference Room. Copies of such filing will also be available for inspection and copying at the principal office of the NASD. All submissions should refer to File No. SR-NASD-00-55 and should be submitted by November 13, 2000.
For the Commission, by the Division of Market Regulation, pursuant to delegated authority.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),
The proposed rule change will modify NSCC's rules to permit additional types of investment products to be processed through NSCC's Mutual Fund Services.
In its filing with the Commission, NSCC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. NSCC has prepared summaries, set forth in sections (A), (B), and (C) below, of the most significant aspects of these statements.
NSCC participants who utilize NSCC's Defined Contribution Clearance and Settlement Service of NSCC's Mutual Fund Services and who recognize the value of processing investment product transactions through NSCC have requested that NSCC permit additional types of investment products regulated under state insurance laws or federal or state banking laws to be eligible for processing through NSCC's Mutual Fund Services. Examples of “Investment Funds” include stable value funds, separate account group guaranteed investment contracts (which are regulated as group annuities), and collective bank investment trust. Asset classes of these types are typically included in defined contribution retirement plans and thus their inclusion in Mutual Fund Services will benefit third party administrator (“TPA”) members and other participants by standardizing their processing of these Investment Funds in the same manner as mutual funds are now processed under NSCC's mutual fund services. Standardized processing will permit defined contribution plan administrators to provide Investment Fund products to defined contribution plan clients without the systems or manual processing infrastructure and related costs required by the current processing methods.
To accommodate their participants' request, NSCC proposes to create a new class of eligible securities, defined as Investment Funds, that may be processed through its mutual fund services. This rule filing will permit NSCC to: (1) Add such class of securities to those currently eligible for processing through mutual fund services; (2) make corresponding changes to the categories of entities eligible to process these transactions through the mutual fund services; (3) establish standards of financial responsibility and operational capability for those participants wishing to process such Investment Funds through NSCC's mutual fund services; and, (4) make technical conforming changes to the existing rules where necessary.
Investment Funds will be defined as any fund or investment entity that is subject to regulation under applicable federal and state banking and/or insurance laws. Investment Funds will include such things as bank collective investment trusts, separate account guaranteed investment contracts, and other similar pooled investment vehicles. All Investment Fund products will be subject to regulation under federal or state banking laws or state insurance laws. Only Investment Funds that have been assigned a CUSIP number would be eligible for processing through NSCC's mutual fund services.
For the purpose of processing transaction in Investment Funds, NSCC also proposes expanding the types of entities that may qualify as a Fund Member under Rule 51 of NSCC's Rules to permit insurance companies, banks, and trust companies as packagers and sponsors of such funds to apply to become a Fund Member. As with other entities seeking to become a Fund Member, an insurance company, bank, or trust company seeking to process Investment Fund transaction through NSCC's Mutual Fund Services will be required to enter into an agreement setting forth its rights and obligations as a Fund Member, including that it will limit its use of NSCC's services to use of Mutual Fund Services (or Insurance Processing Services, as the case may be), comply with NSCC's rules and procedures, and permit NSCC to inspect its books and records. Moreover, as with all other transactions in Mutual Fund Services, transactions involving Investment Funds will not be guaranteed by NSCC. As currently provided in NSCC's Rules, if one side fails to pay for a transaction, the contra side will be required to return to NSCC any funds received from NSCC.
Under the proposed rule change, Rule 2 of NSCC's Rules and Procedures will be amended to permit an insurance company to become a mutual fund member or insurance services member in order to transmit Investment Fund purchases, exchanges, and redemption orders to a fund member and engage in other customer-related transactions with a fund member. In addition to the standards set forth in Addenda B and I of NSCC's Rules currently applicable to mutual fund and insurance services members and fund members respectively, entities seeking to process Investment Fund transactions through Mutual Fund Services would be required to meet the rating and capital requirements set forth in new Addendum V, Financial Standards for Applicants and Participants Processing Investment Funds Transactions Through Mutual Fund Services, of NSCC's Rules.
Since NSCC is proposing to make a new category of securities eligible for mutual fund services processing, the proposed rule change will also make technical conforming changes to certain existing rules in order to include a reference to Investment Funds as applicable.
NSCC believes the proposed rule change is consistent with Section 17A of the Act because it will make a new class of securities eligible for processing through NSCC's mutual fund services and thereby should facilitate the prompt and accurate clearance and settlement of these transactions.
NSCC does not believe that the proposed rule change will have an impact on or impose a burden on competition.
The Commission received one comment letter which was subsequently withdrawn by the commenter.
Within 35 days of the date of publication of this notice in the
(A) By order approve such proposed rule change, or
(B) Institute proceedings to determine whether the proposed rule change should be disapproved.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Persons making written submissions should file six copies thereof with the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-0609. Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Section, 450 Fifth Street, NW., Washington, DC 20549. Copies of such filing also will be available for inspection and copying at the principal office of NSCC.
All submissions should refer to File No. SR-NSCC-00-05 and should be submitted by November 13, 2000.
For the Commission by the Division of Market Regulation, pursuant to delegated authority.
Pursuant to section 19(b)(1) of the Securities Act of 1934 (“Act”)
The Exchange's amended delisting appeal procedures provide for notice regarding the status of an affected company. In lieu of the ticker symbol suffix originally proposed,
The text of the proposed rule change is available at the Office of the Secretary, the Exchange and at the Commission.
In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
In a filing made last year and recently approved by the Commission, the Exchange amended its procedures for delisting a security and the accompanying Exchange appeals process available to the issuer.
The Exchange has now determined that, absent significant systems changes that would require considerable time and expense, appending a suffix would in fact change a company's ticker symbol. Therefore, an investor or broker would have to know to enter the symbol with a .DL into a quotation device to obtain a quote or see the last sale. Entering the normal one, two or three letter symbol would elicit the message “security not found.” This would not meet the Exchange's goal of informing interested parties of the status of the security. In addition, clearance and settlement systems do not recognize a non-alpha character in a ticker symbol, so there would be confusion between a security with a .DL suffix and another security with a different, longer ticker symbol that uses .DL as its last two characters.
Even if the systems work were done to allow use of the suffix without a complete symbol change, the Exchange is concerned that it could not be confident that the suffix would be carried by every vendor. This would obviate the purpose behind the use of the suffix.
As a result, the Exchange has not yet implemented the amended procedures. In order to do so, in lieu of the .DL suffix, the Exchange proposes to employ the following mechanisms to achieve the information dissemination contemplated by the rule:
a. The Exchange proposes to circulate a ticker notice each day prior to the opening, specifying the delisting status of each company in question.
b. The Exchange proposes to have the same information notice distributed daily via the Exchange's online information notices system to vendors, member firms and other interested parties notifying them of the status of the listed company.
c. The Exchange proposes to have a company's delisting status noted with the company information on the Exchange's web site.
The Exchange believes that these steps will better disseminate information to all market participants, both professional and nonprofessional, on the subject companies than would the .DL suffix. The Exchange also believes that it is important to note that the entire notification process begins with a press release regarding the delisting determination made by the Exchange staff. The public is then updated with further press releases when a company decides to appeal, and when that appeal is decided. As a result, that record will be available to anyone who checks for news on the company.
The Exchange believes the proposed rule change is consistent with section 6(b) of the Act
The Exchange does not believe that the proposed rule change will impose any burden on competition.
The Exchange has neither solicited nor received written comments on the proposed rule change.
The foregoing rule change has become effective pursuant to section 19(b)(3)(A)(i) of the Act
Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Persons making written submissions should file six copies thereof with the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-0609. Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room. Copies of such filing will also be available for inspection and copying at the principal office of the NYSE. All submissions should refer to File No. SR-NYSE-00-40 and should be submitted by November 13, 2000.
For the Commission by the Division of Market Regulation, pursuant to delegated authority.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)
The Phlx proposes to provide reports regarding the quality of execution of option orders in connection with its new payment for order flow fee.
In its filing with the Commission, the Phlx included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Phlx has prepared summaries, set forth in sections A, B and C below, of the most significant aspects of the statements.
In view of recent developments in options trading, including the Phlx's new payment for order flow fee, the Phlx has determined to provide Phlx specialists and order flow providers with sufficient information for them to determine whether order flow providers are receiving the best execution of their customers' orders at the Phlx.
The Exchange intends to provide a system enhancement to its AUTOM system that should allow AUTO-X eligible orders to be automatically executed at the NBBO.
In the light of recent developments in options trading, the Phlx believes that it has become imperative to provide best execution data to its specialist units and order flow providers in order to show that Phlx members are providing their customers the best execution of their orders. The Phlx represents that the Quality of Execution Reports should provide members with greater assurance that they have acted in a manner consistent with the fulfillment of their fiduciary obligations of best execution. Moreover, the Phlx believes that once members and order flow providers have access to the information, the Phlx may be able to garner additional order flow because customers will see that they are receiving the best price for the orders that they send to the Phlx. Accordingly, the Exchange believes that the proposed rule change is consistent with the Act, specifically section 6(b)(5) thereof,
The Phlx does not believe that the proposed rule change will impose any inappropriate burden on competition.
No written comments were either solicited or received with respect to the proposed rule change.
The Phlx represents that the Quality of Execution Reports will reflect all market orders and marketable limit orders that are entered through AUTOM, as described in Phlx Rule 1080. Because the Phlx has designated this proposed rule change as constituting a stated policy, practice, or interpretation with respect to the meaning, administration, or enforcement of existing Exchange rules and procedures, it has become effective pursuant to section 19(b)(3)(A)(i) of the Act
Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Persons making written submissions should file six copies thereof with the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-0609. Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room. Copies of the filing will also be available for inspection and copying at the principal office of the Phlx. All submissions should refer to File No. SR-Phlx-00-83 and should be submitted by November 13, 2000.
In compliance with Public Law 104-13, the Paperwork Reduction Act of 1995, SSA is providing notice of its information collections that require submission to the Office of Management and Budget (OMB). SSA is soliciting comments on the accuracy of the agency's burden estimate; the need for the information; its practical utility; ways to enhance its quality, utility and clarity; and on ways to minimize burden on respondents, including the use of automated collection techniques or other forms of information technology.
I. The information collections listed below will be submitted to OMB within 60 days from the date of this notice. Therefore, comments and recommendations regarding the information collections would be most useful if received by the Agency within 60 days from the date of this publication. Comments should be directed to the SSA Reports Clearance Officer at the address listed at the end of this publication. You can obtain a copy of the collection instruments by calling the SSA Reports Clearance Officer on (410) 965-4145, or by writing to him at the address listed at the end of this publication.
Regulation 20 CFR 401.200 requires that participating State agencies provide the Social Security Administration (SSA) Blood Donor Locator Service (BDLS) specific information on blood donors who have tested positive for Human Immunodeficiency Virus (HIV). SSA uses the information to identify the donor, and locate the donor's address in SSA records for the purpose of notifying the states and to assure that states meet regulatory requirements to qualify for using the BDLS. SSA will retain no record of the request or the information after processing has been completed. The respondents are participating State agencies acting on behalf of authorized blood donor facilities.
There is substantial research evidence that affective disorders (
SSA plans to implement a 5-year demonstration project that will test the effectiveness of providing better access to quality affective disorder treatments for DI beneficiaries who have an affective disorder as their primary reason for disability. Several forms and survey instruments will be used during the demonstration to collect information for screening program participants, beneficiary protection, and program evaluation. Some of the data will be collected from beneficiaries, and other data will be collected from the medical service providers who treat beneficiaries during the study.
The respondents to this collection will be randomly selected DI beneficiaries with an affective disorder and their health care providers.
SSA plans to offer Social Security beneficiaries a new Internet service for conducting business with the Agency. The Internet based form SSA-1425 will enable individuals to report events that may affect their Social Security Benefits. The information collected by SSA will be used to determine continuing entitlement to Social Security benefits and to determine the proper benefit amount. Currently, beneficiaries report these changes by phoning, visiting a Social Security office or completing the paper form SSA-1425. The respondents are Social Security beneficiaries who need to report a change to SSA.
II. The information collections listed below have been submitted to OMB for clearance. Written comments and recommendations on the information collections would be most useful if received within 30 days from the date of this publication. Comments should be directed to the SSA Reports Clearance Officer and the OMB Desk Officer at the addresses listed at the end of this publication. You can obtain a copy of the OMB clearance packages by calling the SSA Reports Clearance Officer on (410) 965-4145, or by writing to him.
The information collected on form SSA-2001 is used to determine whether payments certified to the representative payee have been used properly and whether the representative payee continues to demonstrate strong concern for the beneficiary's best interests. The form will be completed annually by all representative payees receiving special veterans benefits (SVB) payments on behalf of beneficiaries outside the United States. It will also be required at anytime SSA has reason to believe that the representative payee could be misusing the payments. Respondents are representative payees of veterans receiving SVB Payments under title VIII.
In November 1999, Congress passed the Foster Care Independence Act, and on December 14, 1999, the President signed it into law (Pub. L. 106-169). An important part of this legislation, section 251, creates a new title VIII of the Social Security Act. Title VIII provides for a program of special benefits for certain World War II veterans.
As a part of the title VIII administration, Section 807(a) of PL 106-169, also provides that, if the Social Security Administration determines that it is not in the best interest of the beneficiary to receive benefits directly, payments may be certified to a relative, another person or an organization interested in or concerned about the welfare of the beneficiary. These individuals or organizations are called representative payees.
In 1997, as part of the initiative to reinvent government, SSA began to use the information reported on W-2's and self-employment tax returns to adjust benefits under the earnings test rather than have beneficiaries make a separate report, which often showed the same information. As a result, Beneficiaries under full retirement age (FRA) complete forms SSA-L9778-SM-SUP, SSA-L9779-SM-SUP and SSA-L9781-SM under this information collection.
With the passage of the “Senior Citizen Freedom to Work Act of 2000,” the annual earnings test (AET) at FRA was eliminated. As a result SSA designed 2 new Midyear Mailer Forms, SSA-L9784-SM and SSA-L9785-SM, to request an earnings estimate (in the year of FRA) for the period prior to the month of FRA. Social Security benefits maybe adjusted based on the information provided and this information is needed to comply with the law. Consequently, the Midyear Mailer program has become an even more important tool in helping SSA to ensure that Social Security payments are correct. Respondents are beneficiaries who must update their current year estimate of earnings, give SSA an estimate of earnings for the following year and an earnings estimate (in the year of FRA) for the period prior to the month of FRA.
The information collected on Form SSA-1372 is needed to determine whether children of an insured worker are eligible for benefits as a student. The respondents are student claimants for Social Security benefits and their respective schools.
Department of State.
Notice.
Notice is hereby given of the following determinations: Pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. 985, 22 U.S.C. 2459), the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. 2681,
For further information, including a list of the exhibit objects, contact Paul Manning, Attorney-Adviser, Office of the Legal Adviser, U.S. Department of State (telephone: 202/619-5997). The address is U.S. Department of State, SA-44, 301 4th Street, SW., Room 700, Washington, DC 20547-0001.
Tennessee Valley Authority (Meeting No. 1524).
9 a.m. (CDT), October 25, 2000.
J.R.'s Executive Inn, International Room D, One Executive Boulevard, Paducah, Kentucky.
Open.
Approval of minutes of meeting held on September 27, 2000.
B1. Contract with EyeMed Vision Care for vision care services.
C1. Contract with Haverfield Corporation for helicopter services to support transmission line construction and maintenance activities for Transmission/Power Supply Group.
C2. Contract with Hubbell Power Systems for transmission line components for Transmission/Power Supply Group.
C3. Supplement to contract with S&C Electric Company for circuit switchers and interrupter switches for Transmission/Power Supply Group.
C4. Contract with Coastal Equipment Incorporated for lease/purchase of a Manitowoc 21000 crane in support of selective catalytic reduction installation at Allen and Cumberland Fossil Plants.
E1. Abandonment of certain easement rights and modification of a restrictive covenant that prohibits any buildings or other structures on a 0.14-acre portion of Tract No. SH-701F on South Holston Reservoir in Washington County, Virginia.
E2. Grant of a permanent easement to the City of Lexington, Tennessee, affecting approximately 0.21 acre of land on Beech River Reservoir in Henderson County, Tennessee, Tract No. XTBRBR-3WP.
E3. Abandonment of easement rights affecting approximately 2.27 acres of the Murfreesboro-Smyrna No. 2
1. Approval to file condemnation cases to acquire permanent easements and rights-of-way for transmission lines and a temporary right to enter upon properties to survey and appraise for electric power transmission lines at the Murfreesboro-Smyrna No. 2 transmission line in Rutherford County, Tennessee; Madison West-South Jackson transmission line in Madison County, Tennessee, and Rock Springs-Center Point transmission line and West Ringgold-Center Point transmission line in Whitfield County, Georgia.
1. Modification of a contract with Thunder Basin Coal Company, LLC, for coal supply to Allen, Gallatin, Paradise, Johnsonville, Colbert, and Shawnee Fossil Plants.
2. Approval of negotiated pay adjustments for Fiscal Year 2001 and 2002 and other collective bargaining provisions covering TVA police employees represented by the Law Enforcement Employees Association.
3. Approval of negotiated pay adjustments for Fiscal Years 2001 and 2002 for custodial employees represented by Local 544, Service Employees' International Union, AFL-CIO.
4. Approval of Performance Success Award for Fiscal Year 2000.
5. Approval of increase in contribution for certain retirees and dependents who are eligible for a contribution under the TVA Retiree Medical Contribution Plan.
6. Approval of amendments to the Rules and Regulations of the TVA Retirement System to provide an additional monthly benefit for retirees eligible to receive the System's supplemental benefit, make the additional benefit available to certain pre-1999 TVA retirees who are ineligible for the System's supplemental benefit, and remove the existing prohibition on purchasing creditable service for certain active day military service if the retiree is also eligible for a military pension based on that service.
7. Approval of TVA's contribution to the TVA Retirement System of 0 percent for Fiscal Year 2001.
8. Approval of excluded schedule compensation philosophy, strategy, and market pricing and pay banding plan.
Office of the Secretary.
Notice of public meetings.
In accordance with section 227 of the Wendell H. Ford Aviation Investment and Reform Act for the 21st Century (Public Law 106-181). The Department of Transportation is establishing the Categories of Delay For Air Carrier On-Time Reporting Advisory Committee.
The meetings have tentatively been scheduled to be held on October 25-26, 2000, November 1-2, 2000, and November 8-9, 2000. The meetings will be held from 8 a.m. to 5 p.m. Due to the short time period between the first meeting and report due date we are unable to give 15 day notice of the first meeting.
The meetings will be held at the U.S. Department of Transportation, Room 2230 Nassif Building, 400 Seventh Street, SW., Washington, DC.
Walter Finch, Office of Intermodalism, Office of The Secretary (Phone: 202 366-5781).
Under 14 CFR part 234, the U.S. Department of Transportation's Bureau of Transportation Statistics (BTS) Office of Airline Information (OAI) collects and publishes on-time data. With the data, users can calculate daily average flight delay for particular flights and the percentage of an airline's flights delayed, canceled, or diverted. The Federal Aviation Administration (FAA) and the air carriers use the data to better understand tarmac and airborne delays. The Department of Transportation (DOT) and the air carriers also use the data for performance measurements.
Section 227 of The Wendell H. the Wendell H. Ford Aviation Investment and Reform Act for the 21st Century (AIR-21) requires that the BTS's data collection, also called the Airline Service Quality Performance Reports, be modified to include information about reasons for delay. DOT is establishing the Categories of Delay For Air Carrier On-Time Reporting Advisory Committee to examine reasons for delays and cancellations experienced by the consumer, and to recommend alternatives and criteria for modifications to the regulations in part 234 of title 14, Code of Federal Regulations.
1. What categories of delay information will be beneficial to the government, airlines, and consumers?
2. For the categories, what definitions describe them adequately and are technically feasible?
3. How should information be collected—who will report delay information?
4. When a delay has multiple causes, how should this be handled?
Members have been chosen to provide a balanced cross section of viewpoints of the affected interests concerning the data collection, including representatives from airline consumer groups, air carriers, labor unions, and airport operators. The Committee will be chaired by Associate Deputy Secretary, Dr. Stephen D. Van Beek.
Meetings of the Committee will be open to the public so that individuals who are not part of the Committee may attend and observe, but not participate.
Notice and request for comments.
As part of its continuing effort to reduce paperwork and respondent burden, Customs invites the general public and other Federal agencies to comment on an information collection requirement concerning Drawback Process Regulations and Entry Collection Documents. This request for comment is being made pursuant to the Paperwork Reduction Act of 1995 (Public Law 104-13; 44 U.S.C. 3505(c)(2)).
Written comments should be received on or before December 22, 2000.
Direct all written comments to U.S. Customs Service, Information Services Group, Attn.: J. Edgar Nichols, 1300 Pennsylvania Avenue, NW., Room 3.2C, Washington, DC 20229.
Requests for additional information should be directed to U.S. Customs Service, Attn.: J. Edgar Nichols, 1300 Pennsylvania Avenue NW., Room 3.2C, Washington, DC 20229, Tel. (202) 927-1426.
Customs invites the general public and other Federal agencies to comment on proposed and/or continuing information collections pursuant to the Paperwork Reduction Act of 1995 (Public Law 104-13; 44 U.S.C. 3505(c)(2)). The comments should address: (1) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency=s estimates of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; (d) ways to minimize the burden including the use of automated collection techniques or the use of other forms of information technology; and (e) estimates of capital or start-up costs and costs of operations, maintenance, and purchase of services to provide information. The comments that are submitted will be summarized and included in the Customs request for Office of Management and Budget (OMB) approval. All comments will become a matter of public record. In this document Customs is soliciting comments concerning the following information collection:
Notice and request for comments.
As part of its continuing effort to reduce paperwork and respondent burden, Customs invites the general public and other Federal agencies to comment on an information collection requirement concerning the Land Border Carrier Initiative Program. This request for comment is being made pursuant to the Paperwork Reduction Act of 1995 (Public Law 104-13; 44 U.S.C. 3505(c)(2)).
Written comments should be received on or before December 22, 2000.
Direct all written comments to U.S. Customs Service, Information Services Group, Attn.: J. Edgar Nichols, 1300 Pennsylvania Avenue, NW., Room 3.2C, Washington, DC 20229.
Requests for additional information should be directed to U.S. Customs Service, Attn.: J. Edgar Nichols, 1300 Pennsylvania Avenue NW., Room 3.2C, Washington, DC 20229, Tel. (202) 927-1426.
Customs invites the general public and other Federal agencies to comment on proposed and/or continuing information collections pursuant to the Paperwork Reduction Act of 1995 (Public Law 104-13; 44 U.S.C. 3505(c)(2)). The comments should address: (1) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimates of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; (d) ways to minimize the burden including the use of automated collection techniques or the use of other forms of information technology; and (e) estimates of capital or start-up costs and costs of operations, maintenance, and purchase of services to provide information. The comments that are submitted will be summarized and included in the Customs request for Office of Management and Budget (OMB) approval. All comments will become a matter of public record. In this document Customs is soliciting comments concerning the following information collection:
Notice and request for comments.
As part of its continuing effort to reduce paperwork and respondent burden, Customs invites the general public and other Federal agencies to comment on an information collection requirement concerning Automated Clearinghouse Credit . This request for comment is being made pursuant to the Paperwork Reduction Act of 1995 (Public Law 104-13; 44 U.S.C. 3505(c)(2)).
Written comments should be received on or before December 22, 2000.
Direct all written comments to U.S. Customs Service, Information Services Group, Attn.: J. Edgar Nichols, 1300 Pennsylvania Avenue, NW., Room 3.2C, Washington, DC 20229.
Requests for additional information should be directed to U.S. Customs Service, Attn.: J. Edgar Nichols, 1300 Pennsylvania Avenue NW., Room 3.2C, Washington, DC 20229, Tel. (202) 927-1426.
Customs invites the general public and other Federal agencies to comment on proposed and/or continuing information collections pursuant to the Paperwork Reduction Act of 1995 (Public Law 104-13; 44 U.S.C. 3505(c)(2)). The comments should address: (a) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimates of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; (d) ways to minimize the burden including the use of automated collection techniques or the use of other forms of information technology; and (e) estimates of capital or start-up costs and costs of operations, maintenance, and purchase of services to provide information. The comments that are submitted will be summarized and included in the Customs request for Office of Management and Budget (OMB) approval. All comments will become a matter of public record. In this document Customs is soliciting comments concerning the following information collection:
Notice and request for comments.
As part of its continuing effort to reduce paperwork and respondent burden, Customs invites the general public and other Federal agencies to comment on an information collection requirement concerning Andean Trade Preferences. This request for comment is being made pursuant to the Paperwork Reduction Act of 1995 (Public Law 104-13; 44 U.S.C. 3505(c)(2)).
Written comments should be received on or before December 22, 2000.
Direct all written comments to U.S. Customs Service, Information Services Group, Attn.: J. Edgar Nichols, 1300 Pennsylvania Avenue, NW., Room 3.2C, Washington, DC 20229.
Requests for additional information should be directed to U.S. Customs Service, Attn.: J. Edgar Nichols, 1300 Pennsylvania Avenue NW., Room 3.2C, Washington, DC 20229, Tel. (202) 927-1426.
Customs invites the general public and other Federal agencies to comment on proposed and/or continuing information collections pursuant to the Paperwork Reduction Act of 1995 (Public Law 104-13; 44 U.S.C. 3505(c)(2)). The comments should address: (a) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimates of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; (d) ways to minimize the burden including the use of automated collection techniques or the use of other forms of information technology; and (e) estimates of capital or start-up costs and costs of operations, maintenance, and purchase of services to provide information. The comments that are submitted will be summarized and included in the Customs request for Office of Management and Budget (OMB) approval. All comments will become a matter of public record. In this document Customs is soliciting comments concerning the following information collection:
Customs Service, Treasury.
General notice.
This notice advises the public of the quarterly Internal Revenue Service interest rates used to calculate interest on overdue accounts (underpayments) and refunds (overpayments) of Customs duties. For the quarter beginning October 1, 2000, the interest rates for overpayments will be 8 percent for corporations and 9 percent for non-corporations, and the interest rate for underpayments will be 9 percent. This notice is published for the convenience of the importing public and Customs personnel.
October 1, 2000.
Ronald Wyman, Accounting Services Division, Accounts Receivable Group, 6026 Lakeside Boulevard, Indianapolis, Indiana 46278, (317) 298-1200, extension 1349.
Pursuant to 19 U.S.C. 1505 and Treasury Decision 85-93, published in the
The interest rates are based on the short-term Federal rate and determined by the Internal Revenue Service (IRS) on behalf of the Secretary of the Treasury on a quarterly basis. The rates effective for a quarter are determined during the first-month period of the previous quarter.
In Revenue Ruling 2000-42 (
For the convenience of the importing public and Customs personnel the following list of IRS interest rates used, covering the period from before July of 1974 to date, to calculate interest on overdue accounts and refunds of Customs duties, is published in summary format.
Internal Revenue Service (IRS), Treasury.
Notice and request for comments.
The Department of the Treasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning an existing final regulation, FI-43-94 (TD 8649), Regulations Under Section 1258 of the Internal Revenue code of 1986; Netting Rule for Certain Conversion Transactions (§ 1.1258-1).
Written comments should be received on or before December 22, 2000 to be assured of consideration.
Direct all written comments to Garrick R. Shear, Internal Revenue Service, room 5244, 1111 Constitution Avenue NW., Washington, DC 20224.
Requests for additional information or copies of the information collection should be directed to Larnice Mack, (202) 622-3179, Internal Revenue Service, room 5244, 1111 Constitution Avenue NW., Washington, DC 20224.
The following paragraph applies to all of the collections of information covered by this notice:
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103.
Internal Revenue Service (IRS), Treasury.
Notice and request for comments.
The Department of the Treasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Revenue Procedure 2000-42, Section 1503(d) Closing Agreement Requests.
Written comments should be received on or before December 22, 2000 to be assured of consideration.
Direct all written comments to Garrick R. Shear, Internal Revenue Service, room 5244, 1111 Constitution Avenue NW., Washington, DC 20224.
Requests for additional information or copies of the revenue procedure should be directed to Carol Savage, (202) 622-3945, Internal Revenue Service, room 5242, 1111 Constitution Avenue NW., Washington, DC 20224.
The following paragraph applies to all of the collections of information covered by this notice:
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103.
In notice document 00-26652 beginning on page 61301 in the issue of Tuesday, October 17, 2000, make the following correction:
On page 61301, in the
In rule document 00-26656 beginning on page 61264 in the issue of Tuesday, October 17, 2000, make the following correction:
On page 61264, in the second column, under the heading
In rule document 00-18602 beginning on page 45885 in the issue of Wednesday, July 26, 2000, make the following corrections:
On pages 45891 and 45892, in §2.80 (f), the table contained errors. The table should appear as follows:
Research and Special Programs Administration (RSPA), DOT.
Notice of proposed rulemaking (NPRM).
RSPA proposes to amend the Hazardous Materials Regulations (HMR) to maintain alignment with international standards by incorporating various changes to proper shipping names, hazard classes, packing groups, special provisions, packaging authorizations, air transport quantity limitations and vessel stowage requirements. In addition, RSPA proposes to revise the requirements for intermediate bulk containers and UN portable tanks for alignment with international requirements. Because of recent changes to the International Maritime Dangerous Goods Code (IMDG Code), the International Civil Aviation Organization's Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions), and the United Nations Recommendations on the Transport of Dangerous Goods (UN Recommendations), these proposed revisions are necessary to facilitate the transport of hazardous materials in international commerce.
Comments must be received by December 22, 2000.
Address comments to the Dockets Management System, U.S. Department of Transportation, Room PL 401, 400 Seventh St., SW., Washington, DC 20590-0001. Comments should identify the docket number RSPA-00-7702 (HM-215D) and be submitted in two copies. If you wish to receive confirmation of receipt of your comments, include a self-addressed stamped postcard. You may also submit and review all comments by accessing the Docket Management System website at
Joan McIntyre, Office of Hazardous Materials Standards, telephone (202) 366-8553, or Bob Richard, Assistant International Standards Coordinator, telephone (202) 366-0656, Research and Special Programs Administration, U.S. Department of Transportation, 400 Seventh Street, SW., Washington, DC 20590-0001.
On December 21, 1990, the Research and Special Programs Administration (RSPA) (hereafter, “we” and “our” means “RSPA”) published a final rule based on the UN Recommendations [Docket HM-181; 55 FR 52402] which comprehensively revised the Hazardous Materials Regulations (HMR), 49 CFR parts 171 to 180, with respect to hazard communication, classification, and packaging requirements. The intended effect of the rule was to facilitate the international transportation of hazardous materials by ensuring a basic consistency between the HMR and international regulations, while at the same time ensuring the safe transportation of hazardous materials.
The UN Recommendations are not regulations, but are recommendations issued by the UN Committee of Experts on the Transport of Dangerous Goods. These recommendations are amended and updated biennially by the UN Committee of Experts. They serve as the basis for national, regional, and international modal regulations (specifically, the IMDG Code, issued by the International Maritime Organization (IMO), and the ICAO Technical Instructions, issued by the ICAO Dangerous Goods Panel). In 49 CFR 171.12, the HMR authorize hazardous materials shipments prepared in accordance with the IMDG Code if all or part of the transportation is by vessel, subject to certain conditions and limitations. Offering, accepting and transporting hazardous materials by aircraft, in conformance with the ICAO Technical Instructions, and by motor vehicle either before or after being transported by aircraft, are authorized in § 171.11, subject to certain conditions and limitations.
Since publication of the 1990 final rule, we have issued three additional international harmonization final rules, (Dockets HM-215A, 59 FR 67390; HM-215B, 62 FR 24690; and HM-215C, 64 FR 10742). The rules provided additional harmonization with international air and sea transportation requirements by more fully aligning the HMR with the corresponding biennial updates of the UN Recommendations, the IMDG Code and the ICAO Technical Instructions.
The continually increasing amount of hazardous materials transported in international commerce warrants the harmonization of domestic and international requirements to the greatest extent possible. Harmonization serves to facilitate international transportation and at the same time ensures the safety of people, property and the environment. Therefore, in our efforts to continue the alignment of the HMR with international requirements, this NPRM proposes changes to the HMR based on the eleventh revised edition of the UN Recommendations, the 2001-2002 ICAO Technical Instructions and Amendment 30 to the IMDG Code, all of which become effective January 1, 2001. Petitions for rulemaking pertinent to harmonization with international standards and the facilitation of international transportation are also addressed in this NPRM and serve as the basis of certain proposed changes. Other proposed changes are based on feedback from the regulated industry, RSPA and other DOT modal administrations, including a few proposed editorial clarifications and a Class 1 (explosives) placarding allowance for certain compatibility groups. Unless otherwise stated, the revisions are proposed for harmonization with international standards.
Proposed amendments to the HMR in this NPRM include:
All of the updated incorporation by reference material will become effective January 1, 2001 and would be updated as follows:
Additionally, all of the proposed added incorporation by reference material would become effective January 1, 2001 and would be added as follows:
We would revise paragraph (d)(2) to permit intermixing old and new (HM-215D) hazard communication requirements until October 1, 2002.
We would add a new paragraph (d)(4) to allow the use of the T code special provisions (proposed to be assigned to a hazardous material in Column (7) of the HMT) in effect on December 31, 2000 until January 1, 2010 for hazardous materials offered for transportation in IM and IMO portable tanks. This proposal is consistent the IMDG Code and would minimize any undue regulatory burden.
Consistent with the new stowage categories and terminology contained in Amendment 30 of the IMDG Code, we would add new paragraphs (k)(6) through (k)(20) to include the IMDG vessel stowage category definitions for Class 1 (explosive) materials. (Also see preamble discussion under “The Hazardous Materials Table” and § 176.63.)
This proposal also addresses a petition we received from the Rigid Intermediate Bulk Container Association (RIBCA) (P-1395) requesting that we amend the HMR to expand the use of IBCs consistent with new UN provisions. Specifically, the petitioner requested uniformity with the UN Recommendations by requesting that the HMR allow the use of rigid plastic IBCs and composite IBCs with a rigid plastic inner receptacle for certain liquids. We are in agreement with RIBCA's request; however, in the interest of harmonization, we believe it would be more beneficial to adopt the UN Recommendations' IBC packing instructions in totality, and, as such, present the proposal as discussed above.
For purposes of the Government Printing Office's typesetting procedures, readers should be aware that for certain entries in the HMT, such as those with revised proper shipping names, the change may appear as a removal and addition, as opposed to a revision of the regulatory text in the Column (2) changes. Readers should review all changes appearing in the § 172.101 regulatory text for a complete view of the proposed changes.
In paragraph (i), we would add two additional shipping paper description requirements for transportation by vessel. The first amendment would be added as new paragraph (i)(5) and would require the flashpoint for a liquid hazardous material with a flashpoint of 61 °C or below to be included on shipping papers when transported by water. We received a petition (P-1402) from the Vessel Operators Hazardous Materials Association (VOHMA) requesting that we add an additional shipping paper description requirement to include the minimum flashpoint in degrees Celsius for Class 3 (flammable)
Finally, in paragraph (n), we are proposing to clarify that the shipping paper requirement for the word “HOT” to be placed immediately preceding the proper shipping names of hazardous materials that are transported as elevated temperature materials, is not required for proper shipping names containing the words “Molten” or “Elevated temperature.”
“(vi) “6” means explosive articles in compatibility group G, other than fireworks and those requiring special stowage, may be stowed with articles of compatibility groups C, D and E, provided no explosive substances are carried in the same vehicle.”
In this paragraph and the corresponding paragraph in § 174.81, the petitioners request that the word “other” be inserted before the wording “explosive substances.” However, there is a distinction between the words “articles” and “substances.” This paragraph pertains to certain explosive articles allowed to be stowed if no explosive substances (not articles) are carried on the same vehicle.
The IMO intends to allow construction under the new requirements on January 1, 2001, on a voluntary compliance basis, with a mandatory compliance date of January 1, 2003. On January 1, 2003, all new portable tanks will be required to be manufactured in accordance with the new requirements. For purposes of harmonization, we are proposing to incorporate the corresponding design, construction and use requirements for UN portable tanks in the HMR. In addition, in § 173.32 we are proposing to provide for the continued use of IM 101, 102 and DOT Specification 51 portable tanks, which is consistent with the provisions adopted by the IMO.
The design and construction requirements for UN portable tanks do not differ significantly from the existing IM 101 and 102 portable tanks and the DOT Specification 51 requirements. In general, the UN requirements are less restrictive. For example, 6 mm (0.2 inches) minimum thickness is required for most portable tanks, as opposed to the current minimum thickness of 6.35 mm (0.3 inches) for IM 101 and 102 portable tanks. While the majority of the proposed changes involve relaxations of the regulatory requirements, there would be implications for portable tank manufacturers, shippers and operators who transport hazardous materials in portable tanks, and efforts would need to be undertaken to familiarize those affected with the differences. For example, we would require UN portable tanks used for the transportation of liquefied compressed gases to be approved by a DOT-designated approval agency, and we would require all UN portable tanks to meet a 4 g impact test. In addition to portable tanks for liquids and liquefied compressed gases, we propose to incorporate requirements for portable tanks that are used to transport refrigerated liquified gases (cryogenic liquids). Currently, requirements for portable tanks used for refrigerated liquefied gases are not specified in the HMR, and we authorize their use only under DOT exemptions. The differences between UN portable tanks and the current portable tank requirements include, but are not limited to the following:
Based on the above discussion (§§ 178.273 through 178.277), five new sections are proposed to be added as follows: § 178.273 would be added by moving the current requirements for the approval of Specification portable tanks from § 173.32a and introducing similar requirements for UN portable tanks; § 178.274 would be added for the UN portable tank general design and construction requirements; § 178.275 would be added for the additional specifications for UN portable tanks intended for the transportation of liquid and solid materials of Classes 3 through 9; § 178.276 would be added for the additional requirements for UN portable tanks intended for the transportation of liquefied compressed gases; and § 178.277 would be added for the additional requirements for the design, construction, inspection and testing of UN portable tanks intended for the transport of refrigerated liquefied gases.
This proposed rule is not considered a significant regulatory action under section 3(f) of Executive Order 12866 and, therefore, was not reviewed by the Office of Management and Budget. The proposed rule is not considered a significant rule under the Regulatory Policies and Procedures of the Department of Transportation [44 FR 11034]. Because of the minimal economic impact of this proposed rule, preparation of a regulatory impact analysis or regulatory evaluation is not warranted.
This proposed rule has been analyzed in accordance with the principles and criteria contained in Executive Order 13132 (“Federalism”). This proposed rule would preempt State, local and Indian tribe requirements but does not propose any regulation that has substantial direct effects on the States, the relationship between the national government and the States, or the distribution of power and responsibilities among the various levels of government. Therefore, the consultation and funding requirements of Executive Order 13132 do not apply.
The Federal hazardous material transportation law, 49 U.S.C. 5101-5127, contains an express preemption provision (49 U.S.C. 5125(b)) that preempts State, local, and Indian tribe requirements on certain covered subjects. Covered subjects are:
(1) The designation, description, and classification of hazardous materials;
(2) The packing, repacking, handling, labeling, marking, and placarding of hazardous materials;
(3) The preparation, execution, and use of shipping documents related to hazardous materials and requirements related to the number, contents, and placement of those documents;
(4) The written notification, recording, and reporting of the unintentional release in transportation of hazardous; or
(5) The design, manufacture, fabrication, marking, maintenance, recondition, repair, or testing of a packaging or container represented, marked, certified, or sold as qualified for use in transporting hazardous material.
This proposed rule addresses covered subject items (1), (2), (3), and (5) above and would preempt State, local, and Indian tribe requirements not meeting the “substantively the same” standard. This proposed rule is necessary to incorporate changes already adopted in international standards. If the changes proposed in this NPRM are not adopted in the HMR, U.S. companies, including numerous small entities competing in foreign markets, will be at an economic disadvantage. These companies would be forced to comply with a dual system of regulation. The proposed changes are intended to avoid this result.
Federal hazardous materials transportation law provides at 5125(b)(2) that, if DOT issues a regulation concerning any of the covered subjects, DOT must determine and publish in the
This proposed rule has been analyzed in accordance with the principles and criteria contained in Executive Order 13084 (“Consultation and Coordination with Indian Tribal Governments”). Because this proposed rule does not significantly or uniquely affect the communities of the Indian tribal governments and does not impose substantial direct compliance costs, the funding and consultation requirements of Executive Order 13084 do not apply.
This proposed rule would incorporate changes introduced in the eleventh revised edition of the UN Recommendations, the 2001-2002 ICAO Technical Instructions, and Amendment 30 to the IMDG Code. It would apply to offerors and carriers of hazardous materials and would facilitate the transportation of hazardous materials in international commerce by providing consistency with international requirements.
The costs associated with this proposed rule are considered to be so minimal as to not warrant preparation of a regulatory impact analysis or regulatory evaluation. The majority of amendments should result in cost savings and would ease the regulatory compliance burden for shippers engaged in international commerce, including trans-border shipments within North America. For example, cost savings will be realized by shippers and carriers as a result of eliminating the differences between primary and subsidiary labels. As a result of this change, it will no longer be necessary to stock two sets of labels for each hazard class. To ease any burden associated with this change, we are proposing a reasonable transition period where labels meeting current and proposed requirements may be used. Other cost savings include: revising minimum thickness requirements for metal IBCs; providing greater harmonization with international regulations and flexibility for IBCs and portable tanks that may be used for the transportation of hazardous materials; authorizing the use of UN portable tanks while retaining current IM 101, 102 and DOT Specification 51 portable tank requirements and authorizations for their use; numerous deletions from the hazardous materials table and the marine pollutant list; more flexible requirements for transporting samples of hazardous materials; authorization to use a single explosives placard when explosives of several compatibility groups are transported in a single freight container or vehicle; several clarifications of existing regulatory requirements; and revised requirements for large lithium batteries which will simplify the regulatory requirements applicable to batteries used in high energy efficient hybrid vehicles. We are proposing immediate voluntary compliance (as of January 1, 2001 or the date of publication of the final rule, whichever occurs first), a delayed effective date and a one-year transition period to allow for training of employees and to ease any burden on entities affected by the proposed amendments. Many companies involved in domestic, as well as global operations, will realize economic benefits as a result of the proposed amendments in this rulemaking. Therefore, I certify that this proposed rule will not, if promulgated, have a significant economic impact on a substantial number of small entities. This certification is subject to modification as a result of a review of comments received in response to this proposal.
We have current information collection approvals under OMB No. 2137-0557, Approvals for Hazardous Materials, which expires March 31, 2002, with 18,302 burden hours and $413,737.40 annual costs, and OMB No. 2137-0018, Inspection and Testing of Portable Tanks and Intermediate Bulk Containers, which expires March 31, 2002, with 51,340 burden hours and $10,235,000 annual costs. We believe that this proposed rule may result in minor incremental increases in the annual burden hours and costs. If these proposals are finalized, the current approvals would be revised and resubmitted to OMB for extension and re-approval.
Section 1320.8(d), Title 5, Code of Federal Regulations requires that RSPA provide interested members of the public and affected agencies an opportunity to comment on information collection and recordkeeping requests. This notice identifies information collections that we may submit to OMB for extension and re-approval based on the requirements in this proposed rule. We have revised burden estimates, where appropriate, to reflect current reporting levels or adjustments based on changes in this proposed rule since the information collections were last approved. We estimate that the total information collection and recordkeeping burdens as proposed in this rule would be revised as follows:
We specifically request comments on the information collection and recordkeeping burdens associated with developing, implementing, and maintaining these requirements for approval under this proposed rule.
Requests for a copy of the information collection approvals, requests and data should be directed to Deborah Boothe, Office of Hazardous Materials Standards (DHM-10), Research and Special Programs Administration, Room 8102, 400 Seventh Street, SW, Washington,
Written comments should be addressed to the Dockets Management System as identified in the
A regulation identifier number (RIN) is assigned to each regulatory action listed in the Unified Agenda of Federal Regulations. The Regulatory Information Service Center publishes the Unified Agenda in April and October of each year. The RIN number contained in the heading of this document can be used to cross-reference this action with the Unified Agenda.
This proposed rule does not impose unfunded mandates under the Unfunded Mandates Reform Act of 1995. It does not result in costs of $100 million or more to either State, local or tribal governments, in the aggregate, or to the private sector, and is the least burdensome alternative that achieves the objective of the rule.
Exports, Hazardous materials transportation, Hazardous waste, Imports, Incorporation by reference, Reporting and recordkeeping requirements.
Education, Hazardous materials transportation, Hazardous waste, Labeling, Markings, Packaging and containers, Reporting and recordkeeping requirements.
Hazardous materials transportation, Packaging and containers, Radioactive materials, Reporting and recordkeeping requirements, Uranium.
Hazardous materials transportation, Radioactive materials, Railroad safety.
Air carriers, Hazardous materials transportation, Radioactive materials, Reporting and recordkeeping requirements.
Hazardous materials transportation, Maritime carriers, Radioactive materials, Reporting and recordkeeping requirements.
Hazardous materials transportation, Motor carriers, Radioactive materials, Reporting and recordkeeping requirements.
Hazardous materials transportation, Motor vehicle safety, Packaging and containers, Reporting and recordkeeping requirements.
Hazardous materials transportation, Motor carriers, Motor vehicle safety, Packaging and containers, Railroad safety, Reporting and recordkeeping requirements.
In consideration of the foregoing, 49 CFR Chapter I is proposed to be amended as follows:
1. The authority citation for part 171 would continue to read as follows:
49 U.S.C. 5101-5127; 49 CFR 1.53.
2. In § 171.7, in the paragraph (a)(3) table:
a. Under the entry “American Society for Testing and Materials”, a new entry would be added in alpha-numeric order;
b. Under the entry “International Atomic Energy Agency (IAEA)”, a new entry would be added in alhabetical order;
c. Under the entry “International Civil Aviation Organization (ICAO)”, the existing entry would be revised;
d. Under the entry “International Maritime Organization (IMO)”, the existing entry would be revised and a new entry would be added in appropriate alphabetical order;
e. Under the entry “International Organization for Standardization”, three new entries would added in appropriate alphabetical/numerical order; and
f. Under the entry “United Nations”, the existing entries would be revised.
The revisions and additions read as follows:
(a)
(3)
3. In § 171.8, the following definitions would be added in appropriate alphabetical order to read as follows:
(1) Consists of an outer packaging which contains articles or inner packagings; and
(2) Is designed for mechanical handling; and
(3) Exceeds 400 kg net mass or 450 liters (118.9 gallons) capacity and has a volume of not more than 3 m
(4) Conforms to the requirements for the construction, testing and marking of large packagings as specified in the UN Recommendations.
4. In § 171.10, in the paragraph (c)(2) Table of Conversion Factors for SI Units, a unit of measure would be added as the last entry to read as follows:
(c) * * *
(2) * * *
5. In § 171.11, a new paragraph (d)(17) would be added to read as follows:
(d) * * *
(17) An organic peroxide that is not identified by technical name in the Organic Peroxide Table in § 173.225(b) of this subchapter must be approved by the Associate Administrator in accordance with the requirements of § 173.128(d) of this subchapter.
6. In § 171.12, in paragraph (b)(3), a sentence would be added at the end of the paragraph, a new paragraph (b)(19) would be added, and paragraphs (d)
(b) * * *
(3) * * * A viscous flammable liquid which is excepted from the requirements of the IMDG Code based on having a flash point of 23 °C (73.4 °F) or greater and less than or equal to 60.5 °C (140.9 °F), not meeting the toxic or corrosive definitions, not containing more than 20% nitrocellulose, and being packed in receptacles of less than 450 liters (118.9 gallons) capacity, may not be transported under the provisions of this section and is subject to the requirements of this subchapter.
(19) An organic peroxide that is not identified by technical name in the Organic Peroxide Table in § 173.225(b) of this subchapter must be approved by the Associate Administrator in accordance with the requirements of § 173.128(d) of this subchapter.
(d)
(4) The country of origin for the shipment has adopted the corresponding edition (Safety Series No. 6, 1985 Edition, or ST-1, 1996 Edition) of the IAEA “Regulations for the Safe Transport of Radioactive Material”;
7. In § 171.12a, a new paragraph (b)(18) would be added to read as follows:
(b) * * *
(18) An organic peroxide that is not identified by technical name in the Organic Peroxide Table in § 173.225(b) of this subchapter must be approved by the Associate Administrator in accordance with the requirements of § 173.128(d) of this subchapter.
8. In § 171.14, paragraphs (d) introductory text, (d)(1) and (d)(2) introductory text would be revised and a new paragraph (d)(4) would be added to read as follows:
(d) A final rule published in the
(1)
(2)
(4) Until January 1, 2010, a hazardous material may be transported in an IM or IMO portable tank in accordance with the T Codes (special provisions) assigned to a hazardous material in Column (7) of the HMT in effect on September 30, 2000.
9. The authority citation for part 172 would continue to read as follows:
49 U.S.C. 5101-5127; 49 CFR 1.53.
10. In § 172.101, paragraph (c)(11) would be revised and new paragraphs (c)(16) and (k)(6) through (k)(20) would be added to read as follows:
(c) * * *
(11) Except for a material subject to § 173.21, § 173.54, § 173.56(d), § 173.56(e)(1), § 173.124(a)(2)(iii) or § 173.128(c) of this subchapter, a hazardous waste or a sample of a material for which the hazard class is uncertain and must be determined by testing, may be assigned a tentative proper shipping name, hazard class/division, identification number, and packing group, if applicable, based on the shipper's tentative determination according to: Defining criteria in this subchapter; the hazard precedence prescribed in § 173.2a of this subchapter; and the shippers knowledge of the material. In addition, a sample of material that is to be tested is subject to the following requirements:
(i) A sample may not be an explosive, infectious substance, or radioactive material;
(ii) Except when the word “Sample” already appears in the proper shipping name, the word “Sample” must appear before the proper shipping name for the sample;
(iii) If the proper shipping description for a sample is assigned a “G” in Column (1) of the HMT, the provisions requiring a technical name for the constituent(s) do not apply;
(iv) A sample must be transported in a combination packaging which conforms to the requirements of this subchapter that are applicable to the tentative Packing Group assigned, and may not exceed a net mass of 2.5 kg. (5.5 pounds) per package;
(v) A sample may not be packed together with any other hazardous material;
(vi) For a sample that is a self-reactive material, the requirements in § 173.224(c)(3) apply; and
(vii) For a sample that is an organic peroxide, the requirements in § 173.225(c)(2) must be met.
(16) Unless it is already included in the proper shipping name in the Table, the qualifying words “liquid” or “solid” may be added in association with the proper shipping name when a hazardous material specifically listed by name in the Table may, due to the differing physical states of the various isomers of the material, be either a liquid or a solid (for example “Dinitrotoluenes, liquid” and “Dinitrotoluenes, solid”). Use of the words “liquid” or “solid” is subject to
(k) * * *
(6) Stowage category “01” means the material may be stowed “on deck” or “under deck” on a cargo vessel (up to 12 passengers) and on a passenger vessel.
(7) Stowage category “02” means the material may be stowed “on deck” or “under deck” on a cargo vessel (up to 12 passengers) and “on deck” in closed cargo transport units or “under deck” in closed cargo transport units on a passenger vessel.
(8) Stowage category “03” means the material may be stowed “on deck” or “under deck” on a cargo vessel (up to 12 passengers) and “on deck” in closed cargo transport units on a passenger vessel.
(9) Stowage category “04” means the material may be stowed “on deck” or “under deck” on a cargo vessel (up to 12 passengers) but the material is prohibited on a passenger vessel.
(10) Stowage category “05” means the material may be stowed “on deck” in closed cargo transport units or “under deck” on a cargo vessel (up to 12 passengers) and on a passenger vessel.
(11) Stowage category “06” means the material may be stowed “on deck” in closed cargo transport units or “under deck” on a cargo vessel (up to 12 passengers) and “on deck” in closed cargo transport units or “under deck” in closed cargo transport units on a passenger vessel.
(12) Stowage category “07” means the material may be stowed “on deck” in closed cargo transport units or “under deck” on a cargo vessel (up to 12 passengers) and “on deck” only in closed cargo transport units on a passenger vessel.
(13) Stowage category “08” means the material may be stowed “on deck” in closed cargo transport units or “under deck” on a cargo vessel (up to 12 passengers) but the material is prohibited on a passenger vessel.
(14) Stowage category “09” means the material may be stowed “on deck” in closed cargo transport units or “under deck” in closed cargo transport units on a cargo vessel (up to 12 passengers) and on a passenger vessel.
(15) Stowage category “10” means the material may be stowed “on deck” in closed cargo transport units or “under deck” in closed cargo transport units on a cargo vessel (up to 12 passengers) and “on deck” only in closed cargo transport units on a passenger vessel.
(16) Stowage category “11” means the material may be stowed “on deck” in closed cargo transport units or “under deck” in magazine stowage type “c” on a cargo vessel (up to 12 passengers) and “on deck” only in closed cargo transport units on a passenger vessel.
(17) Stowage category “12” means the material may be stowed “on deck” in closed cargo transport units or “under deck” in magazine stowage type “c” on a cargo vessel (up to 12 passengers) but the material is prohibited on a passenger vessel.
(18) Stowage category “13” means the material may be stowed “on deck” in closed cargo transport units or “under deck” in magazine stowage type “A” on a cargo vessel (up to 12 passengers) and “on deck” only in closed cargo transport units on a passenger vessel.
(19) Stowage category “14” means the material may be stowed “on deck” in closed cargo transport units on a cargo vessel (up to 12 passengers) but the material is prohibited on a passenger vessel.
(20) Stowage category “15” means the material may be stowed “on deck” in closed cargo transport units or “under deck” in closed cargo transport units on a cargo vessel (up to 12 passengers) but the material is prohibited on a passenger vessel.
11. In § 172.101, the Hazardous Materials Table would be amended by removing, adding, or revising, in appropriate alphabetical sequence, the following entries to read as follows:
12. In addition, in the § 172.101 Hazardous Materials Table, the following changes would be made:
a. In Column (1), a “G” would be added for the entries, “Other regulated substances, liquid, n.o.s.” and “Other regulated substances, solid, n.o.s.”
b. In Column (2), the following proper shipping names would be revised as follows:
c. In Column (2), for the following entries, the word “inhibited” would be revised to read “stabilized”:
d. In Column (7), the following entry would be revised as follows:
e. In Column (7), the following entries would be revised as follows:
The following Table is listed in numerical order according to the UN identification number. Columns 10 and 11 are proposed special provisions for IBCs. Columns 8 and 9 are proposed special provisions for portable tanks. If adopted, these four columns would appear in the Special Provisions column (Column (7)) of the § 172.101 Hazardous Materials Table.
f. In Columns (9A) and (9B), the following entries would be revised as follows:
*** means no change to current limit.
g. In Columns (10A) and (10B), the following entries would be revised as follows:
13. In Appendix B to § 172.101, paragraphs 1. and 2. would be revised and the List of Marine Pollutants would be amended by removing 73 entries, adding 2 entries and revising 2 entries in appropriate alphabetical order to read as follows:
1. See § 171.4 of this subchapter for applicability of marine pollutants. This appendix lists potential marine pollutants as defined in § 171.8 of this subchapter.
2. Marine pollutants listed in this appendix are not necessarily listed by name in the § 172.101 Table. If a marine pollutant not listed by name or by synonym in the § 172.101 Table meets the definition of any hazard Class 1 through 8, then you must determine the class and division of the material in accordance with § 173.2a of this subchapter. You must also select the most appropriate hazardous material description and proper shipping name. If a marine pollutant not listed by name or by synonym in the § 172.101 Table does not meet the definition of any Class 1 through 8, then you must offer it for transportation under the most appropriate of the following two Class 9 entries: “Environmentally hazardous substances, liquid, n.o.s.,” UN3082, or “Environmentally hazardous substances, solid, n.o.s.,” UN3077.
14. In § 172.102, in paragraph (c)(1), Special Provisions 43, 110, 128 and 136 would be revised and Special Provisions 139, 142 and 143 would be added; paragraph (c)(3) introductory text, Special Provisions B53 and B69 and paragraphs (c)(4) and (c)(7) would be revised; and in paragraph (c)(8), Specials Provisions W7, W8 and W9 would be added in numerical order to read as follows:
(c) * * *
(1) * * *
43 The membrane filters, including paper separators and coating or backing materials, that are present in transport, must not be able to propagate a detonation as tested by one of the tests described in the UN Manual of Tests and Criteria, Part I, Test series 1(a). On the basis of the results of suitable burning rate tests, and taking into account the standard tests in the UN Manual of Tests and Criteria, Part III, subsection 33.2.1, nitrocellulose membrane filters in the form in which they are to be transported that do not meet the criteria for a Division 4.1 material are not subject to the requirements of this subchapter. Packagings must be so constructed that explosion is not possible by reason of increased internal pressure. Nitrocellulose membrane filters covered by this entry, each with a mass not exceeding 0.5 g, are not subject to the requirements of this subchapter when contained individually in an article or a sealed packet.
110 Fire extinguishers transported under UN1044 may include installed actuating cartridges (cartridges, power device of Division 1.4C or 1.4S), without changing the classification of Division 2.2, provided the aggregate quantity of deflagrating (propellant) explosives does not exceed 3.2 grams per extinguishing unit.
128 Regardless of the provisions of § 172.101(c)(12), aluminum smelting by-products, aluminum remelting by-products and coated magnesium granules described under these entries meeting the definition of Class 8, Packing Group II or III, may be classed as a Division 4.3 material and transported under this entry. The presence of a Class 8 hazard must be communicated as required by this part for subsidiary hazards.
136 This entry only applies to machinery and apparatus containing hazardous materials as in integral element of the machinery or apparatus. It may not be used to describe machinery or apparatus for which a proper shipping name exists in the § 172.101 Table. Except when approved by the Associate Administrator, machinery or apparatus may only contain hazardous materials for which exceptions are referenced in Column (8) of the § 172.101 Table and are provided in part 173, subpart D, of this subchapter. Hazardous materials shipped under this entry are excepted from the labeling requirements of this subchapter unless offered for transportation or transported by aircraft and are not subject to the placarding requirements of subpart F of part 173 of this subchapter. Orientation markings as described in § 172.312 (a)(2) are required when liquid hazardous materials may escape due to incorrect orientation. The machinery or apparatus, if unpackaged, or the packaging in which it is contained shall be marked “Dangerous goods in machinery” or “Dangerous goods in apparatus”, as appropriate, with the identification number UN3363. For transportation by aircraft, machinery or apparatus may not contain any material forbidden for transportation by passenger or cargo aircraft. The Associate Administrator may except from the requirements of this subchapter, equipment, machinery and apparatus provided:
a. It is shown that it does not pose a significant risk in transportation;
b. The quantities of hazardous materials do not exceed those specified in § 173.4 of this subchapter; and
c. The equipment, machinery or apparatus conforms with § 173.222 of this subchapter.
139 Use of the “special arrangement” proper shipping names for international shipments must be made under an IAEA Certificate of Competent Authority issued by the U.S. Competent Authority in accordance with the requirements in § 173.471, § 173.472, or § 173.473 of this subchapter. Use of these proper shipping names for domestic shipments may be made only under a DOT exemption, as defined in, and in accordance with the requirements of subpart B of part 107 of this subchapter.
142 These hazardous materials may not be classified and transported unless authorized by the Associate Administrator. The Associate Administrator will base the authorization on results from Series 2 tests and a Series 6(c) test from the UN Manual of Tests and Criteria on packages as prepared for transport in accordance with the requirements of this subchapter.
143 These articles may contain:
a. Division 2.2 compressed gases, including oxygen;
b. Signal devices (Class 1) which may include smoke and illumination signal flares. Signal devices must be packed in plastic or fiberboard inner packagings;
c. Electric storage batteries;
d. First aid kits; or
e. Strike anywhere matches.
(3)
B53 Packagings must be made of either aluminum or steel.
B69 Dry sodium cyanide or potassium cyanide may be shipped in sift-proof weather-resistant metal covered hopper cars, covered motor vehicles, portable tanks or non-specification bins. Bins must be approved by the Associate Administrator.
(4)
(7) “
(ii) The following table specifies the portable tank requirements applicable to T Codes T1 through T22. Column 1 specifies the T Code. Column 2 specifies the minimum test pressure, in bar (1 bar = 14.5 psig), at which the periodic hydrostatic testing required by § 173.32b of this subchapter must be conducted. Column 3 specifies the section reference for minimum shell thickness or, alternatively, the minimum shell thickness value. Column 4 specifies the applicability of § 178.275(f)(3) of this subchapter for the pressure relief devices. When the word “Normal” is indicated, § 178.275(f)(3) of this subchapter does not apply. Column 5 either references the applicable requirements for bottom openings in part 178 of this subchapter, or references “Prohibited” which means bottom openings are prohibited. The table follows:
(iii) The following table specifies the portable tank requirements applicable to T23 for self-reactive substances of Division 4.1 and organic peroxides of Division 5.2 which are authorized to be transported in portable tanks:
(iv) The following portable tank instruction applies to portable tanks used for the transportation of liquefied compressed gases. The T50 table provides the UN identification number and proper shipping name for each liquefied compressed gas authorized to be transported in a T50 portable tank. The following table provides maximum allowable working pressures, bottom opening requirements, pressure relief device requirements and degree of filling requirements for each liquefied compressed gases permitted for transportation in a T50 portable tank:
(v) When portable tank instruction T75 is referenced in Column (7) of the § 172.101 Table, the applicable refrigerated liquefied gases are authorized to be transported in portable tanks in accordance with the requirements of § 178.277 of this subchapter.
(vi) When a specific portable tank instruction is specified by a T Code in Column (7) of the § 172.101 Table for a specific hazardous material, a Specification portable tank conforming to an alternative tank instruction may be used if:
(A) the portable tank has a higher or equivalent test pressure (for example, 4 bar when 2.65 bar is specified);
(B) the portable tank has greater or equivalent wall thickness (for example, 10 bar when 6 bar is specified);
(C) the portable tank has a pressure relief device as specified in the T Code or is preceded by a frangible disc when no frangible disc is required. If a frangible disc is required in series with the pressure relief device, the alternative portable tank must be fitted with a frangible disc; and
(D) the portable tank is fitted with bottom openings having two or three effective means of closure or no bottom openings when two effective means of closure are specified; or the portable tank has no bottom openings or three effective means of closure when three effective means of closure are specified. If no bottom openings are authorized, the alternative portable tank must not have bottom openings.
(vii) When a hazardous material is not assigned a portable tank T Code or TP 9 is referenced in Column (7) of the § 172.101 Table, the hazardous material may only be transported in a portable tank if approved by the Associate Administrator.
(viii) Portable tank special provisions are assigned to certain hazardous materials to specify requirements that are in addition to those provided by the portable tank instructions or the requirements in part 178 of this subchapter. Portable tank special provisions are designated with the abbreviation TP (tank provision) and are assigned to specific hazardous materials in Column (7) of the § 172.101 Table. The following is a list of the portable tank special provisions:
Where: α is the mean coefficient of cubical expansion of the liquid between the mean temperature of the liquid during filling (t
b. For liquids transported under ambient conditions α may be calculated using the formula:
Where: d
(8) * * *
13. In addition, in § 172.102, in paragraph (c)(3), Special Provisions B100, B101, B103, B104, B105, B106, B108, B109 and B110 would be removed.
14. In § 172.203, paragraph (d)(11) would be revised, new paragraphs (i)(5) and (i)(6) would be added, and paragraph (n) would be revised to read as follows:
(d) * * *
(11) For a shipment of low specific activity material or surface contaminated objects, the appropriate group notation of LSA-I, LSA-II, LSA-III, SCO-I, or SCO-II, unless these symbols are contained in the proper shipping name.
(i) * * *
(5) Minimum flashpoint if 61°C or below (in °C closed cup (c.c.).
(6) Subsidiary hazards not communicated in the proper shipping name.
(n)
15. In § 172.402, paragraph (b) would be revised to read as follows:
(b)
16. In § 172.405, the following changes would be made:
a. In paragraph (a) introductory text, the wording “subsidiary label when—” would be removed and “subsidiary label.” would be added in its place.
b. Paragraphs (a)(1) and (a)(2) would be removed.
17. In § 172.411, the section heading, the text of paragraph (c) preceding the labels, and paragraph (d) would be revised to read as follows:
(c) Except for size and color, the EXPLOSIVE 1.4, EXPLOSIVE 1.5 and EXPLOSIVE 1.6 labels must be as follows:
(d) In addition to complying with § 172.407, the background color on the EXPLOSIVE 1.4, EXPLOSIVE 1.5, EXPLOSIVE 1.6 and EXPLOSIVE subsidiary label must be orange. The “*” shall be replaced with the appropriate compatibility group. The compatibility group letter must be shown as a capitalized Roman letter. Division numerals must measure at least 30 mm (1.2 inches) in height and at least 5 mm (0.2 inches) in width.
18. In addition, in § 172.411, in paragraph (c), the wording “EXPLOSIVE SUBSIDIARY LABEL:” and the label following it would be removed.
19. In § 172.504, in paragraph (g), a sentence would be added at the end of the existing text and paragraphs (g)(1) through (g)(4) would be added to read as follows:
(g) * * * When more than one compatibility group placard is required for Class 1 materials, only one placard is required to be displayed as follows:
(1) Explosive articles of compatibility groups C, D or E may be placarded displaying compatibility group E.
(2) Explosive articles of compatibility groups C, D, E or N may be placarded displaying compatibility group D.
(3) Explosive substances of compatibility groups C and D may be placarded displaying compatibility group D.
(4) Explosive articles of compatibility groups C, D, E or G, except for fireworks, may be placarded displaying compatibility group E.
20. In § 172.519, paragraph (b)(4) would be revised to read as follows:
(b) * * *
(4) For a placard corresponding to the primary or subsidiary hazard class of a material, the hazard class or division number must be displayed in the lower corner of the placard. A permanently affixed subsidiary placard meeting the specifications of this section which were in effect on [date of publication of final rule] (such as, a placard without the hazard class or division number displayed in the lower corner of the placard) and which was installed prior to October 1, 2001, may continue to be used as a subsidiary placard in domestic transportation by rail or highway, provided the color tolerances are maintained and are in accordance with the display requirements in this subchapter. Stocks of non-permanently affixed subsidiary placards in compliance with the requirements in effect on [date of publication of final rule], may continue to be used in domestic transportation by rail or highway until October 1, 2005, or until current stocks are depleted, whichever occurs first.
21. The authority citation for part 173 would continue to read as follows:
49 U.S.C. 5101-5127, 44701; 49 CFR 1.53.
22. In § 173.2a, in paragraph (b), in the Precedence of Hazard Table, in the first column, the first three entries would be amended by adding a footnote reference “
(b) * * *
23. In § 173.4, paragraph (a)(1) introductory text is revised to read as follows:
(a) * * *
(1) The maximum quantity of material per inner receptacle or article is limited to:
24. In § 173.24b, paragraph (e) would be added to read as follows:
(e)
(2)
(i) Conform to applicable provisions in the UN Recommendations on the Transport of Dangerous Goods (Incorporated by reference, see § 171.7 of this subchapter) and the requirements of this subpart;
(ii) Be capable of passing the prescribed tests in part 178 of this subchapter applicable to the UN portable tank specification;
(iii) Be designed and manufactured according to the ASME Code (Incorporated by reference, see § 171.7 of this subchapter) or a pressure vessel design code approved by the Associate Administrator;
(iv) Be approved by the Associate Administrator when the portable tank is designed and constructed under the provisions of an alternative arrangement (see § 178.274(a)(2) of this subchapter); and
(v) When manufactured in a country other than the United States, the competent authority of the country of manufacture must provide reciprocal treatment for UN portable tanks manufactured in the United States.
25. Section 173.32 would be revised to read as follows:
(a)
(1) Except as otherwise provided in this subpart, a portable tank may not be used for the transportation of a hazardous material unless it meets the requirements of this subchapter.
(2) No person may fill and offer for transportation a portable tank when the prescribed periodic test or inspection under subpart G of part 180 of this subchapter has become due until the test or inspection has been successfully completed. This requirement does not apply to any portable tank filled prior to the test or inspection due date.
(3) When a portable tank is used as a cargo tank container, it shall conform to all the requirements prescribed for cargo tank containers. (See § 173.33.)
(b)
(1) An IM or UN portable tank may be used whenever an IM or UN portable tank having less stringent requirements is authorized provided the portable tank meets or exceeds the requirements for pressure-relief devices, bottom outlets and any other special provisions specified in § 172.102(c)(7)(vi) of this subchapter.
(2) Where a Specification IM101 or IM102 portable tank is prescribed, a Specification 51 portable tank otherwise conforming to the special commodity requirements of § 172.102(c)(7) of this subchapter may be used.
(3) A DOT Specification 51 portable tank may be used whenever a DOT Specification 56, 57, or 60 portable tank is authorized. A DOT Specification 60 portable tank may be used whenever a DOT Specification 56 or 57 portable tank is authorized. A higher integrity tank used instead of a specified portable tank must meet the same design profile; for example, a DOT Specification 51 portable tank must be lined if used instead of a lined DOT Specification 60 portable tank.
(c)
(2) A DOT Specification 51 and IM 101 or IM 102 portable tank may not be manufactured after January 1, 2003 may continue to be used for the transportation of a hazardous material provided they fulfill the requirements of
(3) A DOT Specification portable tank manufactured prior to January 1, 1992 that is equipped with a non-reclosable pressure relief device may continue in service for the hazardous materials for which it is authorized. Except for a DOT Specification 56 or 57 portable tank, a DOT Specification portable tank manufactured after January 1, 1992, used for materials meeting the definition for Division 6.1 liquids, Packing Group I or II, Class 2 gases, or Class 3 or 4 liquids, must be equipped with a re-closing pressure relief valve having adequately sized venting capacity.
(d)
(i) For compressed gases and certain refrigerated liquids that are not cryogenic liquids and that are not transported in a UN portable tank, the pressure prescribed in § 173.315. For liquefied compressed gases transported in a UN portable tank, the pressures prescribed in T50 in § 172.102 of this subchapter.
(ii) For liquid hazardous materials the pressures specified in § 178.275(a) of this subchapter used for determining the MAWP.
(iii) The maximum pressure used to load or unload the hazardous material.
(2) Unless otherwise specified, where a portable tank is authorized, the minimum tank design pressure is 172 kPa (25 psig) for any Packing Group I or Packing Group II liquid hazardous material that meets more than one hazard class definition.
(e)
(1) The shell, piping, valves and other appurtenances for corroded areas, dents, defects in welds and other defects such as missing, damaged, or leaking gaskets;
(2) All flanged connections or blank flanges for missing or loose nuts and bolts;
(3) All emergency devices for corrosion, distortion, or any damage or defect that could prevent their normal operation;
(4) All required markings on the tank for legibility; and
(5) Any device for tightening manhole covers to ensure such devices are operative and adequate to prevent leakage at the manhole cover.
(f)
(2) A hazardous material may not be loaded in a portable tank unless it has pressure relief devices providing total relieving capacity meeting the requirements of this subchapter.
(3) Except during a hydrostatic test, a portable tank may not be subjected to a pressure greater than its maximum allowable working pressure.
(4) A portable tank may not be loaded to a gross weight greater than the maximum allowable gross weight specified on its identification plate.
(5) Except for a non-flowable solid or a liquid with a viscosity of 2,680 centistokes (millimeters squared per second) or greater at 20°C (68 °F), a portable tank or compartment thereof having a volume greater than 7,500 L (1,980 gallons) may not be loaded to a filling density of more than 20% and less than 80% by volume. This filling restriction does not apply if a portable tank is divided by partitions or surge plates into compartments of not more than 7,500 L (1,980) capacity. Portable tanks must not be offered for transportation in an ullage condition liable to produce an unacceptable hydraulic force due to surge.
(6) The outage for a portable tank may not be less than 2% at a temperature of 50 °C (122 °F). For UN portable tanks, the applicable maximum filling limits apply as specified according to the assigned TP codes in Column (7) of the § 172.101 Table of this subchapter except when transported domestically.
(7) Each tell-tale indicator for the space between a frangible disc and a safety relief valve mounted in series must be checked after the tank is filled and prior to transportation to ensure that the frangible disc is leak free. Any leakage through the frangible disc must be corrected prior to offering the tank for transportation. The tell-tale device must be designed to prevent the loss of any hazardous material through the device itself while the tank is in transportation.
(8) During filling, the temperature of the hazardous materials shall not exceed the limits of the design temperature range of the portable tank.
(9) The maximum mass of liquefied compressed gas per liter (gallon) of shell capacity (kg/L or lbs./gal.) may not exceed the density of the liquefied compressed gas at 50 °C (122 °F). The portable tank must not be liquid full at 60 °C (140 °F).
(g)
(h)
(1) A portable tank containing a hazardous material may not be loaded on a highway or rail transport vehicle unless loaded entirely within the horizontal outline thereof, without overhang or projection of any part of the tank assembly. In addition, for unloading a portable tank, see § 177.834(h) of this subchapter.
(2) A portable tank used for the transportation of flammable liquids by rail may not be fitted with non-reclosing pressure relief devices except in series with reclosing pressure relief valves.
(3) A portable tank or Specification 106A or 110A multi-unit tank car containing a hazardous material may not be offered for transportation aboard a passenger vessel unless:
(i) The vessel is operating under a change to its character of vessel certification as defined in § 171.8 of this subchapter; and
(ii) The material is permitted to be transported aboard a passenger vessel in the § 172.101 Table of this subchapter.
(i)
(1) Each uninsulated portable tank used for the transportation of liquefied compressed gases must have an exterior surface finish that is significantly reflective, such as a light-reflecting color if painted, or a bright reflective metal or other material if unpainted.
(2) If a hazardous material is being transported in a molten state, the portable tank must be thermally insulated with suitable insulation material of sufficient thickness that the overall thermal conductance is not more than 0.080 Btu per hour per square foot per degree Fahrenheit differential.
(j)
(2) Pipe joints must be threaded, welded or flanged. If threaded pipe is used, the pipe and pipe fittings must not be lighter than (Schedule 80) weight. Non-malleable metals must not be used in the construction of valves or fittings. Where copper tubing is permitted, joints must be brazed or be of equally strong metal union type. The melting point of brazing material may not be lower than 1,000 °F (537.8°C). The method of joining tubing must not decrease the strength of the tubing such as by the cutting of threads.
(3) Non-malleable metals may not be used in the construction of valves or fittings.
(4) Suitable provision must be made in every case to allow for expansion, contraction, jarring and vibration of all pipe. Slip joints may not be used for this purpose.
(5) Piping and fittings must be grouped in the smallest practicable space and must be protected from damage as required by the specification.
(6) All piping, valves and fittings on every portable tank must be leakage tested with gas or air after installation and proved tight at not less than the design pressure of the portable tank on which they are used. In the event of replacement, all such piping, valves, or fittings so replaced must be tested in accordance with the requirements of this section before the portable tank is returned to transportation service. The requirements of this section apply to all hoses used on portable tanks, except that hoses may be tested either before or after installation on the portable tank.
(7) All materials used in the construction of portable tanks and their appurtenances may not be subject to destructive attack by the contents of the tank.
(8) All parts of the portable tanks and appurtenances for anhydrous ammonia must be steel. No aluminum, copper, silver, zinc, nor their alloys may be used. Brazed joints may not be used.
(9) Each outlet of a portable tank used for the transportation of liquefied compressed gases, except carbon dioxide, must be provided with a suitable automatic excess-flow valve (see definition in § 178.337-1(g) of this subchapter). These valves must be located inside the portable tank or at a point outside the portable tank where the line enters or leaves the portable tank. The valve seat must be located inside the portable tank or may be located within a welded flange or its companion flange, or within a nozzle or within a coupling. The installation must be made in such a manner as to reasonably assure that any undue strain which causes failure requiring functioning of the valve shall cause failure in such a manner that it will not impair the operation of the valve.
(i) Safety device connections and liquid level gauging devices that are constructed so that the outward flow of tank contents willl not exceed that passed by an opening of 0.1397 cm (0.0550 inches) are not required to be equipped with excess-flow valves.
(ii) An excess-flow valve must close automatically if the flow reaches the rated flow of gas or liquid specified by the original valve manufacturer when piping mounted directly on the valve is sheared off before the first valve, pump, or fitting downstream from the excess flow valve.
(iii) An excess-flow valve may be designed with a by-pass, not to exceed a 0.1016 cm (0.040 inches) diameter opening to allow equalization of pressure.
(iv) Filling and discharge lines must be provided with manually operated shut-off valves located as close to the tank as practical. The use of “Stop-Check” valves to satisfy with one valve the requirements of this section is forbidden.
(10) Each portable tank used for carbon dioxide and nitrous oxide must be lagged with a suitable insulation material of such thickness that the overall thermal conductance is not more than 0.08 Btu per square foot per degree Fahrenheit differential in temperature per hour. The conductance must be determined at 60° Fahrenheit. Insulation material used on portable tanks for nitrous oxide must be noncombustible.
(11) A refrigerating and/or heating coil or coils must be installed in portable tanks used for carbon dioxide and nitrous oxide. Such coils must be tested externally to at least the same pressure as the test pressure of the portable tank. The coils must also be tested internally to at least twice the working pressure of the heating or refrigerating system to be used, but in no case less than the test pressure of the portable tank. Such coils must be securely anchored. The refrigerant or heating medium to be circulated through the coil or coils must be such as to cause no adverse chemical reaction with the portable tank or its contents in the event of leakage.
26. § 173.32a would be removed.
27. § 173.32b would be removed.
28. § 173.32c would be removed.
29. In § 173.61, paragraph (e)(3) would be revised and a new paragraph (e)(8) would be added to read as follows:
(e) * * *
(3) Explosives of compatibility group S may be packaged together with explosives of all other compatibility groups except A and L, and the entire package shall be treated as belonging to any of the packaged compatibility groups except S.
(8) Explosive articles of compatibility groups C, D, E and G, except for fireworks and articles requiring special packaging, may be packaged together and the entire package shall be treated as belonging to compatibility group E.
30. In § 173.62, in paragraph (c), in the Explosives Packing Instructions Table, in the fourth column, the following changes would be made in appropriate packaging specification number order:
a. For packing instruction entries, 112(a), 112(b), 112(c), 113, 115, 116, 130, 131, 134, 135, 136, 138, 140, 141, 142 and 144, under the word “Drums”, the wording “plywood (1D)” would be added in the alpha-numeric order of the parenthetical.
b. For the packing instruction entries, 112(c), 113, 115, 134, 138 and 140, under the word “Drums”, the wording “plastics, removable head (1H2)” would be added in the alpha-numeric order of the parenthetical.
c. For the packing instruction entries, 134 and 138, under the word “Drums”, the wording “fiberboard (1G)” would be added in the alpha-numeric order of the parenthetical.
d. For the packing instruction entry, 144, under the wording “plastics, expanded (4H1)”, the word “Drums.” would be added and under the new word “Drums.”, the wording, “steel, removable head (1A2)”, “Aluminum, removable head (1B2)” and “plastics, removable head (1H2)” would be added in the alpha-numeric order of the parenthetical.
e. For the packing instruction entry, 144, under the word “Boxes”, the wording “plastics, solid (4H2)” would be added in the alpha-numeric order of the parenthetical.
f. For the packing instruction entries, 112(c) and 113, under the word “Boxes”, the wording “aluminum (4B)” would be added in the alpha-numeric order of the parenthetical.
31. In § 173.128, paragraph (d)(1)(ii) would be revised to read as follows:
(a) * * *
(1) * * *
(ii) A mixture of organic peroxides prepared according to § 173.225(c)(3); or
32. In § 173.150, paragraph (d)(2) is revised to read as follows:
(d) * * *
(2) Is in an inner packaging of five liters (1.3 gallons) or less, and is not transported as checked or carry-on baggage by passenger aircraft, except as provided in § 175.10(a)(17) of this subchapter; or
33. In § 173.162, paragraph (a) introductory text and (a)(1) would be revised to read as follows:
(a) Except when packaged in cylinders or steel flasks, gallium must be packaged in packagings which meet the requirements of part 178 of this subchapter at the Packing Group I performance level for transportation by aircraft, and at the Packing Group III performance level for transport by highway, rail or vessel, as follows:
(1) In combination packagings intended to contain liquids consisting of glass, earthenware or rigid plastic inner packagings with a maximum net mass of 15 kg (33 pounds) each. The inner packagings must be packed in wood boxes (4C1, 4C2, 4D, 4F), fiberboard boxes (4G), plastic boxes (4H1, 4H2), fiber drums (1G) or removable head steel and plastic drums or jerricans (1A2, 1H2, 3A2 or 3H2) with sufficient cushioning materials to prevent breakage. Either the inner packagings or the outer packagings must have inner liners or bags of strong leakproof and puncture-resistant material impervious to the contents and completely surrounding the contents to prevent it from escaping from the package, irrespective of its position.
34. In § 173.185, a new sentence would be added at the end of paragraph (a), paragraphs (b) introductory text, (b)(1), (b)(2), (b)(5), (c)(1), (c)(2), and (c)(3) would be revised, and a heading would be added to paragraph (c) to read as follows:
(a) * * * For the purposes of this subchapter, “lithium content” means the mass of lithium in the anode of a lithium metal or lithium alloy cell, except in the case of a lithium ion cell where the “equivalent lithium content” in grams is calculated to be 0.3 times the rated capacity in ampere-hours.
(b)
(1) Each cell with a liquid cathode may contain no more than 0.5 g of lithium content. Each cell with a solid cathode may contain no more than 1.0 g lithium content. Each lithium ion cell may contain no more than 1.5 g of equivalent lithium content;
(2) Each battery with a liquid cathode may contain an aggregate quantity of no more than 1.0 g lithium content. Each battery with a solid cathode may contain an aggregate quantity of no more than 2.0 g of lithium content. Each lithium-ion battery may contain an aggregate quantity of no more than 8.0 grams of equivalent lithium content;
(5) If when fully charged, the aggregate lithium content of the anodes in a liquid cathode battery is more than 0.5 g, or the aggregate lithium content of the anodes in a solid cathode battery is more than 1.0 g, then the battery may not contain a liquid or gas that is a hazardous material according to this subchapter unless the liquid or gas, if free, would be completely absorbed or neutralized by other materials in the battery.
(c)
(1) The lithium content of the anode of each cell, when fully charged, is not more than 5 g;
(2) The aggregate lithium content of the anodes of each battery, when fully charged, is not more than 25 g;
(3) Each cell or battery is of the type proven to be non-dangerous by testing in accordance with tests in the UN Manual of Tests and Criteria (incorporated by reference, see § 171.7 of this subchapter). Such testing must be carried out on each type of cell or battery prior to the initial transport of that type; and
35. In § 173.224, paragraph (b)(4) would be revised; in the table following paragraph (b)(7), the following entry would be added in the appropriate alphabetical order; and paragraph (d) would be removed, to read as follows:
(b) * * *
(4)
(7) * * *
36. In § 173.225, in paragraph (b), in the Organic Peroxide Table, the following entries would be removed and added in the appropriate alphabetical order; in Column (8), “7” and “10” would be removed each place they appear; and in the “NOTES” immediately following the Table, Notes “7” and “10” would be removed and reserved and Notes “26” and “27” would be added in the appropriate numerical order; and paragraphs (e) introductory text, (e)(3), and (e)(5) would be revised to read as follows:
(b) * * *
26. Available oxygen must be ≤ 10%.
27. Available oxygen must be ≤ 7.6%.
(e)
(3)
(i) The portable tank must be designed for a test pressure of at least 0.4 MPa (4 bar).
(ii) Portable tanks must be fitted with temperature-sensing devices.
(iii) Portable tanks must be fitted with pressure relief devices and emergency-relief devices. Vacuum-relief devices may also be used. Pressure relief devices must operate at pressures determined according to both the properties of the hazardous material and the construction characteristics of the portable tank. Fusible elements are not allowed in the shell.
(iv) The pressure relief devices must consist of reclosing devices fitted to prevent significant build-up within the portable tank of the decomposition products and vapors released at a temperature of 50 °C (122 °F). The capacity and start-to-discharge pressure of the relief devices must be in accordance with the applicable requirements of this subchapter specified for the portable tank. The start-to-discharge pressure must in no case be such that liquid would escape from the pressure relief devices if the portable tank were overturned.
(v)(A) The emergency-relief devices may be of the reclosing or frangible types, or a combination of the two, designed to vent all the decomposition products and vapors evolved during a period of not less than one hour of complete fire engulfment as calculated by the following formula:
(B) Insulation factor (F) in the formula in paragraph (e)(3)(v)(A) of this section equals 1 for non-insulated vessels and for insulated vessels F is calculated using the following formula:
(vi) The start-to-discharge pressure of emergency-relief devices must be higher than that specified for the pressure relief devices in paragraph (e)(3)(iv) of this section. The emergency-relief devices must be sized and designed in such a way that the maximum pressure in the shell never exceeds the test pressure of the portable tank.
An example of a method to determine the size of emergency-relief devices is given in Appendix 5 of the UN Manual of Tests and Criteria (incorporated by reference, see § 171.7 of this subchapter).
(vii) For insulated portable tanks, the capacity and setting of emergency-relief devices must be determined assuming a loss of insulation from 1 percent of the surface area.
(ix) Vacuum-relief devices and reclosing devices on portable tanks used for flammable hazardous materials must be provided with flame arresters. Any reduction of the relief capacity caused by the flame arrester must be taken into account and the appropriate relief capacity must be provided.
(x) Service equipment such as devices and external piping must be designed and constructed so that no hazardous material remains in them after filling the portable tank.
(xi) Portable tanks may be either insulated or protected by a sun-shield. If the SADT of the hazardous material in the portable tank is 55 °C (131 °F) or less, the portable tank must be completely insulated. The outer surface must be finished in white or bright metal.
(xii) The degree of filling must not exceed 90% at 15 °C (59 °F).
(xiii) DOT 57 metal portable tanks are authorized only for tert-butyl cumyl peroxide, di-(2-tert-butylperoxyisopropyl-benzene(s), dicumyl peroxide and mixtures of two or more of these peroxides.
(5)
(i) IBCs shall be provided with a device to allow venting during transportation. The inlet to the pressure
(ii) To prevent explosive rupture of metal IBCs or composite IBCs with complete metal casing, the emergency-relief devices shall be designed to vent all the decomposition products and vapors evolved during self-accelerating decomposition or during a period of not less than one hour of complete fire-engulfment as calculated by the formula in paragraph (e)(3)(v) of this section. The control and emergency temperatures specified in IB52 are based on a non-insulated IBC.
37. In § 173.240, paragraphs (c) and (d) would be revised to read as follows:
(c)
(d)
(1) IBCs may not be used for the following hazardous materials:
(i) Packing Group I liquids; and
(ii) Packing Group I solids that may become liquid during transportation.
(2) The following IBCs may not be used for Packing Group II and III solids that may become liquid during transportation:
(i) Wooden: 11C, 11D and 11;
(ii) Fiberboard: 11G;
(iii) Flexible: 13H1, 13H2, 13H3, 13H4, 13H5, 13L1, 13L2, 13L3, 13L4, 13M1 and 13M2; and
(iv) Composite: 11HZ2 and 21HZ2.
38. In § 173.241, paragraphs (c) and (d) would be revised to read as follows:
(c)
(d)
(1) IBCs may not be used for the following hazardous materials:
(i) Packing Group I liquids; and
(ii) Packing Group I solids that may become liquid during transportation.
(2) The following IBCs may not be used for Packing Group II and III solids that may become liquid during transportation:
(i) Wooden: 11C, 11D and 11F;
(ii) Fiberboard: 11G;
(iii) Flexible: 13H1, 13H2, 13H3, 13H4, 13H5, 13L1, 13L2, 13L3, 13L4, 13M1 and 13M2; and
(iv) Composite: 11HZ2 and 21HZ2.
39. In § 173.242, paragraphs (c) introductory text and (d) would be revised to read as follows:
(c)
(d)
(1) IBCs may not be used for the following hazardous materials:
(i) Packing Group I liquids; and
(ii) Packing Group I solids that may become liquid during transportation.
(2) The following IBCs may not be used for Packing Group II and III solids that may become liquid during transportation:
(i) Wooden: 11C, 11D and 11F;
(ii) Fiberboard: 11G;
(iii) Flexible: 13H1, 13H2, 13H3, 13H4, 13H5, 13L1, 13L2, 13L3, 13L4, 13M1 and 13M2; and
(iv) Composite: 11HZ2 and 21HZ2.
40. In § 173.243, paragraphs (c) and (d) would be revised to read as follows:
(c)
(d)
(1) IBCs may not be used for the following hazardous materials:
(i) Packing Group I liquids; and
(ii) Packing Group I solids that may become liquid during transportation.
(2) The following IBCs may not be used for Packing Group II and III solids that may become liquid during transportation:
(i) Wooden: 11C, 11D and 11F;
(ii) Fiberboard: 11G;
(iii) Flexible: 13H1, 13H2, 13H3, 13H4, 13H5, 13L1, 13L2, 13L3, 13L4, 13M1 and 13M2, and
(iv) Composite: 11HZ2 and 21HZ2.
41. In § 173.247, paragraph (c) would be revised to read as follows:
(c)
42. In § 173.306, paragraph (a)(4)(iii) would be revised to read as follows:
(a) * * *
(4) * * *
(iii) Non-pressurized gases, flammable must be packed in hermetically-sealed glass or metal inner packagings of not more than 5 L (1.3 gallons) overpacked in a strong outer packaging.
43. In § 173.315, the text of paragraph (a) preceding the table and paragraphs (i)(1)((iii), (i)(3), (i)(4) and (i)(8) would be revised and paragraph (i)(7) would be removed and reserved to read as follows:
(a) Liquefied compressed gases that are transported in UN portable tanks must be loaded and offered for transportation in accordance with tank provision T50 in § 172.102 of this subchapter. A liquefied compressed gas offered for transportation in a cargo tank motor vehicle or a portable tank must be prepared in accordance with this section, § 173.32, § 173.33 and subpart E or subpart G of part 180 of this subchapter; for cryogenic liquids, also see § 173.326 and § 173.328. Except for UN portable tanks, a liquefied compressed gas must be loaded and offered for transportation in accordance with the following table:
(i) * * *
(1) * * *
(iii) For an insulated tank, the required relieving capacity of the relief valves must be the same as for an uninsulated tank, unless the insulation will remain in place and will be effective under fire conditions. In this case, except for UN portable tanks, each insulated tank must be covered by a sheet metal jacket of not less than 16 gauge thickness. For UN portable tanks where the relieving capacity of the valves has been reduced on the basis of the insulation system, the insulation system must remain effective at all temperatures less than 649 °C (1200.2 °F) and be jacketed with a material having a melting point of 700 °C (1292.0 °F) or greater.
(3) Each safety relief valve on a portable tank, other than a UN portable tank, must be set to start-to-discharge at pressure no higher than 110% of the tank design pressure and no lower than the design pressure specified in paragraph (a) of this section for the gas transported. For UN portable tanks used for liquefied compressed gases and constructed in accordance with the requirements of § 178.276 of this subchapter, the pressure relief device(s) must conform to § 178.276(e) of this subchapter.
(4) Except for UN portable tanks, each safety relief valve must be plainly and permanently marked with the pressure in p.s.i.g. at which it is set to discharge, with the actual rate of discharge of the device in cubic feet per minute of the gas or of air at 60 °F (15.6 °C) and 14.7 p.s.i.a., and with the manufacturer's name or trade name and catalog number. The start-to-discharge valve must be visible after the valve is installed. The rated discharge capacity of the device must be determined at a pressure of 120% of the design pressure of the tank. For UN portable tanks, each pressure relief device must be clearly and permanently marked as specified in § 178.274(f)(1) of this subchapter.
(8) Each safety relief valve outlet must be provided with a protective device to prevent the entrance and accumulation of dirt and water. This device must not impede flow through the valve. Pressure relief devices must be designed to prevent the entry of foreign matter, the leakage of liquid and the development of any dangerous excess pressure.
44. The authority citation for Part 175 would continue to read as follows:
49 U.S.C. 5101-5127; 49 CFR 1.53.
45. In § 175.10, paragraphs (a)(10) and (a)(16) would be revised, and paragraph (a)(17) would be added to read as follows:
(a) * * *
(10) Safety matches or a lighter intended for use by an individual when carried on one's person. However, lighters containing unabsorbed liquid fuel (other than liquefied gas), lighter fuel, and lighter refills are not permitted on one's person or in checked or carry-on baggage.
(16) Perfumes and colognes, purchased through duty-free sales, carried by passengers or crew in carry-on baggage.
(17) Alcoholic beverages containing—
(i) Not more than 24% alcohol by volume; or
(ii) More than 24% and not more than 70% alcohol by volume when in retail packagings not exceeding 5 liters (1.3 gallons) carried by a crewmember or passenger in checked or carry-on baggage, with a total net quantity per person of 5 liters (1.3 gallons) for such beverages.
46. In § 175.33, paragraph (a) introductory text would be revised to read as follows:
(a) Except as provided in § 175.10, when a hazardous material subject to the provisions of this subchapter is carried in an aircraft, the operator of the aircraft must provide the pilot-in-command with accurate and legible written information as early as practicable before departure of the aircraft, which specifies at least the following:
47. Section 175.78 would be revised to read as follows:
(a) For stowage on an aircraft, in a cargo facility, or in any other area at an airport designated for the stowage of hazardous materials, packages containing hazardous materials which might react dangerously with one another may not be placed next to each other or in a position that would allow a dangerous interaction in the event of leakage.
(b) As a minimum, the segregation instructions prescribed in the following Segregation Table must be followed to maintain acceptable segregation between packages containing hazardous materials with different hazards. The Segregation Table instructions in paragraph (c) of this section apply whether or not the class or division is the primary or subsidiary risk. The Segregation Table follows:
(c) Instructions for using the Segregation Table are as follows:
(1) The dots at the intersection of a row and column indicate that no restrictions apply.
(2) The letter “X” at the intersection of a row and column indicates that packages containing these classes of hazardous materials may not be stowed next to or in contact with each other, or in a position which would allow interaction in the event of leakage of the contents.
(3)
(i) For explosives in compatibility groups A through K and N—
(A) Packages bearing the same compatibility group letter and the same division number may be stowed together.
(B) Explosives of the same compatibility group, but different divisions may be stowed together provided the whole shipment is treated as belonging to the division having the smaller number. However, when explosives of Division 1.5 Compatibility Group D are stowed together with explosives of Division 1.2 Compatibility Group D, the whole shipment must be treated as Division 1.1, Compatibility Group D.
(C) Packages bearing different compatibility group letters may not be stowed , whether or not they belong to the same division, except as provided in paragraphs (c)(3)(ii) and (iii) of this section.
(ii) Explosives in Compatibility Group L may not be stowed with explosives in other compatibility groups. They may only be stowed with the same type of explosives in Compatibility Group L.
(iii) Explosives of Division 1.4, Compatibility Group S, may be stowed with explosives of all compatibility groups except for Compatibility Groups A and L.
(iv) Other than explosives of Division 1.4, Compatibility Group S (see paragraph (c)(3)(iii) of this section), and Compatibility Groups C, D and E that may be stowed together, explosives that do not belong in the same compatibility group may not be stowed together.
(A) Any combination of substances in Compatibility Groups C and D must be assigned to the most appropriate compatibility group shown in the § 172.101 Hazardous Materials Table.
(B) Explosives in Compatibility Group N may be stowed together with explosives in Compatibility Groups C, D and E when the combination is assigned Compatibility Group D.
(4)
(5) Packages containing hazardous materials with multiple hazards in the class or divisions, which require segregation in accordance with the Segregation Table need not be segregated from other packages bearing the same UN number.
(6) A package labeled “BLASTING AGENT” may not be stowed next to or in a position that will allow contact with a package of special fireworks or railway torpedoes.
48. In § 175.85 paragraph (a) would be revised to read as follows:
(a) Except as provided in § 175.10, no person may carry a hazardous material subject to the requirements of this subchapter in the cabin of a passenger-carrying aircraft or on the flight deck of any aircraft. Hazardous materials may be carried in a main deck cargo compartment of a passenger aircraft provided that the compartment is inaccessible to passengers and that it meets all certification requirements for a Class B aircraft cargo compartment in 14 CFR 25.857(b) or for a Class C aircraft cargo compartment in 14 CFR 25.857(c).
49. The authority citation for part 176 would continue to read as follows:
49 U.S.C. 5101-5127; 49 CFR 1.53.
50. In § 176.2, the following definition would be added in appropriate alphabetical order to read as follows:
51. In § 176.63, a new paragraph (e) would be added to read as follows:
(e)
52. In § 176.84, in paragraph (b) Table of provisions, the entries “4” and “5”
(b)
(c) * * *
(1) Explosive substances and explosive articles must be stowed in accordance with Column (10A) and Columm (10B) of the § 172.101 Table of this subchapter.
53. In § 176.128, in paragraph (c), the word “UN 0600” would be revised to read “UN 0060”.
54. In § 176.136, in paragraph (e), the word “portable” would be removed.
55. In § 176.142, paragraph (a) would be revised to read as follows:
(a) Except as allowed by paragraph (b) of this section, certain hazardous materials of extreme flammability may not be transported in a vessel carrying Class 1 (explosive) materials. This prohibition applies to the following liquid hazardous materials:
56. A new section § 176.720 would be added to subpart M to read as follows:
(a) A vessel carrying INF cargo in international transportation must meet the requirements of the INF Code (incorporated by reference, see § 171.7 of this subchapter) in addition to all other applicable requirements of this subchapter.
57. The authority citation for part 177 would continue to read as follows:
49 U.S.C. 5101-5127; 49 CFR 1.53.
58. In § 177.848, paragraph (g)(3)(vi) would be revised to read as follows:
(g) * * *
(3) * * *
(vi) “6” means explosive articles in compatibility group G, other than fireworks and those requiring special handling, may be loaded, transported and stored with articles of compatibility groups C, D and E, provided no explosive substances are carried in the same vehicle.
59. The authority citation for part 178 would continue to read as follows:
49 U.S.C. 5101-5127; 49 CFR 1.53.
60. A new section § 178.273 would be added to subpart H to read as follows:
(a)
(2) Each application for approval must contain the following information:
(i) Three complete copies of all engineering drawings, calculations, and
(ii) The manufacturer's serial number that will be assigned to each portable tank.
(iii) A statement as to whether the design type has been examined by any approval agency previously and judged unacceptable. Affirmative statements must be documented with the name of the approval agency, reason for nonacceptance, and the nature of modifications made to the design type.
(b)
(1) Review the application for approval to determine whether it is complete and conforms with the requirements of paragraph (a) of this section. If an application is incomplete, it will be returned to the applicant and the applicant will be informed in what respects the application is incomplete.
(2) Review all drawings and calculations to ensure that the design is in compliance with all requirements of the relevant specification. If the application is approved, one set of the approved drawings, calculations, and test data shall be returned to the applicant. The second and third (inspector's copy) sets of approved drawings, calculations, and test data shall be retained by the approval agency. Maintain drawings and approval records for as long as the portable tank remains in service. The drawings and records must be provided to DOT upon request.
(3) Witness all tests required for the approval of the portable tank specified in § 178.273 and part 180, subpart G, of this subchapter.
(4) Ensure, through appropriate inspection that each portable tank is fabricated in all respects in conformance with the approved drawings, calculations, and test data.
(5) Determine and ensure that the portable tank is suitable for its intended use and that it conforms to the requirements of this subchapter.
(6) For UN portable tanks intended for liquefied compressed gases and Division 6.1 liquids which meet the inhalation toxicity criteria (Zone A or B) as defined in § 173.132 of this subchapter, or that are designated as toxic by inhalation materials in the § 172.101 Table of this subchapter, the approval agency must ensure that:
(i) The portable tank has been constructed in accordance with the ASME Code, Section VIII, Division 1 (incorporated by reference, see § 171.7 of this subchapter). ASME Code, Section VIII, Division II or other design code may be used if approved by the Associate Administrator (see § 178.274(b)(1));
(ii) All applicable provisions of the design and construction have been met to the satisfaction of the designated approval agency in accordance with the rules established in the ASME Code and that the portable tank meets the requirements of the ASME Code or other design code if approved by the Associate Administrator (see § 178.274(b)(1)), and all the applicable requirements specified in this subchapter;
(iii) The authorized inspector has carried out all the inspections specified by the rules established in the ASME Code; and
(iv) The portable tank is marked with a U stamp code symbol under the authority of an authorized independent inspector.
(7) For UN portable tanks the approval certificate must also include the following:
(i) The results of the applicable framework and rail impact test specified in part 180, subpart G, of this subchapter; and
(ii) The results of the initial inspection and test in § 180.605 of this subchapter.
(8) Upon successful completion of all requirements of this subpart, the approval agency shall:
(i) Apply its name, identifying mark or identifying number, and the date upon which the approval was issued, to the metal identification marking plate attached to the portable tank. Any approvals for UN portable tanks authorizing design or construction alternatives (Alternate Arrangements) approved by the Associate Administrator (see § 178.274(a)(2)) must be indicated on the plate as specified in § 178.274(i).
(ii) Issue an approval certificate for each portable tank or, in the case of a series of identical portable tanks manufactured to a single design type, for each series of portable tanks. The approval certificate must include all the information required to be displayed on the required metal identification plate required by § 178.270-14 for IM portable tanks, § 178.245-6 for specification 51 steel portable tanks, or § 178.274(i) for UN portable tanks. The approval certificate must attest that the approval agency designated to approve the portable tank has approved the portable tank in accordance with the procedures in subpart E, part 107 of this subchapter and that the portable tank is suitable for its intended purpose and meets the requirements of this subchapter. When a series of portable tanks is manufactured without change in the design type, the certificate may be valid for the entire series of portable tanks representing a single design type. For UN portable tanks, the certificate must refer to the prototype test report, the hazardous materials or group of hazardous materials allowed to be transported, the materials of construction of the shell and lining (when applicable) and an approval number. The approval number must consist of the distinguishing sign or mark of the country (“USA” for the United States of America) where the approval was granted and a registration number.
(iii) Retain a copy of each approval certificate.
(9) The approval agency must remain independent from the manufacturer. The approval agency and the authorized inspector may be the same entity.
(c)
(1) Comply with all the applicable requirements of the ASME Code (incorporated by reference, see § 171.7 of this subchapter) and of this subpart including, but not limited to, ensuring that the quality control, design calculations and required tests are performed and that all aspects of the portable tank meet the applicable requirements.
(2) Obtain and use a designated approval agency, if applicable, and obtain and use a DOT-designated approval agency to approve the design, construction and certification of the portable tank.
(3) Provide a statement in the manufacturers' data report attesting that each portable tank that is manufactured complies with the relevant specification and all the applicable requirements of this subchapter.
(4) Maintain records of the qualification of portable tanks for at least 5 years and provide copies to the approval agency and the owner of the tank. Provide records to the U.S. DOT upon request.
(d)
(e)
(2) A statement as to whether the intended modification has been examined by any approval agency previously judged unacceptable. An affirmative statement must be documented with the name of the approving agency, the reason for nonacceptance, and the nature of changes made to the modification since its original rejection.
(3) The approval agency shall review the request for modification, and if it is determined that the proposed modification is in full compliance with the relevant DOT specification, including a UN portable tank, the request shall be approved and the approval agency shall perform the following activities:
(i) Return one set of the approved revised drawings, calculations, and test data to the applicant. The second and third sets of the approved revised drawings, calculations, and data shall be retained by the approval agency as required in § 107.404(a)(3) of this subchapter.
(ii) Ensure through appropriate inspection that all modifications conform to the revised drawings, calculations, and test data.
(iii) Determine the extent to which retesting of the modified tank is necessary based on the nature of the proposed modification, and ensure that all required retests are satisfactorily performed.
(iv) If modification to an approved tank alters any information on the approval certificate, issue a new approval certificate for the modified tank and ensure that any necessary changes are made to the metal identification plate. A copy of each newly issued approval certificate shall be retained by the approval agency and by the owner of each portable tank.
(4) If it determined that the proposed modification is not in compliance with the relevant DOT specification, the request shall be denied. The procedures of paragraph (d) of this section apply to such denial.
(f)
(i) Information upon which the approval was based is fraudulent or substantially erroneous; or
(ii) Termination of the approval is necessary to adequately protect against risks to life and property; or
(iii) The approval was not issued by the approval agency in good faith; or
(iv) That the portable tank does not meet the specification.
(2) Before an approval is withdrawn, the Associate Administrator gives the interested party(ies):
(i) Written notice of the facts or conduct believed to warrant the withdrawal;
(ii) Opportunity to submit oral and written evidence; and
(iii) Opportunity to demonstrate or achieve compliance with the application requirement.
(3) If the Associate Administrator determines that a certificate of approval must be withdrawn to preclude a significant and imminent adverse affect on public safety, he shall withdraw the certificate of approval issued by a designated approval agency. In such circumstances, the procedures of paragraphs (f)(2) (ii) and (iii) of this section need not be provided prior to withdrawal of the approval, but shall be provided as soon as practicable thereafter.
61. Section 178.274 would be added to subpart H to read as follows:
(a)
(2) In recognition of scientific and technological advances, the technical requirements applicable to UN portable tanks may be varied if approved by the Associate Administrator and the portable tank is shown to provide a level of safety equal to or exceeding the requirements of this subchapter with respect to the compatibility of the transported hazardous materials and the ability of the portable tank to withstand impact, loading and fire conditions. Portable tanks approved to alternative technical requirements must be marked “Alternative Arrangement” as specified in paragraph (i) of this section.
(3)
(b)
(2) Portable tank shells, fittings, and pipework must be constructed from materials that are:
(i) Compatible with the hazardous materials intended to be transported; or
(ii) Properly passivated or neutralized by chemical reaction, if applicable; or
(iii) For portable tanks used for liquid and solid materials, lined with corrosion-resistant material directly bonded to the shell or attached by equivalent means.
(3) Gaskets and seals must be made of materials that are compatible with the hazardous materials intended to be transported.
(4) When shells are lined, the lining must be compatible with the hazardous materials intended to be transported, homogeneous, non-porous, free from perforations, sufficiently elastic and compatible with the thermal expansion characteristics of the shell. The lining of every shell, shell fittings and piping must be continuous and must extend around the face of any flange. Where external fittings are welded to the tank, the lining must be continuous through the fitting and around the face of external flanges. Joints and seams in the lining must be made by fusing the material together or by other equally effective means.
(5) Contact between dissimilar metals which could result in damage by galvanic action must be prevented by appropriate measures.
(6) The construction materials of the portable tank, including any devices, gaskets, linings and accessories, must not adversely affect or react with the hazardous materials intended to be transported in the portable tank.
(7) Portable tanks must be designed and constructed with supports that provide a secure base during transportation and with suitable lifting and tie-down attachments.
(c)
(i) In the direction of travel: 2g (twice the MPGM multiplied by the acceleration due to gravity);
(ii) Horizontally at right angles to the direction of travel: 1g (the MPGM
(iii) Vertically upwards: 1g (the MPGM multiplied by the acceleration due to gravity); and
(iv) Vertically downwards: 2g (twice the MPGM multiplied by the acceleration due to gravity).
(2) Under each of the forces specified in paragraph (c)(1) of this section, the safety factor must be as follows:
(i) For metals having a clearly defined yield point, a design margin of 1.5 in relation to the guaranteed yield strength; or
(ii) For metals with no clearly defined yield point, a design margin of 1.5 in relation to the guaranteed 0.2% proof strength and, for austenitic steels, the 1% proof strength.
(3) The values of yield strength or proof strength must be the values according to recognized material standards. When austenitic steels are used, the specified minimum values of yield strength or proof strength according to the material standards may be increased by up to 15% when these greater values are attested in the material inspection certificate.
(4) Portable tanks must be capable of being electrically grounded to prevent dangerous electrostatic discharge when they are used for Class 2 flammable gases or Class 3 flammable liquids, including elevated temperature materials transported at or above their flash point.
(5) For shells of portable tanks used for liquefied compressed gases, the shell must consist of a circular cross section. Shells must be of a design capable of being stress-analysed mathematically or experimentally by resistance strain gauges as specified in UG-101 of the ASME Code (incorporated by reference, see § 171.7 of this subchapter), or other methods approved by the Associate Administrator.
(6) Shells must be designed and constructed to withstand a hydraulic test pressure of not less than 1.5 times the design pressure for portable tanks used for liquids and 1.3 times the design pressure for portable tanks used for liquefied compressed gases. Specific requirements are provided for each hazardous material in the applicable T Code or portable tank special provision specified in the § 172.101 Table of this subchapter. The minimum shell thickness requirements must also be taken into account.
(7) For metals exhibiting a clearly defined yield point or characterized by a guaranteed proof strength (0.2% proof strength, generally, or 1% proof strength for austenitic steels), the primary membrane stress (sigma) in the shell must not exceed 0.75 Re or 0.50 Rm, whichever is lower, at the test pressure, where:
(8) The values of Re and Rm to be used must be the specified minimum values according to recognized material standards. When austenitic steels are used, the specified minimum values for Re and Rm according to the material standards may be increased by up to 15% when greater values are attested in the material inspection certificate.
(9) Steels which have a Re/Rm ratio of more than 0.85 are not allowed for the construction of welded shells. The values of Re and Rm to be used in determining this ratio must be the values specified in the material inspection certificate.
(10) Steels used in the construction of shells must have an elongation at fracture, in percentage, of not less than 10,000/Rm with an absolute minimum of 16% for fine grain steels and 20% for other steels.
(11) For the purpose of determining actual values for materials for sheet metal, the axis of the tensile test specimen must be at right angles (transversely) to the direction of rolling. The permanent elongation at fracture must be measured on test specimens of rectangular cross sections in accordance with ISO 6892 (see § 171.7 of this subchapter), using a 50 mm gauge length.
(d)
(i) the minimum thickness determined in accordance with the requirements of paragraphs (d)(2) through (d)(10) of this section;
(ii) the minimum thickness determined in accordance with the ASME Code (incorporated by reference, see § 171.7 of this subchapter) or other approved pressure vessel code; or
(iii) the minimum thickness specified in the applicable T code or portable tank special provision indicated for each hazardous material in the § 172.101 Table of this subchapter.
(2) Shells (cylindrical portions, heads and manhole covers) not more than 1.80 m in diameter may not be less than 5 mm thick in the reference steel or of equivalent thickness in the metal to be used. Shells more than 1.80 m in diameter may not be less than 6 mm thick in the reference steel or of equivalent thickness in the metal to be used. For portable tanks used only for the transportation of powdered or granular solid hazardous materials of Packing Group II or III, the minimum thickness requirement may be reduced to 5 mm in the reference steel or of equivalent thickness in the metal to be used regardless of the shell diameter. For vacuum-insulated tanks, the aggregate thickness of the jacket and the shell must correspond to the minimum thickness prescribed in this paragraph, with the thickness of the shell itself not less than the minimum thickness prescribed in paragraph (d)(3) of this section.
(3) When additional protection against shell damage is provided in the case of portable tanks used for liquid and solid hazardous materials requiring test pressures less than 2.65 bar (265.0 kPa), subject to certain limitations specified in the UN Recommendations (incorporated by reference, see § 171.7 of this subchapter), the Associate Administrator may approve a reduced minimum shell thickness.
(4) The cylindrical portions, heads and manhole covers of all shells must not be less than 3 mm (0.1 inch) thick regardless of the material of construction, except for portable tanks used for liquefied compressed gases where the cylindrical portions, ends (heads) and manhole covers of all shells must not be less than 4 mm (0.2 inch) thick regardless of the material of construction.
(5) When steel that has characteristics other than that of reference steel is used, the equivalent thickness of the shell and heads must be determined according to the following formula:
(6) The wall and all parts of the shell may not have a thickness less than that prescribed in paragraphs (d)(2), (d)(3) and (d)(4) of this section. This thickness must be exclusive of any corrosion allowance.
(7) There must be no sudden change of plate thickness at the attachment of the heads to the cylindrical portion of the shell.
(e)
(2) Each connection to a portable tank must be clearly marked to indicate its function.
(3) Each stop-valve or other means of closure must be designed and constructed to a rated pressure not less than the MAWP of the shell taking into account the temperatures expected during transport. All stop-valves with screwed spindles must close by a clockwise motion of the handwheel. For other stop-valves the position (open and closed) and direction of closure must be clearly indicated. All stop-valves must be designed to prevent unintentional opening.
(4) Piping must be designed, constructed and installed to avoid the risk of damage due to thermal expansion and contraction, mechanical shock and vibration. All piping must be of a suitable metallic material. Welded pipe joints must be used wherever possible.
(5) Joints in copper tubing must be brazed or have an equally strong metal union. The melting point of brazing materials must be no lower than 525 °C (977 °F). The joints must not decrease the strength of the tubing, such as may happen when cutting threads.
(6) The burst pressure of all piping and pipe fittings must be greater than the highest of four times the MAWP of the shell or four times the pressure to which it may be subjected in service by the action of a pump or other device (except pressure relief devices).
(7) External fittings must be grouped together. Filling and discharge connections may be installed below the normal liquid level of the tank if the tank design conforms to the following requirements:
(i) The portable tank must be permanently mounted in a full framework for containerized transport. For each portable tank design, a prototype portable tank, must fulfill the requirements of parts 450 through 453 of this title for compliance with the requirements of Annex II of the International Convention for Safe Containers.
(ii) Each filling and discharge connection must be equipped with an internal self-closing stop-valve capable of closing within 30 seconds of actuation. Each internal self-closing stop-valve must be protected by a shear section or sacrificial device located outboard of the valve. The shear section or sacrificial device must break at no more than 70 percent of the load that would cause failure of the internal self-closing stop-valve.
(iii) Each internal self-closing stop-valve must be provided with remote means of automatic closure, both thermal and mechanical. The thermal means of automatic closure must actuate at a temperature of not over 121 °C (250 °F).
(8) Ductile metals must be used in the construction of valves and accessories.
(f)
(i) the pressure (in bar or kPa) or temperature for fusible elements (in °C) at which it is set to discharge;
(ii) the allowable tolerance at the discharge pressure for reclosing devices;
(iii) the reference temperature corresponding to the rated pressure for frangible discs;
(iv) the allowable temperature tolerance for fusible elements;
(v) the rated flow capacity of the device in standard cubic meters of air per second (m
(vi) when practicable, the device must show the manufacturer's name and product number.
(2)
(3)
(ii) Arrangements must be made to prevent unauthorized persons from access to the pressure relief devices and to protect the devices from damage caused by the portable tank overturning.
(g)
(h)
(2) The combined stresses caused by portable tank mountings (for example,
(3) In the design of supports and frameworks, the effects of environmental corrosion must be taken into account.
(4) Forklift pockets must be capable of being closed off. The means of closing forklift pockets must be a permanent part of the framework or permanently attached to the framework. Single compartment portable tanks with a length less than 3.65 m need not have forklift pockets that are capable of being closed off provided that:
(i) The shell, including all the fittings, are well protected from being hit by the forklift blades; and
(ii) The distance between forklift pockets (measured from the center of each pocket) is at least half of the maximum length of the portable tank.
(5) During transport, portable tanks must be adequately protected against damage to the shell, and service equipment resulting from lateral and longitudinal impact and overturning on the shell and service equipment must be constructed to withstand impact or overturning. External fittings must be protected so as to preclude the release of the shell contents upon impact or overturning of the portable tank on its fittings. Examples of protection include:
(i) Protection against lateral impact which may consist of longitudinal bars protecting the shell on both sides at the level of the median line;
(ii) Protection of the portable tank against overturning which may consist of reinforcement rings or bars fixed across the frame;
(iii) Protection against rear impact which may consist of a bumper or frame;
(iv) Protection of the shell against damage from impact or overturning by use of an ISO frame in accordance with ISO 1496-3 (incorporated by reference, see § 171.7 of this subchapter); and
(v) Protection of the portable tank from impact or overturning by a vacuum insulation jacket.
(i)
Manufacturer's name or mark
Manufacturer's serial number
Approval Agency (Authorized body for the design approval)
Owner's registration number
Year of manufacture
Pressure vessel code to which the shell is designed
Test pressure _____ bar gauge.
MAWP _____ bar gauge.
External design pressure (not required for portable tanks used for refrigerated liquefied gases) _____ bar/gauge.
Design temperature range _____ °C to _____ °C. (For portable tanks used for refrigerated liquefied gases, the minimum design temperature must be marked.)
Water capacity at 20 °C/ _____ liters.
Water capacity of each compartment at 20 °C _____ liters.
Initial pressure test date and witness identification.
MAWP for heating/cooling system _____ bar gauge.
Shell material(s) and material standard reference(s).
Equivalent thickness in reference steel _____ mm.
Lining material (when applicable).
Date and type of most recent periodic test(s).
Month _____ Year _____ Test pressure _____ bar/gauge.
Stamp of approval agency that performed or witnessed the most recent test.
For portable tanks used for refrigerated liquefied gases:
Either “thermally insulated” or “vacuum insulated” _____.
Effectiveness of the insulation system (heat influx) _____ Watts (W).
Reference holding time _____ days or hours and initial pressure _____ bar/kPa gauge and degree of filling _____ in kg for each refrigerated liquefied gas permitted for transportation.
(2) The following information must be marked either on the portable tank itself or on a metal plate firmly secured to the portable tank:
Name of the operator.
Name of hazardous materials being transported and maximum mean bulk temperature (except for refrigerated liquefied gases, the name and temperature are only required when the maximum mean bulk temperature is higher than 50 °C).
Maximum permissible gross mass (MPGM) _____ kg.
Unladen (tare) mass _____ kg.
For the identification of the hazardous materials being transported refer to part 172 of this subchapter.
(3) If a portable tank is designed and approved for open seas operations, such as offshore oil exploration, in accordance with the IMDG Code, the words “OFFSHORE PORTABLE TANK” must be marked on the identification plate.
62. Section 178.275 would be added to subpart H to read as follows:
(a) In addition to the requirements of § 178.274, the following definitions and requirements apply to UN portable tanks intended for the transportation of liquid and solid hazardous materials:
(1)
(i) The maximum effective gauge pressure allowed in the shell during filling or discharge; or
(ii) The sum of:
(A) The absolute vapor pressure (in bar) of the hazardous material at 65 °C, minus 1 bar (149 °F, minus 100 kPa);
(B) The partial pressure (in bar) of air or other gases in the ullage space, resulting from their compression during filling without pressure relief by a maximum ullage temperature of 65 °C (149 °F) and a liquid expansion due to an increase in mean bulk temperature of 35 °C (95 °F); and
(C) A head pressure determined on the basis of the forces specified in § 178.274(c), but not less than 0.35 bar (35 kPa).
(2)
(i) The maximum effective gauge pressure allowed in the shell during filling or discharge; or
(ii) The maximum effective gauge pressure to which the shell is designed which must be not less than the design pressure.
(b)
(2) All portable tanks must be fitted with a manhole or other inspection openings of a suitable size to allow for internal inspection and adequate access for maintenance and repair of the interior. Compartmented portable tanks must have a manhole or other inspection openings for each compartment.
(3) For insulated portable tanks, top fittings must be surrounded by a spill collection reservoir with suitable drains.
(4) Piping must be designed, constructed and installed to avoid the risk of damage due to thermal expansion and contraction, mechanical shock and vibration. All piping must be of a suitable metallic material. Welded pipe joints must be used wherever possible.
(c)
(2) Bottom discharge outlets for portable tanks carrying certain solid, crystallizable or highly viscous hazardous materials must be equipped with at least two serially fitted and mutually independent shut-off devices. Use of only two shut-off devices is only authorized when this paragraph is referenced in the applicable T Code indicated for each hazardous material in the § 172.101 Table of this subchapter. The design of the equipment must be to the satisfaction of the approval agency and must include:
(i) An external stop-valve fitted as close to the shell as reasonably practicable; and
(ii) A liquid tight closure at the end of the discharge pipe, which may be a bolted blank flange or a screw cap.
(3) Except as provided in paragraph (c)(2) of this section, every bottom discharge outlet must be equipped with three serially fitted and mutually independent shut-off devices. The design of the equipment must be to the satisfaction of the approval agency and must include:
(i) A self-closing internal stop-valve, which is a stop-valve within the shell or within a welded flange or its companion flange, such that:
(A) The control devices for the operation of the valve are designed to prevent any unintended opening through impact or other inadvertent act;
(B) The valve is operable from above or below;
(C) If possible, the setting of the valve (open or closed) must be capable of being verified from the ground;
(D) Except for portable tanks having a capacity less than 1,000 liters (264.2 gallons), it must be possible to close the valve from an accessible position of the portable tank that is remote from the valve itself; and
(E) The valve must continue to be effective in the event of damage to the external device for controlling the operation of the valve;
(ii) An external stop-valve fitted as close to the shell as reasonably practicable; and
(iii) A liquid tight closure at the end of the discharge pipe, which may be a bolted blank flange or a screw cap.
(4) For a lined shell, the internal stop-valve required by paragraph (c)(3)(i) of this section may be replaced by an additional external stop-valve.
(d)
(e)
(2) Vacuum-relief devices used on portable tanks intended for the transportation of hazardous materials meeting the criteria of Class 3, including elevated temperature hazardous materials transported at or above their flash point, must prevent the immediate passage of flame into the shell or the portable tank must have a shell capable of withstanding, without leakage, an internal explosion resulting from the passage of flame into the shell.
(f)
(2) Pressure relief devices must be designed to prevent the entry of foreign matter, the leakage of liquid and the development of any dangerous excess pressure.
(3) When required for certain hazardous materials by the applicable T code or portable tank special provision specified for a hazardous material in the § 172.101 Table of this subchapter, portable tanks must have a pressure relief device consistent with the requirements of this subchapter. Except for a portable tank in dedicated service that is fitted with an approved relief device constructed of materials compatible with the hazardous material, the relief device system must include a frangible disc preceding a reclosing pressure relief device. A pressure gauge or suitable tell-tale indicator for the detection of disc rupture, pin-holing or leakage must provide the space between the frangible disc and the pressure relief device. The frangible disc must rupture at a nominal pressure 10% above the start to discharge pressure of the relief device.
(4) Every portable tank with a capacity less than 1,900 liters (501.9 gallons) must be fitted with a pressure relief device, which may be a frangible disc when this disc is set to rupture at a nominal pressure equal to the test pressure at any temperature within the design temperature range.
(5) When the shell is fitted for pressure discharge, a suitable pressure relief device must provide the inlet line to the portable tank set to operate at a pressure not higher than the MAWP of the shell, and a stop-valve must be fitted as close to the shell to minimize the potential for damage.
(6)
(ii) The required pressure relief device must be set to start-to-discharge at a nominal pressure of five-sixths of the test pressure for shells having a test pressure of not more than 4.5 bar (450 kPa) and 110% of two-thirds of the test pressure for shells having a test pressure of more than 4.5 bar (450 kPa). A self-closing relief device must close at a pressure not more than 10% below the pressure at which the discharge starts. The device must remain closed at all lower pressures. This requirement does not prevent the use of vacuum-relief or combination pressure relief and vacuum-relief devices.
(g)
(h)
(2) Under conditions of complete fire engulfment of the portable tank, the combined delivery capacity of the relief devices must be sufficient to limit the pressure in the shell to 20% above the start-to-discharge pressure specified in paragraph(f)(6) of this section. Emergency pressure relief devices may be used to achieve the full relief capacity prescribed. The total required capacity of the relief devices may be determined using the formula in paragraph (h)(2)(i) of this section or the table in paragraph (h)(2)(iii) of this section.
(i)(A) To determine the total required capacity of the relief devices, which must be regarded as being the sum of the individual capacities of all the contributing devices, the following formula must be used:
(B) The constant C, as shown in the formula in paragraph (h)(2)(i)(A) of this section, is derived from one of the following formula as a function of the ratio k of specific heats:
(C) When
(D) When
(ii) As an alternative to the formula in paragraph (h)(2)(i) of this section, relief devices for shells used for transporting liquids may be sized in accordance with the table in paragraph (h)(2)(iii) of this section. The table in paragraph (h)(2)(iii) of this section assumes an insulation value of F = 1 and must be adjusted accordingly when the shell is insulated. Other values used in determining the table in paragraph (h)(2)(iii) of this section are: L = 334.94 kJ/kg; M = 86.7; T = 394 K; Z = 1; and C = 0.607.
(iii) Minimum emergency vent capacity, Q, in cubic meters per air per second at 1 bar and 0 °C (273 K), as shown in the following table:
(iv) Insulation systems, used for the purpose of reducing venting capacity, must be approved by the approval agency. In all cases, insulation systems approved for this purpose must:
(A) Remain effective at all temperatures up to 649 °C (1200.2 °F); and
(B) Be jacketed with a material having a melting point of 700 °C (1292 °F) or greater.
(i)
63. Section 178.276 would be added to subpart H to read as follows:
(a) In addition to the requirements of § 178.274 applicable to UN portable tanks, the following requirements apply to UN portable tanks used for liquefied compressed gases. In addition to the definitions in § 178.274, the following definitions apply:
(i) The maximum effective gauge pressure allowed in the shell during filling or discharge; or
(ii) The sum of:
(A) The maximum effective gauge pressure to which the shell is designed as defined in this paragraph under “MAWP”; and
(B) A head pressure determined on the basis of the dynamic forces specified in paragraph (h) of this section, but not less than 0.35 bar (35 kPa).
For the purpose of this section, the term “design pressure” as used in this specification is identical to the term “maximum allowable working pressure” as used in the ASME Code, Section VIII.
(2)
(i) Shell with a diameter of 1.5 meters or less: 65 °C; or
(ii) Shell with a diameter of more than 1.5 meters:
(A) Without insulation or sun shield: 60 °C;
(B) With sun shield: 55 °C; and
(C) With insulation: 50 °C.
(3)
(4)
(i) The maximum effective gauge pressure allowed in the shell during filling or discharge; or
(ii) The maximum effective gauge pressure to which the shell is designed, which must be:
(A) Not less than the pressure specified for each liquefied compressed gas listed in portable tank special provision T50; and
(B) Not less than the sum of:
(
(
(b)
(2) Portable tanks must be postweld heat-treated and radiographed as prescribed in the ASME Code, except that each portable tank constructed in accordance with part UHT of the ASME Code must be postweld heat-treated. Where postweld heat treatment is required, the portable tank must be treated as a unit after completion of all the welds in and/or to the shell and heads. The method must be as prescribed in the ASME Code. Welded attachments to pads may be made after postweld heat treatment is made. A portable tank used for anhydrous ammonia must be postweld heat-treated. The postweld heat treatment must be as prescribed in the ASME Code, but in no event at less than 1050 °F tank metal temperature. Additionally, portable tanks constructed in accordance with part UHT of the ASME Code must conform to the following requirements:
(i) Welding procedure and welder performance tests must be made annually in accordance with section IX of the ASME Code. In addition to the essential variables named therein, the following must be considered to be essential variables: number of passes, thickness of plate, heat input per pass, and manufacturer's identification of rod and flux. The number of passes, thickness of plate and heat input per pass may not vary more than 25 percent from the procedure qualification. Records of the qualification must be retained for at least 5 years by the tank manufacturer and made available to duly identified representatives of the Department of Transportation or the owner of the tank.
(ii) Impact tests must be made on a lot basis. A lot is defined as 100 tons or less of the same heat and having a thickness variation no greater than plus or minus 25 percent. The minimum impact required for full-sized specimens shall be 20 foot-pounds (or 10 foot-pounds for half-sized specimens) at 0° F Charpy V-Notch in both the longitudinal and transverse direction. If the lot test does not pass this requirement, individual plates may be accepted if they individually meet this impact requirement.
(3) Welding procedures and welder performance tests must be made annually in accordance with Section IX of the ASME Code. In addition to the essential variables named therein, the following must be considered to be essential variables: number of passes, thickness of plate, heat input per pass, and manufacturer's identification of rod and flux. The number of passes,
(4) Impact tests must be made on a lot basis. A lot is defined as 100 tons or less of raw material of the same heat and having a thickness variation no greater than plus or minus 25%. The minimum impact required for full-sized specimens must be 20 foot-pounds (or 10 foot-pounds for half-sized specimens) at 0° F Charpy V-Notch in both the longitudinal and transverse direction. If the lot test does not pass this requirement, individual plates may be accepted if they individually meet this impact requirement.
(5) When the shells intended for the transportation of liquefied compressed gases are equipped with thermal insulation, a device must be provided to prevent any dangerous pressure from developing in the insulating layer in the event of a leak, when the protective covering is so closed as to be gas-tight. The thermal insulation must not inhibit access to the fittings and discharge devices. In addition, the thermal insulation systems must satisfy the following requirements:
(i) Consist of a shield covering not less than the upper third, but not more than the upper half of the surface of the shell, and separated from the shell by an air space of approximately 40 mm across; or
(ii) Consist of a complete cladding of insulating materials. The insulation must be of adequate thickness and constructed to prevent the ingress of moisture and damage to the insulation. The insulation and cladding must have a thermal conductance of not more than 0.67 (W·m
(c)
(2) When a portable tank is fitted with an excess flow valve, the excess flow valve must be so fitted that its seating is inside the shell or inside a welded flange or, when fitted externally, its mountings must be designed so that in the event of impact it must maintain its effectiveness. The excess flow valves must be selected and fitted so as to close automatically when the rated flow specified by the manufacturer is reached. Connections and accessories leading to or from such a valve must have a capacity for a flow more than the excess flow valve's rated flow.
(3) For filling and discharge openings, the first shut-off device must be an internal stop-valve and the second must be a stop-valve placed in an accessible position on each discharge and filling pipe.
(4) For filling and discharge bottom openings of portable tanks intended for the transportation of flammable and/or toxic liquefied compressed gases, the internal stop-valve must be a quick closing safety device that closes automatically in the event of unintended movement of the portable tank during filling or discharge or fire engulfment. Except for portable tanks having a capacity of not more than 1,000 liters (264.2 gallons), it must be possible to operate this device by remote control.
(5) In addition to filling, discharge and gas pressure equalizing orifices, shells may have openings in which gauges, thermometers and manometers can be fitted. Connections for such instruments must be made by suitable welded nozzles or pockets and may not be connected by screwed connections through the shell.
(6) All portable tanks must be fitted with manholes or other inspection openings of suitable size to allow for internal inspection and adequate access for maintenance and repair of the interior.
(d)
(e)
(2) Pressure relief devices must be designed to prevent the entry of foreign matter, the leakage of gas and the development of any dangerous excess pressure.
(3) Portable tanks intended for the transportation of certain liquefied compressed gases identified in portable tank special provision T50 in § 172.102 of this subchapter must have a pressure relief device which conforms to the requirements of this subchapter. Unless a portable tank in dedicated service is fitted with a relief device constructed of materials compatible with the hazardous material, the relief device must comprise a frangible disc preceded by a reclosing device. The space between the frangible disc and the device must be provided with a pressure gauge or a suitable tell-tale indicator. This arrangement must facilitate the detection of disc rupture, pinholing or leakage which could cause a malfunction of the pressure relief device. The frangible discs must rupture at a nominal pressure 10% above the start-to-discharge pressure of the relief device.
(4) In the case of portable tanks used for more than one gas, the pressure relief devices must open at a pressure indicated in paragraph (f) of this section for the gas having the highest maximum allowable pressure of the gases allowed to be transported in the portable tank.
(f)
64. A new § 178.277 would be added to subpart H to read as follows:
(a) In addition to the requirements of § 178.274 applicable to UN portable tanks, the following requirements and definitions apply to UN portable tanks used for refrigerated liquefied gases:
(1)
(2)
(3)
(4)
(5)
(6)
(i) A jacket and one or more inner shells where the space between the shell(s) and the jacket is exhausted of air (vacuum insulation) and may incorporate a thermal insulation system; or
(ii) A jacket and an inner shell with an intermediate layer of solid thermally insulating material (for example, solid foam).
(b)
(2) Portable tanks must be postweld heat treated and radiographed as prescribed in the ASME Code except that each tank constructed in accordance with part UHT of the ASME Code must be postweld heat treated. Where postweld heat treatment is required, the tank must be treated as a unit after completion of all the welds to the shell and heads. The method must be as prescribed in the ASME Code. Welded attachments to pads may be made after postweld heat treatment is made. The postweld heat treatment must be as prescribed in the ASME Code, but in no event at less than 1050 °F tank metal temperature.
(3) Welding procedure and welder performance tests must be made annually in accordance with Section IX of the ASME Code (incorporated by reference, see § 171.7 of this subchapter). In addition to the essential variables named in the ASME Code, the following must be considered as essential variables: number of passes, thickness of plate, heat input per pass, and the specified rod and flux. The number of passes, thickness of plate and heat input per pass may not vary more than 25% from the procedure qualification. Records of the qualification must be retained for at least 5 years by the portable tank manufacturer and made available to the approval agency and the owner of the portable tank as specified in § 178.273.
(4) Impact tests must be made on a lot basis. A lot is defined as 100 tons or less of the same heat and having a thickness variation no greater than plus or minus 25%. The minimum impact required for full-sized specimens must be 20 foot-pounds (or 10 foot-pounds for half-sized specimens) at 0 °F Charpy V-Notch in both the longitudinal and transverse direction. If the lot test does not pass this requirement, individual plates may be accepted if they individually meet this impact requirement.
(5) Shells and jackets must be made of metallic materials suitable for forming. Jackets must be made of steel. Non-metallic materials may be used for the attachments and supports between the shell and jacket, provided their material properties at the minimum design temperature are proven to be sufficient. In choosing the material, the minimum design temperature must be taken into account with respect to risk of brittle fracture, to hydrogen embrittlement, to stress corrosion cracking and to resistance to impact.
(6) Any part of a portable tank, including fittings, gaskets and pipe-work, which can be expected normally to come into contact with the refrigerated liquefied gas transported must be compatible with that refrigerated liquefied gas.
(7) The thermal insulation system must include a complete covering of the shell with effective insulating materials. External insulation must be protected by a jacket so as to prevent the ingress of moisture and other damage under normal transport conditions.
(8) When a jacket is so closed as to be gas-tight, a device must be provided to prevent any dangerous pressure from developing in the insulation space.
(9) Materials which may react with oxygen or oxygen enriched atmospheres in a dangerous manner may not be used in portable tanks intended for the transport of refrigerated liquefied gases having a boiling point below minus 182 °C at atmospheric pressure in locations with the thermal insulation where there is a risk of contact with oxygen or with oxygen enriched fluid.
(10) Insulating materials must not deteriorate unduly in service.
(11) A reference holding time must be determined for each refrigerated liquefied gas intended for transport in a portable tank. The reference holding time must be determined by testing in accordance with the requirements of § 178.338-9, considering the following factors:
(i) The effectiveness of the insulation system, determined in accordance with paragraph (b)(12) of this section;
(ii) The lowest set pressure of the pressure limiting device;
(iii) The initial filling conditions;
(iv) An assumed ambient temperature of 30 °C (86 °F);
(v) The physical properties of the individual refrigerated liquefied gas intended to be transported.
(12) The effectiveness of the insulation system (heat influx in watts) may be determined by type testing the portable tank in accordance with a procedure specified in § 178.338-9(c) or by using the holding time test in § 178.338-9(b). This test must consist of either:
(i) A constant pressure test (for example, at atmospheric pressure) when the loss of refrigerated liquefied gas is measured over a period of time; or
(ii) A closed system test when the rise in pressure in the shell is measured over a period of time.
(13) When performing the constant pressure test, variations in atmospheric pressure must be taken into account. When performing either test, corrections must be made for any variation of the ambient temperature from the assumed
(14) The jacket of a vacuum-insulated double-wall tank must have either an external design pressure not less than 100 kPa (1 bar) gauge pressure calculated in accordance with the ASME Code or a calculated critical collapsing pressure of not less than 200 kPa (2 bar) gauge pressure. Internal and external reinforcements may be included in calculating the ability of the jacket to resist the external pressure.
For the determination of the actual holding time as indicated by paragraphs (b)(11), (12) and (13) of this section, before each journey, refer to § 178.338-9(b).
(c)
(d)
(2) Each filling and discharge opening in portable tanks used for the transport of non-flammable refrigerated liquefied gases must be fitted with at least two mutually independent shut-off devices in series: the first being a stop-valve situated as close as reasonably practicable to the jacket and the second a blank flange or equivalent device.
(3) For sections of piping which can be closed at both ends and where liquid product can be trapped, a method of automatic pressure relief must be provided to prevent excess pressure build-up within the piping.
(4) Each connection on a portable tank must be clearly marked to indicate its function.
(5) When pressure-building units are used, the liquid and vapor connections to that unit must be provided with a valve as close to the jacket as reasonably practicable to prevent the loss of contents in case of damage to the pressure-building unit.
(6) The materials of construction of valves and accessories must have satisfactory properties at the lowest operating temperature of the portable tank.
(e)
(2) Except for portable tanks used for oxygen, portable tanks for non-flammable refrigerated liquefied gases (except oxygen) and hydrogen may in addition have frangible discs in parallel with the reclosing devices as specified in paragraphs (e)(4)(ii) and (e)(4)(iii) of this section.
(3) Pressure relief devices must be designed to prevent the entry of foreign matter, the leakage of gas and the development of any dangerous excess pressure.
(4)
(ii) For non-flammable refrigerated liquefied gases (except oxygen) and hydrogen, this capacity may be achieved by the use of frangible discs in parallel with the required safety-relief devices. Frangible discs must rupture at nominal pressure equal to the test pressure of the shell.
(iii) Under the circumstances described in paragraphs (e)(4)(i) and (e)(4)(ii) of this section, together with complete fire engulfment, the combined capacity of all pressure relief devices installed must be sufficient to limit the pressure in the shell to the test pressure.
(iv) The required capacity of the relief devices must be calculated in accordance with CGA Pamphlet S-1-1.2 (incorporated by reference, see § 171.7 of this subchapter).
65. In § 178.703, paragraph (a)(1) introductory text would be revised and in paragraph (a)(1)(ii), a new sentence would be added at the end of the paragraph to read as follows:
(a) * * *
(1) Mark every IBC in a durable and clearly visible manner (may be applied in a single line or in multiple lines provided the correct sequence is followed) with the following information in letters, numerals and symbols of at least 12 mm in height and in the sequence presented:
(ii) * * * The letter “W” must follow the IBC design type identification code on an IBC when the IBC differs from the requirements in subpart N of this part, or is tested using methods other than those specified in this subpart, and is approved by the Associate Administrator in accordance with the provisions in § 178.801(i).
66. In § 178.705, paragraph (c)(1)(iv)(A) would be revised and a new paragraph (c)(1)(iv)(C) would be added to read as follows:
(c) * * *
(1) * * *
(iv) * * *
(A) For a reference steel having a product of Rm X Ao = 10,000, where Ao is the minimum elongation (as a percentage) of the reference steel to be used on fracture under tensile stress, (Rm X Ao = 10,000 X 145; if tensile strength is in U.S. Standard units of pounds per square inch) the wall thickness must not be less than:
(C) For purposes of the calculation described in paragraph (c)(1)(iv)(B) of this section, the guaranteed minimum tensile strength of the metal to be used (Rm
67. In § 178.801, in paragraph (i), two sentences would be added at the end of the paragraph to read as follows:
(i) * * * A large packaging, as defined in § 171.8 of this subchapter, may be used if approved by the Associate Administrator. The large packaging must conform to the construction standards, performance testing and packaging marking requirements specified in the UN Recommendations (incorporated by reference, see § 171.7 of this subchapter)
68. In § 178.812, paragraph (c)(1) would be revised and a new paragraph (c)(3) would be added to read as follows:
(c)
(3) If not tested as indicated in paragraph (c)(1) of this section, a flexible IBC design type must be tested as follows:
(i) Fill the flexible IBC to 95% full with a material representative of the product to be shipped.
(ii) Suspend the flexible IBC by its lifting devices.
(iii) Apply a constant downward force through a specially designed platen. The platen will be a minimum of 60% and a maximum of 80% of the cross sectional surface area of the flexible IBC.
(iv) The combination of the mass of the filled flexible IBC and the force applied through the platen must be a minimum of six times the maximum net mass of the flexible IBC. The test must be conducted for a period of five minutes.
(v) Other equally effective methods of top lift testing and preparation may be used with approval of the Associate Administrator.
69. The authority citation for part 180 would continue to read as follows:
49 U.S.C. 5101-5127; 49 CFR 1.53.
70. Subpart G would be added to part 180 to read as follows:
This subpart prescribes requirements, in addition to those contained in parts 107, 171, 172, 173, and 178 of this subchapter, applicable to any person responsible for the continuing qualification, maintenance or periodic retesting of a portable tank.
(a) Each portable tank used for the transportation of hazardous materials must be an authorized packaging.
(b) To qualify as an authorized packaging, each portable tank must conform to the requirements of this subchapter or the applicable specification to which the portable tank was constructed.
(c) The following portable tanks are authorized for use provided they conform to all applicable safety requirements of this subchapter: 51, 56, 57, 60, IM 101, IM 102 and UN portable tanks.
(d) A portable tank that also meets the definition of “container” in 49 CFR 450.3(a)(3) must conform to the requirements in parts 450 through 453 of this tile for compliance with Annex II of the Convention for Safe Containers (CSC).
(e)
(a) A portable tank constructed in accordance with a DOT specification for which a test or inspection specified in this section has become due, may not be filled and offered for transportation or transported until the test or inspection has been successfully completed. This paragraph (a) does not apply to any portable tank filled prior to the test or inspection due date.
(b)
(1) The portable tank shows evidence of bad dents, corroded or abraded areas,
(2) The portable tank has been in an accident and has been damaged to an extent that may adversely affect its ability to retain the hazardous material.
(3) The portable tank has been out of hazardous materials transportation service for a period of one year or more.
(4) The portable tank has been modified from its original design specification.
(5) The Department so requires based on the existence of probable cause that the portable tank is in an unsafe operating condition.
(c)
(1) Each IM or UN portable tank must be given an initial inspection and test before being placed into service, a periodic inspection and test at least once every five years, and an intermediate periodic inspection and test at least every 2.5 years following the last five-year periodic inspection and test.
(2) Each Specification 51 portable tank must be given a periodic inspection and test at least once every five years.
(3) Each Specification 56 or 57 portable tank must be given a periodic inspection and test at least once every 2.5 years.
(4) Each Specification 60 portable tank must be given a periodic inspection and test at the end of the first 4-year period after the original test; at least once every 2 years thereafter up to a total of 12 years of service; and at least once annually thereafter. Retesting is not required on a rubber-lined tank except before each relining.
(d)
(1) A check of the design characteristics;
(2) An internal and external examination of the portable tank and its fittings, taking into account the hazardous materials to be transported;
(3) A hydrostatic pressure test as specified in paragraph (i) of this section;
(4) A leakage test;
(5) A test of the satisfactory operation of all service equipment including pressure relief devices must also be performed. When the shell and its fittings have been pressure-tested separately, they must be subjected to a leakage test after reassembly. All welds subject to full stress level in the shell must be inspected during the initial test by radiographic, ultrasonic, or another suitable non-destructive test method. This does not apply to the jacket;
(6) A UN portable tank that meets the definition of “container” in the CSC (see 49 CFR 450.3(a)(2)) must be subjected to an impact test using a prototype representing each design type. The prototype portable tank must be shown to be capable of absorbing the forces resulting from an impact not less than 4 times (4 g) the maximum permissable gross mass of the fully loaded portable tank at a duration typical of the mechanical shocks experienced in rail transportation. A listing of standards describing methods acceptable for performing the impact test are provided in the UN Recommendations (incorporated by reference, see § 171.7 of this subchapter);
(7) The following tests must be completed on a portable tank that is also a CSC container without leakage or deformation that would render the tank unsuitable for transportation and use:
(i)
(ii)
(e)
(f)
(g)
(h)
(1) The shell is inspected for pitting, corrosion, or abrasions, dents, distortions, defects in welds or any other conditions, including leakage, that might render the portable tank unsafe for transportation;
(2) The piping, valves, and gaskets are inspected for corroded areas, defects, and other conditions, including leakage, that might render the portable tank unsafe for filling, discharge or transportation;
(3) Devices for tightening manhole covers are operative and there is no leakage at manhole covers or gaskets;
(4) Missing or loose bolts or nuts on any flanged connection or blank flange are replaced or tightened;
(5) All emergency devices and valves are free from corrosion, distortion and any damage or defect that could prevent their normal operation. Remote closure devices and self-closing stop-valves must be operated to demonstrate proper operation;
(6) Required markings on the portable tank are legible and in accordance with the applicable requirements; and
(7) The framework, the supports and the arrangements for lifting the portable tank are in satisfactory condition.
(i)
(2) Each Specification 60 portable tank must be retested by completely filling the tank with water or other liquid having a similar viscosity, the temperature of which shall not exceed 100 °F during the test, and applying a pressure of 60 psig. The tank shall be capable of holding the prescribed pressure for at least 10 minutes without leakage, evidence of impending failure, or failure. All closures shall be in place while the test is made and the pressure shall be gauged at the top of the tank. Safety devices and/or vents shall be plugged during this test.
(3) Each Specification IM or UN portable tank, except for UN portable tanks used for liquefied compressed gases and all piping, valves and accessories, except pressure relief devices, must be hydrostatically tested with water, or other liquid of similar density and viscosity, to a pressure not less than 150% of its maximum allowable working pressure. UN portable tanks used for liquefied compressed gases must be hydrostatically tested with water, or other liquid of similar density and viscosity, to a pressure not less than 130% of its maximum allowable working pressure. The minimum test pressure for a portable tank is determined on the basis of the hazardous materials that are intended to be transported in the tanks. Minimum test pressure for specific hazardous materials are specified in the applicable T Codes assigned to a particular hazardous material in the § 172.101 Table of this subchapter. While under pressure the tank shall be inspected for leakage, distortion, or any other condition which might render the tank unsafe for service. A portable tank fails to meet the requirements of the pressure test if, during the test, there is permanent distortion of the tank exceeding that permitted by the applicable specification; if there is any leakage; or if there are any deficiencies. Any portable tank that fails must be rejected and may not be used again for the transportation of a hazardous material unless the tank is adequately repaired, and, thereafter, a successful test is conducted in accordance with the requirements of this paragraph. An approval agency shall witness the hydrostatic test. Any damage or deficiency that might render the portable tank unsafe for service shall be repaired to the satisfaction of the witnessing approval agency. The repaired tank must be hydrostatically retested. Upon successful completion of the hydrostatic test, the witnessing approval agency shall apply its name, identifying mark or identifying number in accordance with paragraph (l) of this section.
(j)
(k)
(l)
(m)
Issued in Washington, DC on August 16, 2000, under authority delegated in 49 CFR part 106.
Fish and Wildlife Service, Interior.
Final rule.
We, the U.S. Fish and Wildlife Service (Service), designate critical habitat pursuant to the Endangered Species Act of 1973, as amended (Act), for the San Diego fairy shrimp (
Section 7 of the Act requires Federal agencies to ensure that actions they authorize, fund, or carry out are not likely to destroy or adversely modify designated critical habitat. As required by section 4 of the Act, we considered economic and other relevant impacts prior to making a final decision on what areas to designate as critical habitat.
This final rule is effective November 22, 2000.
The complete administrative record for this rule is on file at the Carlsbad Fish and Wildlife Office, U.S. Fish and Wildlife Service, 2730 Loker Avenue West, Carlsbad, California 92008. The complete file for this rule is available for public inspection, by appointment, during normal business hours at the above address.
Ken Berg, Field Supervisor, Carlsbad Fish and Wildlife Office, at the above address (telephone 760/431-9440; facsimile 760/431-5902).
The San Diego fairy shrimp (
San Diego fairy shrimp is one of several
Mature individuals lack a carapace (hard outer covering of the head and thorax) and have a delicate elongate body, large stalked compound eyes, and 11 pairs of swimming legs. They swim or glide gracefully upside down by means of complex wave-like beating movements of the legs that pass from front to back. Adult male San Diego fairy shrimp range in size from 9 to 16 millimeters (mm) (0.35 to 0.63 in); adult females are 8 to 14 mm (0.31 to 0.55 in.) long. The second pair of antennae in males are greatly enlarged and specialized for clasping the females during copulation, while the second pair of antennae in the females are cylindrical and elongate. The females carry their eggs in an oval or elongate ventral brood sac (Eriksen and Belk 1999). Little data is available for what fairy shrimp feed on, although algae, bacteria, protozoa, rotifers, and bits of organic matter are thought to be a large part of their diet (Pennak 1989; Eng
Adult San Diego fairy shrimp are usually observed from January to March; however, in years with early or late rainfall, the hatching period may be extended. The species hatches and matures within 7 days to 2 weeks depending on water temperature (Hathaway and Simovich 1996; Simovich and Hathaway 1997). San Diego fairy shrimp disappear after about a month, but animals will continue to hatch if subsequent rains result in additional water or refilling of the vernal pools (Branchiopod Research Group 1996). The eggs are either dropped to the pool bottom or remain in the brood sac until the female dies and sinks. The “resting eggs,” or “cysts,” are capable of withstanding temperature extremes and prolonged drying. When the pools refill in the same or subsequent rainy seasons, some but not all of the eggs may hatch. Fairy shrimp egg banks in the soil may be composed of the eggs from several years of breeding (Donald 1983; Simovich and Hathaway 1997). Simovich and Hathaway (1997) found that vernal pools and ephemeral wetlands that support anostracans (
Vernal pools have a discontinuous occurrence in several regions of California (Keeler-Wolf
Researchers have found that vernal pools located in San Diego County are associated with five soil series types, Huerheuero, Olivenhain, Placentia, Redding, and Stockpen (Bauder and McMillan 1991). These soil types have a nearly impermeable surface or subsurface soil layer with a flat or gently sloping topography (Service 1998). Due to local topography and geology, the
Vernal pool systems are often characterized by different landscape features including mima mound (miniature mounds) micro-topography, varied pool basin size and depth, and vernal swales (low tract of marshy land). Vernal pool complexes that support one to many distinct vernal pools are often interconnected by a shared watershed.
San Diego County supports the largest number of remaining vernal pools occupied by the San Diego fairy shrimp. Scientists estimated that, historically, vernal pool soils covered approximately 208 hectares (ha) (520 acres (ac)) of San Diego County (Bauder and McMillan 1991). Based on available information at the time of listing, we estimate that fewer than 82 ha (202 ac) of occupied vernal pool habitat (based on vernal pool basins and not their associated watersheds) remain in the county, of which an estimated 70 percent occurs on military lands (Bauder and Weir 1991). Keeler-Wolf
Urban and water development, flood control, highway and utility projects, as well as conversion of wildlands to agricultural use, have eliminated vernal pools and/or their watersheds in southern California (Jones and Stokes Associates 1987). Changes in hydrologic pattern, overgrazing, and off-road vehicle use also imperil this aquatic habitat and San Diego fairy shrimp. The flora and fauna in vernal pools or swales can change if the hydrologic regime is altered (Bauder 1986). Human activities that reduce the extent of the watershed or that alter runoff patterns (
David Hogan, formerly of the San Diego Biodiversity Project in Julian, California; Dr. Denton Belk of Our Lady of the Lake University in San Antonio, Texas; and the Biodiversity Legal Foundation petitioned us to list the San Diego fairy shrimp as an endangered species, in a letter dated March 16, 1992. We received the petition on March 24, 1992. On August 4, 1994, we published a proposed rule in the
At the time of listing, we concluded that designation of critical habitat for the San Diego fairy shrimp was not prudent because such designation would not benefit the species. We were also concerned that critical habitat designation would likely increase the degree of threat from vandalism or other human-induced impacts. We were aware of several instances of apparently intentional habitat destruction that had occurred during the listing process. However, we have determined that the threats to this species, and its habitat, from specific instances of habitat destruction do not outweigh the broader educational and any potential regulatory and other possible benefits that designation of critical habitat would provide for this species. A designation of critical habitat will provide educational benefits by formally identifying those areas essential to the conservation of the species, and the areas likely to be the focus of our recovery efforts for the San Diego fairy shrimp. Therefore, we conclude that the benefits of designating critical habitat on lands essential for the conservation of the San Diego fairy shrimp will not increase incidences of vandalism above current levels for this species.
On October 14, 1998, the Southwest Center for Biological Diversity filed a lawsuit in Federal District Court for the Southern District of California for our failure to designate critical habitat for the San Diego fairy shrimp. On September 16, 1999, the court ordered that “On or before February 29, 2000, the Service shall submit for publication in the
On March 8, 2000, we published a proposed rule to designate critical habitat for the San Diego fairy shrimp (65 FR 12181). We proposed critical habitat within approximately 14,771 ha (36,501 ac) within Orange and San Diego counties, California. The public comment period was open for 60 days. On August 21, 2000, we published a notice of availability for the draft economic analysis and reopening of the comment period for the proposed rule for the San Diego fairy shrimp critical habitat (65 FR 50672). The second comment period closed on September 5, 2000.
Critical habitat is defined in section 3 of the Act as—(i) the specific areas within the geographic area occupied by a species, at the time it is listed in accordance with the Act, on which are found those physical or biological features (I) essential to the conservation of the species and (II) that may require special management considerations or protection and; (ii) specific areas outside the geographic area occupied by a species at the time it is listed, upon a determination that such areas are essential for the conservation of the species. “Conservation” means the use of all methods and procedures that are necessary to bring an endangered species or a threatened species to the point at which listing under the Act is no longer necessary.
In order to be included in a critical habitat designation, the habitat must first be “essential to the conservation of the species.” Critical habitat designations identify, to the extent known using the best scientific and commercial data available, habitat areas that provide essential life cycle needs of the species (
Section 4 requires that we designate critical habitat at the time of listing and based on what we know at the time of the designation. When we designate critical habitat at the time of listing or
Within the geographic area occupied by the species, we will designate only areas currently known to be essential. Essential areas should already have the features and habitat characteristics that are necessary to sustain the species. We will not speculate about what areas might be found to be essential if better information became available, or what areas may become essential over time. If the information available at the time of designation does not show that an area provides essential life cycle needs of the species, then the area should not be included in the critical habitat designation. Within the geographic area occupied by the species, we will not designate areas that do not now have the primary constituent elements, as defined at 50 CFR 424.12(b), that provide essential life cycle needs of the species.
Our regulations state that, “The Secretary shall designate as critical habitat areas outside the geographic area presently occupied by the species only when a designation limited to its present range would be inadequate to ensure the conservation of the species.” (50 CFR 424.12(e)). Accordingly, when the best available scientific and commercial data do not demonstrate that the conservation needs of the species require designation of critical habitat outside of occupied areas, we will not designate critical habitat in areas outside the geographic area occupied by the species.
The Service's Policy on Information Standards Under the Endangered Species Act, published in the
Habitat is often dynamic, and species may move from one area to another over time. Furthermore, we recognize that designation of critical habitat may not include all of the habitat areas that may eventually be determined to be necessary for the recovery of the species. For these reasons, all should understand that critical habitat designations do
In determining areas that are essential to conserve the San Diego fairy shrimp, we used the best scientific and commercial data available. This included data from research and survey observations published in peer-reviewed articles, recovery criteria outlined in the Recovery Plan for Vernal Pools of Southern California (Recovery Plan) (Service 1998), regional Geographic Information System (GIS) vegetation and species coverages (including vegetation layers for Orange and San Diego Counties), data collected on the U.S. Marine Corps (Marine Corps) Air Station, Miramar (Miramar) and Marine Corps Station, Camp Pendleton (Camp Pendleton), data collected from reports submitted by biologists holding section 10(a)(1)(A) recovery permits, and comments received on the proposed rule and economic analysis.
In accordance with sections 3(5)(A)(i) and 4(b)(2) of the Act, and regulations at 50 CFR 424.12, in determining which areas to propose as critical habitat, we are required to base critical habitat determinations on the best scientific and commercial data available. We consider those physical and biological features (primary constituent elements) that are essential to the conservation of the species, and that may require special management considerations or protection. These include, but are not limited to: space for individual and population growth, and for normal behavior; food, water, or other nutritional or physiological requirements; cover or shelter; sites for breeding and reproduction; and habitats that are protected from disturbance or are representative of the historic geographical and ecological distributions of a species.
The primary constituent elements for the San Diego fairy shrimp are those habitat components that are essential for the primary biological needs of foraging, sheltering, reproduction, and dispersal. The primary constituent elements are found in those areas that support vernal pools or other ephemeral depressional wetlands. Primary constituent elements include the vernal pool basins and associated watersheds, and include, but are not limited to: small to large vernal pools with shallow to moderate depths that hold water for sufficient lengths of time necessary for San Diego fairy shrimp incubation and reproduction, but not necessarily every year; associated watershed(s) and hydrology for vernal pool basins and their related vernal pool complexes; ephemeral depressional wetlands, flat or gently sloping topography, and any soil type with a clay component and/or an impermeable surface or subsurface layer known to support vernal pool habitat. The associated watersheds are essential in maintaining the hydrology of vernal pools necessary to support San Diego fairy shrimp. The long-term conservation of vernal pools that are essential for the recovery of the San Diego fairy shrimp include the protection and management of their associated watersheds. Primary constituent elements or components thereof are found in all the areas designated for critical habitat.
In an effort to map areas essential to the conservation of the species, we used data on known San Diego fairy shrimp locations, and those vernal pools and vernal pool complexes that were identified in the Recovery Plan as essential for the stabilization and reclassification of the species. The long-
In defining critical habitat boundaries, we made an effort to avoid developed areas, such as towns and other similar lands, that are unlikely to contribute to San Diego fairy shrimp conservation. However, the minimum mapping unit that we used did not allow us to exclude all developed areas, such as towns, or housing developments, or other lands unlikely to contain the primary constituent elements essential for conservation of the San Diego fairy shrimp. Existing features and structures within the boundaries of the mapped units, such as buildings, roads, aqueducts, railroads, airports, other paved areas, lawns, landscaped areas, and other urban areas, will not contain one or more of the primary constituent elements. Federal actions limited to those areas, therefore, would not trigger a section 7 consultation, unless they affect the species and/or primary constituent elements in adjacent critical habitat. Within the area designated as critical habitat, only an estimated 18 ha (45 ac) is of unknown occupancy. The remaining complexes of vernal pools and their associated watersheds within the designated critical habitat area are within the geographical area occupied by San Diego fairy shrimp.
In summary, in determining areas that are essential to conserve San Diego fairy shrimp, we used the best scientific information available to us. The critical habitat areas described below constitute our best assessment of areas needed for the species' conservation and recovery.
The approximate area of critical habitat by county and land ownership is shown in Table 1. Critical habitat includes San Diego fairy shrimp habitat throughout the species' range in the United States (
Unit 1 encompasses approximately 25 ha (62 ac) in Orange County within the Los Angeles Basin-Orange Management Area as outlined in the Recovery Plan. The Fairview Regional Park vernal pool complex is occupied by the species and is designated as critical habitat. This unit provides the northern extent of this species' distribution and represents the historic distribution of coastal terrace vernal pools in this area. This northernmost unit is essential to the conservation of the San Diego fairy shrimp by maintaining the ecological distribution of this species, retaining the genetic diversity of this population, and to provide a buffer against catastrophic events.
Unit 2 encompasses approximately 79 ha (195 ac) in San Diego County within the San Diego. It includes a small portion of Camp Pendleton and an area within the City of Carlsbad as outlined in the Recovery Plan. The area designated on Camp Pendleton includes lands leased by the California State Department of Parks and Recreation and private interests from Camp Pendleton. Within the jurisdiction of the City of Carlsbad, one vernal pool complex located in the vicinity of Palomar Airport and one complex at Poinsettia Lane train station are designated as critical habitat. These vernal pool complexes represent vernal pool habitat associated with coastal terraces found north of the San Dieguito River. Given the rarity of San Diego fairy shrimp and the limited amount of vernal pool habitat, this unit is essential to the conservation of this species because of the broad array of vernal pool complexes that are represented. This unit supports recovery criteria by maintaining a diversity of vernal pools that support the genetic diversity and population stability of the San Diego fairy shrimp.
Unit 3 encompasses 1,231 ha (3,042 ac) in San Diego County within the San Diego: Inland Valley Management Area as outlined in the Recovery Plan. Lands designated contain vernal pool complexes within the jurisdiction of the City of San Marcos and the community of Ramona. In the community of Ramona, one of the complexes is within the County's Ramona Airport boundaries. These vernal pool complexes are generally isolated from maritime influence (greater than 10 km (6 mi) from the coast) and are representative of vernal pools associated with alluvial or volcanic type soils. Approximately 18 ha (45 ac) of this unit are currently of unknown occupancy. This unit provides for the conservation of the San Diego fairy shrimp by protecting vernal pools within the
Unit 4 encompasses 225 ha (556 ac) in San Diego County within the San Diego: Central Coastal Mesa Management Area as outlined in the Recovery Plan. Lands designated contain vernal pool complexes within the jurisdiction of the City of San Diego, State of California, Service, and private interests. These vernal pool complexes are associated with coastal terraces and mesas found south of the San Dieguito River to the San Diego Bay. This unit protects a diversity of vernal pools that support the San Diego fairy shrimp. Protection of this broad representation of vernal pools furthers the recovery of this species by maintaining genetic diversity and stabilizing populations.
Unit 5 encompasses 69 ha (170 ac) in San Diego County within the San Diego: Southern Coastal Mesa Management Area as outlined in the Recovery Plan. Lands designated include vernal pool complexes within the jurisdiction of the Service, City of San Diego, City of Chula Vista, County of San Diego, U.S. Immigration and Naturalization Service (INS), and private interests. These vernal pool complexes are associated with coastal mesas from the Sweetwater River south to the international border with Mexico. This southernmost unit is essential to the conservation of the San Diego fairy shrimp by maintaining the ecological distribution of this species, retaining the genetic diversity of this population, and to provide a buffer against catastrophic events.
Section 7(a) of the Act requires Federal agencies, including the Service, to ensure that actions they fund, authorize, or carry out are not likely to jeopardize the continued existence of a threatened or endangered species, or result in the destruction or adverse modification of critical habitat to the extent that the action appreciably diminishes the value of the critical habitat for the survival and recovery of the species. Individuals, organizations, States, local governments, and other non-Federal entities are affected by the designation of critical habitat only if their actions occur on Federal lands, require a Federal permit, license, or other authorization, or involve Federal funding. In 50 CFR 402.02, “jeopardize the continued existence” (of a species) is defined as engaging in an activity likely to result in an appreciable reduction in the likelihood of survival and recovery of a listed species. “Destruction or adverse modification” (of critical habitat) is defined as a direct or indirect alteration that appreciably diminishes the value of critical habitat for the survival and recovery of the listed species for which critical habitat was designated. Thus, the definitions of “jeopardy” to the species and “adverse modification” of critical habitat are nearly identical.
Section 7(a) of the Act requires Federal agencies, including the Service, to evaluate their actions with respect to any species that is proposed or listed as endangered or threatened, and with respect to its critical habitat, if any is designated or proposed. Regulations implementing this interagency cooperation provision of the Act are codified at 50 CFR part 402. Section 7(a)(4) requires Federal agencies to confer with us on any action that is likely to jeopardize the continued existence of a proposed species or result in destruction or adverse modification of proposed critical habitat. Conference reports provide conservation recommendations to assist the agency in eliminating conflicts that may be caused by the proposed action. The conservation recommendations in a conference report are advisory. If a species is listed or critical habitat is designated, section 7(a)(2) requires Federal agencies to ensure that activities they authorize, fund, or carry out are not likely to jeopardize the continued existence of such a species or to destroy or adversely modify its critical habitat. If a Federal action may affect a listed species or its critical habitat, the responsible Federal agency (action agency) must enter into consultation with us. Through this consultation, we would ensure that the permitted actions do not adversely modify critical habitat.
When we issue a biological opinion concluding that a project is likely to result in the destruction or adverse modification of critical habitat, we also provide reasonable and prudent alternatives to the project, if any are identifiable. Reasonable and prudent alternatives are defined at 50 CFR 402.02 as alternative actions identified during consultation that can be implemented in a manner consistent with the intended purpose of the action, that are consistent with the scope of the Federal agency's legal authority and jurisdiction, that are economically and technologically feasible, and that the Director believes would avoid resulting in the destruction or adverse modification of critical habitat.
Reasonable and prudent alternatives can vary from slight project modifications to extensive redesign or relocation of the project. Costs associated with implementing a reasonable and prudent alternative are similarly variable.
Regulations at 50 CFR 402.16 require Federal agencies to reinitiate consultation on previously reviewed actions in instances where critical habitat is subsequently designated, and the Federal agency has retained discretionary involvement or control over the action or such discretionary involvement or control is authorized by law. Consequently, some Federal agencies may request reinitiation of consultation with us on actions for which formal consultation has been completed, if those actions may affect designated critical habitat and they have retained discretionary involvement in the action. Further, some Federal agencies may have conferenced with us on proposed critical habitat. We may adopt the formal conference report as the biological opinion when critical habitat is designated, if no significant new information or changes in the action alter the content of the opinion (see 50 CFR 402.10(d)).
Activities on Federal lands that may affect the San Diego fairy shrimp or its critical habitat will require section 7 consultation. Activities on private or State lands requiring a permit from a Federal agency, such as a permit from the U.S. Army Corps of Engineers (Corps) under section 404 of the Clean Water Act, or some other Federal action, including funding (
Section 4(b)(8) of the Act requires us to briefly evaluate and describe in any proposed or final regulation that designates critical habitat those activities involving a Federal action that may adversely modify such habitat, or that may be affected by such designation.
Activities that, when carried out, funded, or authorized by a Federal agency, may affect critical habitat and require that a section 7 consultation be conducted include, but are not limited to:
(1) Any activity that results in discharge of dredged or fill material, excavation, or mechanized land clearing of ephemeral and/or vernal pool basins (e.g., road and fence construction and maintenance, right-of-way designation, airport improvement activities, and regulation of agricultural activities);
(2) Any activity that alters the watershed, water quality, or water quantity to an extent that water quality becomes unsuitable to support San Diego fairy shrimp, or any activity that significantly affects the natural hydrologic function of the vernal pool system; and
(3) Activities that could lead to the introduction of exotic species into San Diego fairy shrimp habitat.
Activities that may destroy or adversely modify critical habitat include those that alter the primary constituent elements to an extent that the value of critical habitat for both the survival and recovery of the San Diego fairy shrimp is appreciably reduced. We note that such activities may also jeopardize the continued existence of the species.
To properly portray the effects of critical habitat designation, we must first compare the section 7 requirements for actions that may affect critical habitat with the requirements for actions that may affect a listed species. Section 7 prohibits actions funded, authorized, or carried out by Federal agencies from jeopardizing the continued existence of a listed species or destroying or adversely modifying the listed species' critical habitat. Actions likely to “jeopardize the continued existence” of a species are those that would appreciably reduce the likelihood of the species' survival and recovery. Actions likely to “destroy or adversely modify” critical habitat are those that would appreciably reduce the value of critical habitat for the survival and recovery of the listed species.
Common to both definitions is an appreciable detrimental effect on both survival and recovery of a listed species. Given the similarity of these definitions, actions likely to destroy or adversely modify critical habitat would almost always result in jeopardy to the species concerned, particularly when the area of the proposed action is occupied by the species concerned. In those cases, critical habitat provides little additional protection to a species, and the ramifications of its designation are few or none. However, if occupied habitat becomes unoccupied in the future, there is a potential benefit from critical habitat in such areas.
If you have questions regarding whether specific activities will constitute destruction or adverse modification of critical habitat, contact the Field Supervisor, Carlsbad Fish and Wildlife Office (see
All lands designated as critical habitat are within the geographical area occupied by the species and are likely to be used by the San Diego fairy shrimp. Federal agencies already consult with us on activities in areas currently occupied by the species, or if the species may be affected by the action to ensure that their actions do not jeopardize the continued existence of the species. Thus, we do not anticipate additional regulatory protection will result from critical habitat designation.
Special management or protection is a term that originates in the definition of critical habitat in section 3 of the Act that refers to areas within the current range of the species. For areas in the current range of the species, we first determine whether the area contains the physical and biological features essential to the conservation of the species and the area has or needs special management or protection. Additional special management is not required if adequate management or protection is already in place. Adequate special management or protection is provided by a legally operative plan/agreement that addresses the maintenance and improvement of the primary constituent elements important to the species and manages for the long-term conservation of the species. We use the following three criteria to determine if a plan provides adequate special management or protection: (1) A current plan/agreement must be complete and provide sufficient conservation benefit to the species, (2) the plan must provide assurances that the conservation management strategies will be implemented, and (3) the plan must provide assurances that the conservation management strategies will be effective,
The Sikes Act Improvements Act of 1997 (Sikes Act) requires each military installation that includes land and water suitable for the conservation and management of natural resources to complete, by November 17, 2001, an Integrated Natural Resources Management Plan (INRMP). An INRMP integrates implementation of the military mission of the installation with stewardship of the natural resources found there. Each INRMP includes an assessment of the ecological needs on the installation, including needs to provide for the conservation of listed species; a statement of goals and priorities; a detailed description of management actions to be implemented to provide for these ecological needs; and a monitoring and adaptive management plan. We consult with the military on the development and implementation of INRMPs for installations with listed species. We believe bases that have completed and approved INRMPs that address the needs of the species generally do not meet the definition of critical habitat discussed above, as they require no additional special management or protection.
We evaluated Department of Defense (DOD) Integrated Natural Resource Management Plans (INRMPs) for DOD land that was within the proposed critical habitat to determine whether any INRMPs met the special management criteria. To date, Marine Corps Air Base, Miramar is the only DOD installation that has completed a final INRMP that provides for sufficient conservation management and protection for the San Diego fairy shrimp. We reviewed this plan and determined that it addresses and meets the three criteria. Therefore, lands on Marine Corps Air Base, Miramar no longer meet the definition of critical habitat, and they have been excluded from the final designation of critical habitat for the San Diego fairy shrimp.
Subsection 4(b)(2) of the Act allows us to exclude areas from critical habitat designation where the benefits of exclusion outweigh the benefits of designation, provided the exclusion will not result in the extinction of the species. For the following reasons, we believe that in most instances the benefits of excluding HCPs from critical habitat designations will outweigh the benefits of including them.
The benefits of including HCP lands in critical habitat are normally small. The principal benefit of any designated critical habitat is that activities in such habitat that may affect it require consultation under section 7 of the Act. Such consultation would ensure that
In addition, an HCP application must itself be consulted upon. While this consultation will not look specifically at the issue of adverse modification of critical habitat, it will look at the very similar concept of jeopardy to the listed species in the plan area. Since HCPs, particularly large regional HCPs, address land use within the plan boundaries, habitat issues within the plan boundaries will have been thoroughly addressed in the HCP and the consultation on the HCP. Our experience is also that, under most circumstances, consultations under the jeopardy standard will reach the same result as consultations under the adverse modification standard. Implementing regulations (50 CFR Part 402) define “jeopardize the continued existence of” and “destruction or adverse modification of” in virtually identical terms. Jeopardize the continued existence of means to engage in an action “that reasonably would be expected * * * to reduce appreciably the likelihood of both the survival and recovery of a listed species.” Destruction or adverse modification means an “alteration that appreciably diminishes the value of critical habitat for both the survival and recovery of a listed species.” Common to both definitions is an appreciable detrimental effect on both survival and recovery of a listed species, in the case of critical habitat by reducing the value of the habitat so designated. Thus, actions satisfying the standard for adverse modification are nearly always found to also jeopardize the species concerned, and the existence of a critical habitat designation does not materially affect the outcome of consultation. Additional measures to protect the habitat from adverse modification are not likely to be required.
Further, HCPs typically provide for greater conservation benefits to a covered species than section 7 consultations because HCPs assure the long term protection and management of a covered species and its habitat, and funding for such management through the standards found in the 5-Point Policy for HCPs (64 FR 35242) and the HCP No Surprises regulation (63 FR 8859). Such assurances are typically not provided by section 7 consultations which, in contrast to HCPs, often do not commit the project proponent to long term special management or protections. Thus, a consultation typically does not accord the lands it covers the extensive benefits an HCP provides.
The development and implementation of HCPs provide other important conservation benefits, including the development of biological information to guide conservation efforts and assist in species recovery and the creation of innovative solutions to conserve species while allowing for development. The educational benefits of critical habitat, including informing the public of areas that are important for the long-term survival and conservation of the species, are essentially the same as those that would occur from the public notice and comment procedures required to establish an HCP, as well as the public participation that occurs in the development of many regional HCPs. For these reasons, then, we believe that designation of critical habitat has little benefit in areas covered by HCPs.
The benefits of excluding HCPs from being designated as critical habitat may be more significant. During two public comment periods on our critical habitat policy, we received several comments about the additional regulatory and economic burden of designating critical habitat. These include the need for additional consultation with the Service and the need for additional surveys and information gathering to complete these consultations. HCP applicants have also stated that they are concerned that third parties may challenge HCPs on the basis that they result in adverse modification or destruction of critical habitat, should critical habitat be designated within the HCP boundaries.
The benefits of excluding HCPs include relieving landowners, communities and counties of any additional minor regulatory review that might be imposed by critical habitat. Many HCPs, particularly large regional HCPs, take many years to develop and, upon completion, become regional conservation plans that are consistent with the recovery of covered species. Many of these regional plans benefit many species, both listed and unlisted. Imposing an additional regulatory review after HCP completion may jeopardize conservation efforts and partnerships in many areas and could be viewed as a disincentive to those developing HCPs. Excluding HCPs provides us with an opportunity to streamline regulatory compliance and confirms regulatory assurances for HCP participants.
A related benefit of excluding HCPs is that it would encourage the continued development of partnerships with HCP participants, including states, local governments, conservation organizations, and private landowners, that together can implement conservation actions we would be unable to accomplish alone. By excluding areas covered by HCPs from critical habitat designation, we preserve these partnerships, and, we believe, set the stage for more effective conservation actions in the future.
In general, then, we believe the benefits of critical habitat designation to be small in areas covered by approved HCPs. We also believe that the benefits of excluding HCPs from designation are significant. Weighing the small benefits of inclusion against the benefits of exclusion, including the benefits of relieving property owners of an additional layer of approvals and regulation, together with the encouragement of conservation partnerships, would generally result in HCPs being excluded from critical habitat designation under Section 4(b)(2) of the Act.
Not all HCPs are alike with regard to species coverage and design. Within this general analytical framework, we need to evaluate completed and legally operative HCPs in the range of the San Diego fairy shrimp to determine whether the benefits of excluding these particular areas outweigh the benefits of including them.
Several habitat conservation planning efforts have been completed within the range of the San Diego fairy shrimp. Principal among these is the San Diego Multiple Species Conservation Program (MSCP) and its subarea plans. The MSCP provides conservation measures for the San Diego fairy shrimp even though take authorization, should any be needed, is designed to come from a subsequent permitting process (typically through a section 7 consultation with the Corps). The MSCP will result in the avoidance of the majority of fairy shrimp habitat within the planning area. The MSCP provides that fairy shrimp habitat should be completely avoided to the maximum extent practicable
In summary, the benefits of including the MSCP in critical habitat for the San Diego fairy shrimp include increased educational benefits and minor additional management protections and measures. The benefits of excluding MSCP from being designated as critical habitat for the San Diego fairy shrimp include the additional conservation measures for the San Diego fairy shrimp and other listed species, preservation of partnerships that may lead to future conservation, and the avoidance of the minor regulatory and economic burdens associated with the designation of critical habitat. The benefits of excluding these areas from critical habitat designation outweigh the benefits of including these areas. Furthermore, we have determined that these exclusions will not result in the extinction of the species. We have already completed section 7 consultation on the impacts of these HCPs on the species. We have determined that they will not jeopardize the continued existence of the species, meaning that they will not appreciably reduce the survival and recovery of the species.
Another HCP effort is the Natural Community Conservation Planning (NCCP) program in Orange and San Diego Counties. The NCCP/HCP effort in Orange County Central/Coastal is designed to provide the same level of protection for San Diego fairy shrimp as the San Diego MSCP. However, unlike the San Diego MSCP, the vernal pool complex at Fairview Regional Park within Orange County occurs within a city which is not a participating jurisdiction under the plan. The benefits from designating this area as critical habitat are not outweighed by the benefits of the HCP. Therefore, the Fairview Regional Park vernal pool complex is included as critical habitat.
We anticipate that future HCPs in the range of the San Diego fairy shrimp will include it as a covered species and provide for its long-term conservation. We expect that HCPs undertaken by local jurisdictions (
In the event that future HCPs covering the San Diego fairy shrimp are developed within the boundaries of designated critical habitat, we will work with applicants to ensure that the HCPs provide for protection and management of habitat areas essential for the conservation of this species. This will be accomplished by either directing development and habitat modification to nonessential areas, or appropriately modifying activities within essential habitat areas so that such activities will not adversely modify the primary constituent elements. The HCP development process provides an opportunity for more intensive data collection and analysis regarding the use of particular habitat areas by the San Diego fairy shrimp. The process also enables us to conduct detailed evaluations of the importance of such lands to the long-term survival of the species in the context of constructing a biologically configured system of interlinked habitat blocks.
We will provide technical assistance and work closely with applicants throughout the development of future HCPs to identify lands essential for the long-term conservation of the San Diego fairy shrimp and appropriate management for those lands. The take minimization and mitigation measures provided under these HCPs are expected to protect the essential habitat lands designated as critical habitat in this rule. If an HCP that addresses the San Diego fairy shrimp as a covered species is ultimately approved, we will reassess the critical habitat boundaries in light of the HCP. We will seek to undertake this review when the HCP is approved, but funding constraints may influence the timing of such a review.
In contrast to Marine Corps Air Base Miramar, Marine Corps Base Camp Pendleton (Camp Pendleton) has not yet completed their INRMP. Camp Pendleton has several substantial vernal pool complexes that support the San Diego fairy shrimp. In light of these factors, we proposed 4,902 ha (12,114 ac) of the approximately 50,000 ha (125,000 acre) base as critical habitat for the San Diego fairy shrimp. Out of the 46 training or joint use areas on Camp Pendleton, the proposal included all of five such areas, which were concentrated on the coastal portion of the Base. In addition, the proposal included habitat found elsewhere on the base.
The INRMP for Camp Pendleton will be completed by the statutory deadline of November 17, 2001. We will consult with the Marines under section 7 of the Act on the development and implementation of the INRMP. We fully expect that, once the INRMP is completed and approved, areas of the base included in the proposed critical habitat designation will not meet the definition of critical habitat, as they will require no additional special management or protection.
Today, as the INRMP has not yet been completed and approved, these lands on the base meet the definition of critical habitat. Nevertheless, we have determined that it is appropriate to exclude Camp Pendleton from this critical habitat designation under section 4(b)(2). The main benefit of this
The proposed critical habitat designation included about 4,902 ha (12,114 ac), or about 10 percent of the Base. If critical habitat is designated on Camp Pendleton for the San Diego fairy shrimp, the Marines would be compelled by their interpretation of the Endangered Species Act to significantly curtail necessary training within the area designated as critical habitat, to the detriment of mission-critical training capability, until the consultation is concluded, up to a year from now. As a result, the Base's utility as a Marine training site would be limited. The Marines have no alternative site suitable for the kinds of training that occur on the Base.
In contrast, the benefits of designating critical habitat on the base now are small. The primary benefit of designation is the prohibition on destruction or adverse modification of critical habitat under section 7 of the Act. However, we believe that section 7 consultation on any proposed action on the base that would result in an adverse modification conclusion would also result in a jeopardy conclusion, and we are now engaged in formal consultation with the Marines on their activities in vernal pool habitat on the Camp Pendleton. In addition, the Marines have a statutory obligation under the Sikes Act to complete an INRMP for Camp Pendleton about 13 months from now; as noted above, we expect that, when completed and adopted, this INRMP will provide equal or greater protection to San Diego fairy shrimp habitat on the base than a critical habitat designation.
We conclude that the benefits of excluding Camp Pendleton exceed the benefits of including the base in the critical habitat designation; further, we have determined that excluding the base will not result in the extinction of the San Diego fairy shrimp, as sufficient vernal pools remain within the final critical habitat designation and sections 7(a)(2) and 9 of the Act still apply to the activities affecting San Diego fairy shrimp on Camp Pendleton, This exclusion does not include that part of Camp Pendleton leased to the State of California and included within San Onofre State Park (including San Mateo Park). Because these lands are used minimally, if at all, by the Marines for training, the 16 ha (40 ac) of lands proposed within the state park are retained in the final designation.
Should additional information become available that changes our analysis of the benefits of excluding any of these (or other) areas compared to the benefits of including them in the critical habitat designation, we may revise this final designation accordingly. Similarly, if new information indicates any of these areas should not be included in the critical habitat designation because they no longer meet the definition of critical habitat, we may revise this final critical habitat designation. If, consistent with available funding and program priorities, we elect to revise this designation, we will do so through a subsequent rulemaking.
In the March 8, 2000, proposed rule (65 FR 12181), we requested all interested parties to submit comments on the specifics of the proposal including information, policy, treatment of HCPs, and proposed critical habitat boundaries. The first comment period closed on May 8, 2000. The comment period was reopened from August 21 to September 5, 2000, (65 FR 50672), to allow for additional comments on the proposed rule and comments on the draft economic analysis of the proposed critical habitat. Due to an error in the date of the deadline for public comment that was identified in the
We contacted all appropriate State and Federal agencies, county governments, elected officials, and other interested parties and invited them to comment. In addition, we published newspaper notices inviting public comment in the following newspapers in southern California: Orange County Register, North County Times, and the San Diego Union-Tribune. These notices were published on March 8 and 9, 2000.
We requested four biologists familiar with the San Diego fairy shrimp and the conservation of vernal pools to peer review the proposed critical habitat designation. Two of the peer reviewers submitted comments on the proposed critical habitat designation, providing updated biological information, critical review, and editorial comments. We addressed their comments in the responses below, or incorporated them into other parts of this final rule.
We received a total of 31 comments during the 2 comment periods, from 2 Federal agencies, 3 State agencies, 5 local agencies, and 15 private organizations or individuals. Three commenters submitted comments more than once. We reviewed all comments received for substantive issues and new data regarding the San Diego fairy shrimp and critical habitat. We grouped comments of a similar nature into four general issues relating specifically to the proposed critical habitat determination and draft economic analysis on the proposed determination. These are addressed in the following summary.
(1)
In the preparation of the final determination, we had available for use, more detailed GIS coverages that allowed us to reduce our minimum mapping unit from a 1 km (0.6 mi) UTM grid square to a 250 m (820 ft) UTM grid square. This allowed for the exclusion of many areas not essential to the conservation of the San Diego fairy shrimp and resulted in the drawing of more refined critical habitat boundaries. Consequently, by using a finer scale grid, the total acreage of lands designated as critical habitat decreased. The lands within the mapped boundaries are considered critical habitat for the San Diego fairy shrimp.
(2)
(3)
(4)
(5)
We anticipate that future HCPs in the range of the San Diego fairy shrimp will include it as a covered species and provide for its long-term conservation. We expect that HCPs undertaken by local jurisdictions (
In the event that future HCPs covering the San Diego fairy shrimp are developed within the boundaries of designated critical habitat, we will work with applicants to ensure that the HCPs provide for protection and management of habitat areas essential for the conservation of the San Diego fairy shrimp by either directing development and habitat modification to nonessential areas, or appropriately restricting activities within essential habitat areas so that such activities will not result in the destruction or adverse modification of the primary constituent elements. The HCP development process provides an opportunity for more intensive data collection and analysis regarding the use of particular habitat areas by the San Diego fairy shrimp. The process also enables us to conduct detailed evaluations of the importance of such lands to the long-term survival of the species in the context of constructing a biologically configured system of interlinked habitat blocks. We are continuing to work with the cities of Chula Vista, Carlsbad, San Marcos, and other jurisdictions to insure that their subarea plans provide for the long-term conservation of the San Diego fairy shrimp.
We will provide technical assistance and work closely with applicants throughout the development of future HCPs to identify lands essential for the long-term conservation of the San Diego fairy shrimp and appropriate management for those lands. The take minimization and mitigation measures provided under these HCPs are expected to protect the essential habitat lands designated as critical habitat in this rule. If an HCP that addresses the San Diego fairy shrimp as a covered species is ultimately approved, we will reassess the critical habitat boundaries in light of the HCP. We will seek to undertake this review when the HCP is approved, but funding constraints may influence the timing of such a review.
(6)
(7)
(8)
(9)
(10)
(11)
To date, Marine Corps Air Base, Miramar is the only DOD installation that has completed a final INRMP that provides for sufficient conservation management and protection for the San Diego fairy shrimp. We have reviewed this plan and have determined that it addresses and meets the three criteria. Therefore, lands on Marine Corps Air Base, Miramar no longer meet the definition of critical habitat, and they have been excluded from the final designation of critical habitat for the San Diego fairy shrimp.
(12)
(13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
(21)
In the case of critical habitat for the San Diego fairy shrimp, however, we have only designated habitat within the geographical area that is occupied by the San Diego fairy shrimp (except for 18 ha (55 ac) of unknown occupancy). As a result, these impacts are not likely to be significant because Federal agencies are already required to consult with us on activities taking place on these lands that have the potential to adversely affect the San Diego fairy shrimp. While the Act requires agencies to consult with us on activities that may adversely affect the San Diego fairy shrimp and critical habitat, we do not believe that within proposed critical habitat for the San Diego fairy shrimp there are likely to be any actions of concern that adversely modify critical habitat without simultaneously causing concern about the potential for the action to jeopardize the San Diego fairy shrimp, which would trigger a consultation regardless of critical habitat designation.
We also recognize that in some instances, the designation of critical habitat could result in a distorted real estate market because participants may believe that land within critical habitat designation is subject to additional constraints. In truth, this is not the case because critical habitat designation for the San Diego fairy shrimp is not adding any extra protection, nor impacting landowners beyond that associated with the listing of the species as threatened under the Act. As a result, we believe that any resulting distortion will be temporary and have a relatively insignificant effect on the real estate market as it should become readily apparent to market participants that critical habitat for the San Diego fairy shrimp is not imposing any additional constraints on landowner activities beyond those currently associated with the listing.
(22)
(23)
(24)
(25)
(26)
(27)
Based on a review of public comments received on the proposed determination of critical habitat and economic analysis for the San Diego fairy shrimp, we reevaluated our proposed designation of critical habitat for this species. These changes include the following: (1) Reduction in the minimum mapping unit for defining critical habitat boundaries; (2) removal of Marine Corps Air Station, Miramar from the designation due to an existing, finalized resource management plan; and (3) removal of Marine Corps Base Camp Pendleton from the designation (except for lands leased by the California State Department of Parks and Recreation and private interests from Camp Pendleton) under section 4(b)(2) of the Act.
Based on public comment and the availability of more current and precise GIS (spot imagery) data, we refined the minimum mapping unit for the designation from a 1 km (0.6 mi) UTM grid to a 250 m (820 ft) UTM grid. We then superimposed the proposed critical habitat boundaries on the newer imagery data and removed lands that were not essential to the conservation of the San Diego fairy shrimp. The refined mapping scale reduced the total amount of land by approximately 6,575 ha (16,247 ac) as designated as critical habitat.
During the comment period for the proposed determination of critical habitat for the San Diego fairy shrimp, we received and subsequently evaluated a final Integrated Natural Resource Management Plan for Marine Corps Air Base, Miramar. This plan addresses the San Diego fairy shrimp as a covered species and provides conservation management and protections for the species. We evaluated this plan and determined that the conservation management measures and protections afforded the San Diego fairy shrimp are sufficient to ensure its conservation on
We also determined that it is appropriate to exclude Camp Pendleton from this critical habitat designation. Under section 4(b)(2) of the Act, we weighed the benefits of excluding Camp Pendleton land against the benefits of designating these areas and concluded that the benefits excluding outweigh the benefits of including. The main benefit of this exclusion is ensuring that the mission-critical military training activities can continue without interruption at Camp Pendleton while formal consultation on upland activities at the base is being completed.
Section 4(b)(2) of the Act requires us to designate critical habitat on the basis of the best scientific and commercial data available and to consider the economic and other relevant impacts of designating a particular area as critical habitat. We may exclude areas from critical habitat upon a determination that the benefits of such exclusions outweigh the benefits of specifying such areas as critical habitat. We cannot exclude such areas from critical habitat when such exclusion will result in the extinction of the species.
Economic effects caused by listing the San Diego fairy shrimp as an endangered species, and by other statutes, are the baseline upon which the effects of critical habitat designation are evaluated. The economic analysis must then examine the incremental economic effects of the critical habitat including both the cost and benefits. Economic effects are measured as changes in national income, regional jobs, and household income. An analysis of the economic effects of San Diego fairy shrimp critical habitat designation was prepared (Industrial Economics, Incorporated, 2000) and made available for public review (August 21-September 5, 2000; 65 FR 50672). The final analysis, which reviewed and incorporated public comments, concluded that no significant economic impacts are expected from critical habitat designation above and beyond those already imposed by listing the San Diego fairy shrimp. The most likely economic effects of critical habitat designation are on activities funded, authorized, or carried out by a Federal agency. The analysis examined the effects of the proposed designation on: (1) Reinitiation of section 7 consultations, (2) length of time in which section 7 consultations are completed, and (3) new consultation resulting from the determination. Because areas proposed for critical habitat are within the geographic range occupied by the San Diego fairy shrimp, activities that may affect critical habitat may also affect the species, and would thus be subject to consultation whether or not critical habitat is designated. We believe that any project that would adversely modify or destroy critical habitat would also jeopardize the continued existence of the species and that reasonable and prudent alternatives to avoid jeopardizing the species would also avoid adverse modification of critical habitat. Thus, no regulatory burden or significant additional costs would accrue because of critical habitat above and beyond that resulting from listing. Our economic analysis recognizes that there may be costs from delays associated with reinitiating completed consultations after the critical habitat designation is made final. There may also be economic effects due to the reaction of the real estate market to critical habitat designation, as real estate values may be lowered due to perceived increase in the regulatory burden. We believe this impact will be short-term, however.
A copy of the final economic analysis and description of the exclusion process with supporting documents are included in our administrative record and may be obtained by contacting our office (see
No public hearing was held for the proposed rule.
This document has been reviewed by the Office of Management and Budget (OMB), in accordance with Executive Order 12866. OMB makes the final determination under Executive Order 12866.
(a) This rule will not have an annual economic effect of $100 million or more or adversely affect an economic sector, productivity, jobs, the environment, or other units of government. A cost-benefit analysis is not required. The San Diego fairy shrimp was listed as an endangered species in 1997. In fiscal years 1997 through 1999, we conducted 27 formal section 7 consultations with other Federal agencies to ensure that their actions would not jeopardize the continued existence of the fairy shrimp.
The areas designated as critical habitat are currently within the geographic range occupied by the San Diego fairy shrimp. Under the Act, critical habitat may not be destroyed or adversely modified by a Federal agency action; the Act does not impose any restrictions on non-Federal entities unless they are conducting activities funded or otherwise sponsored or permitted by a Federal agency (see Table 2 below). Section 7 requires Federal agencies to ensure that they do not jeopardize the continued existence of the species. Based upon our experience with the species and its needs, we conclude that any Federal action or authorized action that could potentially cause an adverse modification of the proposed critical habitat would currently be considered as “jeopardy” under the Act. Accordingly, the designation of occupied areas as critical habitat does not have any incremental impacts on what actions may or may not be conducted by Federal agencies or non-Federal persons that receive Federal authorization or funding. Non-Federal persons that do not have a Federal “sponsorship” of their actions are not restricted by the designation of critical habitat (however, they continue to be bound by the provisions of the Act concerning “take” of the species). Additionally, designation of critical habitat in these areas will also not likely result in an increased regulatory burden since the Corps requires review of projects requiring permits in all vernal pools.
(b) This rule will not create inconsistencies with other agencies' actions. As discussed above, Federal agencies have been required to ensure that their actions do not jeopardize the continued existence of the San Diego fairy shrimp since the listing in 1997. The prohibition against adverse modification of critical habitat is not expected to impose any additional restrictions to those that currently exist in occupied areas of designated critical habitat. Because of the potential for impacts on other Federal agency activities, we will continue to review this action for any inconsistencies with other Federal agency actions.
(c) This rule will not materially affect entitlements, grants, user fees, loan programs, or the rights and obligations of their recipients. Federal agencies are currently required to ensure that their activities do not jeopardize the continued existence of the species, and, as discussed above, we do not anticipate that the adverse modification prohibition (resulting from critical habitat designation) will have any
(d) This rule will not raise novel legal or policy issues. The rule follows the requirements for determining critical habitat contained in the Endangered Species Act.
In the economic analysis, we determined that designation of critical habitat will not have a significant effect on a substantial number of small entities. As discussed under Regulatory Planning and Review above and in this final determination, this designation of critical habitat for the San Diego fairy shrimp is not expected to result in any restrictions in addition to those currently in existence for areas of occupied critical habitat. As indicated on Table 1 (see Critical Habitat Designation section), we designated property owned by Federal, State, and local governments, and private property.
Within these areas, the types of Federal actions or authorized activities that we have identified as potential concerns are:
(1) Regulation of activities affecting waters of the United States by the Corps under section 404 of the Clean Water Act;
(2) Regulation of water flows, damming, diversion, and channelization by Federal agencies;
(3) Regulation of grazing, mining, and recreation by the Bureau of Land Management or U.S. Forest Service;
(4) Road construction and maintenance, right-of-way designation, and regulation of agricultural activities;
(5) Regulation of airport improvement activities by the Federal Aviation Administration;
(6) Military training and maneuvers on Camp Pendleton and other applicable DOD lands;
(7) Construction of roads and fences along the international border with Mexico, and associated immigration enforcement activities by the INS;
(8) Hazard mitigation and post-disaster repairs funded by the Federal Emergency Management Agency;
(9) Construction of communication sites licensed by the Federal Communications Commission; and
(10) Activities funded by the U.S. Environmental Protection Agency, U.S. Department of Energy, or any other Federal agency.
Many of these activities sponsored by Federal agencies within the designated critical habitat areas are carried out by small entities (as defined by the Regulatory Flexibility Act) through contract, grant, permit, or other Federal authorization. As discussed above, these actions are currently required to comply with the listing protections of the Act, and the designation of critical habitat is not anticipated to have any additional effects on these activities in areas of critical habitat occupied or potentially unoccupied by the species.
For actions on non-Federal property that do not have a Federal connection (such as funding or authorization), the current restrictions concerning take of the species remain in effect, and this rule will have no additional restrictions.
In the economic analysis, we determined whether designation of critical habitat would cause (a) any effect on the economy of $100 million or more, (b) any increases in costs or prices for consumers, individual industries, Federal, State, or local government agencies, or geographic regions, or (c) any significant adverse effects on competition, employment, investment, productivity, innovation, or the ability of U.S.-based enterprises to compete with foreign-based enterprises. Refer to the final economic analysis for a discussion of the effects of this determination.
In accordance with the Unfunded Mandates Reform Act (2 U.S.C. 1501
(a) This rule will not “significantly or uniquely” affect small governments. A
(b) This rule will not produce a Federal mandate of $100 million or greater in any year, that is, it is not a “significant regulatory action” under the Unfunded Mandates Reform Act. The designation of critical habitat imposes no obligations on State or local governments.
In accordance with Executive Order 12630, the rule does not have significant takings implications. A takings implication assessment is not required. As discussed above, the designation of critical habitat affects only Federal agency actions. The rule will not increase or decrease the current restrictions on private property concerning take of the San Diego fairy shrimp. Due to current public knowledge of the species protection, the prohibition against take of the species both within and outside of the designated areas, and the fact that critical habitat provides no incremental restrictions, we do not anticipate that property values will be affected by the critical habitat designation. While real estate market values may temporarily decline following designation, due to the perception that critical habitat designation may impose additional regulatory burdens on land use, we expect any such impacts to be short-term. Additionally, critical habitat designation does not preclude development of HCPs and issuance of incidental take permits. Landowners in areas that are included in the designated critical habitat will continue to have opportunity to utilize their property in ways consistent with the survival of the San Diego fairy shrimp.
In accordance with Executive Order 13132, the rule does not have significant Federalism effects. A Federalism assessment is not required. The designation of critical habitat within the geographic range occupied by the San Diego fairy shrimp imposes no additional restrictions to those currently in place and, therefore, has little incremental impact on State and local governments and their activities. The designation may have some benefit to these governments in that the areas essential to the conservation of the species are more clearly defined, and the primary constituent elements of the habitat necessary to the survival of the species are specifically identified. While making this definition and identification does not alter where and what federally sponsored activities may occur, it may assist these local governments in long-range planning (rather than waiting for case-by-case section 7 consultations to occur).
In accordance with Executive Order 12988, the Office of the Solicitor has determined that the rule does not unduly burden the judicial system and meets the requirements of sections 3(a) and 3(b)(2) of the Order. We designate critical habitat in accordance with the provisions of the Act. The determination uses standard property descriptions and identifies the primary constituent elements within the designated areas to assist the public in understanding the habitat needs of the San Diego fairy shrimp.
This rule references permits for HCPs which contain information collection activity. The Fish and Wildlife Service has OMB approval for the collection under OMB Control Number 1018-0094. The Service may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number.
We determined that we do not need to prepare an Environmental Assessment and/or an Environmental Impact Statement as defined by the National Environmental Policy Act of 1969 Act in connection with regulations adopted pursuant to section 4(a) of the Act. We published a notice outlining our reasons for this determination in the
In accordance with the President's memorandum of April 29, 1994, “Government-to-Government Relations with Native American Tribal Governments” (59 FR 22951) and 512 DM 2, we readily acknowledge our responsibility to communicate meaningfully with recognized Federal Tribes on a government-to-government basis. We have determined that there are no Tribal lands essential for the conservation of the San Diego fairy shrimp because they do not support populations or suitable habitat. Therefore, critical habitat for the San Diego fairy shrimp has not been designated on Tribal lands.
A complete list of all references cited in this final rule is available upon request from the Carlsbad Fish and Wildlife Office (see
The primary authors of this notice are the Carlsbad Fish and Wildlife Office staff (see
Endangered and threatened species, Exports, Imports, Reporting and recordkeeping requirements, Transportation.
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.
(h) * * *
3. In § 17.95 add critical habitat for the San Diego fairy shrimp
(h)
1. Critical habitat units are depicted for Orange and San Diego counties, California, on the maps below.
2. Critical habitat includes vernal pool basins and vernal pool complexes indicated on the maps below and their associated watersheds and hydrologic regime.
3. Within these areas, the primary constituent elements include, but are not limited to, those habitat components that are essential for the primary biological needs of foraging, sheltering, reproduction, and dispersal. The primary constituent elements are found in those areas that support vernal pools or other ephemeral depressional wetlands. Within these seasonal wetlands, specific associations that are essential to the primary biological needs of the San Diego fairy shrimp include, but are not limited to: small to large vernal pools with shallow to moderate depths that hold water for sufficient lengths of time necessary for San Diego fairy shrimp incubation and reproduction, but not necessarily every year; entire watershed(s) and hydrology for vernal pool basins and their associated vernal pool complexes, ephemeral depressional wetlands, flat or gently sloping topography, and any soil type with a clay component and/or an impermeable surface or subsurface layer known to support vernal pool habitat.
4. Existing features and structures, such as buildings, roads, railroads, urban development, and other features not containing primary constituent elements, are not considered critical habitat. In addition,
From USGS 1:24,000 quadrangle map Newport Beach (1981), California, the lands bounded by the following UTM, North American Datum 1927 (NAD 27) coordinates (E,N): 412500,3725000; 413000,3725000; 413000,3724500; 412500,3724500; 412500,3725000.
Unit 2a: From USGS 1:24000 quadrangle maps San Clemente (1968) and San Onofre Bluff (1975), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 447250,3693250; 447500,3693250; 447500,3692750; 447000,3692750; 447000,3693000; 447250,3693000; 447250,3693250, excluding the Pacific Ocean.
Unit 2b: From USGS 1:24000 quadrangle map San Luis Rey (1975), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 473000,3665750; 473250,3665750; 473250,3665500; 473500,3665500; 473500,3665250; 473000,3665250; 473000,3665750.
Unit 2c: From USGS 1:24000 quadrangle maps Encinitas (1968), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 470250,3663500; 470750,3663500; 470750,3662500; 470500,3662500; 470500,3662750; 470250,3662750; 470250,3663500.
Unit 3a: From USGS 1:24000 quadrangle map San Marcos (1983), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 481750,3667500; 482000,3667500; 482000,3667000; 481750,3667000; 481750,3667500.
Unit 3b: From USGS 1:24000 quadrangle map San Marcos (1983), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 482250,3667500; 482750,3667500; 482750,3667000; 482250,3667000; 482250,3667500.
Unit 3c: From USGS 1:24000 quadrangle map San Marcos (1983), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 481500,3666750; 482000,3666750; 482000,3666250; 482250,3666250; 482250,3665750; 481500,3665750; 481500,3666000; 481250,3666000; 481250,3666250; 481500,3666250; 481500,3666750.
Unit 3d: From USGS 1:24000 quadrangle map San Marcos (1983), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 482750,3666750; 483000,3666750; 483000,3666250; 482750,3666250; 482750,3666750.
Unit 3e: From USGS 1:24000 quadrangle maps San Pasqual (1971) and Ramona (1988), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 508000,3657000; 509000,3657000; 509000,3656000; 509750,3656000; 509750,3655500; 509500,3655500; 509500,3655000; 509250,3655000; 509250,3654250; 509500,3654250; 509500,3653750; 509750,3653750; 509750,3654000; 510000,3654000; 510000,3654250; 509750,3654250; 509750,3654750; 512000,3654750; 512000,3655000; 512250,3655000; 512250,3654750; 512500,3655000; 512750,3655000; 512750,3654750; 512500,3654750; 512500,3654250; 512000,3654250; 512000,3653500; 511750,3653500; 511750,3654500; 510750,3654500; 510750,3654250; 510500,3654250; 510500,3654000; 510250,3654000; 510250,3653250; 510500,3653250; 510500,3653000; 509000,3653000; 509000,3654000; 508500,3654000; 508500,3654250; 506500,3654250; 506500,3654500; 505500,3654500; 505500,3654750; 505250,3654750; 505250,3654500; 505000,3654500; 505000,3654250; 504500,3654250; 504500,3654750; 504000,3654750; 504000,3655000; 505000,3655000; 505000,3656000; 506000,3656000; 506000,3655000; 507000,3655000; 507000,3656000; 508000,3656000; 508000,3657000.
Unit 3f: From USGS 1:24000 quadrangle map San Pasqual (1971) and Ramona (1988), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 511250,3655500; 511500,3655500; 511500,3655250; 511750,3655250; 511750,3655000; 511250,3655000; 511250,3655500.
Unit 4a: From USGS 1:24000 quadrangle map Del Mar (1975), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 484000,3646000; 484500,3646000; 484500,3645750; 484750,3645750; 484750,3645500; 486000,3645500; 486000,3645250; 485750,3645250; 485750,3645000; 485000,3645000; 485000,3644750; 484500,3644750; 484500,3645000; 484250,3645000; 484250,3645500; 484000,3645500; 484000,3646000.
Unit 4b: From USGS 1:24000 quadrangle map Del Mar (1975), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 483500,3642750; 484000,3642750; 484000,3642250; 483500,3642250; 483500,3642750.
Unit 4c: From USGS 1:24000 quadrangle map La Mesa (1975), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 490250,3629500; 490500,3629500; 490500,3628500; 489750,3628500; 489750,3628750; 490000,3628750; 490000,3629250; 490250,3629250; 490250,3629500.
Unit 4d: From USGS 1:24000 quadrangle map National City (1975), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 493750,3622500; 494500,3622500; 494500,3622000; 494250,3622000; 494250,3622250; 493750,3622250; 493750,3622500.
Unit 5a: From USGS 1:24000 quadrangle map Dulzura (1988), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 511750,3611500; 512000,3611500; 512000,3611250; 511750,3611250; 511750,3611500.
Unit 5b: From USGS 1:24000 quadrangle map Otay Mesa (1988), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 506250,3607250; 506750,3607250; 506750,3607000; 506250,3607000; 506250,3606750; 506000,3606750; 506000,3607000; 506250,3607000; 506250,3607250.
Unit 5c: From USGS 1:24000 quadrangle map Otay Mesa (1988), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 505500,3604250; 506000,3604250; 506000,3603750; 505750,3603750; 505750,3603500; 505500,3603500; 505500,3604250.
Unit 5d: From USGS 1:24000 quadrangle map Imperial Beach (1975), California, the lands bounded by the following UTM NAD 27 coordinates (E,N): 488250,3602750; 488500,3602750; 488500,3602250; 488250,3602250; 488250,3602750.
Federal Communications Commission (FCC or Commission)
Notice; one proposed new system of records, 24 proposed new routine uses, 30 altered systems of records, and elimination of three systems of records.
As required by the Privacy Act of 1974, 5 U.S.C. 552a(e)(4), as amended, this document sets forth notice of the existence of all systems of records maintained by the FCC. This notice also proposes to establish one new system of records, to alter 30 existing systems, and to eliminate three systems of records that are no longer used by the Commission. For the convenience of the reader, the agency eliminated using “Blanket Routine Uses” and listed the routine uses in the body of the notice itself. This notice provides and makes readily available in one issue of the
Any interested person may submit written comments concerning the routine uses of this system on or before November 22, 2000. The Office of Management and Budget (OMB), which has oversight responsibility under the Privacy Act to review the system, may submit comments on or before December 4, 2000. This proposed system will be effective on December 4, 2000 unless the FCC receives comments that require a contrary determination. The Commission will publish a document in the
Address comments to Les Smith, Performance Evaluation and Record Management (PERM), Room 1-A804, Federal Communications Commission, 445 12th Street, SW., Washington, DC 20554, or via the Internet at
Les Smith, Performance Evaluation and Record Management (PERM), Room 1-A804, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554, or via the Internet at
The FCC previously gave complete notice of all of its systems of records by publication in the
The proposed changes in this notice result from editorial changes to the existing systems of records; notices to update, simplify, or clarify, as necessary, these systems of records; the application of new technology; and the transfer of duties and responsibilities between bureaus, including the creation of the Wireless Telecommunication Bureau (WTB) in 1994, and the most recent Commission reorganization, the creation of the Enforcement Bureau (EB) and the Consumer Information Bureau (CIB), and the elimination of the Compliance and Information Bureau (CIB) in 1999.
1. FCC/CCB-1 to new FCC/CIB-1, “Informal Complaints and Inquiries Files (Broadcast, Common Carrier, and Wireless Telecommunications Bureau Radio Services);”
2. Old FCC/CIB-4 to new FCC/CIB-4, “Telephone and Electronic Contacts;”
3. Old FCC/FOB-2 to new FCC/EB-1, “Violators File;”
4. Old FCC/FOB-3 to new FCC/EB-2, “State and Operational Areas Emergency Commissions Committee Membership;”
5. FCC/OGC-7 to FCC/Central-12, “Garnishment and Levy of Wages;”
6. Old FCC/PRB-5 to FCC/WTB-5, “Application Review List for Present or Former Licensees, Operators, or Unlicensed Persons Operating Radio Equipment Improperly;” and
7. Old FCC/FOB-1 to FCC/WTB-6, “Radio Operator Records.”
FCC/Central-11, “Interoffice (GroupWise) and Internet E-mail Systems;” and
1. FCC/Central-3, “Employee Assistance Program Case Files;”
2. FCC/OGC-1, “Alleged Violators File (Ex Parte Rules);” and
3. FCC/OGC-4, “Parties Involved in Current Litigation before Federal Courts.”
FCC/Central-1, “Pay and Leave,” was modified to remove the travel component, which was transferred to FCC/OMD-6, and to add the “leave transfer” program. The records in this system of records were also expanded to include Social Security Numbers, which are required to administer the Commission's pay and leave requirements.
FCC/Central-2, “Employee Locator Card Files,” the purpose of this system of records was modified to address its use for administrative offices only. The system of records was also as expanded to add five routine uses, as follows:
• Routine use (1) allows disclosure where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation, or order;
• Routine use (2) allows disclosure to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit;
• Routine use (3) allows a record on an individual in this system of records to be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office;
• Routine use (4) allows a record from this system of records to be disclosed to an FCC officer in the case where an emergency of a medical or other nature involving the employee may occur while on the job; and
• Routine use (5) permits a record in this system of records to be disclosed to the Office of Personnel Management in order for it to carry out its legally authorized Government-wide functions and duties.
FCC/Central-8, “Telephone Call Detail and Equipment Loan Records,” the categories of individuals and the categories of records covered by this system were expanded to include those individuals who are loaned electronic equipment to use when their work requires them to work outside the office or to maintain close contact with the Commission staff,
FCC/Central-9, “Denial of Federal Benefits (Drug Debarment List),” the categories of records in this system were expanded to include the person's Taxpayer Identification Number (TIN).
FCC/Central-10, “Access Control System,” the categories of records in the system were modified to limit the data elements in the “visitors database” to just the person's first and last names and their numerical identifier. (The person's telephone number, destination, agency or firm name, and the photographic identification elements were removed as required fields.)
FCC/CIB-1, “Informal Complaints and Inquiries Files (Broadcast, Common Carrier, and Wireless Telecommunications Bureau Radio Services),” was expanded to include other telecommunications service complaints and inquiries as noted in the title change. The Commission now redacts information which could identify the complainant or correspondent,
• Routine use (1) permits a record from this system to be disclosed when a complaint against a common carrier is involved, the complaint is forwarded to the defendant carrier who must, within a prescribed time frame, either satisfy the complaint or explain to the Commission and the complainant its failure to do so;
• Routine use (3) permits a record from this system to be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit;
• Routine use (6) permits a record on an individual in this system of records to be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office; and
• Routine use (7) permits a record from this system of records to be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
FCC/EB-1, “Violators File,” the categories of individuals covered by this system were expanded to include licensees, applicants, and unlicensed persons under parts 80, 87, 90, 94, 95, and 97 of the rules about whom there were questions of compliance with the Commission's rules or the Communications Act of 1934, as amended. One routine use was also added as follows:
• Routine use (4) was modified so that a record from this system of records may be disclosed in response to a request for information from a Federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as licenses, if necessary to obtain information relevant to a Commission decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
FCC/OET-1, “Experimental Radio Station License Files,” the categories of records in this system have been expanded to include the applicant's FCC Registration Number (FRN), FCC Form 702, Application for Consent to Assignment of Radio Station Construction Authorization or License; and FCC Form 703, Application for Consent to Transfer Control of Corporation Holding Station License. A routine use was added as follows:
• Routine use (1) in this system was modified to restrict disclosure of information if it is not routinely available for public inspection under § 0.457 of the Commission's rules, 47 CFR 0.459, or a request that the information be given confidential treatment is granted under § 0.459 of the Commission's rules, 47 CFR 0.459.
FCC/OGC-5, “Parties with Pending Civil Cases that Affect the Commission before any District Court; before any Court of Appeals; and before the Supreme Court,” the name of this system was modified to include additional courts.
FCC/OMD-2, “Labor and Employee Relations Case Files,” has been modified to add a routine use as follows:
• Routine use (1) permits disclosure to FCC officials when such officials have a “need to know” in carrying out their official duties.
FCC/OMD-3, “Federal Advisory Committee Membership File (FACA),” the categories of records in this system have been expanded to include copies or originals of financial disclosure forms, whenever they must be filed by the committee members, may be kept by the members' respective advisory committees. Specific information on Advisory Committees is generally stored with each Advisory Committee Official while the more general information about the committees is the Office of the Managing Director. In addition the routine uses were also modified or expanded as follows:
• Routine use (2) which allows for disclosure of information to the public, upon request, has been modified to make these records available in both hardcopy and electronic;
• Routine use (3) which permits disclosure to the General Services Administration (GSA) has been expanded to permit disclosure, if necessary, to the Office of Management and Budget (OMB), for use in compiling an annual report; and
• Routine use (4) has been added which may permit a record in this system to be disclosed to furnish information to Congress in response to periodic Congressional inquiries.
FCC/OMB-6, “Records of Money Owed, Received, Refunded, and Returned,” was modified to add “Owed” to the title of this system of records. A travel component was transferred from FCC/Central-1 to this system of records. The categories of records in this system were also expanded to include the Taxpayer Information Number (TIN), the FCC Registration Number (FRN), and loan payment information;
FCC/OMD-7, “FCC Employee Transit Benefit and Parking Permit Programs,” has added a mass transit component and handicap provisions which has expanded the number of routine uses applicable to this system of records. These are as follows:
• Routine use (4) which allows a record in this system to be disclosed to
• Routine use (5) which allows record in this system to be disclosed where there is an indication of misrepresentation to obtain, or misuse of, a transit benefit; and/or parking permit, records from this system may be referred to the appropriate FCC official responsible for revoking the transit benefit and/or parking permit, and recovering the unauthorized amount of used transit benefit, suspending employee participation in the programs, and/or may result in disciplinary action;
• Routine use (6) which allows record in this system to be disclosed to GSA/GAO for the purposes of records management inspections conducted. Such disclosure shall not be used to make a determination about an individual;
• Routine use (7) which allows a record in this system to be used for administrative purposes by authorized personnel for production of listings and reports. This system may be used for periodic review of re-certification, and to ensure eligibility for, and receipt of, transit benefit and parking privileges;
• Routine use (8) which allows a record from this system to be disclosed for a request for information from a Federal, state, or local agency in connection with the approval/disapproval of an application for special parking assignment; and
• Routine use (9) which allows a record in this system to be disclosed to agency contractors, who have been engaged by the agency to assist in the performance of a service related to this system of records and who need to have access to the records in order to perform the necessary activity. Recipients will be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).
FCC/WTB-1, “Wireless Services Licensing Records,” the categories of records has been expanded to include the Taxpayer Identification Number (TIN) which appears on all FCC forms listed under this system of records.
FCC/WTB-5, “Application Review List for Present or Former Licensees, Operators, or Unlicensed Persons Operating Radio Equipment Improperly,” was expanded to include seven routine uses. These are as follows:
• Routine use (1) allows a record from this system of records to be disclosed where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulations or order;
• Routine use (2) allows record from this system to be disclosed to request information from a Federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as licenses, if necessary to obtain information relevant to a Commission decision concerning the issuance of a license, grant or other benefit or enforcement proceedings;
• Routine use (3) allows a record from this system to be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit;
• Routine use (4) allows a record on an individual in this system of records to be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
• Routine use (5) allows a record from this system of records to be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals;
• Routine use (6) allows a record on an individual in this system of records to be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body;
• Routine use (7) allows a record from this system of records to be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when arising from his employment, an employee of the Commission is a party to litigation or anticipated litigated or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
A complete list of all FCC systems of records is published below. The complete text of the notices follows:
1. FCC/Central-1, Pay and Leave Records.
2. FCC/Central-2, Employee Locator Card Files.
3. FCC/Central-5, Drug-Free Federal Workplace Program.
4. FCC/Central-6, Personnel Investigation Records.
5. FCC/Central-7, Freedom of Information Act (FOIA) Case File.
6. FCC/Central-8, Telephone Call Detail and Equipment Loan Records.
7. FCC/Central-9, Denial of Federal Benefits (Drug Debarment List).
8. FCC/Central-10, Access Control System.
9. FCC/Central-11, Interoffice (GroupWise) and Internet E-mail Systems.
10. FCC/Central-12, Garnishment and Levy of Wages.
11. FCC/CIB-1, Informal Complaints and Inquiries Files (Broadcast, Common Carrier, and Wireless Telecommunications Bureau Radio Services).
12. FCC/CIB-4, Telephone and Electronic Contacts.
13. FCC/EB-1, Violators File.
14. FCC/EB-2, State and Operational Areas Emergency Commissions Committee Membership.
15. FCC/OET-1, Experimental Radio Station License Files.
16. FCC/OGC-2, Attorney Misconduct Files.
17. FCC/OGC-3, Employee Complaint Adjudication.
18. FCC/OGC-5, Parties with Pending Civil Cases that affect the Commission before any District Court; before any Court of Appeals; and before the Supreme Court.
19. FCC/OGC-6, Private or Civil Injury Claimants.
20. FCC/OIG-1, Criminal Investigative Files.
21. FCC/OIG-2, General Investigative Files.
22. FCC/OMD-2, Labor and Employee Relations Case Files.
23. FCC/OMD-3, Federal Advisory Committee Membership Files (FACA).
24. FCC/OMD-4, Security Office Control Files.
25. FCC/OMD-6, Records of Money Owed, Received, Refunded, and Returned.
26. FCC/OMD-7, FCC Employee Transit Benefit and Parking Permit Program.
27. FCC/OMD-8, Revenue Accounting Management Information System (“RAMIS”).
28. FCC/OMD-9, Commission Registration System (“CORES”).
29. FCC/WTB-1, Wireless Services Licensing Records.
30. FCC/WTB-5, Application Review List for Present or Former Licensees, Operators, or Unlicensed Persons Operating Radio Equipment Improperly.
31. FCC/WTB-6, Radio Operator Records.
Pay and Leave Records.
Associate Managing Director, Human Resources Management, Office of
Employees of the Federal Communications Commission.
This system contains various records, including Social Security Numbers, which are required to administer the pay and leave requirements of the Commission.
44 U.S.C. 3101, 3102, and 3309; 5 U.S.C. 6331-6340; Pub. L. 100-566, Leave Transfer Program; Executive Order 9397 (November 22, 1943), which authorizes the use of the Social Security Number; and Pub. L. 104-193, Personal Responsibility and Work Opportunity Reconciliation Act of 1996.
1. To authorize payroll deductions for allotments, savings bonds, charitable contributions, union dues, health benefits, and life insurance; collect indebtedness for overpayment of salary and unpaid Internal Revenue taxes; pay income tax obligations to Internal Revenue Service; authorize issuing of salary checks by Treasury Department; report gross wages and separation information for unemployment compensation; pay any uncollected compensation due a deceased employee; provide for a periodic summary of employee payroll data and retirement contributions; and determine eligibility for and/or authorize donations for the leave transfer program.
2. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained, or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
1. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation, or order.
2. A record from this system may be disclosed to request information from a federal, state, or local agency maintaining civil, criminal, or other relevant information enforcement information or other pertinent information, such as licenses, if necessary to obtain information relevant to a Commission decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
3. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit.
4. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
5. A record from this system of records may be disclosed to GAO and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
6. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when represented by the government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
8. A record in this system of records may be disclosed to the Office of Personnel Management in order for it to carry out its legally authorized Government-wide functions and duties.
9. The names, social security numbers, home addresses, dates of birth, dates of hire, quarterly earnings, employer identifying information, and State of hire of employees may be disclosed to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services for the purposes of locating individuals to establish paternity, establishing and modifying orders of child support, identifying sources of income, and for other child support enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act (Welfare Reform Law, Pub. L 104-193).
In each of these cases, the FCC will determine whether disclosure of the record is compatible with the purpose for which the records were collected.
Records are maintained in an automated personnel and payroll system and in files in folders, cards, magnetic tapes, and loose leaf binders.
Records are indexed by name and social security number.
Records are maintained in filing cabinets in an office that is locked when not occupied by staff. Automated and manual records are available only to authorized personnel whose duties require access. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof saves. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Records are maintained for varying periods of time from one year to permanently in accordance with General Records Schedules issued by the National Archives and Records Administration. Disposal is by shredding.
Associate Managing Director, Human Resources Management, Office of the Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-B104, Washington, DC 20554, or the appropriate administrative office in which the individual is employed.
Address inquiries to the system manager. It is necessary to furnish the following information in order to identify the individual whose records are requested: Full name; Date of Birth; Social Security Number; and Mailing address to which the reply should be mailed.
Address inquiries to the system manager. Requesters should reasonably specify the record contents being contested.
Address inquiries to the system manager. Requesters should reasonably specify the record contents being contested.
Information is provided by management officials and by the individuals on whom the record is maintained.
None.
Employee Locator Card Files.
Mailroom and administrative offices of the Federal Communications Commission (FCC), 445 12th Street, SW, Room TW-C201, Washington, DC 20554, and FCC field offices. See FCC telephone directory for field office addresses.
Current employees of the Federal Communications Commission.
1. This system contains information regarding the employee's office, organizational location, telephone number, home telephone number and address.
2. This system also contains the home address and telephone number of the employee, and the name, address, and telephone number of an individual to contact in the event of a medical or other emergency involving the employee.
5 U.S.C. 301.
Information in this system of records is collected for use of the administrative offices. The records in this system serve to identify an individual for office officials to contact, should an emergency of a medical or other nature involving the employee occur while the employee is on the job.
The records in this system of records may be used:
1. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system of records may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, or regulation, or order.
2. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit.
3. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
4. A record from this system of records may be disclosed to an FCC officer in the case where an emergency of a medical or other nature involving the employee may occur while on the job.
5. A record in this system of records may be disclosed to the Office of Personnel Management in order for it to carry out its legally authorized Government-wide functions and duties.
In each of these cases, the FCC will determine whether disclosure of the record is compatible with the purpose for which the records were collected.
Records are maintained on cards or 3″ x 5″ paper.
Records are retrieved by the employee's name.
Records are maintained in secured areas and are available only to authorized personnel whose duties require access.
Records are maintained as long as the individual is an employee of the Federal Communications Commission. Expired records are destroyed by shredding.
Appropriate personnel or administrative office in which the employee is employed.
FCC employees wishing to inquire whether this system contains information about them should contact the appropriate FCC administrative officer where employed. Individuals must supply their full name in order for records to be located and identified.
Same as above.
Same as above.
Individual on whom the record is maintained.
None.
Drug-Free Federal Workplace Program.
Associate Managing Director—Administrative Operations, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554.
FCC employees who seek guidance and counseling through the agency Drug-Free Federal Workplace Program.
This system includes information on an employee's personal history as it relates to his/her problem. The system also contains records on employees referred for counseling.
5 U.S.C.
Reference material for the use of the Program Administrator and Counselors.
Records in this system of records contain reference material(s) for the use of the Program Administrator and Counselors. In each case, the FCC will determine whether disclosure of the
Records are stored in locked metal cabinets in the Program Administrator's Office.
Records are filed and retrieved by name of the employee.
Records are maintained in an office that is locked when not occupied by the Program Administrator. They are maintained in strict confidence and are accorded the same security and accessibility restrictions provided for medical records.
Records are kept indefinitely or until the employee leaves the FCC, at which time they are destroyed by shredding.
Associate Managing Director—Administrative Operations, Office of the Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554.
Address inquiries to the system manager.
Address inquiries to the system manager.
Address inquiries to the system manager.
Employee, employee's supervisor, and counselors.
None.
Personal Investigation Records.
None for the system; however, items or records within the system may have national defense/foreign policy classifications up through secret.
Security Operations Center, Assistant Managing Director—Administrative Offices (AMD-AO), Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-B458, Washington, DC 20554.
1. Current and former FCC employees or applicants for employment in the Federal service.
2. Individuals considered for access to classified information or restricted areas and/or security determinations such as contractors, experts, instructors, and consultants to Federal programs.
3. Individuals who are neither applicants nor employees of the Federal Government, but who are or were involved in Federal programs under a co-operative agreement.
1. These records contain investigative information regarding an individual's character, conduct, and behavior in the community where he or she lives or lived; arrests and convictions for violations against the law; reports of interviews with present and former supervisors, co-workers, associates, educators, etc.; reports about the qualifications of an individual for a specific position; reports of inquiries with law enforcement agencies, employers, educational institutions attended; reports of action after OPM or FBI Section 8(d) Full Field Investigation; Notices of Security Investigation and other information developed from the above described Certificates of Clearance; and in some instances a photograph of the subject.
2. Also contained are investigative data concerning allegations of misconduct by an FCC employee; miscellaneous complaints not covered by the FCC's formal or informal grievance procedure; and inquiries conducted under the President's Program to eliminate waste and fraud in Government.
5 CFR part 5; 5 U.S.C. 1303, 1304, and 3301; Executive Orders 10450 and 11222; and 47 CFR 19.735-107.
The records in this system are used to provide investigative information for determinations concerning compliance with Federal regulations and for individual personal determinations including suitability and fitness for Federal employment, access to classified information or restricted areas, security clearances, evaluations of qualifications, loyalty to the U.S., and evaluations of qualifications and suitability for performance of contractual services for the U.S. Government; to document such determinations; to take action on or respond to a complaint or inquiry concerning an FCC employee or to counsel the employee.
1. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation, or order.
2. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
3. A record for this system of records maybe disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C.2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
4. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
5. Information from this system may be disclosed to designated officers and employees of agencies, offices, and other establishments in the executive, legislative, and judicial branches of the Federal Government, and the District of Columbia Government, when such agency, office, or establishment conducts an investigation of the individual of the purpose of granting a security clearance, making a determination of qualifications, suitability, or loyalty to the United States Government, or access to classified information or restricted areas.
6. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudication body when:
(a) The United States, the Commission, a component of the Commission, or when represented by the government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
In each of these cases, the FCC will determine whether disclosure of the
Paper records are stored in file folders.
Records are retrieved by name of the individual subject.
Records are maintained within a secure, access-controlled area, and stored in approved security containers. Access is limited to cleared Security Officer personnel and to Commission officials on a “need to know” basis when required.
Records are retained during employment or while individual is actively involved in federal programs. As appropriate, records are returned to investigating agencies after employment terminates. Records are retained for five years from the date that the employee departs from the Commission. Records are destroyed by shredding.
Security Operations Center, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW, Room 1-B458, Washington, DC 20554.
This system is exempt from the requirement that the agency publish the procedures for notifying an individual, at his or her request, if the system contains a record pertaining to him/her, for gaining access to such record, and for contesting the contents of the record.
This system is exempt from the requirement that the agency publish the categories of sources of records in this system.
This system of records is exempt from subsections (c)(3), (d), (e)(4)(G), (H), and (I), and (f) of the Privacy Act of 1974, 5 U.S.C. 552(a), and from 47 CFR 0.554-0.557 of the Commission's rules. These provisions concern the notification, record access, and contesting procedures described above, and also the publication of record sources. The system is exempt from these provisions because it contains the following types of information:
1. Investigative material compiled for law enforcement purposes as defined in section (k)(2) of the Privacy Act.
2. Properly classified information, obtained from another Federal agency during the course of a personnel investigation, which pertains to national defense and foreign policy, as stated in section (k)(1) of the Privacy Act.
3. Investigative material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, as described in section (k)(5) of the Privacy Act, as amended.
Freedom of Information Act (FOIA) Case Files.
FOIA Office, Federal Communications Commission (FCC), 445 12th Street, SW, Washington, DC.
Individuals or organizations requesting access to inspect and/or copy records of the Commission under provisions of the FOIA.
Name, address, and other information about the requester and the records sought.
Freedom of Information Act (1994 and Supp. II 1996), 5 U.S.C. 552.
Records are available to FOIA staff involved in correspondence and investigative processes, including appeals officials and members of the FCC General Counsel staff.
1. In the event the Commission deems it desirable or necessary, in determining whether particular records are required to be disclosed under the FOIA, disclosure may be made to the Department of Justice for the purpose of obtaining its advice.
2. Where the appropriate official of the Commission, pursuant to the Commission's FOIA Regulation determines that it is in the public interest to disclose a record which is otherwise exempt from mandatory disclosure, disclosure may be made from the system of records.
3. The Commission contracts with a private firm for the purpose of searching, duplicating, and distributing to the public the documents maintained by the Commission and available for inspection under the Act. The contractor is required to maintain Privacy Act safeguards on such records.
4. A record on an individual in this system may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
5. In the event of litigation where the defendant is:
(a) The Commission, or any employee of the Commission in his or her official capacity;
(b) The United States where the Commission determines that the claim, if successful, is likely to directly the Commission's operations; or
(c) Any Commission employee in his or her individual capacity where the Justice Department has agreed to represent such employee, the Commission may disclose such records as it deems desirable or necessary to the Department of Justice to enable that Department to present an effective defense.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Paper records maintained in case files (original or copy of incoming request and written response). Electronic records are maintained in an electronic database.
Records are indexed by FOIA control number of individual requester.
Paper records are maintained in locked file cabinets in the office of FOIA officer, with limited access. Electronic records are secured through controlled access and passwords to restricted office personnel. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof saves. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Individual case files are maintained for two years after the date of reply. Denied requests and appeals of denials may be retained for longer periods (up to six years after final action) in
FOIA Officer, Federal Communications Commission (FCC), 445 12th Street, SW, Washington, DC 20554.
Address inquiries to the FOIA Officer.
Address inquiries to the FOIA Officer.
Address inquiries to the FOIA Officer.
Individuals and organizations making requests under FOIA or from bureaus or offices of the Commission reporting on the handling of such requests for inclusion in the annual report to Congress.
None.
Telephone Call Detail and Equipment Loan Records.
Office of the Managing Director, Information Technology Center, Operations Group, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-C361, Washington, DC 20554.
1. This system of records contains information concerning the following actions:
(a) Individuals originating calls from FCC telephones and individuals receiving such calls;
(b) Individuals placing calls to or charging calls to FCC telephones (including cellular telephones);
(c) Individuals receiving such calls, or accepting the charges; and
(d) Individuals who are loaned electronic equipment to use when their work requires them to work outside the office or to maintain close contact with the Commission staff,
2. The primary record subjects are current and former FCC employees, as well as individuals employed under any employment arrangement such as a contract or cooperative agreement; grantees; or other persons performing on behalf of the FCC.
3. Incidental to the coverage of the primary record subjects are non-employees who may be identified by telephone number during an inquiry or investigation relating to a potential improper or unofficial use of Government telephones or other illegal or improper activity by the primary record subject.
1. Records in the system of records related to telephone calls placed to and from FCC phones, and the assignment of telephone numbers to employees and the location of the telephone in the FCC. Since this system includes cellular telephones, any local call to or from a cellular telephone would be included.
2. The records may include such information as the number called from, the number called, time and date of the call, duration, disposition, and the cost of the call and/or charges accepted, and the FCC component to which the relevant telephone numbers are assigned.
3. The system may also include copies of related records,
4. The database(s) from which telephone numbers are retrieved contains the names of employees and their office locations, but no other personal identifiers such as social security numbers.
5. The CD-ROM files contain the agency telephone bills which provide details on all calls to and from the FCC telephones.
6. The paper files consist of a combination of the database and CD-ROM files.
7. Records in this system also include records of electronic equipment loaned to staff to use when their work requires them to work outside the office or to maintain close contact with the Commission staff,
8. These records would contain the following information:
(a) Individual's name, FCC I.D. badge number, and Bureau/Office;
(b) Loaned equipment's barcode number; serial number; model number; and modem number.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
1. 44 U.S.C. 3101, which authorizes agencies to create and preserve records documenting agency organizations, functions, procedures, and transactions;
2. 31 U.S.C. 1348b., which authorizes the use of appropriated funds to pay for long distance calls only if required for official business or necessary in the interests of the Government;
3. 47 U.S.C. 154(I), which authorizes the FCC to take actions necessary to execute its functions;
4. 5 CFR 2635.704a., which prohibits use of Government property for other than authorized purposes; and
5. 41 CFR 201-21.601 and 201-21.602, which require that the Government telecommunications systems be used for official purposes only, and authorizing agencies to collect for unauthorized calls.
1. This system of records is used to keep track of local and long-distance telephone calls placed to and from FCC phones, including cellular telephones and the records of the equipment loaned out and those who have borrowed it.
2. The telephone records may include such information as the number called from, the number called, time and date of the call, duration, disposition, the cost of the call and/or charges accepted, and the FCC component to which the relevant telephone numbers are assigned. By maintaining these records, the FCC can monitor the charges for long distance or cellular calls and also determine if such calls are being made for other than Commission-related purposes.
3. When wireless instruments are loaned, the individual staff must sign the FCC Wireless Telecommunications Statement of Understanding and fill out FCC Form A-476, Custodial Receipt for Sensitive FCC Property when the equipment loan is made.
4. The equipment loan records include the type of equipment borrowed, the borrower, and the duration of the loan.
The FCC does not normally disclose records from this system of records. However, in the event it is appropriate, disclosure of relevant information may be made in accordance with the provisions of 5 U.S.C. 552(a)(b). Records and data may be disclosed as necessary pursuant to 5 U.S.C. 552(a)(b):
1. A record in this system of records may be disclosed to a member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained;
2. A record in this system of records may be disclosed to representatives of the General Services Administration or
3. A record in this system of records may be disclosed to the Department of Justice (DOJ) when:
(a) The agency or any component thereof; or any employee of the agency in his or her official capacity where the DOJ has agreed to represent the employee; or
(b) The United States Government is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation and the use of such records by the DOJ is therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the agency collected the records.
4. A record in this system of records may be disclosed to a court or adjudicative body in a proceeding when:
(a) The agency or any component thereof; any employee of the agency in his or her official capacity; or any employee of the agency in his or her official capacity where the agency has agreed to represent the employee; or
(b) The United States Government is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation and the use of such records is therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the agency collected the records.
5. A record in this system of records may be disclosed to law enforcement agencies when a record on its fact, or in conjunction with other records, indicates a violation or potential violation of the law, whether civil, criminal, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, disclosure may be made to the appropriate agency, whether Federal, foreign, state, local, or tribal, or other public authority responsible for enforcing, investigating, or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant to any enforcement, regulatory, investigative, or prospective responsibility of the receiving entity;
6. A record in this system of records may be disclosed to agency contractors, grantees, experts, consultants, or volunteers who have been engaged by the agency to assist in the performance of a service related to this system of records and who need to have access to the records in order to perform the activity. Recipients shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a (m);
7. A record in this system of records may be disclosed to the National Finance Center (the FCC's designated payroll office), the Department of the Treasury Debt Management Services and/or a current employer to effect a salary, IRS tax refund, or administrative offset to satisfy an indebtedness incurred for unofficial telephone and cellular calls; and to Federal agencies to identify and locate former employees for the purposes of collecting such indebtedness, including through administrative, salary, or tax refund offsets. Identifying and locating former employees, and the subsequent referral to such agencies for offset purposes, may be accomplished through authorized computer matching programs. Disclosures will be made only when all procedural steps established by the Debt Collection Act of 1982 and the Debt Collection Improvement Act of 1996 or the Computer Matching and Privacy Protection Act of 1988 as appropriate, have been taken;
8. A record in this system of records may be disclosed to a Federal, State, local, or foreign agency maintaining civil, criminal, or other relevant enforcement records, or other pertinent records, or to another public authority or professional organization, if necessary to obtain information relevant to an investigation concerning the retention of an employee or other personnel action (other than hiring), the retention of a security clearance, the letting of a contract, or the issuance or retention of a grant, or other benefit; and
9. A record in this system of records may be disclosed to a Federal, State, local, foreign, or tribal or other information relevant to the retention of an employee, the retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant, or other benefit. The other agency or licensing organization may then make a request supported by the written consent of the individual for the entire record if it so chooses. No disclosure will be made unless the information has been determined to be sufficiently reliable to support a referral to another office within the agency or to another Federal agency for criminal, civil, administrative, personnel, or regulatory action.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained electronically in one of three databases (PCS, cellular telephones, and pagers), on paper, and on CD-ROM. The databases are password protected and updated daily. Authorized individuals can check the current databases during sign out when individuals leave the FCC to ensure that the departing staff has returned any loaned equipment.
Telephone call records are retrieved by bureau or office name, the employee name, name of recipient of telephone call, telephone number. Equipment loan records are retrieved by the employee name, equipment barcode number, serial number, and model or modem numbers.
Paper and CD-ROM records are maintained in file cabinets in offices which are locked at the end of the business day. Information in the database is secured through controlled access and passwords restricted to administrative office personnel. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof safes. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Records are disposed of in accordance with General Records Schedule 12, National Archives and Records Administration.
Appropriate bureau or office chief and first line supervisors in the Federal Communications Commission, 445 12th Street, SW., Washington, DC 20554. See FCC telephone directory for a list of field office telephone numbers or the commercial telephone directory under “U.S. Government.”
Ask for “Records Access Procedures” in making inquiries regarding this system. The inquiries should be addressed to the system manager, Office of Managing Director, Information Technology Center, Operations Group,
Address inquiries to the system manager.
Address inquiries to the system manager.
Telephone assignment records; call detail listings; results of administrative inquiries relating to assignment of responsibility for placement of specific long distance calls.
None.
Denial of Federal Benefits (Drug Debarment List).
Financial Operations Center, Associate Managing Director—Financial Operations (AMD-FO), Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-A663, Washington, DC 20554.
Individuals convicted of offenses concerning the distribution or possession of controlled substances, who have been denied all Federal benefits or FCC benefits as part of their sentence pursuant to Section 5301 of the Anti-Drug Abuse Act of 1988, and who have also filed applications for any FCC professional or commercial license.
The records within this system will consist of a database provided to the FCC from the Department of Justice (DOJ) regarding individuals who have been denied all Federal benefits or FCC benefits pursuant to section 5301 of the Anti-Drug Abuse Act of 1988.
1. The data elements to be used by the FCC are: DOJ identification number (ID) for the person denied Federal benefits, Person's name, Taxpayer Identification Number (TIN), and Starting and ending date of the denial of Federal benefits.
2. All other data elements in the database will be immediately discarded.
3. When there is a match of name and TIN from the database with the name and address of an application on file with the FCC, the FCC will then obtain from DOJ additional data elements: Person's name, address, and zip code. If also required by the FCC application, the person's date of birth.
4. If manual comparison of the application information with the information obtained from DOJ confirms a match, the FCC will prepare a confirmation report to be attached to the application. The confirmation report will reflect the identifying information obtained from the DOJ debarment entry, but it will not include the DOJ ID number for that debarment entry. Upon such a match, the FCC will initiate correspondence with the applicant, which will also be associated with the application. The confirmation report and any correspondence with the applicant will be among the records found in this system.
Section 5301 of the Anti-Drug Abuse Act of 1988, Pub. L. 100-690, as amended by section 1002(d) of the Crime Control Act of 1990, Pub. L. 101-647 (21 U.S.C. 862), and sections 4(i) and 4(j) of the Communications Act of 1934 (47 U.S.C. 154(i) and 154(j)).
The records within the system will be used for the exchange of information between DOJ and the FCC in connection with the implementation of section 5301 of the Anti-Drug Abuse Act of 1988. This exchange of information permits the FCC to perform the General Services Administration (GSA) Debarment List check as provided for in the Office of National Drug Control Policy plan for implementation of section 5301 through use of information generated by DOJ. The automated records obtained from DOJ will only be used by the FCC to make an initial determination of whether an individual applicant is subject to a denial of all Federal benefits or FCC benefits imposed under section 5301 of the Anti-Drug Abuse Act of 1988.
This system contains the following information: Department of Justice database provided to the FCC; the database retained by the FCC for use in the automated system; and the match reports; and any copies of the confirmation report that include the Department of Justice ID number will be routinely available for use or inspection by appropriate FCC officials.
The confirmation report (not including the DOJ ID Number) and any correspondence with the applicant will be associated with the applicant's application and will thus be made routinely available for public inspection.
In each case the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained electronically on a computer database.
Records are retrieved by supplying the following information: Name of applicant, TIN, address (in some instances) and zip code, date of birth (in some instances), and FCC fee control number for the application.
The data are provided to the FCC by the U.S. Department of Justice (DOJ) and will be protected from tampering, unauthorized disclosure, and will follow these procedures:
1. The database will be processed to extract the information to be used in the automated system, and the data elements not being used in the automated system will be electronically erased. The remaining data will be maintained at the main FCC building with a low risk of unauthorized access.
2. Access points are photo-monitored by security personnel; all employees are required to display photo ID badges; and all visitors must register and wear a visitor's badge. Access to the computer system on which the extracted database is stored requires use of a unique user ID with personal identifier, which is controlled through application and operating system security.
3. The extracted database is stored in a separate file in that system, and a separate password is required for entry to that file. The password is available to a limited number of persons based strictly on a “need to know” basis.
4. The reports of any automated matches containing the DOJ ID number will be made available only to the appropriate FCC officials.
1. The match reports will be retained by the FCC for only as long as it is necessary to obtain the debarment entry information and corresponding application for manual confirmation of the match. Thereafter, they will be destroyed. However, periodically, a match report will be randomly retained for a period of an additional 90 to 120 days to provide a quality check of the verification process.
2. Where the verification process establish that a match does not indicate that the applicant has been denied Federal benefits under section 5301, the debarment entry information used in that determination will be retained by the FCC for 30 days after the application has cleared the debarment check. However, as noted above, debarment entry information relating to match reports that are retained for quality control purposes will be retained until that quality check is completed.
3. Where a match is confirmed by the manual verification process, the debarment entry information will be retained for a period of at least 90 days after the date of the letter referred to above. If the application contests the determination that a section 5301 denial of Federal benefits bars a grant of the application, the debarment entry information will be retained until such time as the FCC's action on the application is no longer subject to review in any court.
Associate Managing Director-Financial Operations (AMD-FO), Managing Director, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554.
Address inquiries to the AMD-FO.
Address inquiries to the AMD-FO.
Address inquiries to the AMD-FO.
Individuals making applications who have been convicted of certain drug offenses and who have been denied all Federal benefits or FCC benefits as part of their sentence.
None.
Access Control System.
Office of the Managing Director, Security Operations Center, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-B458, Washington, DC 20554.
Current FCC employees, current contractors, frequent visitors, visitors, temporary hires, special parking access and day contractor.
The system consists of computer databases, with all records containing the last and first name, filed alphabetically by last name, with a corresponding Badge Number.
1. The FCC employee/temporary hire database will include: First and last name, Telephone number, Bureau/Office, (Supervisor—delete), Room number, Date of issuance, and Parking (permit—delete) privilege (number—delete), if applicable, and property pass privilege if applicable.
2. The contractor database will include: First and last name, Contractor company name, Telephone number, FCC point of contact, Telephone number, and Date of issuance.
3. The Frequent Visitor's database will include: First and last name, Employer's name, Address, Telephone number, Point of contact at the employer, and Date of issuance.
4. The Visitor/day contractor database will include: First and last name along with numerical identifier.
5. The Special Parking Access database will include: First and last name, Telephone number, Employer, and Date of issuance.
Proof of identity required through photographic identification is necessary prior to issuance of the contractor badge and the frequent visitor's badge and visitor's badge.
Presidential Directive based on Department of Justice report entitled “Vulnerability Assessment of Federal Facilities.”
This system provides a method by which the FCC can control and account for all persons entering the Commission's facilities and by which the FCC may ascertain the times persons were in these facilities.
1. Where there is an indication of a violation or potential of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation, or order.
2. A record from this system may be disclosed to a request for information from a Federal, state, or local agency maintaining civil, criminal, or other relevant information or other pertinent information if necessary to obtain information relevant to an investigation.
3. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
4. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
5. Records from this system may be disclosed to FCC supervisors or management representatives to ascertain (either confirm or refute) the times employees were in the facility.
In each of these cases the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained in a password protected computer database.
Records are retrieved by the name of the individual on whom they are maintained by a limited number of authorized individuals.
The computer terminals are stored within a secured area. The Security Office staff performs a backup operation on these files on a weekly—monthly basis on
1. When an employee/contractor/temporary hire/special parking access leaves the FCC, the file in the database is deleted.
2. Frequent visitor badges are given a two-year valid period, after which the card will automatically deactivate.
3. All returned visitor/day contractor cards will be reused on a daily basis.
4. Transaction data for all cards will be placed on backup discs and stored for one year in the FCC Security Office which is locked and alarmed.
Security Operations Center, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-B458, Washington, DC 20554.
Individuals wishing to inquire whether this system of records contains
Individuals wishing to request access to records about them should contact the system manager indicated above. Individuals must furnish their “Full Name” for their record to be located and identified. An individual requesting access must also follow FCC Privacy Act regulations regarding verification of identify and access to records. See 47 CFR 0.554-0.555.
Individuals wishing to request amendment of their records should contact the system manager indicated above. Individuals must furnish their “Full Name” for their record to be located and identified. An individual requesting amendment must also follow the FCC Privacy Act regulations regarding verification of identity and amendment of records. See 47 CFR 0.556-0.557.
The individual to whom the information applies.
None.
Inter-office (GroupWise) and Internet E-mail Systems.
Information Technology Center, Office of the Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-C266, Washington, DC 20554.
Employees and contractors of the Federal Communications Commission in Washington, DC and the field offices.
Records in this system of records include the names, e-mail addresses, and passwords of all FCC employees and contractors.
1. Executive Orders 10450 and 12065;
2. 44 U.S.C. 3101, which authorizes agencies to create and preserve records documenting agency organizations, functions, procedures, and transactions;
3. 47 U.S.C. 154(i), which authorizes the FCC to take actions necessary to execute its functions;
4. 5 CFR 2635.704a., which prohibits use of Government property for other than authorized purposes; and
5. 41 CFR 201-21.601 and 201-21.602, which require that the Government Radio systems be used for official purposes only.
These records are maintained by the Information Technology Center staff to identify all users on the FCC's Inter-office and Internet E-mail systems, their locations, and their passwords. This information is necessary to insure that all users abide by the FCC's Intranet and Internet regulations and to identify possible abusers.
Information in this system of records may be disclosed for the following reasons:
1. For disclosure to a Federal agency or the District of Columbia Government, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency.
2. For disclosure to the security officer of an agency in the executive, legislative, or judicial branch, or the District of Columbia Government, in response to its request for verification of security clearances, of FCC employees/contractors to have access to classified data or areas where their official duties require such access.
3. Where there is an indication or a violation or potential violation of a statute, regulation, rule, order may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation or order.
4. A record from this system may be disclosure to request information from a Federal, state, local or foreign agency maintaining civil, criminal, or other relevant enforcement information, or other pertinent information records, or to another public authority or professional organization, if necessary to obtain information relevant to an investigation concerning the retention of an employee or other personnel action (other than hiring), the retention of a security clearance, the letting of a contract, or the issuance of a grant or other benefit.
5. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to a Congressional office.
6. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained in an electronic database.
Records are retrieved by bureau or office name and the employee name and log-in name.
Information in the database is secured through controlled access and passwords restricted to administrative office personnel. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof safes. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Records are until the employee or contract retires or leaves the FCC. The records are then disposed of in accordance with General Records Schedule 12, National Archives and Records Administration (NARA).
Operations Group, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-C734, Washington, DC 20554.
Ask for “Records Access Procedures” in making inquiries regarding this system. The inquiries should be addressed to the system manager, Office of Managing Director, Information Technology Center, Operations Group, Federal Communications Commission (FCC), 445 12th Street, SW., 1-C266, Washington, DC 20554.
Same as above.
Same as above.
Same as above.
None.
Garnishment and Levy of Wages.
Associate Managing Director, Human Resources Management, Office of the Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-B104, Washington, DC 20554.
Any Commission employee who is the subject of a garnishment or levy order issued by a court of competent jurisdiction or by another government entity authorized to issue such order.
Garnishment of levy orders served upon the agency for implementation, correspondence, memoranda.
5 U.S.C. 301.
Records are used by staff attorneys in the General Counsel's office in directing the agency's implementation of garnishment and levy orders.
1. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule regulation, or order.
2. A record on an individual in this system or records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
3. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when represented by the government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
4. A record in this system of records which concerns information on pay and leave, benefits, retirement deductions, and any other pertinent information may be disclosed to the Office of Personnel Management in order for it to carry out its legally authorized Government-wide functions and duties.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Paper records are stored in file folders.
Records are maintained by the name of the individual subject to garnishment or levy order.
Records are kept in file cabinets in offices that are secured at the end of each business day. Because only one or two office persons have need to routinely access this system, unauthorized examinations would be easily detected.
Records are normally retained as long as the Commission remains under the obligation to implement the particular garnishment or levy order.
Associate Managing Director, Human Resources Management, Office of the Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW Room 1-B104, Washington, DC. 20554.
Address inquiries to the system manager.
Address inquiries to the system manager.
Address inquiries to the system manager.
Bankruptcy courts, state domestic relations courts, state public health and welfare departments or agencies, Internal Revenue Service, and intra-agency memoranda.
None.
Informal Complaints and Inquiries File (Broadcast, Common Carrier, and Wireless Telecommunications Bureau Radio Services).
Chief, Consumer Information Bureau, Room 5-C345, Federal Communications Commission (FCC), 445 12th Street, SW Washington, DC. 20554.
Individuals and groups who have made written complaints and/or general inquiries to, and/or are parties to informal complaints proceedings on matters under the Communications Act of 1996.
The records in this system include both computerized information contained in a database and paper copies of inquiries, informal complaints, and related supporting information, company replies to complaints, letters of inquiry, and Commission letters regarding such complaints made by individuals, groups, or other entities pertaining to the FCC's bureaus and offices.
47 U.S.C. 206, 208, 301, 303, 309(e), 312, 362, 364, 386, 507, and 51; and 47 CFR 1.711
The records in this system of records are used by Commission personnel to handle and process complaints and inquiries received from individuals, groups, and other entities pertaining to FCC related matters. Records in this system are available for public inspection after redaction of information which could identify the complainant or correspondent,
This system of records is used by Commission personnel to handle and process complaints received from individuals and companies.
1. When a record in this system involves a complaint against a common carrier, the complaint is forwarded to the defendant carrier who must, within a prescribed time frame, either satisfy the complaint or explain to the
2. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation, or order.
3. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
5. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when represented by the government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
6. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
7. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Paper copies of records in this system of records are maintained in file folders and electronic files are located in computer databases on the FCC network.
Records are retrieved by individual name, party name, licensee, applicant or unlicensed individual, call sign, or file number.
Records are stored in unlocked files which are secured in the office at the close of the business day. Access to computer records is controlled by password. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof safes. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
The records are retained in the Commission and then destroyed five years after final action in accordance with the appropriate records retention schedule.
Chief, Consumer Information Bureau, Federal Communications Commission, 445 12th Street, Room 5-C345, SW., Washington, DC. 20554.
Address inquiries to the system manager.
Address inquiries to the system manager. An individual requesting access must follow FCC Privacy Act regulations regarding verification of identity and amendment of records. See 47 CFR 0.556-0.557.
Address inquiries to the system manager.
Complaints and subject carriers.
None.
Telephone and Electronic Contacts.
Consumer Information Network Division, Consumer Information Bureau, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554 and 1270 Fairfield Road, Gettysburg, Pennsylvania 17325.
This system of records includes individuals or entities who have made complaints or inquiries.
This system of records includes complaints and related information, company or business replies to complaints, letters of inquiry, and Commission letters regarding or responding to such complaints and inquiries.
Sec. 4(i) and (j) of the Communications Act of 1934, as amended, 47 U.S.C. 154 (i) and (j).
These records are used by the FCC staff to handle, respond, and process inquiries and complaints received from individuals, companies, and other entities.
1. Where there is an indication of a violation or potential violation of any statute, regulation, rule, or order, records from this system may be referred and disclosed to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation, or order.
2. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the FCC is a party before a court or any other administrative body.
3. A record from this system of records may be referred and disclosed to the Department of Justice or in a proceeding before a court or any adjudicative body when:
(a) The United States, the FCC, a component of the FCC, or, when represented by the government, an employee of the FCC, is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) the FCC determines that the disclosure is relevant or necessary to the litigation.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained in computer databases on the FCC's internal network.
Records are retrieved by telephone number, name of caller, address, subject, or reason for call.
The computer systems are stored within secured areas. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof safes. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
The records are retained in the FCC and then destroyed according to the appropriate records schedule.
Chief, Consumer Information Network Division, Consumer Information Bureau, Federal Communications Commission (FCC), 1270 Fairfield Road, Gettysburg, Pennsylvania 17325, and 445 12th Street, SW., Room 5-C345, Washington, DC.
Address inquiries to the system manager.
Address inquiries to the system manager. An individual requesting access must follow FCC Privacy Act regulations regarding verification of identity and amendment of records. See 47 CFR 0.556-0.557.
Address inquiries to the system manager. Individuals requesting access must also follow FCC Privacy Act regulations regarding verification of identity and access to records. See 47 CFR 0.554-0.555.
The individual to whom the information applies.
None.
Violators File (records kept on individuals who have been subjects of FCC field enforcement actions).
Primary: Enforcement Bureau, Room 7-C732, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554.
Secondary: Various field facilities (See FCC telephone directory for field office addresses, or locate local office in commercial telephone directory under “U.S. Government.”).
1. Individuals who have been subjects of FCC field enforcement actions (monitoring, inspection, and/or investigation) for violations of radio law, FCC Rules and Regulations, or International Treaties.
2. Licensees, applicants, and unlicensed persons under parts 80, 87, 90, 94, 95, and 97 of the rules about whom there are questions of compliance with the Commission's rules or the Communications Act of 1934, as amended.
Inspection reports, complaints, monitoring reports, investigative cases, referral memos, correspondence, discrepancy notifications, warning notices and forfeiture actions.
47 U.S.C. 101, 102, 104, 301, 303, 309(e), 312, 315, 318, 362, 364, 386, 401, 404, 501, 502, 503, 507, and 510.
1. For use in connection with the Commission's field enforcement programs to determine levels of compliance among radio users; to issue marine certificates of compliance; to document Commission monitoring inspections and investigations for enforcement purposes; to provide a basis for various administrative, civil, or criminal sanction actions taken against violators by the EB or other appropriate Commission bureaus or offices.
2. Limited information elements are transferred to the Commission's central computer facility and to EB field facilities to maintain a cross-reference, which prevents duplication of enforcement actions, and to track the progress of enforcement cases. Copies of Commission sanction actions are available for public inspection.
1. If the records indicate a possible violation of law, they may be referred, as a routine use, to the appropriate agency charged with the responsibility of investigating or prosecuting such violation or charged with enforcing the applicable statutes or rules.
2. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation or order.
3. A record from this system may be disclosed to request information from a Federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as licenses, if necessary to obtain information relevant to a Commission decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
4. A record from this system may be disclosed to a Federal state, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as licenses, if necessary to obtain information relevant to a Commission decision concerning the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit.
5. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
6. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
7. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
8. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when represented by the government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to litigation.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Information is stored in file folders, a computer database, and computer printout.
All records are retrievable by name or by FCC-issued call sign.
Paper records are kept in file cabinets in offices that are secured at the end of each business day. Access to information in the computer database is restricted by use of passwords and location of terminals in rooms which are designated non-public areas. The rooms are secured outside of business hours. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof saves. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
The documentation portions of these records are retained for three years after the case is closed, and then destroyed. All violation notices are maintained for a period of four years, then destroyed. (Classified material is destroyed by burning or shredding.)
Chief, Enforcement Bureau, Room 7-C732, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554.
This system is exempt from the requirement that the agency publish the procedures for notifying an individual, at his or her request, if the system contains a record pertaining to him/her, for gaining access to such record, and for contesting the contents of the record.
This system is exempt from the requirement that the agency publish the categories of sources of records in this system.
This system of records is exempt from subsections (c)(3), (d), (e)(1), (e)(4), (G), (H), (I), and (f) of the Privacy Act and from §§ 0.544-0.567 of FCC rules. Those provisions concern the notification, access, and contesting procedures described above as well as the publication of record sources. The system is exempt from these provisions because it is maintained in connection with the provision of protective services to certain individuals as defined in section (k)(3) of the Privacy Act and for law enforcement purposes as defined in section (k)(2) of the Privacy Act.
State and Operational Areas Emergency Commission Committee Membership.
Enforcement Bureau, Federal Communications Commission (FCC), 445 12th Street, SW., Room 7-C732, Washington, DC 20554.
Chairman and Vice Chairman of State and Operational Area Emergency Communications Committees.
Information showing individual name, business address, business telephone number, and title.
Federal Advisory Committee Act, 5 U.S.C. appendix 2.
(1) Records in this system are used to forward the appropriate information to State Committee members, each broadcast station in the State, and to Federal, State, and local government officials for Emergency Communications planning. All information in this system will be available for public inspection.
In each case, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
File folders.
Records are filed by state and by name of committee member within the state.
Records are maintained in file cabinets which are locked at the end of each business day.
Records are retained indefinitely while the individual is a member of the committee; when member resigns, individual file materials are destroyed.
Chief, Enforcement Bureau, Federal Communications Commission (FCC), 445 12th Street, SW., Room 7-C732, Washington, DC 20554.
Address inquiries to the system manager. Name of the state must be provided with any request for information.
Same as above.
Same as above.
Committee member.
None.
Experimental Radio Station License Files.
Office of Engineering and Technology, Federal Communications Commission (FCC), 445 12th Street, SW., Room 7-A303, NW., Washington, DC 20554.
Those who have been granted a license to operate an experimental radio station under part 5 of the Commission's rules.
1. This system includes the following FCC Forms, any supporting exhibits submitted by the applicant(s), and related documentation:
(a) FCC Form 422, Application for a New or Modified Station;
(b) FCC Form 405, Application for Renewal of Station License;
(c) FCC Form 702, Application for Consent to Assignment of Radio Station Construction Authorization or License;
(d) FCC Form 703, Application for Consent to Transfer Control of Corporation Holding Station License; and
(e) Any supporting exhibits submitted by the applicant(s).
2. This system of records may include experimental project reports submitted by the applicant as required by FCC rules, part 5.
3. The system also includes comments from other Commission bureaus on interference potential of operation.
47 U.S.C. 308; 47 CFR part 5.
To make a determination of applicant's eligibility to operate a station in the experimental radio service; to determine interference potential to other radio services within the Commission, to determine if the project of experimentation is valid, as well as possible use in rulemakings.
1. Information from this system may be disclosed to other FCC bureaus, Federal agencies, or to the public, in response to a request, in connection with new experimentation being conducted and the impact that this experimentation may have on the public. The information may not be disclosed if it is not routinely available for public inspection under § 0.457 of the Commission's rules, 47 CFR 0.459, or a request that the information be given confidential treatment is granted under § 0.459 of the Commission's rules, 47 CFR 0.459.
In each case the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Paper records in file folders, electronically scanned images of paper records, electronic records of data elements of both paper-file and electronically filed applications, and electronic copies of licenses granted after November 16, 1998.
1. Paper files are retrieved by license name. If there are more than one station per licensee, then the files may also be retrieved by call sign.
2. Scanned images, electronic records of data elements and electronic copies of licenses may be retrieved from the OET Experimental Licensing Branch Reports World Wide Web site, accessed from the main FCC Web page:
All files are available to the public except classified files and files that have been granted confidentiality under 47 CFR 0.457 of the Commission rules. Classified files are kept in locked cabinets in accordance with security regulations. Files which have been granted confidentiality under 47 CFR 0.457 are marked “NOT FOR PUBLIC INSPECTION” and may only be accessed by Commission employees who have a need to know the information. Files which have been granted confidentiality under 47 CFR 0.457 are not accessible over the Internet. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof saves. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Records are maintained in the office. They are destroyed two years after expiration of the license.
Chief, Experimental Licensing Branch, Office of Engineering and Technology, Federal Communications Commission, 445 12th Street, SW., Room 7-A267, Washington, DC 20554.
Address inquiries to the system manager.
Address inquiries to the system manager.
Address inquiries to the system manager.
The majority of information in these records comes from the individual. Other information comes from coordination with other FCC bureaus and from that which is generated with the Spectrum Coordination Branch during the normal processing of the application.
None.
Attorney Misconduct Files.
Office of General Counsel, Federal Communications Commission (FCC), 445 12th Street, SW., Room 8-C743, Washington, DC 20554.
Any attorney who appears in a representative capacity before the FCC and who is charged with attorney misconduct.
The records in this system of records include correspondence, briefs, related FCC agenda items, bar association recommendations, investigative findings, complaints of attorney misconduct, memoranda, and pleadings.
5 U.S.C. 500(d).
Record information is used by staff attorneys to prosecute a case for attorney misconduct before FCC administrative law judges or before the Commission.
Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system of records may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation or order.
In each case the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
The information is stored in file folders.
Records are retrieved by the name of the attorney charged with misconduct.
Records are kept in file cabinets in offices that are secured at the end of each business day. Since only one or two staff persons routinely access this record system, unauthorized examination during business hours would be easily detected.
Destroyed five years after case closure.
General Counsel, Office of General Counsel, Federal Communications Commission (FCC), 445 12th Street, SW., Room 8-C743, Washington, DC 20554.
This system is exempt from the requirement that the agency publish the procedures for notifying an individual, at his or her request, if the system contains a record pertaining to him/her, for gaining access to such record, and for contesting the contents of the record.
This system is exempt from the requirement that the agency publish the categories of sources of records in this system.
This system of records is exempt from Subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of the Privacy Act of 1974, 5 U.S.C. 552a, and from §§ 0.554-0.557 and 0.559 of the Commission's rules. These provisions concern notification, record access, and contesting procedures, as well as publication of record sources. The system is exempt from these provisions because it is maintained for law enforcement purposes pursuant to subsection (k)(2) of the Act.
Employee Complaint Adjudication.
Office of General Counsel, Federal Communications Commission (FCC), 445 12th Street, SW., Room 8-C743, Washington, DC 20554.
Any Commission employee who is the subject of a complaint investigation involving internal personnel actions or activities,
Records in this system of records involve internal personnel disputes that have reached the hearing stage, and may include correspondence, memoranda, transcripts of hearings, briefs, pleadings, investigative reports, decisions of hearing examiners, and Commissioners.
5 U.S.C. 301.
1. These records are used by staff attorneys in the General Counsel's office in settlement negotiations with opposing parties; records are also used in preparation for hearings before an administrative body or a court of appropriate jurisdiction.
2. A record on an individual in a system of records may be disclosed where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
1. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court of adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or when represented by the government, an employee of the FCC is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
2. A record from this system of records which concerns information on pay and leave, benefits, retirement deductions, and any other pertinent information may be disclosed to the Office of Personnel Management in order for it to carry out its legally authorized Government-wide functions and duties.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
The information is stored in file folders.
Records are retrieved by the name of the subject individual in the investigation.
Records are maintained in file cabinets in an office that is secured at the end of each business day. Since only one or two staff persons routinely access this record system, unauthorized examination during business hours would be easily detected.
Destroyed five years after case closure.
General Counsel, Office of General Counsel, Federal Communications Commission, 445 12th Street, SW., Room 8-C743, Washington, DC 20554.
Address inquiries to the system manager.
Same as above.
Same as above.
Co-workers of subject individual, other supervisors, classification experts, other persons involved in the case.
None.
Parties with Pending Civil Cases that Affect the Commission before any District Court; before any Court of Appeals; and before the Supreme Court.
Office of General Counsel, Federal Communications Commission (FCC), 445 12th Street, SW., Room 8-C743, Washington, DC 20554.
Any individual who has a miscellaneous case involving the Commission before any District Court; before any Court of Appeals; and before the Supreme Court.
Letters, memoranda, pleadings, briefs, and bankruptcy papers.
47 U.S.C. 402.
Information in this system of records is used by Commission attorneys to update information or furnish additional data for the Government agency handling the case. The records contained in this system are available for public inspection to the extent that they do not contain information usually exempt from mandatory disclosure under Exemption 5 of the FOIA, 5 U.S.C. 552(b)(5).
1. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
2. A record from this system of records may be disclosed to the Department of Justice or in a proceeding
(a) The United States, the Commission, a component of the Commission, or, when represented by the government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
3. A record in this system of records which concerns information on pay and leave, benefits, retirement deductions, and any other pertinent information may be disclosed to the Office of Personnel Management in order for it to carry out its legally authorized Government-wide functions and duties.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Data are stored in file folders.
Records are retrieved by the name of the individual filing the claim.
Records are maintained in file cabinets in an office that is secured at the end of each business day.
The records are destroyed when no longer needed or after five years, whichever occurs first.
General Counsel, Office of General Counsel, Federal Communications Commission (FCC), 445 12th Street, SW., Room 8-C743, Washington, DC 20554.
Address inquiries to the system manager.
Address inquiries to the system manager.
Address inquiries to the system manager.
Justice Department: U.S. Attorneys; other Federal agencies: U.S. District Courts; and parties to the proceedings.
None.
Private or Civil Injury Claimants.
Office of General Counsel, Federal Communications Commission (FCC), 445 12th Street, SW., Room 8-C743, Washington, DC 20554.
Any individual who files a damage claim against the Commission or commits a tort against a Commission employee.
Information in this system of records includes accident reports, tort claim vouchers, correspondence, memoranda, medical and payment receipts, repair and payment receipts, and pictures.
Federal Tort Claims Act, 28 U.S.C. 2672.
Record information is used by attorneys in the Office of General Counsel to determine whether a damage claim filed against the Commission should be paid and for reference purposes when similar cases arise. If it is determined that the claim should not be paid or if the Commission cannot make the final determination whether or not to pay a claim, the record is routinely transferred to the appropriate agency charged with the responsibility of disposition. The records contained in this system are available for public inspection to the extent that they do not contain information usually exempt from mandatory disclosure under Exemption 5 of the FOIA, 5 U.S.C. 552(b)(5).
1. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
2. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, or, when an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
In each of these cases, the FCC will determine whether the disclosure of the records is compatible with the purpose for which the records were collected.
File folders.
Records are retrieved by the name of the individual who filed the claim.
Records are kept in a file cabinet in an office that is locked at the end of each business day. Since only one or two office persons routinely access this system, unauthorized examination during business hours would be easily detected.
Records are destroyed five years after case closure.
General Counsel, Office of General Counsel, Federal Communications Commission, 445 12th Street, SW., Room 8-C743, Washington, DC 20554.
Address inquiries to the system manager.
Same as above.
Same as above.
Witnesses: Office of General Counsel; Office of Managing Director: claimants; and employees.
The records contained in this system are available for public inspection to the extent that they do not contain information usually exempt from mandatory disclosure under Exemption 5 of the FOIA, 5 U.S.C. 552(b)(5).
Criminal Investigative Files.
Not applicable.
Office of Inspector General (OIG), Federal Communications Commission (FCC), 445 12th Street, SW., Room 2-C762, Washington, DC 20554.
This system of records is limited to records on individuals, including present and former FCC employees, who are or have been the subjects of investigations conducted by the OIG in accordance with the Inspector General's (IG) authority derived from the Inspector General Act of 1978, as amended, 5 U.S.C. appendix 3. These investigations arise within the context of alleged violations of criminal laws which proscribe fraud, waste, and abuse in the execution of the Commission's programs and operations.
1. Case files developed during investigations of known or alleged fraud, waste, and abuse, or other irregularities or violations of criminal laws and regulations;
2. Case files related to programs and operations administered or financed by the FCC, including contractors and others doing business with the FCC;
3. Investigative files relating to FCC employees' hotline complaints and other miscellaneous complaint files; and
4. Investigative reports and related documents, such as correspondence, notes, attachments, and working papers.
Inspector General Act of 1978, as amended by Pub. L. 100-504, October 18, 1988.
This action is required in order to reflect the creation of the OIG in March 1989, and its statutory authorization to perform investigations, see 54 FR 15194, April 17, 1989. This system consists of the OIG's Investigative Files compiled for criminal investigation purposes:
1. For the purpose of preventing or detecting fraud, waste, or abuse;
2. Conducting and supervising audits and investigations relating to programs and operations in the Commission; and
3. Informing the Chairman about problems and deficiencies in the Commission's programs and operations or suggesting corrective action in reference to identified irregularities, problems, or deficiencies.
Records maintained by the OIG to carry out its functions may be disclosed, as routine use, as follows:
1. Where there is an indication of violation or potential violation of statute, regulation, rule or order, records from this system may be referred to the appropriate Federal, foreign, state or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation, or order.
2. To any source, either private or government, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or audit to be conducted by the OIG.
3. To private contractors for the purpose of collating, analyzing, aggregating, or otherwise refining records pertaining to an OIG investigation or audit. Disclosure will also be made to independent auditors who by contract carry out audits on behalf of the OIG. Such contractors will be required to maintain Privacy Act safeguards with respect to such records.
4. To the U.S. Department of Justice in order to obtain that department's advice regarding disclosure obligations under the Freedom of Information Act within the context of investigations and audits conducted by the OIG.
5. To the Office of Management and Budget in order to obtain that office's advice regarding obligations under the Privacy Act within the context of investigations and audits conducted by the OIG.
6. To the Department of Justice or the Office of General Counsel of the Commission or independent counsel retained by OIG when the defendant in litigation is:
(a) Any component of the Commission or any employee of the Commission in his or her official capacity;
(b) The United States where the Commission determines that the claim, if successful, is likely to directly affect the operations of the Commission;
(c) Any Commission employee in his or her individual capacity where the Department of Justice and/or the Office of the General Counsel of the Commission agree to represent such employee.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records are collected.
The OIG Investigative Files consist either of paper records maintained in file folders or an automated database maintained on computer diskettes or on a computer network. All records are stored under secure conditions.
Records are filed alphabetically by name of the subject of the investigation or by a unique file number assigned to each investigation.
Paper and diskette records are kept in locked file cabinets in offices that are further secured at the end of each business day. Limited access of these records is permitted by those persons whose official duties require such access, thus unauthorized examination during business hours would be easily detected. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof safes. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
The Investigative Files are kept by the specified periods of five to ten years from the date the files are closed, in accordance with the National Archives and Records Schedule 22. Disposition of records shall be in accordance with FCC Records Maintenance and Disposition System.
Inspector General, Office of Inspector General, Federal Communications Commission (FCC), 445 12th Street, SW., Room 2-C762, Washington, DC 20554.
Pursuant to section (j)(2) of the Privacy Act, the publication of notification, access and contesting procedures for records contained in this system is not necessary. Under certain circumstances, however, a determination as to the availability of these procedures shall be made at the time a request for notification, access, or contesting is received. Such inquiries should be addressed to the System Manager at the above address. Written requests should be clearly marked, “Privacy Act Request” on the envelope and letter, and include the full name of the individual, some type of appropriate personal identification, and the current address.
See statement in the notification procedures section above.
See statement in the notification procedures section above.
Pursuant to section (j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), the
Pursuant to section (j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), this system is exempt from all of the provisions of the Privacy Act except subsections (b), (c)(1) and (c)(2), (e)(4)(A) through (F), (e)(6), (e)(7), (e)(9), (e)(10) (e)(11) and (i). The Commission's rules implementing the Privacy Act will state that this system of records is exempt from the Privacy Act provisions referred to in this paragraph. See 47 CFR 0.561.
General Investigative Files.
Not applicable.
Office of Inspector General (OIG), Federal Communications Commission (FCC), 445 12th Street, SW., Room 2-C762, Washington, DC 20554.
This system of records contains records on individuals, including present and former FCC employees, who are or have been the subjects of general investigations conducted by the OIG relating to allegations raised pertaining to fraud, waste, and abuse with respect to programs and operations of the Commission.
Case files developed during investigations of known or alleged fraud, waste, and abuse, or other irregularities or violations of laws and regulations. Case files related to programs and operations administered or financed by the FCC, including contractors and others doing business with the FCC. Investigative files relating to FCC employee's hotline complaints, and other miscellaneous complaint files. Investigative reports and related documents, such as correspondence, notes, attachments, and working papers.
Inspector General Act of 1978, as amended by Pub. L. 100-504, October 18, 1988.
For the purpose of preventing or detecting waste, fraud, or abuse, conducting and supervising audits and investigations relating to programs and operations, informing the Chairman about problems and deficiencies in the Commission's programs and operations or suggesting corrective action in reference to identified irregularities, problems or deficiencies, the Commission's Inspector General is establishing this system of records. This action is required in order to reflect the creation of the OIG in March 1989, and its statutory authorization to perform investigations, see 54 FR 15194, April 17, 1989. This system consists of the OIG's Investigative Files compiled for law enforcement purposes.
Records maintained by the OIG to carry out its functions may be disclosed, as routine uses, as follows:
1. Where there is an indication of violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, foreign, state or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation or order.
2. To any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or audit to be conducted by the OIG.
3. To private contractors for the purpose of collating, analyzing, aggregating, or otherwise refining records pertaining to an OIG investigation or audit. Disclosure will also be made to independent auditors who by contract carry out audits on behalf of the OIG. Such contractors will be required to maintain Privacy Act safeguards with respect to such records.
4. To the Department of Justice in order to obtain that department's advice regarding disclosure obligations under the Freedom of Information Act within the context of investigations and audits conducted by the OIG.
5. To the Office of Management and Budget in order to obtain that office's advice regarding obligations under the Privacy Act within the context of investigations and audits conducted by the OIG.
6. To the Department of Justice or the Office of General Counsel of the Commission or independent counsel retained by OIG when the defendant in litigation is:
(a) Any component of the Commission or any employee of the Commission in his or her official capacity;
(b) The United States where the Commission determines that the claim, if successful, is likely to directly affect the operations of the Commission;
(c) Any Commission employee in his or her individual capacity where the Department of Justice and/or the Office of the General Counsel of the Commission agree to represent such employee.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were recorded.
The OIG Investigative Files consist either of paper records maintained in file folders or an automated database maintained on computer diskettes or on a computer network. All records are stored under secure conditions.
Records are filed alphabetically by name of subject of the investigation or by a unique file number assigned to each investigation.
Paper and diskette records are kept in locked file cabinets in offices that are further secured at the end of each business day. Limited access of these records is permitted by those persons whose official duties require such access, thus unauthorized examination during business hours would be easily detected. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof safes. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
The Investigative Files are kept by the specified periods of 5 to 10 years from the date the files are closed, in accordance with the National Archives and Records Schedule 22. Disposition of records shall be in accordance with FCC Records Maintenance and Disposition System.
Inspector General, Office of Inspector General, Federal Communications Commission, 445 12th Street, SW., Room 2-C762, Washington, DC.
Pursuant to section (k)(2) of the Privacy Act the publication of
Pursuant to section (k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), the Commission is not required to publish the categories of the sources from which records contained in this system are obtained.
Pursuant to section (k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), this system is exempt from all of the provisions of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and (f). The Commission's rules implementing the Privacy Act will state that this system of records is exempt from the Privacy Act provisions referred to in this paragraph. See 47 CFR 0.561.
Labor and Employee Relations Case Files.
Labor Relations and Workforce Effectiveness Service Center, Office of Associate Managing Director-Human Resources Management, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-B104, Washington, DC. 20554.
Current and former FCC employees.
1. This system contains a variety of records relating to formal and informal actions based on conduct or performance and also includes the files dealing with: Grievances filed under the negotiated or administrative grievance procedures, Requests for reconsideration, Arbitrations, Appeals, and Miscellaneous inquiries and complaints.
2. The records may include information such as case number, employee name, Social Security Number, grade, job title, and employment history.
3. The records may also include copies of notices of proposed actions; materials relied on by the agency to support the proposed action; statements of witnesses; employee responses or appeals; transcripts; and agency decisions.
5 U.S.C. 33, 35, 43, 61, 63, 71, 73, 75, and 77; 5 CFR parts 315, 359, 432, 531, 532, 610, 630, 715, 733, 735, 752, and 771.
1. A record from this system of records may be disclosed to FCC officials when such officials have a “need to know” in carrying out their officials duties.
2. A record from this system may be disclosed to officials of labor organizations recognized under 5 U.S.C. chapter 71 when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting working conditions.
3. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation or order.
4. A record from this system may be disclosed to those sources from which additional information is requested in order to process personnel actions, to the extent necessary to identify the individual, inform the source or the purpose(s) of the request, and to identify the type of information requested.
5. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, or the classifying of jobs, to the extent that the information is relevant and necessary to the requesting agency's decision on the hiring or retention of an employee or the issuance of a security clearance.
6. A record from this system may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
7. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
8. A record from this system may be disclosed in response to a request for discovery or for appearance of a witness or when the information is relevant to a subject matter involved in a pending judicial or administrative proceeding.
9. A record from this system may be disclosed to officials of the Merit Systems Protection Board, including the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of OPM rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions;
10. A record from this system may be disclosed to the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, examination of Federal affirmative employment programs, compliance by Federal agencies with applicable laws and regulations, or other functions vested in the Commission by applicable law.
11. A record from this system may be disclosed to the Federal Labor Relations Authority or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.
12. A record from this system may be disclosed to other Federal agencies needed for the performance of their official duties related to reconciling or reconstructing data files, in relating to personnel actions.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
These records are maintained in file folders.
These records are retrieved preliminarily by case number. An examination of case logs will disclose the name of an employee associated with a case number.
These records are maintained in secured metal filing cabinets to which only authorized personnel have access.
1. Records pertaining to the following matters are disposed of at the end of the first fiscal year following completion of the fiscal year in which the action was taken: Informal actions based on conduct or performance; Oral admonishments confirmed in writing; and Written reprimands.
2. Records pertaining to the following matters are disposed of at the end of the third fiscal year following completing of the fiscal year in which the action was taken: Grievances processed under the negotiated or administrative grievance procedures; Appeals; Request for restoration of annual leave; and Requests for admission to the agency's leave transfer program.
3. Records pertaining to the following matters are disposed of at the end of the fourth fiscal year following completion of the fiscal year in which the action was taken: Within-grade increase denials/postponements; Suspensions, removals, and furloughs taken under authority of 5 U.S.C. chapters 35 and 75; and Requests for reconsideration/review.
4. Records pertaining to the following matters are disposed of at the end of the fifth fiscal year following completion of the fiscal year in which the action was taken: Removals, demotions, and reassignments based on unacceptable performance; Arbitrations; and Unfair labor practices.
Disposal is by shredding or burning.
Managing Director, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-B104, Washington, DC 20554.
Individuals subject to an action governed by this system of records will be provided access to the record upon request, subject to applicable law and regulation. Individuals should contact the System Manager for access. They must furnish the following information in writing for their records to be located and identified: Name, Date of birth, Approximate opening and closing dates of the case and the kind of action involved, and Organizational component involved.
Same as notification procedure.
Individuals wishing to request amendment of their records to correct factual errors should contact the System Manager in writing. The following information must be provided: Name, Date of birth, Approximate opening and closing date of the case and the kind of action involved, and Organizational component involved.
Information in this system of records is provided by:
Individual on whom the record is maintained, Testimony of witnesses, Supervisors and managers, Union officials, and Arbitrators and other third-parties, such as the Department of Labor, Federal Labor Relations Authority, and Merit System Protection Board.
None.
Federal Advisory Committee Membership File (FACA).
Associate Managing Director-PERM, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-A836, Washington, DC 20554.
Members of Federal advisory committees sponsored or co-sponsored by the FCC.
1. Current information regarding individual advisory committee members' names, business addresses, business telephone numbers, and occupations or titles is kept with the members' respective advisory committee.
2. Copies or original financial disclosure forms, whenever they are necessary to be filed by committee members, are kept by the members' respective advisory committees.
Pub. L. 92-463, Federal Advisory Committee Act.
1. A record in this system may be used to distribute information to members of each committee for purposes of conducting meetings and general committee business.
2. A record in this system may be used to provide information to the public upon request, in both hardcopy and in electronic form.
3. A record in this system may be disclosed to furnish information to the General Services Administration (GSA), and if necessary, to the Office of Management and Budget (OMB), for use in compiling an annual report.
4. A record in this system may be disclosed to furnish information to Congress in response to periodic Congressional inquiries.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained on 8
Records are grouped by name of committee and filed and retrieved thereunder by name of committee member.
Paper records are maintained in file cabinets in offices that are locked at the end of each business day, on computer diskettes, or on the computer hard drive.
Records are generally retained until the Committee is terminated, and then transferred to the Federal Records Center. In certain instances, when space is not available, records may be transferred to the Federal Records Center prior to when the Committee is terminated.
Managing Director, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-C144, Washington, DC 20554.
Address inquiries to the system manager. The name of advisory committee should be included in the inquiry.
Same as in notification procedures.
Same as in notification procedure.
Committee members.
None.
Security Office Control Files.
Security Operations Center, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-B458, Washington, DC 20554.
Current and former FCC employees and contractors.
Records in this system contain the following information: Individual's last, first, and middle names (filed alphabetically by last name), Social Security Number, Date of birth, Place of birth, Classification as to position sensitivity, Types and dates of investigations, Investigative reports, and Dates and levels of clearance.
Executive Orders 10450 and 12968.
These records are used by FCC Security Officer and the Personnel Security Specialist of the Security Office for reference in connection with the control of position sensitivity and security clearances.
1. For disclosure to a Federal agency or the District of Columbia Government, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the firing or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
2. For disclosure to the security officer of an agency in the executive, legislative, or judicial branch, or the District of Columbia Government, in response to its request for verification of security clearances, of FCC employees to have access to classified data or areas where their official duties require such access.
3. Where there is an indication or a violation or potential violation of a statute, regulation, rule, order may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulation or order.
4. A record from this system may be disclosure to request information from a Federal, state, local or agency maintaining civil, criminal, or other relevant enforcement information, or other pertinent information records, such as licenses, if necessary to obtain information relevant to a Commission decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a grant or other benefit.
5. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to a Congressional office.
6. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained in the stand alone computer database.
Records are retrieved by the name and Social Security Number of the individuals on whom they are maintained.
The stand alone computer is stored within a secured area. A back up copy of these records is made weekly using 3.5 diskettes.
When an employee/contractor leaves the agency, the file in the database is deleted. If there is an investigative file on an employee/contractor, the file is kept for five years after the employee/contractor leaves the agency.
Security Operations Center, Office of Managing Director, Federal Communications Commission, 445 12th Street, SW., Room 1-B458, Washington, DC 20554.
Individuals wishing to inquire whether this system of records contains information about them should contact the system manager indicated above. Individuals must furnish the following information for their records to be located and identified: Full name, Date of birth, and Social Security Number.
Individuals wishing to request access to records about them should contact the system manager indicated above. Individuals must furnish the following information for their record to be located and identified: Full name and Social Security Number. An individual requesting access must also follow FCC Privacy Act regulations regarding verification of identity and access to records. See 47 CFR 0.554-0.555.
1. Individuals wishing to request amendment of their records should contact the system manager indicated above.
2. Individuals must furnish the following information for their record to be located and identified: Full name and Social Security Number.
3. An individual requesting amendment must also follow the FCC Privacy Act regulations regarding verification of identity and amendment of records, 47 CFR 0.556-0.557.
Records in this system include the individual to whom the information applies; investigative files maintained by the OPM Division of Personnel Investigations Processing Center; and employment information maintained by the Personnel officer of the FCC.
None.
Records of Money Owed, Received, Refunded, and Returned.
Financial Operations Center, Associate Managing Director-Financial Operations, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-A625, Washington, DC 20554, and
Records in this system include the following information:
1. Individuals making payments to cover forfeitures assessed, fees collected, services rendered, and direct loans; refunds for incorrect payments or overpayments (including application processing fees, travel advances, advanced sick leave and advanced annual leave);
2. Billing and collection of bad checks; and
3. Miscellaneous monies received by the Commission (including reimbursement authorized under the Travel Reimbursement Program).
Record categories for this system include: Names, Social Security Numbers (SSN), Taxpayer Information Numbers (TIN), FCC Registration Numbers (FRN), Telephone numbers, Addresses of individuals, Records of services rendered, Loan payment information, Forfeitures assessed and collected, Amounts, Dates, Check numbers, Locations, Bank deposit information, Transaction type information, United States Treasury deposit numbers, Ship name and call sign, and Information substantiating fees collected, refunds issued, and interest, penalties, and administrative charges assessed to individuals.
Budget and Accounting Act of 1921; Budget and Accounting Procedures Act of 1950; Federal Communications Authorization Act of 1989; and 31 U.S.C. 525.
The primary uses of the records are: (a) To account for all monies received by the FCC from the public and refunded to the public; (b) To compute vouchers to determine amounts claimed and reimbursed; and (c) To account for all advances given to employees.
1. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, State, or local agency responsible for investigating or prosecuting a violation, or for enforcing or implementing the statute, rule, regulation or order.
2. A record from this system may be disclosed to request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement such as licenses, if necessary, to obtain information relevant to a FCC decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
3. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
5. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
6. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when represented by the Government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) the Commission determines that the disclosure is relevant or necessary to the litigation.
8. A record from this system of records which concerns information on pay and leave, benefits, retirement deductions, and any other pertinent information may be disclosed to the Office of Personnel Management in order for it to carry out its legally authorized Government-wide functions and duties.
9. Records from this system may be disclosed to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Paper, computer printout, microfilm, microfiche, magnetic disc, and magnetic tape.
By name and/or type of transaction; call sign; processing number, Social Security number, Taxpayer Information Number, FCC Registration Number (FRN), employer identification number, soundex number, fee control number, payment ID number, or sequential number.
Records are located in secured metal file cabinets, metal vaults, and in metal file cabinets in secured rooms or secured premises, with access limited to those individuals whose official duties required access. Electronic record files are secured by passwords which are available only to authorized personnel whose duties require access.
Retained for two years following the end of the current fiscal year; then transferred to the Federal Records Center and destroyed when 6 years and 3 months old.
Managing Director, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-A663, Washington, DC 20554.
Address inquiries to the system manager.
Address inquiries to the system manager.
Address inquiries to the system manager.
Subject individual; Federal Reserve Bank; agent of subject; Attorney-at-Law of the subject individual.
None.
FCC Employee Transit Benefit and Parking Permit Programs.
Associate Managing Director—Administrative Operations, ASC, Office of the Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room TW-C201, Washington, DC 20554.
FCC employees who apply for and participate in the FCC Transit Benefit and Parking Permit Programs, such as: holders of parking permits and members of carpools and vanpools; recipients with handicap status for parking assignments; and applicants and recipients of fare subsidies issued by FCC.
This system contains various records required to administer the Transit Benefit and Parking Permit Programs and serves to determine the applicant's qualification based on handicap status, mode of transportation to and from work, and to certify their monthly commuting cost to and from work. These records include the following information:
1. Employee Transit Benefit Program applications, Transit Benefit certification forms, change of information on Employee Transit Benefit Program application of the transit benefit recipients, parking applications, vanpool and carpool verification, employee parking rosters, employee handicap verification, and executive staff information.
2. Data regarding the organizational location, telephone number, FCC badge number, home address, vehicle make/model, license plate number, handicap status documents, van/carpool information, executive status, mode of transportation and monthly cost of transportation of any applicant who has submitted an application for the Transit Benefit and/or Parking Permit Programs.
3. Records and reports of disbursements to transit benefit recipients, parking permit recipients, handicap status, and information on local public mass transit facilities.
Statutory authority to provide public transportation, parking records, and handicap parking services is derived from:
1. The Federal Employees Clean Air Incentives Act, Sec. 2(a) of Pub. L. 103-172, at 5 U.S.C. 7905;
2. Sec. 629 of Pub. L. 101-509, “State or Local Government Programs Encouraging Employee Use of Public Transportation, Federal Agency Participation,” at 5 U.S.C. note prec. section 7901; and in 47 CFR 101-20.104-2; and
3. The Federal Property and Administrative Services Act of 1949, as amended, at 5 U.S.C. 301.
1. A record in this system may be disclosed to a member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained;
2. A record in this system may be disclosed to the Department of Justice when: (a) The agency or any component thereof; (b) any employee of the agency in his or her official capacity where the Department of Justice has agreed to represent the employee; or (c) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation and the use of such records by the Department of Justice is therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the agency collected the records;
3. A record in this system may be disclosed to the National Finance Center (the Commission's designated payroll office), the Department of Treasury Debt Management Services and/or a current employer to effect a salary, IRS tax refund or administrative offset to satisfy an indebtedness incurred for unofficial use of transit benefits; and to Federal agencies to identify and locate former employees for the purpose of collecting such indebtedness, including through administrative, salary or tax refund offsets. Identifying and locating former employees, and the subsequent referral to such agencies for offset purposes, may be accomplished through authorized computer matching programs. Disclosures will be made only when all procedural steps established by the Debt Collection Act of 1982, and the Debt Collection Improvement Act of 1996 or the Computer Matching and Privacy Protection Act of 1988 as appropriate, have been taken;
4. A record in this system may be disclosed to a FCC employee in his/her individual capacity when inquiring about his/her application that was submitted for the Transit Benefit and/or Parking Permit Programs. Employees may do so by supplying their full name and FCC ID Badge Number (Identification Number must match number in the system);
5. A record in this system may be disclosed where there is an indication of misrepresentation to obtain, or misuse of, a transit benefit; and/or parking permit, records from this system may be referred to the appropriate FCC official responsible for revoking the transit benefit and/or parking permit, and recovering the unauthorized amount of used transit benefit, suspending employee participation in the programs, and/or may result in disciplinary action;
6. A record in this system may be disclosed to GSA/GAO for the purposes of records management inspections conducted. Such disclosure shall not be used to make a determination about an individual;
7. A record in this system may be used for administrative purposes by authorized personnel for production of listings and reports. This system may be used for periodic review of re-certification, and to ensure eligibility for, and receipt of, transit benefit and parking privileges;
8. A record from this system may be disclosed to a request for information from a Federal, state, or local agency in connection with the approval/disapproval of an application for special parking assignment; and
9. A record in this system may be disclosed to agency contractors, who have been engaged by the agency to assist in the performance of a service related to this system of records and who need to have access to the records in order to perform the necessary activity. Recipients will be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 USC 552a(m).
In each cases the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained on 8
Records are retrieved by the employee's name, or by the FCC Badge identification number, tag, and/or permit number
Records are maintained in a secured area and are available only to authorized personnel responsible for implementing these programs and whose duties require access. Computer databases are setup with a secured password. File cabinets where the records are stored will be controlled by on-site personnel when unlocked and locked when not in use. All transit benefits and parking permits are kept in a locked cash box contained in a (cylinder lock) drawer. At close of business the cash box is to be secured in a government issued safe with a combination lock.
Records are retained and disposed of in accordance with appropriate General Records Schedule 6, National Archives and Records Administration.
Associate Managing Director—Administrative Operations, ASC, Office of the Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW., Room TW-C201, Washington, DC 20554.
Anyone inquiring about an employee record under the Transit Benefit and Parking Permit Programs should contact the Transit Benefit and Parking Permit Programs Coordinator. Individuals must supply their full name and/or FCC Badge Number (Identification Number must match what is in the system) in order for records to be located and identified.
Same as Notification Procedure.
Same as Notification Procedure.
Information in these systems of records is obtained from applications submitted by individuals for the Transit Benefit and Parking Permit Programs.
None.
Revenue Accounting Management Information System (“RAMIS”).
Operations (AMD-FO), Office of Managing Director (OMD), Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-A625, Washington, DC 20554.
Records in this system include: Entities (acting on their own behalf or on behalf of a corporate entity) making payments to cover forfeitures assessed, application and regulatory fees covered, services rendered, and direct loans; refunds for incorrect payments or overpayments (including application processing fees and travel advances); billing and the collection of bad debts; and miscellaneous monies received by the Commission.
Records in this system include the following: Names; Social Security Numbers (SSN); Taxpayer Identification Numbers (TIN); FCC Registration Numbers (FRN); Telephone numbers; Addresses of individuals; Records of services rendered; Loan payment information; Forfeitures assessed and collected; Amounts; Dates; Check numbers; Locations; Bank deposit information; Transaction type information; United States Treasury deposit numbers; Ship name and call sign; and Information substantiating fees collected, refunds issued, and interest, penalties, and administrative charges assessed to individuals.
Budget and Accounting Act of 1921; Budget and Accounting Procedures Act of 1950; Federal Communications Authorization Act of 1989; and 31 U.S.C. 525.
The primary uses of the records are to account for all monies received by the FCC from the public and refunded to the public.
1. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, State, or local agency responsible for investigating or prosecuting a violation, or for enforcing or implementing the statute, rule, regulation or order.
2. A record from this system may be disclosed to request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement such as licenses, if necessary, to obtain information relevant to a FCC decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
3. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
5. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
6. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when represented by the Government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
8. A record from this system of records which concerns information on past due debts to the Federal Government may be disclosed to the Department of the Treasure, Financial Management Service, other federal agencies and/or your employer to offset your salary, IRS tax refund, or other payments to collect that debt.
9. Records from this system of records which concerns information on pay and leave, benefits, retirement deductions, and any other pertinent information may be disclosed to the Office of Personnel Management in order for it to carry out its legally authorized Government-wide functions and duties.
10. Records from this system may be disclosed to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) of the Federal Claims Collection Act of 1996 (31 U.S.C. 3701(a)(3)).
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained in paper files, computer printout, microfiche, magnetic disc, and magnetic tape.
By name and/or type of transaction, call sign, processing number, Social Security Number, Taxpayer Identification Number (TNN), FCC Registration Number (FRN), employee identification number, fee control number, payment ID number, or sequential number.
Records are located in secured metal file cabinets, metal vaults, and in metal file cabinets in secured rooms or secured premises, with access limited to those individuals whose official duties required access. Electronic record files are secured by passwords which are available only to authorized personnel whose duties require access. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof safes. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Retained for two years following the end of the current fiscal year; then transferred to the Federal Records Center and destroyed when 6 years and 3 months old.
Managing Director, Office of Managing Director, Federal Communications Commission (FCC), 445 12th Street, SW, Room 1-A625, Washington, DC 20554.
Address inquiries to the system manager.
Address inquiries to the system manager.
Address inquiries to the system manager.
Subject individual; Federal Reserve Bank; FCC RAMIS forms files; Agent of subject; and Attorney-at-Law of the subject individual.
None.
Commission Registration System (“CORES”).
Financial Operations Group, Associate Managing Director-Financial Operations (AMD-FO), Office of Managing Director (OMD), Federal Communications Commission (FCC), 445 12th Street, SW, Room 1-A625, Washington, DC 20554.
Records in this system include information on individuals (acting on their own behalf or on behalf of a corporate entity) who are doing business with the Federal Communications Commission. The FCC Registration Number (FRN) will be assigned by the Commission Registration System (CORES). The Registration Number will be required for anyone doing business with the Commission (feeable) after December 31, 2000 to ensure that they receive any refunds due, to service public inquiries, and to comply with the Debt Collection Improvement Act of 1996.
Records in this system include: Names; Address(es); Social Security Numbers (SSN); Taxpayer Identification Numbers (TIN); FCC Registration Numbers (FRN); Business entity type (person or company); Telephone number(s); Fax number(s); E-mail address(es); and Addresses of individuals or entities.
Communications Act of 1934, as amended, sections 8 and 9 and the Debt Collection Improvement Act of 1996, Pub.L. 104-134.
The primary uses of the records contained on this form are to maintain required accounts receivable, and collect fines and debts due the Federal Communications Commission. This information also assures that the individuals, or the entities which they represent, receive any refunds due.
1. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, State, or local agency responsible for investigating or prosecuting a violation, or for enforcing or implementing the statute, rule, regulation or order.
2. A record from this system may be disclosed to request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement such as licenses, if necessary, to obtain information relevant to a FCC decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
3. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
5. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
6. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when represented by the Government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
7. A record from this system of records which concerns information on past due debts to the Federal Government may be disclosed to the Department of the Treasure, Financial Management Service, other federal agencies and/or your employer to offset your salary, IRS tax refund, or other payments to collect that debt.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Records are maintained in paper files, computer printout, and magnetic tape.
By name and/or type of transaction; Processing number; Social Security Number; Taxpayer Identification Number; FCC Registration Number (FRN); Employer Identification Number; or Sequential number.
Records are located in secured metal file cabinets, metal vaults, and in metal file cabinets in secured rooms or secured premises, with access limited to those individuals whose official duties required access. Electronic record files are secured by passwords which are available only to authorized personnel whose duties require access. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof saves. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Retained for two years following the end of the current fiscal year; then transferred to the Federal Records Center and destroyed when 6 years and 3 months old.
Financial Management Division, Associate Managing Director-Financial Operations (AMD-FO), Office of Managing Director (OMD), Federal Communications Commission (FCC), 445 12th Street, SW., Room 1-A625, Washington, DC 20554.
Address inquiries to the system manager.
Address inquiries to the system manager.
Address inquiries to the system manager.
Subject individual; Federal Reserve Bank; FCC CORES forms files; and Attorney-at-Law of the subject individual.
None.
Wireless Services Licensing Records.
Wireless Telecommunications Bureau, Room 3-C122, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554.
1. Licensees and applicants (including persons or entities with attributable interests therein as described below);
2. Tower owners; and
3. Contact persons relating to radio systems licensed or processed by the Wireless Telecommunications Bureau under parts 13, 22, 24, 26, 27, 74, 80, 87, 90, 95, 97, and 101 of the Commission's Rules (Wireless Services).
The scope of records includes applications, licenses and pleadings relating to such applications, and correspondence relating to authorizations, and requests for authorizations in the Wireless Services. The current application forms will include the collection of Taxpayer Identification Numbers (TINs).
47 U.S.C. 301, 303, 309, 312, 362, 364, 386, 507, and 510. The use of the Taxpayer Identification Numbers (TINs) is defined by 26 U.S.C. 6109. Authority to collect TINs under the Debt Collection Improvement Act of 1996 is found at 31 U.S.C. 7701. Licensing disclosure requirements, etc. are found under 47 CFR 1.2112 and the Biennial Regulatory Review—Amendment of Parts 0, 1, 13, 22, 24, 26, 27, 80, 87, 90, 95, 97, and 101 of the Commission's Rules to Facilitate the Development and Use of the Universal Licensing System in the Wireless Telecommunications Services, Report and Order, WT Docket No. 98-20, FCC 98-234, 13 FCC Rcd 21027 ¶¶ 132-42.
Records are kept to administer the FCC's regulatory responsibilities including licensing, enforcement, rulemaking, and other actions necessary to perform spectrum management duties. The system will also be maintained to provide public access to pending requests for authorizations and information regarding current licensees.
1. License records are routinely used to determine the availability of spectrum for licensing.
2. The records are also used to determine when compliance filings, renewal applications and fees are due from licensees.
3. FCC licensee records are used to resolve disputes between radio operators regarding who has certain rights to use particular frequency bands in particular geographic areas. The records may also be used to resolve cross border disputes
4. Records will be used to allow licensees to transfer or assign their interests in particular licenses or portions of licenses as the rules permit (after agency approval).
5. Records will be used to evaluate the completeness and sufficiency of requests for new or modified authorizations.
6. Public access to license data (except TIN numbers) will promote the economically efficient allocation of spectrum and the resolution of radio interference problems.
The licensee records will be publicly available and routinely used in accordance with subsection b. of the Privacy Act. TIN Numbers and material which is afforded confidential treatment pursuant to a request made under 47 CFR § 0.459 will not be available for Public inspection. However, these and all other records may also be disclosed for the following purposes:
1. A Record from this system may be disclosed where there is an indication of a violation or potential violation of a statute, regulation or order, records from this system may be used to conduct enforcement proceedings within the agency, or may be referred to Federal, state, or local law enforcement personnel responsible for investigating, prosecuting or for enforcing or implementing the statute, regulation or order.
2. Records may be utilized to report to the President, NTIA and other federal agencies regarding the current uses and utilization of the spectrum that the FCC manages.
3. A record on an individual may be used where pertinent in any legal proceeding to which the Commission is a party before a court or administrative body.
4. A record from this system may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when arising from his employment, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation; and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
5. A Record from this system may be disclosed to debt collection contractors (31 U.S.C. 3718) or to other Federal agencies such as the Department of the Treasury (Treasury) for the purpose of collecting and reporting on delinquent debts as authorized by the Debt Collection Act of 1982 or the Debt Collection Improvement Act of 1996;
6. A Record from this system may be disclosed to Treasury; the Defense Manpower Data Center, Department of Defense; the United States Postal Service; government corporations; or any other Federal, State, or local agency to conduct an authorized computer matching program in compliance with the Privacy Act of 1974, as amended, to identify and locate individuals, including Federal employees, who are delinquent in their repayment of certain debts owed to the U.S. Government, including those incurred under certain programs or services administered by the FCC, in order to collect debts under common law or under the provisions of the Debt Collection Act of 1982 or the Debt Collection Improvement Act of 1996 which include by voluntary repayment, administrative or salary offset, and referral to debt collection contractors.
7. A Record from this system may be disclosed to the Department of Justice, United States Attorney, Treasury, or other Federal agencies for further collection action on any delinquent account when circumstances warrant.
8. A Record from this system may be disclosed to credit reporting agencies/credit bureaus for the purpose of either adding to a credit history file or obtaining a credit history file or comparable credit information for use in the administration of debt collection. As authorized by the DCIA, the FCC may report current (not delinquent) as well as delinquent consumer and commercial debt to these entities in order to aid in the collection of debts, typically by providing an incentive to the person to repay the debt timely. Proposed revisions to the Federal Claims Collection Standards (FCCS) published in the
9. A Record from this system may be disclosed to any Federal agency where the debtor is employed or receiving some form of remuneration for the purpose of enabling that agency to collect a debt owed the Federal government on the FCC's behalf. The FCC may counsel the debtor for voluntary repayment or may initiate administrative or salary offset procedures, or other authorized debt collection methods under the provisions of the Debt Collection Act of 1982 or the Debt Collection Improvement Act of 1996. Pursuant to the DCIA, the FCC may garnish non-Federal wages of certain delinquent debtors so long as required due process procedures are followed. In these instances, the FCC's notice to the employer will disclose only the information that may be necessary for the employer to comply with the withholding order.
10. A Record from this system may be disclosed to the Internal Revenue Service (IRS) by computer matching to obtain the mailing address of a taxpayer for the purpose of locating such taxpayer to collect or to compromise a Federal claim by the FCC against the taxpayer pursuant to 26 U.S.C. 6103(m)(2) and in accordance with 31 U.S.C. 3711, 3717, and 3718 or common law. Disclosure of a mailing address obtained from the IRS may be made only for debt collection purposes, including to a debt collection agent to facilitate the collection or compromise of a Federal claim under the Debt Collection Act of 1982 or the Debt Collection Improvement Act of 1996, except that disclosure of a mailing address to a reporting agency is for the limited purpose of obtaining a credit report on the particular taxpayer. Any mailing address information obtained from the IRS will not be used or shared for any other FCC purpose or disclosed by the FCC to another Federal, State, or local agency which seeks to locate the same taxpayer for its own debt collection purposes.
11. A Record from this system may be disclosed to refer legally enforceable debts to the IRS or to Treasury's Debt Management Services to be offset against the debtor's tax refunds under the Federal Tax Refund Offset Program.
12. A Record from this system may be disclosed to prepare W-2, 1099, or other forms or electronic submittals, to forward to the IRS and applicable State and local governments for tax reporting purposes. Under the provisions of the DCIA, the FCC is permitted to provide Treasury with Form 1099-C information on discharged debts so that Treasury may file the form on the FCC's behalf with the IRS. W-2 and 1099 Forms contain information on items to be considered as income to an individual, including payments made to persons not treated as employees (
13. A Record from this system may be disclosed to banks enrolled in the Treasury Credit Card Network to collect a payment or debt when the individual has given his or her credit card number for this purpose.
14. A Record from this system may be disclosed to another Federal agency that has asked the FCC to effect an administrative offset under common law or under 31 U.S.C. 3716 to help collect a debt owed the United States. Disclosure under this routine use is limited to name, address, TIN, and other information necessary to identify the individual; information about the money payable to or held for the individual; and other information concerning the administrative offset.
15. A Record from this system may be disclosed to Treasury or other Federal agencies with whom the FCC has entered into an agreement establishing the terms and conditions for debt collection cross-servicing operations on behalf of the FCC to satisfy, in whole or in part, debts owed to the U.S. government. Cross-servicing includes the possible use of all debt collection tools such as administrative offset, tax refund offset, referral to debt collection contractors, and referral to the Department of Justice. The DCIA requires agencies to transfer to Treasury or Treasury-designated Debt Collection Centers for cross-servicing certain nontax debt over 180 days delinquent. Treasury has the authority to act in the Federal government's best interest to service, collect, compromise, suspend, or terminate collection action in accordance with existing laws under which the debts arise.
16. Information on past due, legally enforceable nontax debts more than 180 days delinquent will be referred to Treasury for the purpose of locating the debtor and/or effecting administrative offset against monies payable by the government to the debtor, or held by the government for the debtor under the DCIA's mandatory, government-wide Treasury Offset Program (TOP). Under TOP, Treasury maintains a database of all qualified delinquent nontax debts, and works with agencies to match by computer their payments against the
17. For debt collection purposes, the FCC may publish or otherwise publicly disseminate information regarding the identity of delinquent nontax debtors and the existence of the nontax debts under the provisions of the Debt Collection Improvement Act of 1996.
18. A Record from this system may be disclosed to the Department of Labor (DOL) and the Department of Health and Human Services (HHS) to conduct an authorized computer matching program in compliance with the Privacy Act of 1974, as amended, to match the FCC's debtor records with the records of DOL and HHS to obtain names, name controls, names of employers, addresses, dates of birth, and TINs. The DCIA requires all Federal agencies to obtain taxpayer identification numbers from each individual or entity doing business with the agency, including applicants and recipients of licenses, grants, or benefit payments; contractors; and entities and individuals owing fines, fees, or penalties to the agency. The FCC will use TINs in collecting and reporting any delinquent amounts resulting from doing business with applicants and licensees.
19. If the FCC decides or is required to sell a delinquent nontax debt pursuant to 31 U.S.C. 3711(i), information in this system of records may be disclosed to purchasers, potential purchasers, and contractors engaged to assist in the sale or to obtain information necessary for potential purchasers to formulate bids and information necessary for purchasers to pursue collection remedies.
20. If the FCC has current and delinquent collateralized nontax debts pursuant to 31 U.S.C. 3711(i)(4)a., certain information in this system of records on its portfolio of loans, notes and guarantees, and other collateralized debts will be reported to Congress based on standards developed by the Office of Management and Budget, in consultation with Treasury.
21. A Record from this system may be disclosed to Treasury in order to request a payment to individuals owed money by the FCC.
22. A Record from this system may be disclosed to the National Archives and Records Administration or to the General Services Administration for records management inspections conducted under 44 U.S.C. 2904 and 2906.
In each of these cases the FCC will determine whether such use of the records is compatible with the purpose for which the records were collected.
All records will be stored and accessed electronically. Records that are submitted to the FCC on paper will be scanned or keyed into the computer system as appropriate. Paper records submitted to the FCC will be archived after being entered into ULS. Tape backups of records will be periodically created. Records of prior licensees will be archived.
A primary purpose of the system is to provide easy access to the information. Records may be retrieved by searching electronically using a variety of parameters including name, a licensee's unique identifier, call sign, file number, etc. However, paper records which contain TINs will not be available for Public Inspection.
1. Records (other than TINs and materials which are afforded confidential treatment under 47 CFR 0.459) are accessible to the public.
2. Access to certain records may be available on the Internet. Access to other records will be available using a web browser on the Commission wide area network.
3. The ability to enter and change individual records will be protected by passwords issued to applicants and licensees. Records will be protected from unauthorized changes by passwords and other computer security measures within the agency.
4. TINs reported to the agency as requested on appropriate forms will not be available to the public. (The agency cannot be responsible for the disclosure of TINs by applicants in attachments to applications or pleadings in situations where confidentiality is not requested.)
5. Each applicant or licensee will be given a unique identifier generated by the ULS after such applicant or licensee provides its TIN to the agency. These identifiers will be used within the agency and by the public to obtain information on the licenses held by particular individuals or entities. These identifiers will be used in lieu of tracking by TINs so that the agency can avoid unnecessary disclosure of TINs. Within the agency, access to TINs will be available only to those persons whose jobs require such access (
6. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof saves. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Records will be actively maintained as long as an individual remains a licensee. Paper records will be archived after being keyed or scanned into the system. Electronic records will be backed up on tape. Electronic and paper records will be maintained for at least eleven years.
Chief, Wireless Telecommunications Bureau (WTB), Room 3-C122, Federal Communications Commission (FCC), 445 12th Street, SW., Washington, DC 20554.
Address inquiries to the system manager. In order to identify a specific record please indicate name, address, type of record as well as file number or call sign where applicable.
Information regarding procedures for accessing records can be found at the FCC Web site at
Individuals wishing to request amendment of their records should contact the system manager indicated above. An individual requesting amendment must also follow the FCC Privacy Act regulations regarding verification of identity and amendment of records. See 47 CFR 0.556-0.557.
The individual to whom the information applies.
None.
Application Review List for Present or Former Licensees, Operators, or Unlicensed Persons Operating Radio Equipment Improperly.
Wireless Telecommunications Bureau (WTB), Room 3-C122, Federal
1. Individuals who are or have been licensed under parts 13, 80, 87, 95, or 97 of the Rules who have operated in violation of the Commission's rules or the Communications Act of 1934, as amended.
2. Unlicensed persons who have operated radio transmitting equipment.
3. Persons who have had a license revoked or have had an application dismissed or denied, and are prohibited from filing another application within one year.
Records in this system include: Name; Address; Date of birth (if known) of individual; Authorization code of staff member who placed name in the file; and Date the name was placed in the file.
47 U.S.C. 301, 303, 309(e), and 312.
This system of records is used by selected staff and field employees to determine whether the application of these individuals should be granted, dismissed or set for hearing.
1. Where there is an indication of a violation or potential violation of a statute, regulation, rule, or order, records from this system may be referred to the appropriate Federal, state, or local agency responsible for investigating or prosecuting a violation or for enforcing or implementing the statute, rule, regulations or order.
2. A record from this system may be disclosed to request information from a Federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as licenses, if necessary to obtain information relevant to a Commission decision concerning the issuance of a license, grant or other benefit or enforcement proceedings.
3. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
5. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
6. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when arising from his employment, an employee of the Commission is a party to litigation or anticipated litigated or has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or necessary to the litigation.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
On magnetic tape and computer printout.
Information is filed alphabetically by name of individual in a computer and is retrieved periodically through computer printout.
Access to computer is controlled by password in a secured office and the printouts are available only to selected staff personnel.
The printouts are destroyed by machine shredding or by tearing into pieces when a new list is distributed. The computer tapes are retained for four back-up cycles, and on the fifth update, the oldest tape is destroyed. Individual names are removed from the file when retention is no longer appropriate. The entire list of names is reviewed quarterly.
Chief, Wireless Telecommunications Bureau, Room 3-C122, SW., Federal Communications Commission, 445 12th Street, SW., Washington, DC. 20554.
Address inquiries to the system manager.
Address inquiries to the system manager.
Address inquiries to the system manager.
Applicants and FCC Field Engineers.
None.
Radio Operator Records.
Wireless Telecommunications Bureau (WTB), Federal Communications Commission (FCC), 1270 Fairfield Road, Gettysburg, Pennsylvania 17325.
Individuals who have applied and/or received radio operator licenses.
Applications for commercial radio operator licenses, records of documents issued, and correspondence.
Geneva Radio Regulations; 47 U.S.C. 303(l), 303(m), and 318.
1. For use in connection with the administration of the Commission's radio operator program including applications, and determinations of license applicant qualifications. Limited file materials concerning licensed radio operators is maintained in the agency's computer database. The information in the license database will be available for public inspection.
2. If the records indicate a possible violation of law, they may be referred to the FCC's Enforcement Bureau, Office of General Counsel, and to the appropriate agency charged with the responsibility of investigating or prosecuting such violation.
1. Where there is an indication of a violation or potential violation of a
2. A record from this system may be disclosed to request information from a Federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as licenses, if necessary to obtain information relevant to a Commission decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
3. A record from this system may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit.
4. A record on an individual in this system of records may be disclosed to a Congressional office in response to an inquiry the individual has made to the Congressional office.
5. A record from this system of records may be disclosed to GSA and NARA for the purpose of records management inspections conducted under authority of 4 U.S.C. 2904 and 2906. Such disclosure shall not be used to make a determination about individuals.
6. A record on an individual in this system of records may be disclosed, where pertinent, in any legal proceeding to which the Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the Department of Justice or in a proceeding before a court or adjudicative body when:
(a) The United States, the Commission, a component of the Commission, or, when represented by the government, an employee of the Commission is a party to litigation or anticipated litigation or has an interest in such litigation, and
(b) the Commission determines that the disclosure is relevant or necessary to the litigation.
In each of these cases, the FCC will determine whether disclosure of the records is compatible with the purpose for which the records were collected.
Information is stored on microfilm and a computer database.
All records are retrievable by applicant name.
The microfilm is stored in file cabinets in offices that are secured at the close of the business day. Access to the database is secured by passwords. Data resident on network servers are backed-up daily to magnetic media. One week's worth of back-up tapes is stored on-site in fireproof safes. Each week, the previous week's backup tapes are sent to an off-site storage location. A maximum of ten week's tapes are kept and cycled in this fashion.
Commercial applications are destroyed when 11 years old. Both General and Restricted Permit applications are retained for 75 years.
Chief, Database Management Division, Wireless Telecommunications Bureau, Federal Communications Commission (FCC), 1270 Fairfield Road, Gettysburg, PA 17325
This system is exempt from the requirement that the agency publish the procedures for notifying an individual, at his or her request, if the system contains a record pertaining to him/her, for gaining access to such record, and for contesting the contents of the record.
This system is exempt from the requirement that the agency publish the categories of sources of records in this system.
This system of records is exempt from subsections (c)(3), (d), (e)(1), (e)(4), (G), (H), and (I), and (f) of the Privacy Act. These provisions concern the notification, record access, and contesting procedures described above and also the publication of record sources. The system is exempt from these provisions because it contains investigative material compiled for law enforcement purposes as defined in section (k)(2) of the Privacy Act.
Animal and Plant Health Inspection Service, USDA.
Final rule.
We are amending the bovine tuberculosis regulations to establish several new levels of tuberculosis risk classifications to be applied to States and zones within States. Additionally, we are providing for the classification of States and zones according to their tuberculosis risk with regard to captive cervids. We are also amending the regulations to increase the amount of testing that must be done before certain cattle and bison may be moved interstate. These changes are necessary to help prevent the spread of tuberculosis and to further the progress of the domestic tuberculosis eradication program.
November 22, 2000.
Dr. Joseph Van Tiem, Senior Staff Veterinarian, VS, APHIS, USDA, 4700 River Road Unit 43, Riverdale, MD 20737-1231; (301) 734-7716.
Bovine tuberculosis is a contagious, infectious, and communicable disease caused by
On November 1, 1999, we published in the
We solicited comments concerning our interim rule for 60 days ending January 3, 2000. We received 64 comments by that date. They were from livestock owners, representatives of State and local governments, a farm bureau, universities, veterinary associations, and other members of the public.
Three of the comments supported the interim rule as written. The issues raised by the remainder of the comments were related to our recognition of the two zones in Michigan and the fact that one of the zones was classified as nonmodified accredited. However, on June 28, 2000, we published another interim rule in the
On March 7, 2000, we published in the
We solicited comments concerning our proposal for 45 days ending April 21, 2000. On March 24, 2000, we published in the
We received 114 comments on our proposed rule by June 16, 2000. They were from livestock owners; agricultural product manufacturers; representatives of State, local, and foreign governments; farm bureaus; livestock industry associations; universities; a veterinary association; a fish and wildlife association; and other members of the public. Several commenters supported the proposed rule as written. Others supported the rule with changes or simply suggested changes. We discuss the comments below by topic.
We proposed to make the tuberculosis provisions that apply to cattle and bison also apply to goats, and to group cattle, bison, and goats in proposed subpart B of part 77.
One commenter specifically supported the addition of goats to the regulations as proposed. A number of commenters stated that the regulations should not apply to goats. The commenters stated that no case of bovine tuberculosis has been found in goats used as livestock in the United States and that it would be less costly and burdensome to address tuberculosis in goats according to individual herd status. Other commenters stated that the regulations should apply only to goats that produce milk for human consumption.
A number of other commenters recommended that goats be included in a separate subpart of the regulations and not be grouped with cattle and bison. Some commenters who supported including goats in a separate subpart stated that including goats with other livestock in determining tuberculosis prevalence in a State or zone could “dilute” the numbers of infected cattle or bison herds, allowing an unwarranted upgrade in a State's or zone's status without a decrease in actual disease prevalence. Others expressed concern that an incidence of tuberculosis in a herd of goats could adversely affect the
Based on the comments we received, we are not applying the provisions of this final rule to goats. Although we are not aware of any reported incidence of tuberculosis in goats used as livestock, it has been demonstrated among goats held for exhibition that goats can harbor and transmit the disease. However, we consider it necessary to review further the type and amount of surveillance for tuberculosis that is being carried out with regard to goats used for livestock. Currently, it appears that insufficient surveillance is being conducted in goat herds to apply a State/zone tuberculosis classification system to goats. Once we have completed our review, we will determine how best to address the issue of goats and, if necessary, will propose rulemaking at that time.
As noted, we proposed to apply the same regulations to goats as to cattle and bison, and to consider goat herds along with cattle and bison herds when determining the tuberculosis prevalence among herds in a State or zone. However, as discussed above, we are not including goats in this final rule. Therefore, to simplify our discussion of the comments we received regarding the proposed rule, and to avoid any confusion as to whether goats are covered by this final rule, when we refer in this document to the provisions in the proposed rule that applied to cattle, bison, and goats, and when we refer to comments received on those provisions, we will discuss them only as they apply to cattle and bison.
One commenter noted that, in some cases in the proposed regulations, we used the term “sexually intact” to describe certain animals covered by the regulations, and, in other cases, we used the term “breeding” to describe similar animals. The commenter stated that, if the two terms are interchangeable, we should use just one for consistency.
It was our intent when referring to “breeding animals” to mean “sexually intact” animals. For consistency, therefore, wherever we referred to breeding animals in the proposed rule, we refer to sexually intact animals in this final rule.
One commenter noted that, in some cases in the proposed regulations, we use the term “State animal health official,” and in other places in the regulations we use the term “livestock sanitary official.” The commenter recommended that the term “livestock sanitary official” be replaced with the term “State animal health official.” In the regulations, we use the two terms cited by the commenter to mean the same State official. Therefore, to eliminate confusion, in this final rule we are using the term “State animal health official” throughout, instead of “livestock sanitary official.”
One commenter stated that, instead of grouping cattle and bison when considering the tuberculosis status of a State or zone, each type of animal should be considered separately in the regulations.
We will continue to consider cattle and bison together in determining the tuberculosis status of a State or zone. Because they are similar physically and in their uses, we have considered cattle and bison together with regard to tuberculosis for a number of years. Grouping the two types of animals has proven effective in the tuberculosis eradication program and has been supported by the industries affected by the regulations.
One commenter stated that, for purposes of regulation, bison, captive cervids, beef cattle, and dairy cattle should be considered separately. A number of other commenters, limiting their comments to the distinction between beef cattle and dairy cattle, stated that the two usages of cattle should be keep separate for purposes of establishing the tuberculosis status of a State or zone. The commenters stated that the risk of animals in confinement (primarily dairy) operations exposing other animals to tuberculosis is greater than the risk posed by nonconfinement (primarily beef) operations. Another commenter stated that, because it is unlikely that large dairy herds affected with tuberculosis would be depopulated, the existence of affected dairy herds would unfairly cause a State or zone, including nonconfinement herds, to be classified at a higher risk than would otherwise be warranted. One commenter stated that the status of a State should be based on the prevalence of tuberculosis among beef herds and tuberculosis eradication efforts in dairy herds, coupled with in-State movement controls.
We are making no changes based on these comments. Although cattle in a dairy herd are generally retained in that herd throughout their lifetime, such is not always the case, and the presence of tuberculosis within a dairy herd can pose a tuberculosis threat to cattle outside the herd. Dairy herds may include bulls that are ultimately sold for beef. Additionally, some owners maintain both dairy herds and beef herds on the same premises.
In our proposed rule, we stated that, although we were proposing to keep State and zone classifications for cattle and bison independent of classifications for captive cervids, our goal is to have, by the year 2010, each State or zone with one tuberculosis classification that would apply to all regulated animals in the State or zone. One commenter stated that captive cervid classifications should not be combined in the future with cattle and bison classifications. In our proposed rule, we stated that our rationale for keeping classifications for captive cervids separate from those for cattle and bison at this time was that, in general, programs for surveillance for tuberculosis in captive cervids are not as advanced as those for cattle and bison. However, in order to promote the eradication of tuberculosis in livestock in the United States, we consider it essential that surveillance for tuberculosis among captive cervids be expanded and become more reliable. We expect that our establishing tuberculosis risk classifications for captive cervids in this final rule will promote improved surveillance, reporting, and removal of infected captive cervids, and that it is reasonable to project that, by 2010, captive cervids can be considered together with cattle and bison in determining a State's or zone's tuberculosis risk classification. However, we will continue to evaluate this issue and will make no final decisions until such a change in the regulations has been proposed in the
In §§ 77.10, 77.12, and 77.14, respectively, we address the interstate movement of cattle and bison from modified accredited advanced, modified accredited, and accreditation preparatory States and zones. In each of these sections, paragraph (b) provides movement requirements for steers and spayed heifers, and for officially identified sexually intact heifers moved to an approved feedlot. Several commenters stated that the way those provisions were worded, it was not clear if the only steers and spayed heifers being referred to were those moved to an approved feedlot. It was not our intent to limit the provisions in question, as they apply to steers and spayed heifers, to steers and spayed heifers that are moved to an approved feedlot. Our intent was to refer to all steers and spayed heifers, which by standard industry practice are moved to either a feedlot, though not necessarily
In §§ 77.10(b), 77.12(b), and 77.14(b) of our proposed rule, regarding movement of cattle and bison from modified accredited advanced, modified accredited, and accreditation preparatory States and zones, respectively, we provided that sexually intact heifers moved interstate to an approved feedlot must be officially identified, and that steers and spayed heifers moved interstate from such States or zones must be either individually identified by a registration name and number or officially identified. In § 77.2 of the proposal, we defined
One commenter specifically supported the requirement for the identification of sexually intact heifers moved to an approved feedlot, steers, and spayed heifers when those animals are moved from a modified accredited advanced State or zone. A number of commenters opposed the requirement for the individual identification of the cattle and bison described above for movement from modified accredited advanced States and zones. Those in opposition to the requirement expressed concern that gathering and processing the animals in order to identify them would be extremely difficult, would generate significant labor costs, would cause the animals to lose weight, and would increase the incidence of injury and death among the animals.
Several commenters recommended that the regulations allow the use of means of identification other than unique individual identification, including premises identification such as identification of lot, identification applied by the owner, and identification by brand. One commenter recommended that a New Mexico brand be allowed as official identification from that State until an animal is moved to a feedlot, at which point an official ear tag should be required. One commenter recommended that States be allowed to submit to the Animal and Plant Health Inspection Service (APHIS) a proposal for the use of identification that would provide adequate traceback capabilities and work for that individual State.
The purpose of requiring a unique individual identification of cattle and bison is to allow for traceback in the event an animal is determined to be infected with or exposed to tuberculosis. If an animal is found to be infected with or exposed to tuberculosis in slaughter channels, it is necessary for control and eradication purposes to be able to identify the premises from which the animal originated. We have determined from our experience enforcing the regulations that, historically, individual identification unique to the animal is the identification that has provided the most effective traceback capability. However, we agree there are other types of identification that, properly implemented, could allow for the necessary traceback.
We are, therefore, providing in §§ 77.10, 77.12, and 77.14 of this final rule that sexually intact heifers moved to an approved feedlot, steers, and spayed heifers must be either officially identified or, alternatively, be identified by means of premises of origin identification. In order to meet the identification requirement, premises of origin identification must meet the definition we are adding to § 77.2. In that section, we define
In this final rule, we are making a change to multiple sections to clarify the identification requirements for interstate movement. In §§ 77.10(b) and (d), 77.12(b) and (d), 77.14(b), (c), and (d), 77.25(b), 77.27(c), and 77.29(b) and (c), the regulations we proposed required identification of certain animals by means of either official identification or individual identification by a registration name and number. However, individual identification by a registration name and number is not something different from official identification, but rather, is simply one method of official identification. To avoid confusion, we are removing the references to “individual identification by a registration name and number” in each of the sections listed.
Several commenters requested that the definition of
We are making no changes to the definition of
In proposed § 77.14 for cattle and bison, and in proposed § 77.29 for captive cervids, we provided that, for movement from an accreditation preparatory State or zone, animals that are sexually intact animals and are not from an accredited herd must, among other things, be accompanied by a certificate stating that they originated in a herd that has undergone a tuberculosis herd test with negative results conducted within 1 year prior to the date of movement. One commenter stated that our requirement for an entire herd test in those provisions could be confused with the testing required by the existing regulations to achieve accredited herd status. The commenter recommended eliminating such confusion by referring to the test of an entire herd as a “whole herd test” when it is used to qualify animals in the herd for interstate movement. The commenter recommended that we clarify the distinction further by adding a definition of
We agree that it would be useful to make clear the distinction between the herd test required for movement from an accreditation preparatory State or zone and the testing required for accredited herd status. We are, therefore, adopting some of the commenter's recommendations. However, we believe that adding a definition of
We are adding a comparable definition of
We are not requiring that most animals younger than 12 months of age be tested as part of a whole herd test. The reduced likelihood that such young animals have developed tuberculosis does not justify the time and expense of testing them as part of a whole herd test. If a herd contains tuberculosis-infected animals, the infection will likely be diagnosed by testing all animals 12 months of age or older. However, if the cattle or bison less than 12 months of age were not born into the herd and did not originate from an accredited herd, they must be tested as part of the whole herd test due to the possibility they may have been exposed to tuberculosis before entering the herd.
We proposed in § 77.12(d) that cattle and bison that are sexually intact animals and that are not from an accredited herd could not be moved interstate from a modified accredited State or zone unless accompanied by a certificate stating that they were negative to two official tuberculin tests conducted at least 60 days apart and no more than 6 months apart, with the second test conducted within 60 days prior to the date of movement. Several commenters recommended that we instead require that the animals have originated in a herd that has undergone a tuberculosis herd test with negative results within 1 year prior to the date of movement, and that the individual animals to be moved have been negative to one additional official tuberculin test conducted within 60 days prior to the date of movement.
We agree with the commenters that requiring a whole herd test and one individual test will better ensure that the animals to be moved are not originating from a herd affected with tuberculosis and have changed § 77.12(d) accordingly. An equivalent provision in § 77.27(c) will apply to captive cervids, except that the additional test must be conducted within 90 days prior to movement. However, because of the efficacy of a whole herd test in determining whether tuberculosis exists in a herd, we are providing that if the animals are moved within 6 months following the whole herd test, there is no need for an individual test.
A number of commenters stated that States and zones that would receive steers and spayed heifers from accreditation preparatory States and zones have serious reservations with the provisions in proposed § 77.14(b) that provide that such animals may be moved interstate if accompanied by a certificate stating that they have been classified negative to two tuberculin tests conducted at least 60 days apart and no more than 6 months apart. According to the commenters, because of “the known pitfalls with regard to detecting exposure, incubation, or infection in this usually very young class of animals with the available test technology,” it would be advisable that such animals be allowed to move interstate only after the herd tests negative to one whole herd test and one individual animal test.
For the same reasons discussed above regarding §§ 77.12(d) and 77.27(c), we are making the change to § 77.14(b) recommended by the commenters. However, again, because of the efficacy of a whole herd test in determining whether tuberculosis exists in a herd, we are providing that if the animals are moved within 6 months following the whole herd test, there is no need for an individual test.
Additionally, we are making a change to both §§ 77.14(d) and 77.29(c), which provide testing requirements for cattle and bison, and captive cervids, respectively, that are sexually intact animals not from an accredited herd that are to be moved from an accreditation preparatory State or zone. Both of those paragraphs require that such animals to be moved interstate must have originated in a herd that has undergone a whole herd test with negative results within 1 year prior to the date of movement and have also been classified negative to two additional official tests for tuberculosis. For cattle and bison, the tests must have been conducted at least 60 days apart and no more than 6 months apart, with the second test conducted at least 60 days prior to movement. For captive cervids, the tests must have been conducted at least 90 days apart and no more than 6 months apart, with the second test conducted at least 90 days prior to movement. For the same reason noted above, we are providing in this final rule that if the animals are moved interstate within 6 months following the whole herd test, they need test negative to only one additional official test for tuberculosis.
One commenter recommended that the proposed interstate movement requirements for cattle and bison be changed so that, in each case where we proposed to require an individual animal official tuberculin test, a whole herd test be required instead. The commenter stated that the caudal-fold test (one of the tests listed in the UMR as an official tuberculin test for cattle and bison) is a whole herd screening test and is meant to be used on the whole herd. The commenter stated that testing individual animals does not give an overall assessment of the entire herd and that individual nonresponders to the caudal-fold test can be easily found in infected herds.
We consider each of the official tuberculin tests listed in the UMR reliable in determining the tuberculosis status of an individual animal. However, as discussed above, we are
In § 77.16 of our proposed rule, we proposed to limit interstate movement from nonaccredited States and zones to: (1) Cattle and bison being moved directly to slaughter at an approved slaughtering establishment; and (2) cattle and bison that are from an accredited herd that completed the testing necessary for accredited status within 1 year prior to the date of movement and that test negative to an official tuberculin test conducted within 60 days prior to the date of movement. In § 77.31 of our proposed rule, we provided that the only captive cervids that would be allowed to be moved interstate from a nonaccredited State or zone were those being moved directly to slaughter at an approved slaughtering establishment; those from qualified or monitored herds that meet the requirements in §§ 77.36 or 77.37 for interstate movement from those herds; and those that are moved in an officially sealed means of conveyance, accompanied by a certificate showing that they are from an accredited herd that completed the testing required for accredited herd status with negative results within 1 year prior to the date of movement and that they were negative to an official tuberculin test conducted within 90 days prior to the date of movement.
One commenter stated that no movement of regulated animals should be allowed from nonaccredited States and zones, except for movement directly to slaughter. The commenter said that no testing in nonaccredited States and zones is reliable, including that performed to obtain accredited herd status.
Upon consideration of the issue raised by the commenter, we are making a change to §§ 77.16 and 77.32. In this final rule, we are limiting interstate movement from a nonaccredited State or zone to those animals being moved to slaughter at an approved slaughtering establishment. A nonaccredited State or zone will, by definition, be one that does not meet the standards of the UMR or in which tuberculosis is prevalent in 0.5 percent or more of the total number of herds of the animals covered by the regulations. Therefore, a nonaccredited State or zone could be one in which the tuberculosis prevalence rate is significantly high or unknown. To maintain accredited herd status, a herd of cattle or bison must be retested annually, and a herd of captive cervids must be tested biennially. In a State or zone of high or unknown risk, the length of time between herd testing could create an unacceptable risk that a herd will become affected with tuberculosis between the most recent testing and the date animals from the herd are moved interstate. Therefore, we are providing in §§ 77.16 and 77.31 that animals covered by the regulations may be moved interstate from a nonaccredited State or zone only if they are accompanied by VS Form 1-27 and are moved interstate for slaughter in an officially sealed means of conveyance directly to an approved slaughtering establishment.
We proposed to require in § 77.10(d) that if cattle and bison to be moved interstate from a modified accredited advanced State or zone are sexually intact animals that are not from an accredited herd, the animals must be accompanied by a certificate stating that they have been classified negative to an official tuberculin test conducted within 60 days prior to the date of movement.
Several commenters opposed the requirement for the testing of such animals from modified accredited advanced States and zones. One of the commenters said we were being inconsistent in requiring such testing because we proposed to allow sexually intact heifers that are moved to an approved feedlot, steers, and spayed heifers to be moved interstate from modified accredited advanced States and zones without being tested. Another commenter said that requiring testing of breeding animals moved interstate from modified accredited advanced States and zones would be unnecessary in those States that already restrict movement from premises containing cattle affected with tuberculosis.
We are making no changes based on these comments. Because a modified accredited advanced State or zone is one in which tuberculosis exists, cattle and bison moved interstate from such a State or zone pose an unacceptable risk of being infected with tuberculosis and transmitting the disease to other cattle and bison unless conditions exist or measures are taken to reduce such a risk to a negligible level. Sexually intact heifers moved to an approved feedlot, steers, and spayed heifers present a negligible risk of spreading tuberculosis because they are moved either directly to slaughter or to feedlots where they come in contact only with other animals that are being moved to slaughter. However, because sexually intact cattle and bison from modified accredited advanced States and zones that could potentially be used for breeding present a greater risk of being commingled with animals not being moved to slaughter, we consider it necessary that such animals be tested for tuberculosis with negative results before being moved. Such testing can either be the testing that is necessary for accredited herd status or testing that is done within 60 days prior to interstate movement.
One commenter expressed concern that requiring a tuberculosis test for cattle moved from Texas after being imported from Mexico would unnecessarily devalue animals that would otherwise be held in Texas for a short time after importation for sorting, classifying, sizing, and processing.
We proposed to list Texas as a modified accredited advanced State with regard to cattle and bison. Based on this classification, steers and spayed heifers, as well as sexually intact heifers moved to an approved feedlot, would not have to be tested to qualify for interstate movement from Texas. However, such animals would either have to be officially identified or identified by premises of origin identification to be moved interstate.
One commenter disagreed with our proposed requirement in § 77.14(c) that animals from an accredited herd to be moved interstate from an accreditation preparatory State or zone test negative for tuberculosis within 60 days prior to movement. The commenter stated that, because tuberculosis has never been found in an animal from an accredited herd, this test is unnecessary.
We are making no changes based on this comment. An accreditation preparatory State or zone is one in which tuberculosis can be prevalent in up to almost 0.5 percent of the total number of herds in the State or zone. This prevalence level presents a high enough risk that it is necessary to test animals from an accredited herd once before they are moved interstate from such a State or zone. As noted, to maintain accredited herd status, a herd of cattle or bison must be retested annually and a herd of captive cervids must be tested biennially. In an accredited preparatory State or zone, the length of time between herd testing could create an unacceptable risk that a herd will become affected with tuberculosis between the most recent testing and the date animals from the herd are moved interstate. With few
One commenter addressed our proposed requirement in § 77.14(d) that sexually intact animals to be moved interstate from an accreditation preparatory State or zone from other than an accredited herd originate in a herd that tests negative within 1 year prior to movement and be negative to two individual animal tuberculin tests. The commenter expressed concern that the requirement for the whole herd test would cause problems for cattle buyers who assemble steers and heifers from several different herds, place the animals in lots, and sell them. The commenter stated that compliance with the requirement for a whole herd test within 1 year prior to movement would require testing of all cattle in the State or zone.
We are making no changes based on this comment. As noted above, an accreditation preparatory State or zone constitutes a high risk area and safeguards are necessary to ensure that tuberculosis is not spread from such a State or zone. A whole herd test is the best means of diagnosing the tuberculosis status of animals from a high risk area.
One commenter stated that what the commenter termed “unnecessary testing” could be eliminated by establishing boundaries of “clean areas” and only requiring testing of cattle being moved into those areas.
We assume that, by “clean areas,” the commenter is referring to accredited-free States and zones. We do not consider it advisable to require testing only for movement into accredited-free areas. The goal of the Tuberculosis Eradication Program is the elimination of tuberculosis in livestock in the United States, not just its confinement to areas where it already exists. By requiring negative testing for movement out of States and zones where tuberculosis exists, except where such movement poses negligible risk without testing, we will continue to make expeditious progress toward eradication of the disease in livestock in this country.
One commenter questioned what the testing requirements would be for very young calves intended for movement from a nonmodified accredited State or area. The commenter recommended that once the Department has determined the minimum age at which tuberculosis tests are efficacious, it should be required that all livestock above that age be tested negative prior to movement and that all livestock below that age be from a herd that has tested negative for tuberculosis.
Although we are not certain which of the proposed tuberculosis risk categories the commenter means by referring to “nonmodified accredited,” we can address the commenter's question regarding test requirements for very young calves. For the purposes of interstate movement, calves will be subject to the same test requirements as older cattle and bison, except that if a calf is moved interstate within 6 months after a whole herd test, it need not be individually tested, due to our confidence in the ability of a whole herd test to determine whether a herd is affected and the low risk that a calf moved within 6 months after that test would have been exposed to tuberculosis.
Several commenters stated that they saw no reason to require that baby calves be tested for tuberculosis because, according to the commenters, with proper identification and movement records, the calves could be traced back to their premises of origin should any problems occur.
We are making no changes based on the comments. We do not agree that young, sexually intact calves necessarily pose a negligible risk of transmitting tuberculosis to other livestock. Our goal is to prevent the transmission of the disease, not just to be able to trace back the movement of affected animals.
It should be noted that the requirement that cattle and bison of any age be tested for the purposes of interstate movement differs from the requirements in the UMR for achieving or retaining accredited herd status. In order to achieve or retain accredited herd status, the UMR requires the testing of all cattle and bison 24 months of age and older and any animals under 24 months of age that are not natural additions to the herd. Herds must be tested on an annual basis to retain accredited herd status.
One commenter asked whether calves would have to be tested prior to movement from a modified accredited State or zone if they were previously moved from an accredited free State or zone and were kept in the modified accredited State or zone for less than 60 days.
In the situation described by the commenter, the calves moved from a modified accredited State or zone would be subject to the testing requirements for movement from that State or zone.
Proposed § 77.12(a) provided that cattle and bison moved interstate from a modified accredited State or zone may be moved without testing if moved directly to slaughter at an approved slaughtering establishment. One commenter asked whether the “no-testing” provision also applied to animals sold through an auction market for slaughter within 7 days of the interstate movement.
If the animals were sold through an auction market, they would be subject to the testing requirements for movement from a modified accredited State or zone. There is no requirement for the testing of animals to be moved directly to slaughter because the very direct movement and subsequent slaughter of the animals minimizes the risk that they could transmit tuberculosis to any animals other than those also being moved directly to slaughter. Each additional stop and assembly of cattle and bison on the way to slaughter increases the risk of the spread of tuberculosis beyond those cattle and bison.
Several commenters stated that those provisions of the proposed rule that required that animals be accompanied by a certificate when moved interstate would suppress the buying and selling of cattle from different zones or States.
We acknowledge that being required to secure a certificate from an APHIS representative, a State representative, or an accredited veterinarian could add some time to the process of purchasing livestock for movement to another State or zone. However, such certificates will be required only for movement from States or zones with a higher tuberculosis risk than an accredited-free State or zone. Under this rule, virtually all States and zones are classified as accredited-free for cattle and bison. By requiring measures such as certification for certain cattle and bison from States and zones other than accredited-free, the regulations will guard against the transmission of tuberculosis from those States and zones.
One commenter stated that we should require a certificate, such as a certificate of veterinary inspection, for movement from an accredited-free State, rather than allowing movement with no restrictions as proposed.
We are making no changes based on this comment. Unless the regulations
Several commenters addressed our proposed definitions of
It was not our intent in our proposed rule to include free-ranging cervids under the definition of
One commenter requested clarification of what constitutes a “herd” with regard to wild cervids, and whether the wild cervid population in an entire State could be considered one herd for the purposes of herd status. The commenter also requested that we set forth the requirements a State would have to meet to obtain permission to move wild cervids interstate.
Except for free-ranging cervids held for interstate movement for relocation, as discussed above, our regulations do not apply to wild cervids. Therefore, we would not designate wild cervids as having a tuberculosis herd status under the regulations. A State would be allowed to move wild cervids interstate, as long as it complied with the tuberculosis testing and identification requirements for interstate movement.
A number of commenters addressed the provisions in our proposed rule that would allow captive cervids to be moved interstate according to either the applicable State or zone movement requirements or the applicable individual herd requirements (as set forth in the existing regulations), whichever are less restrictive. Under the existing regulations, individual herd status is based on the tuberculosis test results for that particular herd. One commenter recommended that States and zones not be given a tuberculosis risk classification for captive cervids until all captive cervid herds in the State or zone have been tested. The commenter expressed concern that surveillance for tuberculosis in captive cervids in the United States is not as advanced as it has been for cattle and bison. For the same reason, other commenters stated that it was premature to establish State and zone statuses for cervids. Some commenters stated that if a State were designated as accredited-free for captive cervids at present, individual herd owners would have no incentive to conduct surveillance to achieve individual accredited herd status, because captive cervids from all herds in the State could move interstate without restriction. Several commenters recommended that, at present, all States be designated as modified accredited at best. In contrast, one commenter was opposed to classifying all States as modified accredited. One commenter recommended that no State or zone be classified as any less of a risk than accreditation preparatory until it has demonstrated that surveillance requirements for a particular designation have been met. A number of commenters questioned the classifications with regard to tuberculosis in captive cervids that we proposed to give various States. Some commenters said they could not determine how we arrived at our proposed classifications.
We proposed to classify each of the States for captive cervids based on preliminary information made available to us by State officials. However, as we noted in the proposed rule, in general, we had not received from States the information necessary to document that a sufficient number of herds of captive cervids in the States or zones had been tested to ensure that tuberculosis infection at a prevalence level of 2 percent or more will be detected with a confidence level of 95 percent, which is the level necessary to validly assess the tuberculosis prevalence in a State. We stated that we would need such information before we could make final each proposed designation. To give States an opportunity to provide such information, we proposed to allow a 90-day “grace period” following publication of a final rule for submission of the information.
Upon review of the comments received regarding this issue, we agree with commenters that, currently, the amount of cervid-specific tuberculosis surveillance data reported to APHIS by most States is still insufficient to validly assess the tuberculosis prevalence in captive cervid herds in those States. We do not consider it advisable to establish final State and zone classifications for captive cervids until we have had the opportunity to closely review any surveillance information submitted to us by States. Therefore, in this final rule, we are designating all States and zones as modified accredited for captive cervids. The interstate movement requirements for captive cervids under modified accredited State and zone status will be the same as those in the existing regulations for the interstate movement of captive cervids from unclassified herds, which is the classification of greatest risk for individual herds. However, as noted above, animals from herds of lesser risk than unclassified (
We are providing in § 77.26(a) that each State has 1 year from the publication date of this final rule to supply us with the data necessary to demonstrate that the State complies with the UMR, incorporated by reference into the regulations, which includes the requirement that a sufficient number of herds of captive cervids in the State or zone be tested to ensure that tuberculosis infection at a prevalence level of 2 percent or more will be detected with a confidence level of 95 percent. Once a State has demonstrated compliance with the UMR, we will reassess its risk classification with regard to captive cervids and, if appropriate, propose to
One commenter stated that allowing captive cervids to be moved interstate according to requirements for their individual herd status or the status of their State or zone, whichever are less restrictive, was confusing. Another commenter stated that the proposed requirements for the interstate movement of captive cervids from modified accredited and accreditation preparatory States and zones are more restrictive than the interstate movement requirements for cervids from qualified or monitored herds. The commenter said this does not seem compatible with the premise that animals should be permitted to move according to herd status or State status, whichever is less restrictive.
As we stated in our proposed rule, a State or zone classification system for captive cervids is expected to encourage States to aggressively conduct surveillance among all captive cervids in that State, whether or not any cervids from a particular herd are intended for interstate movement. However, if herd owners have invested the resources to conduct the monitoring and surveillance required to achieve a particular herd status, we consider it warranted and appropriate to allow such owners to continue to move their cervids under the existing regulations governing movement from such a herd, if those movement requirements are less restrictive than the requirements based on the risk classification of the State or zone in which the herd is located. We agree with the commenter, however, that there would be less potential for confusion in the regulations if requirements for movement of captive cervids were based solely on either State or zone status or herd status. Our intent is to move toward making movement solely dependent on State or zone status. However, in recognition of the time and expense taken by many herd owners to achieve a certain herd status, we intend to operate for several years in a transition period of allowing interstate movement of captive cervids according to the less restrictive of herd status or State or zone status.
One commenter questioned whether interstate movement of captive cervids from qualified or monitored herds from a modified accredited State or zone would be governed by the movement requirements for the State or zone or for the movement requirements for a qualified or monitored herd.
As discussed, we will allow captive cervids to be moved interstate according to the requirements for their herd status or according to the requirements for their State or zone, whichever are less restrictive. (However, captive cervids from a nonaccredited State or zone will not have the option of moving under the provisions for herd status, as discussed above in this “Supplementary Information” under the heading “Movement from Nonaccredited States and Zones.”) In the case of captive cervids from a qualified or monitored herd in a modified accredited State or zone, it would be less restrictive to move them according to their herd status, which we indicate in the introductory text to § 77.27.
One commenter said that it is unclear from the proposed rule how many deer herds need to be part of surveillance program. Several commenters stated that captive cervids in a herd that is not part of a surveillance program should not be allowed to be moved interstate. One commenter recommended that captive cervids from an unclassified herd in an accredited-free State not be allowed to move interstate without testing negative for tuberculosis once before movement.
Because a State or zone cannot achieve accredited-free status, or any status above nonaccredited, without demonstrating that a sufficient number of herds of captive cervids in the State or zone have been tested to ensure that tuberculosis infection at a prevalence level of 2 percent or more will be detected with a confidence level of 95 percent, we consider it appropriate to allow all captive cervids to move interstate from an accredited-free State or zone without restriction, even if the animals come from an unclassified herd. Allowing such movement is consistent with the practice we have been following for years of allowing all cattle and bison from an accredited-free State to move interstate without restriction.
One commenter questioned whether we were going to establish an “accredited-free (suspended)” status for captive cervids. We do not intend to establish such a classification. In our proposed rule, we proposed to eliminate the accredited-free (suspended) status for cattle and bison. Accredited-free (suspended) was the status given to States that had been previously designated accredited-free but in which tuberculosis had been diagnosed in cattle or bison in the State. The accredited-free (suspended) status was intended to allow the State the time necessary to eradicate the disease before being designated modified accredited. We proposed to replace the accredited-free (suspended) status with specific requirements and deadlines for the elimination of a tuberculosis outbreak in an accredited-free State. In this final rule, in lieu of establishing an accredited-free (suspended) status for captive cervids, we are establishing requirements in § 77.22 for eliminating an outbreak in captive cervids that are comparable to those for cattle and bison in § 77.7.
One commenter said that the proposed rule seemed to provide that wild cervids in all tuberculosis-free States would be designated as modified accredited. The commenter said that, if that interpretation were correct, requiring free-ranging cervids to be held 90 days for consecutive tests could result in unacceptable mortality rates. It is not clear to us why the commenter interpreted the proposed rule as he did. If a State or zone is classified as accredited free for captive cervids, that classification would apply to all captive cervids in the State or zone, including free-ranging cervids that are temporarily held for interstate transport.
We proposed in §§ 77.25 and 77.27 that captive cervids from an accredited herd may be moved interstate from modified accredited advanced States and zones and modified accredited States and zones if they are accompanied by a certificate stating that the accredited herd completed the tuberculosis testing necessary for accredited status with negative results within 1 year prior to the date of movement. The proposed requirements in §§ 77.29 and 77.31 for interstate movement of captive cervids from accredited herds in accreditation preparatory States and zones and nonaccredited States and zones also required such herd testing within 1 year prior to interstate movement.
Several commenters recommended that we remove the requirement that the herd test for accredited status be completed within 1 year prior to interstate movement of the captive cervids because, under the existing regulations, accredited herd status is valid for 24 months from the date of the testing for accredited herd status. We agree with the commenters that our proposed requirement was inconsistent with the existing regulations and are requiring in §§ 77.25(b), 77.27(b), and
One commenter stated that, for the purposes of interstate movement of captive cervids from modified accredited States and zones, an animal that originates from a “qualified herd” should be considered as one that has obtained an individual animal test for movement. The commenter stated that the requirements in the existing regulations for obtaining qualified herd status are more effective than requiring a negative individual test of an animal to be moved.
As discussed above under the heading “Whole Herd Test,” in this final rule we are requiring that captive cervids that are to be moved from a modified accredited State or zone, and that are sexually intact animals not from an accredited herd, must test negative to one whole herd test and also to one individual test. Because of the level of risk of tuberculosis in a modified accredited State or zone, we consider it necessary to require such conditions, even for captive cervids originating from a qualified herd. However, due to the lower level of tuberculosis risk in a modified accredited advanced State or zone, we agree that a captive cervid herd that has achieved qualified or monitored status has already met surveillance and herd history standards equivalent to the biosecurity afforded by an individual test. Therefore, we are providing in § 77.25(b) that captive cervids to be moved from a modified accredited advanced State or zone that are from an accredited herd, qualified herd, or monitored herd may be moved interstate if they are accompanied by a certificate stating that the herd has completed the requirements for accredited herd, qualified herd, or monitored herd status within 24 months prior to the date of movement.
Under the existing regulations, to be eligible for qualified herd status, all captive cervids in the herd eligible for testing must have tested negative to an official tuberculosis test. Additionally, under the existing regulations, a captive cervid moved interstate from a qualified herd must be accompanied by a certificate that states that the cervid has tested negative to an official tuberculosis test conducted within 90 days prior to the date of movement. In our proposed rule, we provided that captive cervids from a qualified herd could be moved interstate without testing if moved for the purpose of exhibition, provided they are returned to the premises of origin no more than 90 days after leaving the premises, have no contact with other livestock during movement and exhibition, and are accompanied by a certificate that includes a statement that the captive cervid is from a qualified herd. One commenter opposed this provision for captive cervids moved to exhibition. The commenter stated that moving cervids for exhibition purposes without requiring testing leaves open the possibility of transmission of tuberculosis at exhibition and dissemination of the disease upon return to the farm of origin.
We are making no changes based on this comment. We consider the conditions we are requiring for such movement to be sufficient to ensure that a captive cervid from a qualified herd does not pose a risk of transmitting tuberculosis to other livestock or being infected by other livestock. The definition of
In some cases in our proposed rule, the interstate movement requirements for cattle and bison and for captive cervids were dependent on whether the animals were moved from an accredited herd. In proposed § 77.5, regarding cattle and bison, we defined
Among the requirements for accredited herd status for cattle and bison as set forth in the UMR is the requirement that testing shall include all cattle and bison 24 months of age and older. One commenter recommended that the definition of an accredited herd of cattle or bison provide instead that testing shall include all cattle and bison 12 months of age and older. Although we are making no changes based on the comment, we consider it an issue worthy of further review and will consider it when undertaking future revisions of the UMR.
In our proposed definition of
Several commenters stated that the methods and criteria of such an assessment should be included in the regulations. One of the commenters stated that, as worded, the proposed provision did not make clear what surveillance methodology would be required. The commenter expressed concern that surveillance requirements could be unrealistic, prohibitively expensive, and not supported by independent, objective risk assessment. The commenter recommended that we allow analysis of surveillance data by experts in risk assessment other than APHIS.
In determining surveillance requirements, it is necessary to assess the situation in each given State or zone. For instance, in some States and zones, infected wildlife may pose a significant risk to livestock, while in other States, wildlife may be a negligible factor. In some States and zones, beef cattle may be spread over wide areas, whereas in other States and zones they may be more concentrated. Some States have significant numbers of large, densely populated dairy herds; others have few very large herds. Therefore, it would not be in the best interests of each State or zone to establish uniform surveillance criteria for all States and zones. We do not consider it advisable to include in the regulations the methodology that will be used in each case, because risk assessment methodology is subject to ongoing refinement. The methodology that APHIS will use to conduct risk assessments will be open to inspection by the public, and we will work closely with each State in determining the surveillance necessary to achieve accredited-free status 3 years after the last diagnosis of tuberculosis in the State or its zones.
One commenter said that the option of achieving accredited-free status after 3 years based on the surveillance described above should be eliminated. The commenter recommended instead that the surveillance described above be added as a condition for achieving accredited-free status after a 5-year wait when affected herds have not been depopulated. We are making no changes based on the comment. The option of achieving accredited-free status after 3 years was included as an incentive for States to conduct surveillance over and above the baseline surveillance required by the UMR, just as the option of achieving accredited-free status 3 years after depopulation of all affected herds is included as an incentive to States to depopulate affected herds. In those States in which depopulation of affected herds is not a viable option, due to, for instance, insufficient State funding for indemnity payments, we consider it necessary to the continued progress of the tuberculosis eradication program to encourage the States to take measures over and above the minimum standards set forth in the UMR.
The definitions of
Historically, we have determined a State's tuberculosis status by the incidence, or lack thereof, of the disease in herds of cattle and bison. In enforcing the tuberculosis regulations, we have historically not considered the assembly of cattle at feedlots to be a herd. Rather, we have looked at the disease status of a herd prior to the movement of animals from that herd to a feedlot. Because the animals assembled at a feedlot generally consist of animals from a number of different herds assembled for a limited period of time, we have not found it useful for the purposes of the tuberculosis eradication program to consider such an assembly of animals a herd. Therefore, we are amending the definition of
We believe that the commenter's concern regarding how the disease status of animals at a feedlot would affect the status of a State or zone may have been caused by certain wording in our proposed rule that might be misleading. In §§ 77.5 and 77.20 of the proposed rule, in the definitions of
In § 77.7(c) of our proposed rule, we provided, with regard to cattle and bison, that if an affected herd is detected in a State or zone classified as accredited free, and the herd is depopulated and an epidemiologic investigation is completed within 90 days of the detection of the affected herd with no evidence of tuberculosis, the State or zone may retain its accredited-free status. We included a similar provision for captive cervids in § 77.22(c), except that the proposed time to complete the investigation was 120 days, due to the longer waiting period necessary between tests of cervids than those of cattle and bison.
Several commenters said that 90 days is not enough time for an accredited-free State or zone to complete an epidemiologic investigation in the event of a tuberculosis outbreak in cattle or bison. One commenter recommended that the maximum time allowed be 120 days, as we proposed for captive cervids. Another commenter recommended that the maximum time allowed be 180 days for cattle and bison, as well as for captive cervids.
We are making no changes based on the comments. We consider 90 days a sufficient amount of time to complete an epidemiologic investigation in cattle and bison and, because of the emergency nature of an outbreak in an accredited-free State or zone, do not consider it advisable to allow any more time than is necessary to complete an investigation. The amount of time allowed to complete an investigation regarding captive cervids will remain 120 days as proposed for reasons explained above.
Several commenters, addressing the scenario of an outbreak occurring in an accredited-free State or zone, stated that the proposed rule did not require testing for tuberculosis in such a State or zone during the time between discovery of the affected herd and completion of an epidemiologic investigation, even though, according to the commenters, the risk of tuberculosis being spread from that State or zone must be greater than that from other accredited-free States or zones.
We do not agree that it is necessary to require testing of animals from an accredited-free State or zone while an epidemiologic investigation is being conducted following an outbreak of tuberculosis in the State or zone. To achieve accredited-free status, a State or zone must have no findings of tuberculosis in herds of regulated animals for 2 to 5 years. Additionally, a sufficient number of herds of regulated animals must be tested in the State or zone to ensure that tuberculosis infection at a prevalence level of 2 percent or more is detected with a confidence level of 95 percent.
With these safeguards in place, it is likely that any herd diagnosed with tuberculosis in an accredited-free State or zone represents an isolated incidence of the disease. Additionally, in order for a State or zone to retain its accredited-free status, a cattle or bison herd in which tuberculosis is detected must be depopulated and an epidemiologic investigation must be completed within 90 days of the detection of the affected herd (120 days for captive cervids). It is, therefore, unlikely that the disease will have an opportunity to spread beyond the affected herd. We do not consider it warranted to require testing of other herds within the State or zone while the epidemiologic investigation is being conducted.
One commenter stated that, because a tuberculosis-affected herd in an accredited-free State or zone must be depopulated for the State or zone to retain its accredited-free status, APHIS should establish a fund for the payment of indemnity for such depopulations.
We are aware that payment of compensation is an important incentive
We proposed in § 77.4 to remove the provision in § 77.8 of the current regulations that limits the number of zones in a State to no more than two. One commenter opposed allowing an unlimited number of zones per State, questioning whether the necessary restrictions on movement between zones could be maintained over time. The commenter recommended that the number of zones per State be capped at three, with provision for the Administrator to authorize additional zones up to five. Other commenters stated that the maximum number of zones per State should be kept at two. Several of these commenters expressed concern that allowing more than two zones per State might encourage certain areas of the State not to pursue eradication aggressively.
We are making no changes based on these comments. According to the regulations, APHIS will recognize multiple zones within a State only if the State demonstrates that it meets the requirements specified in the regulations regarding its tuberculosis eradication program, veterinary infrastructure, and epidemiologic surveillance for tuberculosis in the State. Additionally, the State must enter into a memorandum of understanding with APHIS in which the State agrees to adhere to any conditions for zone recognition particular to that request. Once APHIS recognizes multiple zones within a State, such recognition is subject to annual review by the Administrator, who will determine whether the State continues to meet the conditions for zone recognition. Based on these criteria for zone recognition, we do not consider it necessary to set a predetermined maximum on the number of zones per State.
With regard to the commenters' concern that establishing more than two zones in a State might encourage certain areas within that State not to pursue eradication aggressively, our intent in allowing more than two zones is to achieve just the opposite effect. If the number of zones within a State is limited to two, and one or both of the zones contain within themselves varying levels of risk for tuberculosis, the impossibility of creating additional zones could act as a disincentive for the zones to restrict movement within the existing zones to otherwise contain the disease and move toward eradication. In those cases where it appears advisable to explicitly encourage progress toward eradication in zones, APHIS can do so in the memorandum of understanding with the State, making such progress, for example, a condition for retaining zone recognition in the State.
In proposed § 77.4, regarding application for and retention of zone status for tuberculosis within a State, we provided that retention of APHIS recognition of a zone is subject to annual review by the Administrator, and that, to retain recognition of a zone, a State must retain for 2 years all applicable movement certificates and continue to comply with the conditions that had to be met to achieve initial recognition of the zone. These conditions include requirements regarding the State's legal and financial resources to implement and enforce a tuberculosis eradication program, the State's infrastructure for notifying State and Federal animal health authorities of tuberculosis in the State, surveillance for tuberculosis and review of testing within the intended zones, and a memorandum of understanding between the State and APHIS.
One commenter recommended that the requirements for retention of zone recognition also include annual review by APHIS of the tuberculosis management plan required in the proposed rule to achieve State and zone risk classification (except for “nonaccredited”) in those cases where tuberculosis is diagnosed in an animal not specifically regulated under the tuberculosis regulations and where a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone.
We agree with the commenter that it would be advisable to make clear that retention of APHIS recognition of a zone is dependent on whether the State in question meets the conditions necessary to maintain or improve the status of each zone in the State, and we are adding such a requirement to § 77.4(b). If a State fails on an extended basis to meet the conditions necessary to maintain or improve the status of its zones, we will conclude that it is not meeting the conditions for its original zone recognition (
The provisions in proposed § 77.4(b) for retention of recognition of zones within a State require that, to continue such recognition, a State must retain for 2 years all certificates required by the regulations for the movement of cattle, bison, and captive cervids. One commenter stated that a 2-year retention requirement is inadequate for movement records for tuberculosis and recommended that the retention time be at least 5 years. We do not agree that certificates should be required to be retained for more than 2 years. Requiring retention of movement records for 2 years enables us to trace back the movement of animals affected by tuberculosis for a period of time when traceback is feasible enough to justify retention of the records. The likelihood of tracing an animal back to its premises of origin declines with the amount of time that has passed since its original movement. This is often due to intrastate movements that do not require records retention under the regulations. We have found through our experience enforcing the regulations that the likelihood of tracing animals back has declined after 2 years to the extent that requiring retention of movement records is not justified. However, in this final rule, we are clarifying the provision in § 77.4(b) regarding retention of records to state that the certificates must be retained for at least 2 years.
Several commenters expressed concern regarding the proposed provision that if tuberculosis is diagnosed in a State or zone in an animal not specifically included in the regulations, and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, then the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the APHIS Administrator (Administrator), within 6 months of the diagnosis. The commenters stated that the requirement that the plan be approved jointly by the State animal health official and the Administrator would usurp the authority of State wildlife management agencies. Several commenters recommended that if tuberculosis is diagnosed in wildlife, State wildlife agencies assist in and be the lead agencies for implementation of a disease management plan. One commenter questioned what the current situation was regarding surveillance in wildlife and stated that APHIS needs to seek authority to deal with tuberculosis in wildlife.
APHIS does have authority to address tuberculosis in wildlife to the extent it poses a risk to the health of livestock. Therefore, we consider it necessary for APHIS, along with the State animal health official, to determine whether a disease management plan involving tuberculosis in wildlife will be adequate to protect the livestock in a State or zone. However, the regulations require joint approval of a disease management plan by APHIS and the State at a minimum. We recognize the integral role of State wildlife agencies in developing and implementing a disease management plan that involves wildlife, and we expect to work closely with such agencies should the need for a plan arise.
In the proposed provisions regarding the maintenance of accredited-free, modified accredited advanced, modified accredited, and accreditation preparatory classifications, there is a requirement that if tuberculosis is diagnosed in an animal not specifically regulated under part 77, and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. According to the proposed provisions, the management plan must include provisions for, among other things, immediate investigation of tuberculosis in livestock, wildlife, and animals held for exhibition. One commenter asked whether it should be assumed that “wildlife, and animals held for exhibition” refers to wildlife only when they are held for exhibition and not to free-ranging wildlife.
It was our intent regarding the language cited by the commenter that, in the case of a tuberculosis risk to livestock, all wildlife would be subject to investigation, not just wildlife held for exhibition, and we are making a change to the text of the regulations to clarify this. However, as stated, wildlife would be subject to investigation only when wildlife in the State or zone poses a tuberculosis risk to livestock. If an outbreak among wildlife is determined to present no risk to livestock, the investigation described above would not be required.
In accordance with Executive Order 12988, we included a statement in our proposed rule giving notice that any State and local laws and regulations in conflict with the proposed provisions would be preempted. A number of commenters stated that including such a statement in the rulemaking was harmful to State-Federal cooperative efforts. Other commenters expressed concern that the statement meant that a State could not require any conditions for movement of animals into the State over and above the Federal requirements.
Under Executive Order 12988, a Federal agency that formulates proposed legislation and regulations is required, among other things, to specify in clear language the preemptive effect it intends to be given to its legislation or regulations. The executive order does not specify what that preemptive effect shall be. Historically, domestic animal health regulations of a State have not been challenged when they require conditions more stringent than those included in the APHIS regulations. However, State regulations that conflict with or subvert Federal regulations concerning the interstate movement of animals and products that are promulgated for the purpose of the control of diseases of livestock and poultry will probably be held unconstitutional if challenged.
One commenter stated that the existing scientific data regarding tuberculosis in the animals addressed by the regulations is insufficient to allow for decisions based on risk analysis or similar statistical methods.
We do not agree that insufficient scientific data exist regarding tuberculosis in animals addressed by the regulations. The USDA's Agricultural Research Service has been conducting research on tuberculosis in animals for a number of years. Additionally, research has been done outside the United States regarding cross-species transmission of tuberculosis. Information regarding these studies can be obtained by contacting the person listed in this final rule under
One commenter stated that the case for transmission of tuberculosis from bison and captive cervids under natural production conditions is very weak and lacks the conclusive scientific data that should be required for the proposed rule.
We do not agree that scientific evidence regarding cross-transmission of tuberculosis is lacking. Multiple epidemiologic investigations of tuberculosis outbreaks have demonstrated the movement of the tuberculosis disease agent from one species to another.
One commenter requested that States be allowed time to phase in the regulatory changes and noted that State rule changes in the commenter's State become effective no sooner than 74 days after the rule is filed.
We are aware that it takes time for a State to revise its own regulations when such a change is made necessary by one of our regulatory changes. With regard to changes concerning cattle and bison in this final rule, we are not aware of any State regulatory changes that will be necessary. With regard to changes concerning captive cervids in this final rule, we are providing each State with 1 year to submit data to us demonstrating the State or zone status for which the State will qualify. In the meantime, we are classifying each State as modified accredited with regard to captive cervids, which means that no owner of captive cervids will need to meet conditions any more stringent than currently in place for interstate movement of the animals. With regard to any future rulemaking that would require a State to change its regulations, we will not finalize a regulation with regard to a State until the State has implemented its regulations.
One commenter stated that it was not clear that the proposed rule would apply only to
We disagree with the commenter that it is not clear which disease agent we are talking about in the proposed regulations. Section 77.2, “Definitions,” defines
One commenter stated that the proposed rule did not include an explanation of why the role of States and other cooperators is reduced in the proposed rule. We do not agree that the
A number of commenters recommended that the regulations state that the Administrator has authority to limit interstate movement of species, or classes of animals within species, that pose a high risk of being a reservoir of tuberculosis.
It is not necessary for us to include in the regulations that the Administrator has the authority described by the commenters. The Administrator has such authority with regard to any disease. If it occurs that a particular species or type of animal presents an unacceptable risk of harboring tuberculosis and transmitting it to livestock, we will take action to restrict the interstate movement of that species or type of animal.
One commenter stated that if APHIS is going to allow sexually intact heifers to be moved interstate to an approved feedlot from a modified accredited advanced State or zone, APHIS must be prepared to perform all the functions required to carry out this provision. The commenter stated that requiring States to oversee this would place an undue burden on State resources.
Although the regulations in this rule allow for the movement of sexually intact heifers from a modified accredited advanced State or zone to an approved feedlot, they do not require that a State agree to approve feedlots. In § 77.5 of this rule, an
One commenter stated that cattle from accreditation preparatory States and zones, including those from accredited herds, should be allowed to be moved only to approved feedlots.
We do not consider it necessary to restrict the movement of cattle from accredited herds in an accreditation preparatory State to approved feedlots. The risk of tuberculosis transmission by animals from an accreditation preparatory State or zone, although greater than that for animals from an accredited-free, modified accredited advanced, or modified accredited State or zone, is, according to the definition of
One commenter stated that no interstate movement of captive cervids should be allowed from States and zones classified as accreditation preparatory or less. We are making no changes regarding movement from accreditation preparatory States and zones based on this comment, for the same reasons as those noted in the preceding paragraph.
One commenter recommended that, in addition to two negative premovement tests, officially identified, sexually intact cattle from a modified accredited State or zone that are not being moved to an approved feedlot should be required to have a postmovement test. The commenter stated that this is necessary because of the possibility that premovement testing of cattle from modified accredited States and zones may be questionable. The same commenter stated that testing of all cattle from accreditation preparatory States is suspect, and that a postentry test should be required for all cattle from these States and zones, including those from an accredited herd.
We are making no changes based on this comment. We consider the conditions we are setting forth in this rule for interstate movement to be adequate to mitigate the disease risk that might otherwise exist from interstate movement of animals from States and zones of different risk classifications.
Proposed § 77.2 defined
Several commenters stated that the Department has not adequately addressed the issue of the sovereign immunity of Native American reservations in the West. The commenters asked how a State's classification would be affected if tuberculosis were discovered but not dealt with on a reservation.
The situation described by the commenters has not arisen to date. If tuberculosis were diagnosed on a reservation, APHIS would work closely with the reservation to eliminate the source of the infection. The State or zone in which the reservation is located could establish a quarantine to prohibit or restrict movement of livestock from the reservation. If we determined that a State or zone had taken all measures possible to address an outbreak on a reservation, it is unlikely we would immediately take action to downgrade the status of the State or zone.
One commenter stated that a situation could arise where tuberculosis is diagnosed in animals not specifically covered by the regulations and the State or zone will not be able to implement a tuberculosis management plan that
If a situation should arise where a State is making every possible effort to comply with the regulations but cannot fully comply because of the involvement of another Federal agency, we would take that into account when determining whether a State's or zone's risk classification should be downgraded.
In our proposed rule, we used the term “designated tuberculosis epidemiologist” and defined that term in § 77.2 to mean a State or Federal epidemiologist designated by the Administrator to make decisions concerning the use and interpretation of diagnostic tests for tuberculosis and the management of tuberculosis-affected herds. One commenter stated that the duties of a designated tuberculosis epidemiologist must be much broader than as defined and should include, but not be limited to, tracing movements of animals into and out of an affected herd, identifying potentially exposed herds, identifying areas for area testing, and identifying potential nonlivestock sources of disease.
Although the definition of
In our proposed rule, we used the term “epidemiologic investigation” and defined that term in § 77.2 to mean an investigation that is conducted by a State in conjunction with APHIS representatives, in which an official test for tuberculosis is conducted on all livestock in any tuberculosis-affected herd in a State or zone, as well as on all livestock in any herd into which livestock from the affected herd have been moved. One commenter stated that, according to the definition as written, herds across a fence or road from an affected herd would not be included in the epidemiologic investigation unless animals from the affected herd were moved into the herd across the fence or road. The commenter recommended that the definition of
We agree that an effective epidemiologic investigation should include investigation of the herds and animals described by the commenter and are revising the definition of
As discussed above under the heading “Identification Requirements,” we are adding to § 77.2 a definition of
In this final rule, we use the term “approved feedlot,” which we define in § 77.5 as a confined area approved jointly by the State animal health official and the Administrator for feeding cattle and bison for slaughter, with no provisions for pasturing and grazing. In the existing regulations regarding exposed cattle (§ 77.17(b) of this rule), there is a reference to a “quarantined feedlot” as used in § 50.16. A quarantined feedlot as referred to in § 50.16, and as defined in § 50.1, differs from an approved feedlot as defined in § 77.5 of this rule in that a quarantined feedlot is under the direct supervision and control of a State livestock official, with restrictions on the movement of all livestock entering or leaving the feedlot. As defined in § 50.1, a quarantined feedlot is “a confined area under the direct supervision and control of a State livestock official who shall establish procedures for the accounting of all livestock entering or leaving the area. The quarantined feedlot shall be maintained for finish feeding of livestock in drylot with no provision for pasturing and grazing. All livestock leaving such feedlot must only move directly to slaughter in accordance with established procedures for handling quarantined livestock.” To make clear the distinction between the two types of feedlots, we are adding to § 77.5 the definition of
Additionally, we are clarifying in the definition of
In our proposed rule, we reformatted all of 9 CFR part 77, even though we were proposing changes to only a selected number of provisions in the regulations. In order to make it easier to follow our proposed formatting changes, we set out all of part 77 in the proposal, including those provisions of the existing regulations to which we were proposing no amendments, except to change section number designations. We stated in our proposed rule that we were not soliciting comments on the unchanged provisions, and we listed those sections or parts of sections on which we were not soliciting comments.
Several commenters, however, submitted comments that addressed certain of the provisions to which we were proposing no changes. Virtually all of the issues raised by these commenters concerned standards in the current regulations for testing of captive cervids. Although we are making no changes at this time based on these comments, we will consider each one and determine whether future changes based on the recommendations appear warranted.
We are making a change to the authority citation for part 77 to reflect a reformatting of the provisions in 7 CFR 371 regarding the delegation of authority to Veterinary Services, APHIS. Consistent with this reformatting, we are changing the reference to 7 CFR 371.2(d) to read 7 CFR 371.4.
Therefore, for the reasons given in the proposed rule and in this document, we are adopting as a final rule the interim rules of November 1, 1999, and June 28, 2000, and the proposed rule of March 7, 2000, with the changes discussed in this document.
This rule has been reviewed under Executive Order 12866. The rule has been determined to be not significant for the purposes of Executive Order 12866 and, therefore, has not been reviewed by the Office of Management and Budget.
Bovine tuberculosis is a communicable disease of cattle, bison, cervids and other species, including humans, and results in losses in meat and milk production and sterility among infected animals. The Cooperative State/
Currently, the tuberculosis regulations define State risk classification levels for cattle and bison. However, until the effective date of this rule, the classification levels provide only for three broadly drawn classifications of risk, and two of the classifications carry no restrictions on the interstate movement of cattle and bison not known to be infected with tuberculosis. The current regulations do not provide classification levels for captive cervids. This rule will increase the number of risk classifications and establish risk classifications for States and zones with regard to captive cervids. The classification of a State or zone with regard to cattle and bison will not necessarily be the same as its classification with regard to captive cervids. Under this rule, the five possible risk classifications will be accredited-free, modified accredited advanced, modified accredited, accreditation preparatory, and nonaccredited.
In 1999, the total number of cattle in the United States was approximately 99.115 million, valued at approximately $58.833 billion. There were 1,095,960 U.S. operations with cattle. Over 99.1 percent of these operations were small businesses with a gross cash value of less than $500,000. There were about 112,700 bison held as livestock in the United States, valued at about $169 million, on 1,150 premises.
The U.S. cattle industry plays a very significant role in international trade. In 1999, the total earnings from exports of live cattle, beef, and veal were approximately $2.8 billion. The U.S. competitiveness in international markets depends to a great degree upon its reputation for producing high-quality animals, a reputation that would be enhanced if bovine tuberculosis were eradicated in this country. The product, as well as purchasers' perceptions of quality, contributes to continued world market acceptance. Thus, efforts to maintain an effective tuberculosis program, to clarify the regulations, and to secure the health of the cattle industry will continue to serve the best economic interests of the Nation.
Currently, with regard to tuberculosis State or zone classifications for cattle and bison, there are 47 accredited-free States, plus Puerto Rico and the U.S. Virgin Islands. As a result of this rule, one modified accredited State (New Mexico) will become accredited-free, bringing the total to 48 States that are accredited free. A currently modified accredited State (Texas) will be classified as modified accredited advanced. Michigan, which we classified as nonmodified accredited in our June 22, 2000, interim rule, will be classified as modified accredited in this final rule. According to the testing requirements in this final rule, only Texas will be likely to be affected by this rule. However, Michigan was affected by the June 22, 2000, interim rule, and we discuss that effect as part of this analysis.
The primary difference among the restrictions on interstate movement from the different proposed classifications is how many, if any, tuberculin tests with negative results the animal must have to be moved interstate. The same test is used for cattle and bison (and cervids, as discussed below). For movement from a modified accredited advanced State (Texas), sexually intact cattle and bison not from an accredited herd will be required to have one negative test before they can be moved interstate and will be required to be officially identified. For movement from a modified accredited State (Michigan), sexually intact animals not from an accredited herd will be required to have one negative whole herd test and one negative individual test and be officially identified, while sexually intact heifers moved to an approved feedlot, steers, and spayed heifers will need just one test and will be required to be either officially identified or identified by premises of origin identification.
In Texas, as of January 1999, there were about 153,000 cattle herds with 14.9 million cattle, valued at $7.1 billion. (In addition, there were, in Texas, 40 operations with bison, with a total of 1,370 animals.) Of the cattle, close to 77 percent (11,439,800) would require testing for tuberculosis under this rule if they were moved interstate. This number includes sexually intact cattle, other than sexually intact heifers moved to approved feedlots (which may move interstate without testing). However, of the total number of cattle that would require testing if moved interstate, only about 10 percent are likely to be moved interstate. Thus, the total number of cattle from Texas likely to require testing annually is 1,143,980.
In Michigan, as of January 1999, there were about 15,500 cattle herds with 1,050,000 cattle, valued at $809 million. (In addition, there were, in Michigan, 50 operations with bison, with a total of 2,984 animals.) Of the cattle, those that would require testing if they were moved interstate include all animals, except for those moved directly to slaughter and those from an accredited herd, which constitute a negligible percentage of the total number of cattle in the State. Of the animals that would require testing if moved interstate, only about 10 percent (105,000) are likely to be moved interstate. To be moved interstate, each of those animals will require an individual tuberculosis test with negative results. Additionally, of the animals to be moved interstate, an estimated 79,900 will be sexually intact animals that are not from an accredited herd and are not sexually intact heifers moved to an approved feedlot. Under this rule, in addition to requiring an individual test, these animals may not be moved interstate unless they originate in a herd that was classified negative to a whole herd test within 1 year prior to the date of interstate movement. Based on an average herd size in Michigan of approximately 89 animals per herd, approximately 1,180 herds would need to undergo a whole herd test under this final rule.
The cost of tuberculin testing for an average-sized herd of 89 animals is $380. The approximate per-animal testing cost is $4.30, compared to an average sale value of approximately $600 for a head of cattle and $1,500 for a bison. Additionally, the cost of official identification by applying an eartag is about $0.50 per head. The final cost of testing and identification will vary depending on the size of the herd. The total cost will then be dependent on the number of animals that will be moved interstate and thus be required to be tested and identified.
Applying the unit testing and identification costs to the number of animals that are likely to be moved interstate and that require testing and identification yields the approximate economic effect of this rule. In Texas, the testing and identification cost is projected to be approximately $4,919,000 annually [(1,143,980 animals × $4.30) + (1,143,980 × $0.50)]. In Michigan, the testing cost is projected to be approximately $899,900 annually (the total of 105,000 individual animal tests × $4.30 and 1,180 whole herd tests × $380). The identification cost is projected to be approximately $52,500 (105,000 animals × $0.50), for a total testing and identification cost in Michigan of $952,400. These costs are relatively small when compared to the total size and significance of the cattle and bison industry in each of the two States and in the United States overall.
This rule also establishes five risk classifications for States and zones with regard to captive cervids. The classifications are the same as those established for cattle and bison, but a State's or zone's classification for captive cervids will not necessarily be the same as its classification for cattle and bison. According to this classification system, all States (and Puerto Rico and the U.S. Virgin Islands) will be modified accredited. Fewer than 10 percent of captive cervids are moved interstate. Those not moved interstate will not be subject to this rule. Under this rule, owners of captive cervids to be moved interstate will be able to move their animals according to the less restrictive of either the animals' herd status under the current regulations or the State or zone status in this final rule. Because of this option, this rule is not expected to have a direct economic effect on owners of captive cervids, with one possible exception. Under the current regulations, captive cervids from an “unclassified” herd may be moved interstate after testing negative to two individual tuberculosis tests. Under this rule, the option of moving captive cervids interstate from an unclassified herd after two negative tests will no longer exist, and such cervids moved interstate will be required to meet the movement conditions for the status of the State or zone from which they originate. In Michigan, those captive cervids, in addition to testing negative to one individual tuberculosis test, would need to originate from herds that have tested negative to a whole herd test conducted within 1 year prior to the date of interstate movement of the cervids.
In Michigan, there are about 18,800 captive cervids on 720 premises. An estimated 11,280 of these animals are in unclassified herds. Of these, approximately 10 percent, or 1,128, are likely to be moved interstate. Thus, the cost of individually testing each of the captive cervids is projected to be about $4,850 (1,128 × $4.30). The cost of testing the herds from which the animals originate is projected to be about $5,060 (44 herds × $115 average cost for herd testing). The cost of identifying the captive cervids is projected to be about $564 (1,128 × $0.50). Therefore, the projected total cost this rule will impose on the interstate movement of captive cervids from Michigan is $10,474, compared to an approximate value of the cervid industry in Michigan of $31.8 million.
Under these circumstances, the Administrator of the Animal and Plant Health Inspection Service has determined that this action will not have a significant economic impact on a substantial number of small entities.
This program/activity is listed in the Catalog of Federal Domestic Assistance under No. 10.025 and is subject to Executive Order 12372, which requires intergovernmental consultation with State and local officials. (See 7 CFR part 3015, subpart V.)
This final rule has been reviewed under Executive Order 12988, Civil Justice Reform. This rule: (1) Preempts all State and local laws and regulations that are in conflict with this rule; (2) has no retroactive effect; and (3) does not require administrative proceedings before parties may file suit in court challenging this rule.
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
Animal diseases, Bison, Cattle, Incorporation by reference, Reporting and recordkeeping requirements, Transportation, Tuberculosis.
21 U.S.C. 111, 114, 114a, 115-117, 120, 121, 134b, and 134f; 7 CFR 2.22, 2.80, and 371.4.
(a) The procedures specified in the Uniform Methods and Rules—Bovine Tuberculosis Eradication (January 22, 1999, edition) must be followed for the interstate movement of certain animals regulated under this part.
(b)
(1) Are available for inspection at the Office of the Federal Register Library, 800 North Capitol Street NW., Suite 700, Washington, DC;
(2) Are available for inspection at the APHIS reading room, room 1141, USDA South Building, 14th Street and Independence Avenue, SW., Washington, DC; or
(3) May be obtained from the National Animal Health Programs, Veterinary Services, APHIS, 4700 River Road Unit 43, Riverdale, MD 20737-1231.
As used in this part, the following terms shall have the meanings set forth in this section except as otherwise specified.
The Administrator shall classify each State for tuberculosis in accordance with this part. A zone comprising less than an entire State will be given a particular classification upon request of the State only if the Administrator determines that:
(a) The State meets the requirements of this part for establishment of zones;
(b) The State has adopted and is enforcing regulations that impose restrictions on the intrastate movement of cattle, bison, and captive cervids that are substantially the same as those in place under this part for the interstate movement of cattle, bison, and captive cervids; and
(c) The designation of part of a State as a zone will otherwise be adequate to prevent the interstate spread of tuberculosis.
(a) A State animal health official may request at any time that the Administrator designate part of a State as having a different tuberculosis classification under this part than the rest of the State. The requested zones must be delineated by the State animal health authorities, subject to approval by the Administrator. The request from the State must demonstrate that the State complies with the following requirements:
(1) The State must have the legal and financial resources to implement and enforce a tuberculosis eradication program and must have in place an infrastructure, laws, and regulations that require and ensure that State and Federal animal health authorities are notified of tuberculosis cases in domestic livestock or outbreaks in wildlife;
(2) The State in which the intended zones are located must maintain, in each intended zone, clinical and epidemiologic surveillance of animal species at risk of tuberculosis at a rate that allows detection of tuberculosis in the overall population of livestock at a 2 percent prevalence rate with 95 percent confidence. The designated tuberculosis epidemiologist must review reports of all testing for each zone within the State within 30 days of the testing; and
(3) The State must enter into a memorandum of understanding with APHIS in which the State agrees to adhere to any conditions for zone recognition particular to that request.
(b) Retention of APHIS recognition of a zone is subject to annual review by the Administrator. To retain recognition of a zone, a State must continue to comply with the requirements of paragraphs (a)(1), (a)(2), and (a)(3) of this section, as well as the requirements for maintaining or improving the tuberculosis risk classification of each zone in the State, and must retain for at least 2 years all certificates required under this part for the movement of cattle, bison, and captive cervids.
As used in subpart B, the following terms shall have the meanings set forth in this section except as otherwise specified.
All references in this subpart to the tuberculosis status of States and zones pertain to such status for cattle and bison only.
(a) The following are accredited-free States: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Utah, Vermont, Virginia, the Virgin Islands of the United States, Washington, West Virginia, Wisconsin, and Wyoming.
(b) The following are accredited-free zones: None.
(c) If an affected herd is detected in a State or zone classified as accredited-free, and the herd is depopulated and an epidemiologic investigation is completed within 90 days of the detection of the affected herd with no evidence of the spread of tuberculosis, the State or zone may retain its accredited-free status. If two or more affected herds are detected in an accredited-free State or zone within a 48-month period, the State or zone will be removed from the list of accredited-free States or zones and will be reclassified as modified accredited advanced.
(d) If any livestock other than cattle or bison are included in a newly assembled herd on a premises where a tuberculous herd has been depopulated, the State or zone must apply the herd test requirements contained in the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” (January 22, 1999, edition), which is incorporated by reference at § 77.1, to those other livestock in the same manner as to cattle and bison. Failure to do so will result in reclassification of the State or zone as modified accredited advanced.
(e) If tuberculosis is diagnosed within an accredited-free State or zone in an animal not specifically regulated by this part and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. The management plan must include provisions for immediate investigation of tuberculosis in animals held for exhibition and in livestock and wildlife; the prevention of the spread of the disease to other animals held for exhibition and to livestock and wildlife; increased surveillance for tuberculosis in animals held for exhibition and wildlife; eradication of tuberculosis from individual herds; a timeline for tuberculosis eradication; and performance standards by which to measure yearly progress toward eradication. If a State or zone does not implement such a plan within the required 6 months, the State or zone will lose its accredited-free status and will be reclassified as modified accredited advanced.
(f) Accredited-free State or zone status must be renewed annually. To qualify for renewal of accredited-free State or zone status, a State must submit an annual report to APHIS certifying that the State or zone within the State complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication.” The report must be submitted to APHIS each year between October 1 and November 30.
Cattle or bison that originate in an accredited-free State or zone may be moved interstate without restriction.
(a) The following are modified accredited advanced States: Texas.
(b) The following are modified accredited zones: None.
(c) If any livestock other than cattle or bison are included in a newly
(d) If tuberculosis is diagnosed within a modified accredited advanced State or zone in an animal not specifically regulated by this part and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. The management plan must include provisions for immediate investigation of tuberculosis in animals held for exhibition and in livestock and wildlife; the prevention of the spread of the disease to other animals held for exhibition and to livestock and wildlife; increased surveillance for tuberculosis in animals held for exhibition and wildlife; eradication of tuberculosis from individual herds; a timeline for tuberculosis eradication; and performance standards by which to measure yearly progress toward eradication. If a State or zone does not implement such a plan within the required 6 months, the State or zone will be reclassified as modified accredited.
(e) Modified accredited advanced State or zone status must be renewed annually. To qualify for renewal of a modified accredited advanced State or zone status, a State must submit an annual report to APHIS certifying that the State or zone complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication.” The report must be submitted to APHIS each year between October 1 and November 30.
(f) To qualify for accredited-free status, a modified accredited advanced State or zone must demonstrate to the Administrator that it complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication,” has zero percent prevalence of affected cattle and bison herds, and has had no findings of tuberculosis in any cattle or bison in the State or zone for the previous 5 years.
Cattle or bison that originate in a modified accredited advanced State or zone, and that are not known to be infected with or exposed to tuberculosis, may be moved interstate only under one of the following conditions:
(a) The cattle or bison are moved directly to slaughter at an approved slaughtering establishment.
(b) The cattle or bison are sexually intact heifers moved to an approved feedlot, or are steers or spayed heifers; and are either officially identified or identified by premises of origin identification.
(c) The cattle or bison are from an accredited herd and are accompanied by a certificate stating that the accredited herd completed the testing necessary for accredited status with negative results within 1 year prior to the date of movement.
(d) The cattle or bison are sexually intact animals; are not from an accredited herd; are officially identified; and are accompanied by a certificate stating that they were negative to an official tuberculin test conducted within 60 days prior to the date of movement.
(a) The following are modified accredited States: None.
(b) The following are modified accredited zones: None.
(c) If any livestock other than cattle or bison are included in a newly assembled herd on a premises where a tuberculous herd has been depopulated, the State or zone must apply the herd test requirements contained in the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” (January 22, 1999, edition), which is incorporated by reference at § 77.1, for such newly assembled herds to those other livestock in the same manner as to cattle and bison. Failure to do so will result in the removal of the State or zone from the list of modified accredited States or zones and its being reclassified as accreditation preparatory.
(d) If tuberculosis is diagnosed within a modified accredited State or zone in an animal not specifically regulated by this part and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. The management plan must include provisions for immediate investigation of tuberculosis in animals held for exhibition and in livestock and wildlife; the prevention of the spread of the disease to other animals held for exhibition and to livestock and wildlife; increased surveillance for tuberculosis in animals held for exhibition and wildlife; eradication of tuberculosis from individual herds; a timeline for tuberculosis eradication; and performance standards by which to measure yearly progress toward eradication. If a State or zone does not implement such a plan within the required 6 months, the State or zone will be reclassified as accreditation preparatory.
(e) Modified accredited State or zone status must be renewed annually. To qualify for renewal of a modified accredited State or zone status, a State must submit an annual report to APHIS certifying that the State or zone complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication.” The report must be submitted to APHIS each year between October 1 and November 30.
(f) To qualify for modified accredited advanced status, a modified accredited State or zone must demonstrate to the Administrator that it complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” and that tuberculosis has been prevalent in less than 0.01 percent of the total number of herds of cattle and bison in the State or zone for the most recent 2 years.
Cattle or bison that originate in a modified accredited State or zone, and that are not known to be infected with or exposed to tuberculosis, may be moved interstate only under one of the following conditions:
(a) The cattle or bison are moved directly to slaughter at an approved slaughtering establishment.
(b) The cattle or bison are sexually intact heifers moved to an approved feedlot, or are steers or spayed heifers; are either officially identified or identified by premises of origin identification; and are accompanied by a certificate stating that they were classified negative to an official tuberculin test conducted within 60 days prior to the date of movement.
(c) The cattle or bison are from an accredited herd and are accompanied by a certificate stating that the accredited herd completed the testing necessary for accredited status with negative results within 1 year prior to the date of movement.
(d) The cattle or bison are sexually intact animals; are not from an accredited herd; are officially identified; and are accompanied by a certificate stating that the herd from which they originated was negative to a whole herd test conducted within 1 year prior to the date of movement and that the individual animals to be moved were negative to an additional official tuberculin test conducted within 60 days prior to the date of movement, except that the additional test is not required if the animals are moved interstate within 6 months following the whole herd test.
(a) The following are accreditation preparatory States: None.
(b) The following are accreditation preparatory zones: None.
(c) If any livestock other than cattle or bison are included in a newly assembled herd on a premises where a tuberculous herd has been depopulated, the State or zone must apply the herd test requirements contained in the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” (January 22, 1999 edition), which is incorporated by reference at § 77.1, for such newly assembled herds to those other livestock in the same manner as to cattle and bison. Failure to do so will result in the removal of the State or zone from the list of accreditation preparatory States or zones and its being reclassified as nonaccredited.
(d) If tuberculosis is diagnosed within an accreditation preparatory State or zone in an animal not specifically regulated by this part and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. The management plan must include provisions for immediate investigation of tuberculosis in animals held for exhibition and in livestock and wildlife; the prevention of the spread of the disease to other animals held for exhibition and to livestock and wildlife; increased surveillance for tuberculosis in animals held for exhibition and wildlife; eradication of tuberculosis from individual herds; a timeline for tuberculosis eradication; and performance standards by which to measure yearly progress toward eradication. If a State or zone does not implement such a plan within the required 6 months, the State or zone will be reclassified as nonaccredited.
(e) Accreditation preparatory State or zone status must be renewed annually. To qualify for renewal of accreditation preparatory State or zone status, a State must submit an annual report to APHIS certifying that the State or zone complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication.” The report must be submitted to APHIS each year between October 1 and November 30.
(f) To qualify for modified accredited status, an accreditation preparatory State or zone must demonstrate to the Administrator that it complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” and that tuberculosis has been prevalent in less than 0.1 percent of the total number of herds of cattle and bison in the State or zone for the most recent year.
Cattle or bison that originate in an accreditation preparatory State or zone, and that are not known to be infected with or exposed to tuberculosis, may be moved interstate only under one of the following conditions:
(a) The cattle or bison are moved directly to slaughter at an approved slaughtering establishment.
(b) The cattle or bison are sexually intact heifers moved to an approved feedlot, or are steers or spayed heifers; are officially identified or identified by a premises of origin identification; and are accompanied by a certificate stating that the herd from which they originated was negative to a whole herd test conducted within 1 year prior to the date of movement and that the individual animals to be moved were negative to an additional official tuberculin test conducted within 60 days prior to the date of movement, except that the additional test is not required if the animals are moved interstate within 6 months following the whole herd test.
(c) The cattle or bison are from an accredited herd; are officially identified; and are accompanied by a certificate stating that the accredited herd completed the testing necessary for accredited status with negative results within 1 year prior to the date of movement and that the animals to be moved were negative to an official tuberculin test conducted within 60 days prior to the date of movement.
(d) The cattle or bison are sexually intact animals; are not from an accredited herd; are officially identified; and are accompanied by a certificate stating that the herd from which they originated was negative to a whole herd test conducted within 1 year prior to the date of movement and that the individual animals to be moved were negative to two additional official tuberculin tests conducted at least 60 days apart and no more than 6 months apart, with the second test conducted within 60 days prior to the date of movement, except that the second additional test is not required if the animals are moved interstate within 6 months following the whole herd test.
(a) The following are nonaccredited States: None.
(b) The following are nonaccredited zones: None.
(c) To qualify for accreditation preparatory status, a nonaccredited State or zone must demonstrate to the
Cattle or bison that originate in a nonaccredited State or zone, and that are not known to be infected with or exposed to tuberculosis, may be moved interstate only if the cattle or bison are accompanied by VS Form 1-27 and are moved interstate for slaughter in an officially sealed means of conveyance directly to an approved slaughtering establishment.
(a)
(1) Reactor cattle and bison must be individually identified by attaching to the left ear an approved metal eartag bearing a serial number and the inscription “U.S. Reactor,” or a similar State reactor tag, and must be:
(i) Branded with the letter “T,” at least 5 by 5 centimeters (2 by 2 inches) in size, high on the left hip near the tailhead; or
(ii) Permanently identified with the letters “TB” tattooed legibly in the left ear and sprayed with yellow paint on the left ear and either accompanied directly to slaughter by an APHIS or State representative or moved directly to slaughter in vehicles closed with official seals. Such official seals must be applied and removed by an APHIS representative, State representative, accredited veterinarian, or an individual authorized for this purpose by an APHIS representative.
(2) The reactor cattle or bison must be accompanied by a permit; and
(3) The reactor cattle or bison may not be moved interstate in a means of conveyance containing any animals susceptible to tuberculosis unless all of the animals are being moved directly to slaughter; and
(4) Any person who moves reactor cattle or bison interstate under this paragraph must plainly write or stamp upon the face of the transportation document the words “Tuberculin Reactor” and the following statement: “This conveyance must be cleaned and disinfected in accordance with 9 CFR 77.17(a)(5).”; and
(5) Each means of conveyance in which reactor cattle or bison have been transported interstate under this paragraph must be cleaned and disinfected by the carrier, in accordance with the provisions of §§ 71.6, 71.7, and 71.10 of this subchapter, under the supervision of an APHIS representative or State representative or an accredited veterinarian or other person designated by the Administrator. If, at the point where the cattle or bison are unloaded, such supervision or proper cleaning and disinfecting facilities are not available, and permission is obtained from an APHIS representative or State representative, the empty means of conveyance may be moved to a location where such supervision and facilities are available for cleaning and disinfecting. Permission will be granted if such movement does not present a risk of disseminating tuberculosis.
(b)
(1) Exposed cattle and bison must be individually identified by attaching to either ear an approved metal eartag bearing a serial number and must be:
(i) Branded with the letter “S,” at least 5 by 5 centimeters (2 by 2 inches) in size, high on the left hip near the tailhead; or
(ii) Accompanied directly to slaughter by an APHIS or State representative; or
(iii) Moved directly to slaughter in vehicles closed with official seals. Such official seals must be applied and removed by an APHIS representative, State representative, accredited veterinarian, or an individual authorized for this purpose by an APHIS representative.
(2) The exposed cattle and bison must be moved in accordance with paragraphs (a)(2), (a)(3), and (a)(5) of this section.
(c)
The Administrator may, with the concurrence of the State animal health official of the State of destination, upon request in specific cases, allow the interstate movement of cattle or bison not otherwise provided for in this part that have not been classified as reactor cattle or bison and are not otherwise known to be affected with tuberculosis, under such conditions as the Administrator may prescribe in each specific case to prevent the spread of tuberculosis. The Administrator shall promptly notify the appropriate State animal health official of the State of destination of any such action.
All conveyances and associated equipment, premises, and structures that are used for receiving, holding, shipping, loading, unloading, and delivering cattle or bison in connection with their interstate movement and that are determined by cooperating State and Federal animal health officials to be contaminated because of occupation or use by tuberculous or reactor livestock must be cleaned and disinfected under the supervision of the cooperating State or Federal animal health officials. Such cleaning and disinfecting must be done in accordance with procedures approved by the cooperating State or Federal animal health officials. Cleaning and disinfection must be completed before the premises, conveyances, or materials may again be used to convey, hold, or in any way come in contact with any livestock.
As used in subpart C, the following terms shall have the meanings set forth in this section except as otherwise specified.
(1) The single cervical tuberculin (SCT) test;
(2) The comparative cervical tuberculin (CCT) test; and
(3) The blood tuberculosis (BTB) test.
All references in this subpart to the tuberculosis status of States and zones pertain to such status for captive cervids.
(a) The following are accredited-free States: None.
(b) The following are accredited-free zones: None.
(c) If an affected herd is detected in a State or zone classified as accredited-free, and the herd is depopulated and a complete epidemiologic investigation is completed within 120 days of the detection of the affected herd with no evidence of the spread of tuberculosis, the State or zone may retain its accredited-free status. If two or more affected herds are detected in an accredited-free State or zone within a 48-month period, the State or zone will be removed from the list of accredited-free States or zones and will be reclassified as modified accredited advanced.
(d) If any livestock other than captive cervids are included in a newly assembled herd on a premises where a tuberculous herd has been depopulated, the State or zone must apply the herd test requirements contained in the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” (January 22, 1999 edition), which is incorporated by reference at § 77.1, to those other livestock in the same manner as to captive cervids. Failure to do so will result in reclassification of the State or zone as modified accredited advanced.
(e) If tuberculosis is diagnosed within an accredited-free State or zone in an animal not specifically regulated by this part and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. The management plan must include provisions for immediate investigation of tuberculosis in animals held for exhibition and in livestock and wildlife; the prevention of the spread of the disease to other animals held for exhibition and to livestock and wildlife; increased surveillance for tuberculosis in animals held for exhibition and wildlife; eradication of tuberculosis from individual herds; a timeline for tuberculosis eradication; and performance standards by which to measure yearly progress toward eradication. If a State or zone does not implement such a plan within the required 6 months, the State or zone will lose its accredited-free status and will be reclassified as modified accredited advanced.
(f) Accredited-free State or zone status must be renewed annually. To qualify for renewal of accredited-free State or zone status, a State must submit an annual report to APHIS certifying that the State or zone within the State complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication.” The report must be submitted to APHIS each year between October 1 and November 30.
Notwithstanding any other provisions of this part, captive cervids that originate in an accredited-free State or zone may be moved interstate without restriction.
(a) The following are modified accredited advanced States: None.
(b) The following are modified accredited advanced zones: None.
(c) If any livestock other than captive cervids are included in a newly assembled herd on a premises where a tuberculous herd has been depopulated, the State or zone must apply the herd test requirements contained in the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” (January 22, 1999 edition), which is incorporated by reference at § 77.1, for such newly assembled herds to those other livestock in the same manner as to captive cervids. Failure to do so will result in the removal of the State or zone from the list of modified accredited advanced States or zones and its being reclassified as modified accredited.
(d) If tuberculosis is diagnosed within a modified accredited advanced State or zone in an animal not specifically regulated by this part and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. The management plan must include provisions for immediate investigation of tuberculosis in animals held for exhibition and in livestock and wildlife; the prevention of the spread of the disease to other animals held for exhibition and to livestock and wildlife; increased surveillance for tuberculosis in animals held for exhibition and wildlife; eradication of tuberculosis from individual herds; a timeline for tuberculosis eradication; and performance standards by which to measure yearly progress toward eradication. If a State or zone does not implement such a plan within the required 6 months, the State or zone will be reclassified as modified accredited.
(e) Modified accredited advanced State or zone status must be renewed annually. To qualify for renewal of a modified accredited advanced State or zone status, a State must submit an annual report to APHIS certifying that the State or zone complies with all the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” regarding modified accredited advanced States. The report must be submitted to APHIS each year between October 1 and November 30.
(f) To qualify for accredited-free status, a modified accredited advanced State or zone must demonstrate to the Administrator that it complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication,” has zero percent prevalence of affected captive cervid herds, and has had no findings of tuberculosis in any captive cervids in the State or zone for the previous 5 years.
Captive cervids that originate in a modified accredited advanced State or zone, and that are not known to be infected with or exposed to tuberculosis, may be moved interstate only under one of the following conditions:
(a) The captive cervids are moved directly to slaughter at an approved slaughtering establishment.
(b) The captive cervids are from an accredited herd, qualified herd, or monitored herd; are officially identified; and are accompanied by a certificate stating that the herd completed the requirements for accredited herd, qualified herd, or monitored herd status within 24 months prior to the date of movement.
(c) The captive cervids are officially identified and are accompanied by a certificate stating that they were negative to an official tuberculin test conducted within 90 days prior to the date of movement.
(a) States listed in paragraph (b) of this section must submit to APHIS
(b) The following are modified accredited States: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, the Virgin Islands of the United States, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
(c) The following are modified accredited zones: None.
(d) If any livestock other than captive cervids are included in a newly assembled herd on a premises where a tuberculous herd has been depopulated, the State or zone must apply the herd test requirements contained in the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” (January 22, 1999, edition), which is incorporated by reference at § 77.1, for such newly assembled herds to those other livestock in the same manner as to captive cervids. Failure to do so will result in the removal of the State or zone from the list of modified accredited States or zones and its being reclassified as accreditation preparatory.
(e) If tuberculosis is diagnosed within a modified accredited State or zone in an animal not specifically regulated by this part and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. The management plan must include provisions for immediate investigation of tuberculosis in animals held for exhibition and in livestock and wildlife; the prevention of the spread of the disease to other animals held for exhibition and to livestock and wildlife; increased surveillance for tuberculosis in animals held for exhibition and wildlife; eradication of tuberculosis from individual herds; a timeline for tuberculosis eradication; and performance standards by which to measure yearly progress toward eradication. If a State or zone does not implement such a plan within the required 6 months, the State or zone will be reclassified as accreditation preparatory.
(f) Modified accredited State or zone status must be renewed annually. To qualify for renewal of a modified accredited State or zone status, a State must submit an annual report to APHIS certifying that the State or zone complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication.” The report must be submitted to APHIS each year between October 1 and November 30.
(g) To qualify for modified accredited advanced status, a modified accredited State or zone must demonstrate to the Administrator that it complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” and that tuberculosis has been prevalent in less than 0.01 percent of the total number of captive cervids in the State or zone for the most recent 2 years.
Except for captive cervids from a qualified herd or monitored herd, as provided in §§ 77.36 and 77.37, respectively, captive cervids that originate in a modified accredited State or zone, and that are not known to be infected with or exposed to tuberculosis, may be moved interstate only under one of the following conditions:
(a) The captive cervids are moved directly to slaughter at an approved slaughtering establishment.
(b) The captive cervids are from an accredited herd and are accompanied by a certificate stating that the accredited herd completed the testing necessary for accredited status with negative results within 24 months prior to the date of movement.
(c) The captive cervids are sexually intact animals; are not from an accredited herd; are officially identified; and are accompanied by a certificate stating that the herd from which they originated was negative to a whole herd test conducted within 1 year prior to the date of movement and that the individual animals to be moved were negative to an additional official tuberculin test conducted within 90 days prior to the date of movement, except that the additional test is not required if the animals are moved interstate within 6 months following the whole herd test.
(a) The following are accreditation preparatory States: None.
(b) The following are accreditation preparatory zones: None.
(c) If any livestock other than captive cervids are included in a newly assembled herd on a premises where a tuberculous herd has been depopulated, the State or zone must apply the herd test requirements contained in the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” (January 22, 1999, edition), which is incorporated by reference at § 77.1, for such newly assembled herds to those other livestock in the same manner as to captive cervids. Failure to do so will result in the removal of the State or zone from the list of accreditation preparatory States or zones and its being reclassified as nonaccredited.
(d) If tuberculosis is diagnosed within an accreditation preparatory State or zone in an animal not specifically regulated by this part and a risk assessment conducted by APHIS determines that the outbreak poses a tuberculosis risk to livestock within the State or zone, the State or zone must implement a tuberculosis management plan, approved jointly by the State animal health official and the Administrator, within 6 months of the diagnosis. The management plan must include provisions for immediate investigation of tuberculosis in animals held for exhibition and in livestock and wildlife; the prevention of the spread of the disease to other animals held for exhibition and to livestock and wildlife; increased surveillance for tuberculosis in animals held for exhibition and wildlife; eradication of tuberculosis from individual herds; a timeline for tuberculosis eradication; and performance standards by which to measure yearly progress toward eradication. If a State or zone does not implement such a plan within the required 6 months, the State or zone will be reclassified as nonaccredited.
(e) Accreditation preparatory State or zone status must be renewed annually. To qualify for renewal of accreditation preparatory State or zone status, a State must submit an annual report to APHIS certifying that the State or zone complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication.” The report must be submitted to APHIS each year between October 1 and November 30.
(f) To qualify for modified accredited status, an accreditation preparatory State or zone must demonstrate to the Administrator that it complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” and that tuberculosis has been prevalent in less than 0.1 percent of the total number of herds of captive cervids in the State or zone for the most recent year.
Except for captive cervids from a qualified herd or monitored herd, as provided in §§ 77.36 and 77.37, respectively, captive cervids that originate in an accreditation preparatory State or zone, and that are not known to be infected with or exposed to tuberculosis, may be moved interstate only under one of the following conditions:
(a) The captive cervids are moved directly to slaughter at an approved slaughtering establishment.
(b) The captive cervids are from an accredited herd; are officially identified; and are accompanied by a certificate stating that the accredited herd completed the testing necessary for accredited status with negative results within 24 months prior to the date of movement and that the individual animals to be moved were negative to an official tuberculin test conducted within 90 days prior to the date of movement.
(c) The captive cervids are sexually intact animals; are not from an accredited herd; are officially identified; and are accompanied by a certificate stating that the herd from which they originated was negative to a whole herd test conducted within 1 year prior to the date of movement and that the individual animals to be moved were negative to two additional official tuberculin tests conducted at least 90 days apart and no more than 6 months apart, with the second test conducted within 90 days prior to the date of movement, except that the second additional test is not required if the animals are moved interstate within 6 months following the whole herd test.
(a) The following are nonaccredited States: None.
(b) The following are nonaccredited zones: None.
(c) To qualify for accreditation preparatory status, a nonaccredited State or zone must demonstrate to the Administrator that it complies with the provisions of the “Uniform Methods and Rules—Bovine Tuberculosis Eradication” and that tuberculosis is prevalent in less than 0.5 percent of the total number of herds of captive cervids in the State or zone.
Captive cervids that originate in a nonaccredited State or zone and that are not known to be infected with or exposed to tuberculosis may not be moved interstate only if they are accompanied by VS Form 1-27 and are moved interstate in an officially sealed means of conveyance directly to slaughter at an approved slaughtering establishment.
(a) Except for movement from accredited-free States and zones in accordance with § 77.23, movement from accredited herds in accordance with § 77.35, and movement to slaughter in accordance with §§ 77.25(a), 77.27(a), 77.29(a), and 77.31(d), no captive cervid may be moved interstate unless it has been tested using an official tuberculosis test, and it is moved in compliance with this part.
(b) No captive cervid with a response to any official tuberculosis test is eligible for interstate movement unless the captive cervid subsequently tests negative to a supplemental official tuberculosis test or is moved interstate directly to slaughter or necropsy in accordance with § 7.40.
(c) Except for captive cervids moving interstate under permit directly to slaughter or necropsy under § 77.40, each captive cervid or shipment of captive cervids to be moved interstate must be accompanied by a certificate issued within 30 days of the movement by a State or Federal animal health official or an accredited veterinarian.
(d) Captive cervids in zoological parks that have been accredited by the American Zoo and Aquarium Association (AZA) are exempt from the regulations in this part when the captive cervids are moved directly interstate between AZA member facilities. Any captive cervids moved interstate that are not moved directly from an AZA member facility to another AZA member facility must be moved in accordance with the regulations in this subpart.
(a)
(1) A designated accredited veterinarian may conduct the SCT test, except as provided in § 77.34(a)(2) and § 77.39(e) and (f).
(2) Any accredited veterinarian may conduct the BTB test.
(b)
(1) With one exception, histopathology and culture results for all tuberculosis diagnoses will be accepted only from the National Veterinary Services Laboratories (NVSL) in Ames, IA. The exception is that results will be accepted from a laboratory of the Food Safety and Inspection Service, USDA, for tissue examination of regular-kill slaughter animals in those cases where no submission is made to NVSL.
(2) The following laboratory is approved to perform the BTB test: Texas Veterinary Medical Center laboratory at Texas A&M University in College Station, TX.
(c)
(d)
(1)
(2)
(e)
(1) Interpretation of an SCT test will be based upon the judgment of the testing veterinarian after observation and palpation of the injection site, in accordance with the classification requirements described in § 77.34(a).
(2) Interpretation of a CCT test will be in accordance with the classification requirements described in § 77.34(b).
(3) Interpretation of a BTB test will be in accordance with the patented standards for the BTB test
(f)
(a)
(1) The SCT test is the primary test to be used in individual captive cervids and in herds of unknown tuberculous status. Each captive cervid that responds to the SCT test must be classified as a suspect until it is retested with either the CCT test or the BTB test and is either found negative for tuberculosis or is classified as a reactor, unless, with the exception of a designated accredited veterinarian, the testing veterinarian determines that the captive cervid should be classified as a reactor based on its response to the SCT test. A designated accredited veterinarian must classify a responding captive cervid as a suspect, unless the DTE determines, based on epidemiological evidence, that the captive cervid should be classified as a reactor.
(2) The SCT test is the primary test to be used in affected herds and in herds that have received captive cervids from an affected herd. When used with affected herds or in herds that have received captive cervids from an affected herd, the SCT test may only be administered by a veterinarian employed by the State in which the test is administered or employed by USDA. In affected herds or herds that have received captive cervids from an affected herd, each captive cervid that responds to the SCT test must be classified as a reactor, unless the DTE determines that the captive cervid should be classified as a suspect because of possible exposure to a tuberculous animal.
(b)
(1) The CCT test is a supplemental test that may only be used for retesting captive cervids classified as suspects. The CCT test may be used in affected herds only after the herd has tested negative to at least two whole herd SCT tests and only with the prior written consent of the DTE. The CCT test may not be used as a primary test for herds of unknown tuberculous status.
(2) A captive cervid tested with the CCT test must be classified as negative if it has a response to the bovine PPD tuberculin that is less than 1 mm.
(3) Unless the testing veterinarian determines that the captive cervid should be classified as a reactor because of possible exposure to a tuberculous animal, a captive cervid tested with the CCT test must be classified as a suspect if:
(i) It has a response to the bovine PPD tuberculin that is greater than 2 mm and that is equal to the response to the avian PPD tuberculin; or
(ii) It has a response to the bovine PPD tuberculin that is equal to or greater than 1mm and equal to or less than 2mm and that is equal to or greater than the response to the avian PPD tuberculin.
(4) A captive cervid tested with the CCT test must be classified as a reactor if:
(i) It has a response to the bovine PPD tuberculin that is greater than 2 mm and that is at least 0.5 mm greater than the response to the avian PPD tuberculin; or
(ii) It has been classified as a suspect on two successive CCT tests.
(iii) Any exceptions to reactor classification under the conditions in paragraph (b)(4)(i) and (b)(4)(ii) of this section must be justified by the testing veterinarian in writing and have the concurrence of the DTE.
(c)
(1) The BTB test is a supplemental test that may be used in place of the CCT test for retesting captive cervids classified as suspects.
(2) Except as provided in § 77.39(e), any captive cervid classified by the
(3) Any captive cervid classified by the testing laboratory as “
(4) Any captive cervid classified by the testing laboratory as “avian” or “negative” will be considered negative for tuberculosis.
(5) The owner of the captive cervid tested is responsible for the cost of the BTB test.
(a)
(1) All captive cervids in the herd eligible for testing in accordance with § 77.33(f) must have tested negative to at least three consecutive official tuberculosis tests, conducted at 9-15 month intervals. However, captive cervids under 1 year of age that are not natural additions to the herd do not have to be tested if they were born in and originate from an accredited herd.
(2) The owner of the herd must have a document issued by cooperating State or Federal animal health officials stating that the herd has met the requirements in paragraph (a)(1) of this section and is classified as an accredited herd.
(b)
(c)
(1) The captive cervid to be added must be moved directly from an accredited herd;
(2) The captive cervid to be added must be moved directly from a qualified or monitored herd and must have tested negative to an official tuberculosis test conducted within 90 days prior to movement to the premises of the accredited herd. Any captive cervid moved from a qualified or monitored herd must also be isolated from all members of the accredited herd until it tests negative to an official tuberculosis test conducted at least 90 days following the date of arrival at the premises of the accredited herd. If a group of captive cervids is being moved together, the entire group must be isolated from all other livestock during the testing period, but captive cervids in the group need not be isolated from each other during that period. Such herd additions will not receive status as members of the accredited herd for purposes of interstate movement until they have tested negative to an official tuberculosis test and have been released from isolation; or
(3) If the captive cervid to be added is not being moved directly from a classified herd, the captive cervid must be isolated from all other members of the herd of origin and must test negative to two official tuberculosis tests. The isolation must begin at the time of the first official tuberculosis test. The tests must be conducted at least 90 days apart, and the second test must be conducted within 90 days prior to movement to the premises of the accredited herd. The captive cervid must also be isolated from all members of the accredited herd until it tests negative to an official tuberculosis test conducted at least 90 days following the date of arrival at the premises of the accredited herd. If a group of captive cervids is being moved together, the entire group must be isolated from all other animals during the testing period, but captive cervids in the group need not be isolated from each other during that period. Such herd additions will not receive status as members of the accredited herd for purposes of interstate movement until they have tested negative to an official tuberculosis test and have been released from isolation.
(4) A captive cervid to be added must not have been exposed during the 90 days prior to its movement to either:
(i) A captive cervid from a herd with a lower classification status than its own; or
(ii) Any tuberculous livestock.
(d)
(a)
(1) All captive cervids in the herd eligible for testing in accordance with § 77.33(f) must have tested negative to one official tuberculosis test that was administered to the herd within a 7-month period. However, captive cervids under 1 year of age that are not natural additions do not have to be tested if they were born in and originate from an accredited, qualified, or monitored herd.
(2) The owner of the herd must have a document issued by cooperating State and Federal animal health officials stating that the herd has met the requirement in paragraph (a)(1) of this section and is classified as a qualified herd.
(b)
(1) The captive cervid is not known to be infected with or exposed to tuberculosis; and
(2) The captive cervid is accompanied by a certificate, as provided in § 77.32(c), that includes a statement that the captive cervid is from a qualified herd. Except as provided in paragraphs (b)(3) and (b)(4) of this section, the certificate must also state that the captive cervid has tested negative to an official tuberculosis test conducted within 90 days prior to the date of movement. If a group of captive cervids from a qualified herd is being moved interstate together to the same destination, all captive cervids in the group may be moved under one certificate.
(3) Captive cervids under 1 year of age that are natural additions to the qualified herd or that were born in and originate from a classified herd may move without testing, provided that the certificate accompanying them states that the captive cervids are natural additions to the qualified herd or were born in and originated from a classified herd and have not been exposed to captive cervids from an unclassified herd.
(4) Captive cervids being moved interstate for the purpose of exhibition only may be moved without testing, provided they are returned to the premises of origin no more than 90 days after leaving the premises, have no contact with other livestock during movement and exhibition, and are accompanied by a certificate that includes a statement that the captive cervid is from a qualified herd and will otherwise meet the requirements of this paragraph.
(c)
(1) The captive cervid to be added must be moved directly from an accredited herd;
(2) The captive cervid to be added must be moved directly from a qualified or monitored herd and must have tested negative to an official tuberculosis test conducted within 90 days prior to movement to the premises of the accredited herd;
(3) If the captive cervid to be added is not being moved directly from a classified herd, the captive cervid must be isolated from all other animals in its herd of origin and must test negative to two official tuberculosis tests prior to movement. The isolation must begin at the time of the first official tuberculosis test. The tests must be conducted at least 90 days apart, and the second test must be conducted within 90 days prior to movement to the premises of the qualified herd. The captive cervid must then be kept in isolation from all animals until it tests negative to an official tuberculosis test conducted at least 90 days following the date of arrival at the premises of the qualified herd. If a group of captive cervids is being moved together, the entire group must be isolated from all other livestock during the testing period, but captive cervids in the group need not be isolated from each other during that period. Such herd additions will not receive status as members of the qualified herd for purposes of interstate movement until they have tested negative to an official tuberculosis test and been released from isolation.
(4) A captive cervid to be added must not have been exposed during the 90 days prior to its movement to either:
(i) A captive cervid from a herd with a lower classification status than its own; or
(ii) Any tuberculous livestock.
(d)
(a)
(1) Identification records must be maintained by the person, firm, or corporation responsible for the management of the herd for as long as status as a monitored herd is desired. Such records must be maintained on all captive cervids in the herd that are slaughtered, inspected, and found negative for tuberculosis at an approved slaughtering establishment or necropsied at an approved diagnostic laboratory. Identification records may also include captive cervids from the herd that tested negative for tuberculosis in accordance with requirements for interstate movement. No less than one-half of the captive cervids on which records are kept must be slaughter inspected; and
(2) A sufficient number of captive cervids in the herd must be slaughter inspected or tested for interstate movement to ensure that tuberculosis infection at a prevalence level of 2 percent or more will be detected with a confidence level of 95 percent.
(b)
(1) The captive cervid is not known to be infected with or exposed to tuberculosis; and
(2) The captive cervid is accompanied by a certificate, as provided in § 77.32(c), that includes a statement that the captive cervid is from a monitored herd. Except as provided in paragraph (b)(3) of this section, the certificate must also state that the captive cervid has tested negative to an official tuberculosis test conducted within 90 days prior to the date of movement. If a group of captive cervids from a monitored herd is being moved interstate together to the same destination, all captive cervids in the group may be moved under one certificate.
(3) Captive cervids under 1 year of age that are natural additions to the monitored herd or that were born in and originate from a classified herd may move without testing, provided that the certificate accompanying them states that the captive cervids are natural additions to the monitored herd or were born in and originated from a classified herd and have not been exposed to captive cervids from an unclassified herd.
(c)
(1) The captive cervid to be added must be moved directly from an accredited herd;
(2) The captive cervid to be added must be moved directly from a qualified or monitored herd and must have tested negative to an official tuberculosis test conducted within 90 days prior to movement to the premises of the monitored herd; or
(3) If the captive cervid to be added is not being moved directly from a classified herd, the captive cervid must be isolated from all other animals and must test negative to two official tuberculosis tests. The isolation must begin at the time of the first official tuberculosis test. The tests must be conducted at least 90 days apart, and the second test must be conducted within 90 days prior to movement to the premises of the monitored herd. The captive cervid must then be kept in isolation from all animals until it tests negative to an official tuberculosis test conducted at least 90 days following the date it arrives at the premises of the monitored herd. If a group of captive cervids is being moved together, the entire group must be isolated from all other animals during the testing period, but captive cervids in the group need not be isolated from each other during that period. Such herd additions will not receive status as members of the monitored herd for purposes of interstate movement until they have tested negative to an official tuberculosis test and been released from isolation.
(4) A captive cervid to be added must not have been exposed during the 90 days prior to its movement to either:
(i) A captive cervid from a herd with a lower classification status than its own; or
(ii) Any tuberculous livestock.
(d)
The Administrator may, with the concurrence of the cooperating State animal health officials of the State of destination, and upon request in specific cases, permit the movement of captive cervids not otherwise provided for in this part which have not been classified as reactors and are not otherwise known to be affected with tuberculosis, under such conditions as the Administrator may prescribe in each specific case to prevent the spread of tuberculosis. The Administrator shall promptly notify the appropriate cooperating State animal health officials of the State of destination of any such action.
(a)
(1)
(i) A captive cervid classified as a suspect on the SCT test must be quarantined until it is slaughtered or retested by the CCT test or the BTB test and found negative for tuberculosis. Retesting must be as follows:
(A) The first CCT test must be administered within the first 10 days following the SCT test or, if not, must be administered at least 90 days after the SCT test. If the CCT test is administered within 10 days of the SCT test, the injection must be on the side of the neck opposite the injection for the SCT test.
(B) The sample for the first BTB test may not be taken until at least 12 days after the injection for the SCT test. It is recommended that the sample be taken within 30 days following the injection for the SCT test.
(ii) A captive cervid classified as a suspect on the first CCT test or the first BTB test must be quarantined until the following has occurred:
(A) A suspect on the first CCT test is tested with a second CCT test at least 90 days after the first CCT test and is found negative for tuberculosis; or
(B) A suspect on the first BTB test is tested with a second BTB test and is found negative for tuberculosis. It is recommended that the captive cervid be tested with the second BTB test within 60 days following the injection for the SCT test.
(2)
(b)
(1)
(2)
(i) If, upon slaughter inspection or necropsy, any reactors exhibit lesions compatible with or suggestive of tuberculosis, found by histopathology, without the isolation of
(ii) If
(iii) If upon slaughter inspection or necropsy all reactors exhibit no gross lesions (NGL) of tuberculosis and no evidence of tuberculosis infection is found by histopathology and culture of
(A) The remainder of the herd is given a whole herd test and is found negative for tuberculosis.
(B) The remainder of the herd is given a whole herd test, and all reactors to the whole herd test exhibit no gross lesions (NGL) of tuberculosis upon slaughter inspection or necropsy and no evidence of tuberculosis infection is found by
(iv) If no evidence of tuberculosis is found in any reactor upon slaughter inspection or necropsy, but it is not possible to conduct a whole herd test on the remainder of the herd, the herd will be evaluated, based on criteria such as the testing history of the herd and the State history of tuberculosis infection, by the DTE to determine whether the herd may be released from quarantine.
(c)
(d)
(e)
(1) If bovine tuberculosis is confirmed in any of the exposed captive cervids by bacterial isolation of
(2) If any of the exposed captive cervids are found to exhibit lesions compatible with or suggestive of tuberculosis, found by histopathology, without the isolation of
(3) If all the exposed captive cervids test negative for tuberculosis, the receiving herd will be released from quarantine if it is given a whole herd test and is found negative for tuberculosis and will return to the herd classification in effect before the herd was quarantined. In addition, the receiving herd must be retested with the SCT test 1 year after release from quarantine in order for captive cervids from the herd to continue to be moved interstate. Supplemental diagnostic tests may be used if any captive cervids in the herd show a response to the SCT test.
(f)
(1) If the herd is identified as the source of captive cervids having lesions of tuberculosis and
(2) If the herd is identified as the source of captive cervids that exhibit lesions compatible with or suggestive of tuberculosis, found by histopathology, without the isolation of
(3) If the herd is not identified as the source herd, the herd will be released from quarantine if the herd is given a whole herd test and is found negative for tuberculosis. The herd will then return to the herd classification status in effect before the herd was quarantined.
(g)
(1) A newly assembled herd will be classified as having the herd status of the herd from which the captive cervids originated. If the herd is assembled from captive cervids from more than one herd, it will be classified as having the herd status of the originating herd with the lowest status. A newly assembled herd will also assume the testing schedule of the herd status it is given. Captive cervids in the herd must have no exposure to captive cervids from a herd of lesser status than the herd of origin determining the status of the newly assembled herd or to any tuberculous livestock.
(2) A herd newly assembled on premises where a tuberculous herd has been depopulated must be given two consecutive annual whole herd tests. The first test must be administered at least 6 months after the assembly of the new herd. If the whole herd tests are not conducted within the indicated timeframe, the herd will be quarantined. If the herd tests negative to the two whole herd tests, there are no further requirements. If any captive cervid in the herd responds on one of the whole herd tests, the herd will be subject to the provisions of paragraph (a) or (b) of this section. If the premises has been vacant for more than 1 year preceding the assembly of the new herd on the premises, these requirements may be waived if the risk of tuberculosis transmission to the newly assembled herd is deemed negligible by cooperating State and Federal animal health officials.
(a)
(1) A necropsy must be performed by or under the supervision of a veterinarian who is employed by USDA or employed by the State in which the captive cervid was classified, and who is trained in tuberculosis necropsy procedures.
(2) If, upon necropsy, a captive cervid is found without evidence of
(3) Reactors, suspects, and exposed captive cervids may be slaughtered only at an approved slaughtering establishment, as defined in § 77.20.
(b)
(1)
(i) The classification of the captive cervid (reactor, suspect, or exposed);
(ii) The reactor eartag number or, for suspects and exposed captive cervids, the official eartag or other approved identification number;
(iii) The owner's name and address;
(iv) The origin and destination of the captive cervids;
(v) The number of captive cervids covered by the permit; and
(vi) The purpose of the movement.
(2)
(i) Branded with the letter “T” high on the left hip near the tailhead and at least 5 by 5 centimeters (2 by 2 inches) in size; or
(ii) Permanently identified by the letters “TB” tattooed legibly in the left ear, sprayed on the left ear with yellow paint, and either accompanied directly to necropsy or slaughter by an APHIS or State representative or moved directly to necropsy or slaughter in a vehicle closed with official seals. Such official seals must be applied and removed by an APHIS representative, State representative, accredited veterinarian, or an individual authorized for this purpose by an APHIS representative.
(3)
(i) Branded with the letter “S” high on the left hip near the tailhead and at least 5 by 5 centimeters (2 by 2 inches) in size; or
(ii) Either accompanied directly to necropsy or slaughter by an APHIS or State representative or moved directly to necropsy or slaughter in a vehicle closed with official seals. Such official seals must be applied and removed by an APHIS representative, State representative, accredited veterinarian, or an individual authorized for this purpose by an APHIS representative.
All conveyances and associated equipment, premises, and structures that are used for receiving, holding, shipping, loading, unloading, and delivering captive cervids in connection with their interstate movement and that are determined by cooperating State and Federal animal health officials to be contaminated because of occupation or use by tuberculous or reactor livestock must be cleaned and disinfected under the supervision of the cooperating State or Federal animal health officials. Such cleaning and disinfecting must be done in accordance with the procedures approved by the cooperating State or Federal animal health officials. Cleaning and disinfection must be completed before the premises, conveyances, or materials may again be used to convey, hold, or in any way come in contact with any livestock.